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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
2
ATTRIBUTES OF
LINDSAY JONES
GOD
EDITOR IN CHIEF
•
BUTLER, JOSEPH
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.
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(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 t w o
i s u a l n a r
v
V r
I S a
U t
A L i
N v
A e
R R A T I V E
Storytelling may be one of the most universal of human
behaviors. Representing events in a series of episodes allows
storytellers and their audiences to explain a state of affairs, to trace the historical
development of a people, to limn the portrait of a hero, or to account for the status
of a ruler, city, or natural order. Storytelling ascribes causation to events, provides
access to the past, bestows meaning on the present, and offers counter-narratives to
prevailing or rival accounts.
Images work closely with oral and written narratives, sometimes as external scaf-
folding or supportive prompts. This can involve little or even no imagery. Some
Native American winter counts are no more than abstract patterns, unlike the late
pictographic example reproduced here (a), which consists of symbolic devices that
demarcate tribal history and lore among
the Brulé Lakota. This example, pro-
duced in the early twentieth century,
replicates the notation that was tradition-
ally painted on buffalo hides, and adds
numeric dating beneath the pictographs.
An aide de memoire, the winter count
assists the narration of tribal memory
but is not a linguistic system in the
manner of Egyptian hieroglyphics. The
winter count supplements oral culture by
prompting patterns of verbal discourse,
such as song and chant, in the setting of
dance and ceremonial discourse.
Images also commonly provide less
pictographic prompts to narrative, such
as paintings and sculptures of the nine
(a) Detail from a winter count by Battiste
Good, watercolor on paper, c. 1907. [Library
of Congress]
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VISUAL NARRATIVE
great events of the Buddha’s life (b). In these works, artists
do not seek to render a seamless succession of episodes,
but surround the key event of the life of the historical
Buddha—the moment of his triumph over Māra, the god
of illusion, a decisive victory symbolized by the Buddha’s
touching the earth, calling it as witness to his many lives
of karmic ascent. Nine key events are visualized in a picto-
rial shorthand, organized as a compendium of the princi-
pal episodes in the Buddha’s life, and framing the central
representation of his enlightenment. This gathering of
representations assists Buddhist teachers and students in
recounting not only the historical life of the Buddha, but
the meaning of his teaching. Narrative in this sense is not
a neutral recounting of events, but a highly interpretative
reading of the founder’s life.

Storytelling of any sort is invariably interpretative
(b) LEFT. Buddha Shakyamuni and Scenes from the Life of
Buddha, copper with traces of gilding, twelfth century, Nepal.
[Los Angeles County Museum of Art, gift of Mr. and Mrs. Michael
Phillips] (c) B OTTOM LEFT. Roman marble sculpture of
Laocoon and his sons, believed to be a first-century ce copy
of a first- to second-century bce Greek original. [©Araldo de
Luca/Corbis] (d) B OTTOM RIGHT. Roman copy of a fifth-
century bce Greek relief of Hermes, Orpheus, and Eurydice.
[©Alinari/Art Resource, N.Y.]
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VISUAL NARRATIVE
and not merely descriptive, because it consists necessarily
of a selection and weighting of particular events, as well as
their integration, into a series of episodes that culminates
in a state of affairs that offers a perspective that the viewer/
listener is presumed to accept as compelling in the sense
of being cautionary, explanatory, aesthetically pleasing, or
inspirational.

But images operate differently than words. Unless
they are presented on the pages of a book or scroll, or
organized as dense grids of individual events, or seen in
succession across the broad surfaces of walls or ceilings, an
image is largely unable to unfold temporally since a viewer
stands in front of it and sees all of it at once in sweeping
scans. Consequently, images often present single selections
from a narrative that focus the viewer’s attention on a par-
ticular episode that is considered by teachers or patrons or
the devout as especially significant or as emblematic of the
entire narrative (a, d, e, f, g). For example, the sculpture
of Laocoon and his sons (c) writhing in agony in the coils
(e) Kr.s.n.a steals the clothes of the gopīes in a Pahari school illus-
of a serpent sent by Athena to prevent the priest’s discov-
tration from the Bhāgavata Purān.a, Kangra, Himachal Pradesh,
ery of the Greeks hidden within the wooden horse left at
1780. [©Art Resource, N.Y.]
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VISUAL NARRATIVE
(f ) Contemporary print depicting Gurū Gobind Gingh address-
Troy was probably taken from the second book of Vergil’s
ing his khālsā. [Reproduced by permission of Oxford University Press
Aeneid. The sculpture does not purport to represent the
India, New Delhi. W. H. Mcleod, Popular Sikh Art]
entire narrative, but singles out a dramatic instance within
it, the heroic struggle of a man against a fate doled out by
an unsympathetic deity. In that sense, however, the image
captures a view conveyed by the fateful story of Vergil’s
epic. The nobility of humankind, registered unforget-
tably in the monumental masculinity of Laocoon’s body,
is caught up in the larger force of a destiny from which
Laocoon, priest of Apollo and son of Priam, king of Troy,
is unable to extricate himself. Not only does the narrative
image signal the story and something of its lesson, but it
offers aesthetic satisfaction as its end or purpose, combin-
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VISUAL NARRATIVE
ing the two for greater effect as a conveyer of the famous
(g) Gary Kapp, That Ye May Know, oil on canvas, 1996. [©1996
Gary Kapp]
narrative. As this sculpture tells the story of human fate,
the human condition is gendered as a heroic but doomed
male struggle.

This highly selective, emblematic treatment of narra-
tive informs many different instances of narrative religious
art. In a great deal of art around the world, the practice is
often to signify a narrative by the minimal means of por-
traying no more than its principal characters. A Roman
relief (d) portraying three figures of Greek mythology—
Hermes, Orpheus, and Eurydice—is a good example of
this. Viewers learn little about the original story by look-
ing at these three figures. Indeed, if one did not know the
narrative, the image might be unidentifiable. (In fact, the
Greek names inscribed above each figure were misidenti-
fications added much later.) Orpheus has turned to look
back to see that his dead wife, Eurydice, follows him from
Hades, but in doing so he seals her fate, which is to return
to the realm of the dead, taken there by the god Hermes,
whose task it is to conduct souls to the underworld. With
this narrative in mind, the many gestures of the image
can be unfolded from the narrative’s highly encapsulated
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VISUAL NARRATIVE
state—the loving touch of Orpheus, his wistfully inclined
head facing the other two, echoed visually in their oppos-
ing stances, and Hermes’s fateful grip of the woman’s
wrist.

By contrast, some visual narratives enumerate virtu-
ally each moment of a textual narrative, as in the case of
the large and very elaborate sculptural programs mounted
on the exterior of many Hindu temples (h). Literally hun-
dreds of figures combine to narrate the long and intricate
stories of such important deities as Vis.n.u or Śiva. In other
cases, images may accompany printed text (f, i, j), fash-
ioning a symbiotic dependence of word and image upon
one another, even in some instances creating a synergy in
(h) LEFT. Detail of figures adorning the exterior of the Kan-
dariya Mahādeva Temple, Khajuraho, Madhya Pradesh, India, c.
1025–1050. [©Wolfgang Kaehler/Corbis] (i) BOTTOM LEFT. Illus-
tration in ink depicting the first meeting between the Incas and
the Spanish in Peru, from El primer nueva corónica y buen
gobierno by Felipe Guamán Poma de Ayala, 1613. [The Art
Archive/Archaeological Museum Lima/Dagli Orti]
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VISUAL NARRATIVE
which the resultant meaning is greater than its textual or
visual parts taken alone. An example is Felipe Guamán
Poma’s extensively illustrated chronicle of colonial Peru
(i). Guamán’s voluminous text is densely illustrated by
full-page drawings of instances like the one depicted here.
The visual narrative allowed him to describe the initial
encounter of the Spanish and Incan cultures in such detail
as the contrasting costumes and headgear of each group.
The nuanced use of gesture signals the complexity and
simultaneity of their attempts at communication and the
easy confusion and misunderstandings that ensued.

Yet the time, expense, and space required for such
narrative density of imagery can be too demanding and
limiting. More commonly, narrative imagery operates
with greater economy by relying on different forms of
evocation—on synecdoche, with a part standing for the
whole; on emblem, a highly condensed configuration of
symbols or narrative cues; or on conflation, the juxta-
position of different narrative scenes in a single pictorial
field (k). Allowing one episode from an entire narrative
to stand for the whole is evident in several of the images
reproduced here (c, d, e, f ). Evoking a narrative by the
use of emblematic signals works well in images that are
intended to convey a great deal of highly prized or even
secret information, material that is shared only among
the literate, privileged, or initiated (a, b, j, l, m). Such
(k) TOP. The Tribute Money (1427), fresco, by Masaccio in Bran-
cacci Chapel, Santa Maria del Carmine, Florence, Italy. [©Sandro
Vannini/Corbis] (l) RIGHT. Masonic Chart, chromolithograph
1851–1864. [Courtesy American Antiquarian Society]
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VISUAL NARRATIVE
imagery presupposes a distinctive literacy among viewers,
relying sometimes on elaborate codes for its proper “read-
ing” or interpretation. The narrative in these instances
need not be a story as much as a narrated set of mean-
ings, teachings, ritual moments, and states of experience.
Finally, conflation is a pictorial device for condensing
into one visual field more than a single episode. Masaccio
achieved this in his fresco titled The Tribute Money (k)
when he portrayed three different moments: the central
crowd gathered about Christ, a depiction of Peter finding
a coin in a fish (to the left), and Peter paying the tribute
to the tax collector (on the right).
BIBLIOGRAPHY
Adorno, Rolena. Guamán Poma: Writing and Resistance in Colonial
Peru. 2d ed. Austin, Tex., 2000.
Brilliant, Richard. Visual Narratives: Storytelling in Etruscan and
Roman Art. Ithaca, N.Y., 1984.
Desai, Vishakha N., and Darielle Mason. Gods, Guardians, and
Lovers: Temple Sculptures from North India A.D. 700–1200.
New York and Ahmadabad, India, 1993.
Karetzky, Patricia E. Early Buddhist Narrative Art: Illustrations of
the Life of the Buddha from Central Asia to China, Korea, and
Japan. Lanham, Md., 2000.
Kessler, Herbert L., and Marianna Shreve Simpson, eds. Pictorial
(m) Detail of libationers, from a fresco cycle in the Villa of the
Narrative in Antiquity and the Middle Ages. Washington, D.C.,
Mysteries in Pompeii, Italy, c. 50 bce. [©Massimo Listri/Corbis]
and Hanover, N.H., 1985.
Maurer, Evan M. Visions of the People: A Pictorial History of Plains
Indian Life. Minneapolis, 1992.
David Morgan ()
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C O A
N T I N U E D
ATTRIBUTES OF GOD
This entry consists of the following articles:
JEWISH CONCEPTS
CHRISTIAN CONCEPTS
ISLAMIC CONCEPTS
ATTRIBUTES OF GOD: JEWISH CONCEPTS
Postbiblical Jewish teachers sensed no incongruity in attributing to God qualities having
strong human associations; the rabbis of the Talmud and the Midrash rely on the biblical
attributes by which, as they remark, God is called in place of his name. This reliance on
biblical attributes should not be taken anachronistically to mean that God is only called
just, compassionate, and the like, but that, in reality, his true nature cannot be known,
since this kind of distinction between essence and attributes did not surface in Judaism
until the more philosophically oriented Middle Ages. God is called by his attributes be-
cause he is so described in scripture, which, as God’s revealed word, informs humans how
God is to be thought about and addressed.
The Hebrew word middah, used by the rabbis, corresponds roughly to the word attri-
bute and means quality or measure. The medieval distinction between God’s attributes
and his essence could have had no significance for the spontaneous nature of rabbinic
thinking. The term middot (pl. of middah) denotes the proper limits by means of which
each of his qualities finds its expression when required in particular circumstances. A good
part of the rabbinic thinking on divine control of the universe consists of the subtle inter-
play between God’s justice and his mercy. For God to overlook sinfulness and wickedness
would be for him to betray his quality of justice. As a rabbinic saying has it: “Whoever
declares that God is indulgent forfeits his very life” (B.T., B.Q. 50a). Yet God’s justice
is always tempered by mercy. He pardons sinners who return to him in sincere repentance
and is ever ready to be entreated to exercise his compassion. God’s mercy is extended to
human beings who show mercy to one another. A typical rabbinic doctrine is that of mea-
C LOCKWISE FROM TOP LEFT CORNER. Fourteenth-century BCE terra-cotta hedgehog of Aegean Rhyton,
from Ugarit, Syria. Louvre, Paris. [©Erich Lessing/Art Resource, N.Y.]; Facsimile of prehistoric
paintings in Lascaux Cave in southwestern France. Musée des Antiquites Nationales, France.
[©Réunion des Musées Nationaux/Art Resource, N.Y.]; Ancient Egyptian underworld god Anubis.
Cairo Museum. [©Roger Wood/Corbis]; Pyramid of the Sun at Teotihuacan, Mexico.
[©Charles & Josette Lenars/Corbis]; Late-nineteenth-century brass Altar of the Hand shrine from
Benin. British Museum, London. [©HIP/Scala/Art Resource, N.Y.].
613
614
ATTRIBUTES OF GOD: JEWISH CONCEPTS
sure for measure (Sot:. 1.7–10). To the extent that humans
can never be holy in the way that God is holy (Lv. Rab. 24.9).
are prepared to go beyond the letter of the law to be exces-
Humans can pursue the truth and live a life of integrity, but
sively generous and forgiving, God can, with justice, be gra-
even of Moses it is said that he failed to attain to the fiftieth
cious; the more merciful human beings are in conduct with
and highest gate of understanding, that is, of perception of
their fellows, the more will God extend to them his sympathy
the divine (B.T., Ned. 38a). Humans must be compassionate
and his pardon (B.T., R. ha-Sh. 17a).
like their maker, but their compassion must not stray beyond
its legitimate boundaries. If, for example, someone mourns
The rabbis explore the biblical record, elaborating on
beyond the period specified by the law when a relative has
the attributes found there. For the rabbis, the teaching that
died, God is said to protest: “Cease from mourning. You are
emerges from biblical statements about God is that he is om-
not more compassionate than I” (B.T., Mo Eed Q. 27b).
nipresent, omniscient, and omnipotent, although these ab-
stract terms are never used by the rabbis, who prefer the con-
The change that came about in the Middle Ages, when
crete language favored by the Bible. God is present at all
a more systematic theological approach dominated the scene,
times in the universe, which he fills. Yet reservations are im-
resulted in a completely fresh examination of the whole ques-
plied about the language used when God’s presence
tion of divine attributes. In their quest for the most refined,
(shekhinah) in the universe is compared to the human soul
abstract formulation, the medieval thinkers tended to speak
filling the body it inhabits (B.T., Ber. 10a), with the clear
of God as simple, pure, a complete unity, with neither divi-
implication that the pervasiveness is spiritual, not spatial.
sion nor multiplicity. Their difficulty with the divine attri-
God knows all there is to be known, including all future
butes found in the Bible and the rabbinic literature was not
events (B.T., San. 90b), although the idea of God’s fore-
only because in these God is described in human terms. Even
knowledge receives little prominence in rabbinic thought. As
if the attributes could be explained as metaphors, there re-
in the Bible, so for the rabbis, God possesses unlimited
mained the implication that the realities the metaphors rep-
power, but here, too, the consideration of whether the doc-
resented were coexistent with God for all eternity, seeming
trine of God’s omnipotence embraces even contradiction
to suggest for many of the thinkers a belief in a plurality of
had to wait until the rise of medieval theological speculation.
divine beings. For the more thoroughgoing of the medieval
That God is one and eternal is as axiomatic for the rab-
thinkers, to ascribe attributes in any positive sense to God
bis as it is for the biblical authors upon whom they based
was to be guilty of idolatry.
their views. God is totally unaffected by the passage of time.
Not all the medieval thinkers saw reason to qualify the
Nevertheless, the Midrash (Mekhilta D, Be-shalah: 4) can say
older doctrine of attributes. H:asdai Crescas (1340–1410/11)
that God appeared to the children of Israel at the crossing
refused to accept the notion that to say God is good or wise
of the sea in the guise of a youthful warrior, whereas he ap-
is to impose limits on his nature or to set up goodness and
peared at Sinai as a venerable sage teaching the Torah to his
wisdom as rival deities. Maimonides (Mosheh ben Maimon,
disciples. In another Midrashic passage (Ex. Rab. 5.9) it is
1135/8–1204) and others, however, sensed the difficulties so
said that God’s voice at Sinai adapted itself to the tempera-
keenly that they felt themselves obliged to develop the idea
ment and disposition of the individual recipients. God spoke
of negative attributes. For Maimonides, the attributes refer-
to the young in youthful terms, to the older folk in more ma-
ring to God’s essence (his unity, wisdom, and existence) are
ture ways. Men heard the voice speaking in a form suitable
not to be understood as saying anything at all about God’s
to males, women in a form suitable to females. Implied here
true nature. All that they imply is the negation of their oppo-
is the idea, later to be developed more fully, that a distinction
sites. When God is said to exist, the meaning is that he is
is to be made between God as he is in himself and God as
not a mere fiction. When he is said to be wise, the meaning
he becomes manifest in creation. The differentiation is said
is that there is neither ignorance nor folly in him. When it
to have been only in the way in which the divine revelation
is said that he is one, the meaning is that there is neither plu-
had its effect. In God there is no trace of age or sex. God is
rality nor multiplicity in his being, although the actual na-
unchanging and unlimited.
ture of that being is beyond all human comprehension, and
The rabbis do not, however, refuse to allow all attributes
of it no human language can be used. For Maimonides, the
of the divine nature to be used. The rabbis, following literally
knowledge of God is a constant process of negation. The fi-
the biblical accounts, seemingly believe that God possesses
nite mind can never hope to grasp the divine nature, but the
the attributes of goodness, justice, wisdom, truth, and holi-
more one knows of what God is not the closer one comes
ness and that these are not simply metaphors, although God
to such perception. Secondary attributes, on the other hand,
possesses these attributes in a manner infinitely greater than
such as goodness, justice, and mercy, may be used of God
human beings can imagine; human beings can only approxi-
even in a positive sense, since these do not refer to his essence
mate these attributes in very faint measure in their conduct.
but to his activity. Maimonides gives the illustration of God’s
The divide between God and humanity is never crossed, but
care for the embryo in the womb. If such care were possible
it is the duty of humans to be godlike by trying to make the
for a human being, one would attribute it to that person’s
divine attributes their own insofar as this is possible (B.T.,
compassionate nature, and in this sense one is permitted to
Shab. 133b). A person can and should be holy, but he or she
say that God is compassionate.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ATTRIBUTES OF GOD: CHRISTIAN CONCEPTS
615
The qabbalists, in their doctrine of Ein Sof (“the limit-
the divine nature; the others, derivative from it, are what are
less,” God as he is in himself) and the sefirot (the powers by
strictly called attributes. Historically, there have been many
means of which the godhead becomes manifest), tread a mid-
candidates for the former: goodness (Christian Platonism),
dle road on the question of attributes. The qabbalists, more
being as act (Thomas Aquinas), infinity (Duns Scotus), radi-
radical here than the philosophers, do not allow even nega-
cal intellection (John of Saint Thomas), omniperfection
tive attributes to be used. But for God as he is expressed in
(nominalism), spirit as Geist (Hegel), radical liberty, love,
the realm of the sefirot, even the positive attributes of essence
and so forth.
are in order. God can be described positively as existing, as
one and as wise, provided it is realized that the reference is
The multiple formalities taken to be attributes are un-
to his manifestation in the sefirot.
derstood as characteristic of God in a way proper to himself,
that is, one that transcends all finite modes in which any per-
The question of the divine attributes receives little at-
fection is found realized in the cosmos. The formalities, as
tention in modern Jewish thought, there being a marked ten-
divine, remain unknowable in themselves. Thus, the “knowl-
dency to see the whole subject as somewhat irrelevant to liv-
edge act” on which such predication is based is always ana-
ing faith.
logical or symbolic in kind. This is clearest in the under-
S
standing that the many divine attributes are all really
EE ALSO Folk Religion, article on Folk Judaism; God, arti-
cles on God in the Hebrew Scriptures, God in Postbiblical
identical with divinity and so with each other, but that a for-
Judaism; Qabbalah; Shekhinah.
mal distinguishing of them is demanded by the inadequacy
of human thought in its finite mode of knowing God. Thus,
BIBLIOGRAPHY
the justice of God really is his mercy in the order of his own
For the rabbinic period the best treatment is still the section “The
being, but both the formalities of justice and mercy are as-
Attributes of God,” in The Old Rabbinic Doctrine of God by
cribed to him in the human finite order of knowing. The dis-
Arthur Marmorstein (1927; reprint, New York, 1968),
tinctions between the divine attributes, in other words, are
pp. 148–217. For the medieval period, the passages referred
distinctions of reason. It became customary to categorize
to in the index under “Attributes” should be consulted in A
these attributes in various ways, the most significant of which
History of Mediaeval Jewish Philosophy by Isaac Husik (New
distinguishes entitative attributes from operative ones. The
York, 1916).
former characterized God in his very being (goodness, eterni-
New Sources
ty, infinity, etc.); the latter characterize his necessary relation-
Dan, Joseph. “The Book of the Divine Name by Rabbi Eleazar
ship to any world he might summon into being and are
of Worms.” Frankfurter Judaistische Beiträge 22 (1995):
grasped by reason as the divine knowing and loving. These
27–60.
latter are attributes only insofar as they are necessarily in
Gruenwald, Ithamar. “God the ‘Stone-Rock’: Myth, Idolatry, and
God. Thus, love is a divine attribute in that the Christian
Cultic Fetishism in Ancient Israel.” Journal of Religion 76
cannot conceive of God as nonloving, but the termination
(1996): 428–449.
of that divine activity at this or that creaturely good is not
Hoffman, Joshua, and Gary S. Rosenkrantz. The Divine Attri-
an attribute but something freely chosen by God.
butes. Oxford, 2002.
The doctrine concerning the divine attributes originated
Manekin, Charles H. “Belief, Certainty, and Divine Attributes in
the ‘Guide of the Perplexed.’” Maimonidean Studies 1
with the early Church Fathers and continued to develop,
(1990): 117–141.
with its main architectonic lines unchanged, until the En-
lightenment; it was not, for example, matter for dispute be-
Waldman, Nahum M. “Divine Names.” Jewish Bible Quarterly 25
(1997): 162–168.
tween the parties to the Reformation. Obviously, it is a theo-
logical construct rather than a direct matter of faith; that is
LOUIS JACOBS (1987)
to say, it is the product of reflection upon what God has re-
Revised Bibliography
vealed rather than the immediate content of that revelation.
The self-revelation of God articulated in both Old and New
Testaments (i.e., the Jewish and the Christian scriptures) is
ATTRIBUTES OF GOD: CHRISTIAN CONCEPTS
not any metaphysical account of God’s essence and its defin-
In the tradition of Christian theology, an attribute of God
ing characteristics, but a narrative of God’s saving history
is a perfection predicted of God in a formal, intrinsic, and
with first Israel, and then, through Jesus Christ, with the
necessary way as one of many defining characteristics. These
world at large. Thus, the Bible offers no doctrine of divine
perfections, first discovered as they are reflected in the creat-
attributes but rather an account of the attitudes God has free-
ed universe, are such that their objective concept can be dis-
ly chosen to adopt toward his creatures, his free decisions in
engaged from all their finite modes of realization, enabling
the events of revelation and saving grace. In this light, the
them to be attributed to God as pure perfections within God.
traditional teaching on the divine attributes assumes some-
Such perfections are numerous and logically interconnected.
thing of the character of a natural theology, in the sense that
One among them is given ontological priority as grounding
such teaching is neither revealed in a direct of formal way
all the others and is understood as the formal constituent of
nor immediately derived from what is so revealed, but rather
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
616
ATTRIBUTES OF GOD: ISLAMIC CONCEPTS
results from rational reflection upon a presupposed concept
tian,” in the Encyclopaedia of Religion and Ethics, edited by
of what constitutes God’s inmost nature. But the illation
James Hastings, vol. 6 (Edinburgh, 1913). The biblical data
from characteristic activity to underlying nature or essence
are well covered in Karl Rahner’s “Theos in the New Testa-
is a valid one logically, that is, the manner in which God free-
ment,” in Theological Investigations, vol. 1 (Baltimore, 1961).
ly chooses to relate to his creatures is disclosive of what con-
For the thought of the Church Fathers, the best available sin-
stitutes his nature and attributers. Thus, there is a natural
gle work is G. L. Prestige’s God in Patristic Thought (1936;
reprint, London, 1952). A contemporary defense of the clas-
theology operative in the doctrine on the attributes, but it
sical teaching is to be found in H. P. Owen’s Concepts of
is not one which serves as a criterion for interpreting the
Deity (New York, 1971); a more critical treatment by Rich-
Bible. Rather, the very converse is true: the New Testament
ard Swinburne is The Coherence of Theism (Oxford, 1977).
confession of God as revealed in Jesus the Christ controls any
An expanded treatment of the above article can be found in
subsequent determination of the attributes of God postulat-
chapter 6 of my Knowing the Unknown God (New York,
ed theologically.
1971). For the alternative to classical theism known as pro-
cess thought, see Alfred North Whitehead’s Process and Reali-
Inherent in the theism wherein the above understanding
ty (New York, 1929), part 5, chap. 2, “God and the World.”
of the attributes is developed is a strong emphasis on God’s
transcendence of the world, without any denial of his simul-
New Sources
Boff, Leonardo. Trinity and Society. Translated by Paul Burns.
taneous immanence therein. From the time of Hegel and
Maryknoll, N.Y., 1988.
Schleiermacher (in the mid-nineteenth century), emphasis
Carman, John Breasted. Majesty and Meekness. Grand Rapids,
begins to shift to the immanence of God. Classical theism
Mich., 1994.
is now confronted with a pantheistic notion of God (in
which the world is God’s unfolding of himself), or a panen-
Clark, Kelly James, ed. Our Knowledge of God. Dordrecht and
Boston, 1992.
theistic one (in which God and world, without being identi-
cal, are correlates each necessary to the other). Insofar as this
Gunton, Colin E. Act and Being. London, 2002.
movement gains momentum, it undercuts the traditional
Hughes, Gerard H. The Nature of God. New York, 1995.
doctrine on the attributes by focusing not only on what con-
Nnamani, Amuluche Gregory. The Paradox of a Suffering God.
stitutes God absolutely, but equally on what constitutes him
New York, 1995.
relatively, that is, insofar as he is determined contingently by
WILLIAM J. HILL (1987)
creatures. This approach has been adopted notably by pro-
Revised Bibliography
cess theology, which finds its inspiration in the thought of
Alfred Whitehead and Charles Hartshorne. Here, “becom-
ing,” rather than “being,” is the ultimate category, and God
ATTRIBUTES OF GOD: ISLAMIC CONCEPTS
is only partially described in terms of absolute attributes he
The word s:ifah (“attribute”; pl., s:ifa¯t) is not found in the
cannot lack (divine nature as primordial); the full description
QurDa¯n, but the verbal noun was:f does appear there one time
includes also God’s limited but actual determination of his
(6:139) and the imperfect of the first form of the verb thir-
own nature in his action upon and reaction to the world (di-
teen times in the sense of “to ascribe or uphold a description,
vine nature as consequent). Differing from this but sharing
to attribute, with the idea of falsehood.” This meaning is as-
in some of its basic intuitions are various theologies following
sociated with Alla¯h (God) in 6:100, 23:91, 37:159, 37:180,
the modern stress upon subjectivity and self-consciousness.
and 43:82; these verses seem to indicate that every descrip-
These tend to historicize the reality of God, viewing it more
tion of God is bound to fail.
as event than as being: as the power of the future (Wolfhart
In order to avoid certain confusions, one must remem-
Pannenberg), or the promise of a new future (Jürgen Molt-
ber that the Arabic grammatical categories do not correspond
mann). Here, the anthropomorphisms of the Old Testament
to those of Western languages. Arab grammarians divided
especially are translated, not into a metaphysical scheme
words (kalimah; pl., kala¯m) into three categories: the verb
taken over from Greek rationalism, but into the categories
(fi El), the ism, and the particle (h:arf). But the term ism does
of universal history. In such thought, the attributes of God
not cover the term noun in Western grammar. In fact, the
are not done away with but are relativized historically—for
word ism includes, among other things, the mas:dar (verbal
example, God is no longer characterized as eternal but as infi-
noun), the present and past participles, and the “attribute”
nitely temporal.
(al-s:ifah al-mushabbahah), which is the adjective or participle
S
of adjectival value—a situation that could hardly fail to pro-
EE ALSO God, articles on God in Postbiblical Christianity,
God in the New Testament.
duce a certain variation in the use of the terms “attributes”
and “divine names.” To cite only one example, E. H. Palmer,
in the introduction to his translation of the QurDa¯n (The
BIBLIOGRAPHY
The most thorough coverage available is in the series of articles
Qur Da¯n Translated, Oxford, 1900, p. lxvii), writes: “His attri-
under Dieu by various authors in vol. 4 of the Dictionnaire
butes are expressed by ninety-nine epithets in the QurDa¯n,
de théologie catholique, edited by Alfred Vacant and Eugène
which are single words, generally participial forms. . . . The
Mangenot (Paris, 1911). Another extensive study can be
attributes constitute the asma¯ D al-h:usna¯, the good
found in W. T. Davison’s article “God, Biblical and Chris-
names. . . .”
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ATTRIBUTES OF GOD: ISLAMIC CONCEPTS
617
Theologians have worked hard to distinguish between
the AshEariyah with regard to the principal points of doc-
the ism and the s:ifah by saying that the ism designates God
trine. The h:ashw¯ıyah sin through excess: for them the attri-
insofar as he is qualified—for example, the Powerful or the
butes of God are like human attributes. In heaven, God will
Knowing—whereas the attribute is the entity in the essence
be seen in the same way sensory things are seen; God is “in-
of God that permits one to say that he is powerful or know-
fused” (hulul) in the throne, which is his place; the hand and
ing—the Power, the Knowledge. In the course of the devel-
the face of God are real attributes like hearing and life: the
opment of theology and following discussions among differ-
hand is an actual body part; the face is a face in human form;
ent schools, the mutakallimu¯n (scholastic theologians)
the descent of God to the nearest heaven is a real descent.
refined the notion of the attribute by attempting to distin-
The eternal QurDa¯n is the uncreated word of God, eternal,
guish the various relations between the divine essence and
unchangeable; the individual letters, the ink with which it
the attributes. We shall encounter some of these distinctions
has been written, are created.
below.
These extreme positions are also those of Ibn H:anbal
EARLY CREEDAL STATEMENTS. The first dogmatic creeds
and his disciples. His most important Eaq¯ıdah, or creed
scarcely allude to the problem of the attributes. Historical
(translated by Henri Laoust in La profession de foi d’Ibn Bat:t:a,
conditions easily explain this absence: several years after the
Damascus, 1958, p. 88, and by Allard as cited below), num-
death of Muh:ammad, the expansion of the new religion,
bers no fewer than twelve pages. The problem of the divine
with its political and social ramifications, led the heads of the
attributes, which is to say, the ensemble of questions con-
community to express the essential traits of Islam and to con-
cerning God himself, is dealt with toward the end of the dog-
dense them into a formula of faith easy to remember. Some
matic exposition before the refutation of heretics. Briefly re-
of these formulas are found in the h:ad¯ıth collections. Their
calling the traditional cosmology, Ibn H:anbal continues:
common trait is the absence of any distinction between the
ritual obligations and man’s relationship to God. Little by
The throne of the Merciful is above the water, and God
little emerges the definition of the five pillars of Islam and
is on his throne. His feet rest upon the stool. God
knows all that exists in the seven heavens and the seven
then the formula of the Shaha¯dah (“There is no god but
earths, as well as all that exists between them. . . . He
God, and Muh:ammad is the Messenger of God”) by which
knows what is under the earth and at the bottom of the
the convert is integrated into the community. Already, in a
seas. The growth of trees and that of hair is known to
way that was not philosophical but real, the unity of God was
him, as is that of every seed and every plant; he knows
affirmed: God is one and he is unique. This was the point
the place where each leaf falls. He knows the number
of departure for what would soon become the problem of the
of words and the number of pebbles, the number of
attributes in God.
grains of sand and grains of dust. He knows the weight
of the mountains; he knows the actions of human be-
Dissensions within the nascent Muslim community
ings, their traces, their words, and their breaths; God
quickly gave rise to definite points of view, and those who
knows everything. Nothing escapes him. God is on his
did not accept them were anathematized. One of the first
throne high above the seventh heaven, behind the veils
professions of faith, the eighth-century Fiqh akbar I, does not
of lights, of shadows, of water, and of everything that
yet mention the unity of God, which is not questioned, nor
he knows better than anyone. If an innovator or heretic
for that matter does the Was:¯ıyah attributed to Abu¯ H:an¯ıfah
relies upon the words of God such as: “We are nearer
(d. 767). However, with the Fiqh akbar II, the problem of
to him than the jugular vein” (50:16); “He is with you
the attributes begins; there one finds, in fact, affirmations
wherever you are” (57:4); “Three men conspire not se-
cretly together, but he is the fourth of them, neither five
such as these: God is one; he has no associates; nothing re-
men, but he is the sixth of them, neither fewer than
sembles him; God will be seen in heaven; God is “a thing”
that, neither more, but he is with them, wherever they
(shay D), without body, without substance, without accidents;
may be” (58:7); or if he bases himself on similarly am-
God is the Creator before creating (art. 16); it is permissible
biguous verses, one must say to him: What that signifies
to use Persian to designate the attributes of God except for
is knowledge, for God is on the throne above the sev-
the hand (art. 24); the proximity and distance of God are not
enth heaven and his knowledge embraces everything.
material (art. 26); all the names of God are equal (art. 27);
God is separate from his creation, but no place escapes
the QurDa¯n is the word of God (art. 3).
his knowledge. The throne belongs to God, and the
throne is supported by those who carry it. God is on the
EXTREMIST VIEWS: THE H:ASHW¯IYAH AND THE H:ANA¯BILAH.
limitless throne. God is understanding without being
The h:ashw¯ıyah, the all-too-strict traditionalists, take literally
able to doubt, seeing without being able to hesitate,
the anthropomorphic passages of the QurDa¯n, refusing any
knowing without being able not to know, generous
interpretation and taking refuge in the mystery of God, in
without avarice, long-suffering without haste; he is
whom the apparent contradictions are resolved.
mindful without forgetting; he is alert without negli-
gence; he is near without anything escaping him; he is
In one passage of al-Juwayn¯ı (d. 1037), reported by Ibn
in movement, he speaks, he looks, he laughs, he re-
Asa¯kir (Taby¯ın, Damascus, 1928–1929, pp. 149ff.; cf. Gar-
joices, he loves and he detests, he displays ill-will and
det and Anawati, 1948, pp. 58–59), the author indicates the
kindness; he becomes angry and he forgives; he impov-
respective positions of the h:ashw¯ıyah, the MuEtazilah, and
erishes, gives or gives not. Every night he descends, 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
618
ATTRIBUTES OF GOD: ISLAMIC CONCEPTS
the manner he wishes, to the nearest heaven. “Like him
going as far as the Jahm˜ıyah, who completely denied the at-
there is naught; he is the All-Hearing, the All-Seeing”
tributes of God, they affirmed that all these attributes were
(42:11). The hearts of humankind are between two fin-
identical with the essence, that they had no real existence.
gers of the Merciful: he turns them over as he desires
Against the Dahr¯ıyah (materialists), they affirmed a personal
and engraves on them whatever he wants. He created
creator God.
Adam with his hands and in his image. On the day of
resurrection, the heavens and the earth will be in his
Likewise, if God is absolutely spiritual, he cannot be
palm; He will put his feet in the fire and he will disap-
seen by the senses; hence the negation of the “vision of God”
pear, and then he will make the people of the fire come
in the future life, the ru Dyah of the traditionalists (see
out with his hand. The people of Paradise will look at
al-Jurja¯n¯ı, Sharh: al-Mawa¯qif, Cairo, 1907, bk. 8,
his face and see it; God will honor them; he will mani-
pp. 115ff.). The absolute transcendence of God in relation
fest himself to them and give them gifts. On the day of
to the world leads them to distinguish rigorously between the
resurrection, humankind will draw near to him and he
preeternal (qad˜ım) and that which has begun to be
will be in charge of the reckoning of their actions; he
will not confide that to anyone else. The QurDa¯n is the
(muh:dath) and makes them reject energetically all notion of
word of God, that which he uttered; it is not created.
h:ulu¯l (the infusion of the divine in the created).
He who claims that the QurDa¯n is created is a Jahm¯ı and
The affirmation of a God distinct from the world poses
an infidel. He who says that the QurDa¯n is the word of
the problem of the relations of God with this world. The
God, but goes no further and does not say that it is un-
MuEtazilah ask themselves if God’s knowledge of things pre-
created, is of an opinion worse than the preceding one.
cedes them in existence or is born with them; on the whole
He who claims that our pronunciation of the QurDa¯n
and our recitation are created, whereas the QurDa¯n is the
they conclude in favor of a “contingent” or “created” divine
Word of God, is a Jahm¯ı. And he who does not treat
knowledge of free future things and of the possible in general
all of those people as infidels is like them. (Qa¯d¯ı Abu¯
(see al-AshEar¯ı, Maqa¯la¯t, p. 222 and passim, and al-Khayya¯t,
al-Husayn, T:abaqa¯t al-h:ana¯bilah, Cairo, 1952, vol. 1,
Kita¯b al-intis:a¯r, ed. Nyberg, Cairo, 1925, p. 126). They
p. 29; trans. Allard, 1965, pp. 99–100)
study the object, the limits of divine power; they analyze
man’s power over actions and affirm that he creates them by
THE MUETAZILAH. The first essential thesis of the MuEtazilah
“generation” (tawallud; on which, see Ah:mad Am¯ın, Duha,
concerns the unity of God and thus the problem of the attri-
vol. 3, p. 59; and Ibn H:azm, Fis:al, vol. 5, Cairo, 1899/1900,
butes and their relationship with the essence of God. It is the
p. 52).
most important thesis of their doctrine, for it is the source
of the others and has served to characterize the MuEtazilah
Finally, always with the same concern to suppress every
themselves: ahl al- Eadl wa-al-tawh:¯ıd (“the partisans of justice
shadow of associationism, they affirmed the created character
and unity”).
of the QurDa¯n, the word of God. In the history of the
MuEtazilah, this thesis has drawn the greatest attention be-
We have already seen that the QurDa¯n contains verses
cause of its political repercussions. The reasoning of the
describing God in an anthropomorphic manner (6:52, 7:52,
MuEtazilah was very simple: God, identical with his attri-
55:27). There are others that insist on the differences be-
butes, admits of no change; it is thus impossible that the
tween God and all that is created: “Like him there is naught”
QurDa¯n, the word of God in the sense of an attribute, is un-
(42:11, 6:103). The first generations, mostly fideists, had ac-
created, for it is essentially multiple and temporal. The
cepted both groups of verses, taking refuge, by way of recon-
MuEtazilah did not fail to find texts in the sacred book itself
ciling them, in the mystery of God and refusing to give any
to support their thesis. They concluded that the QurDa¯n is
explanations. Contrary to the “corporealists” “whose extreme
a “genre” of words, created by God; it is called “the word of
views we have seen, they were content to say that God had
God” because, contrary to our own words, the QurDa¯n was
a hand, ears, and face, but not like ours” (see al-Ba¯ju¯r¯ı,
created directly.
H:a¯shi-yah... Eala¯ Jawharat al-tawh:¯ıd, Cairo, 1934, p. 76, and
the satirical verse of Zamakhshar¯ı, the MuEtaz¯ı).
In his Lawa¯mi E al-bayyina¯t f¯ı al-asma¯D wa-al-s:ifa¯t
(Cairo, 1914, pp. 24ff.), Fakhr al-D¯ın al-Ra¯z¯ı (d. 1209) ex-
The MuEtazilah were radical: in their view, the via remo-
pounds the different groupings of the attributes in accor-
tionis, or tanz¯ıh, was to be applied in all of its rigor. The
dance with the schools. He sets forth those of the MuEtazilah
QurDa¯n itself invites us to do so: in regard to God one must
in the following manner: For Abu¯ H:ashim, the attributes are
reject all that is created. The anthropomorphic verses? They
“modes” (ah:wa¯l), intermediate entities between the existent
will be “interpreted” symbolically; if necessary, they will be
and the nonexistent. What ensures the reality of these modes
denied. Similarly, h:ad¯ıth that go the wrong way will be re-
is either (1) the divine essence, whether initially (ibtida¯ Dan)
jected. It is necessary to maintain, at whatever cost, the abso-
or by the intermediary of other modes, for in all this it is a
lute divine unity, strict monotheism. Against the anthropo-
matter of essential attributes; or else it is (2) the ma Ea¯n¯ı
morphisms of “the people of the h:ad¯ıth” and the EAlids, they
found in the divine essence, in which case it is a matter of
affirmed their agnosticism in regard to the nature of God (see
entitative attributes or of qualification (ma Enaw¯ıyah), such
their creed as reported by al-AshEar¯ı in his Maqa¯la¯t
as Ea¯lim (“knowing”) or qa¯dir (“able”). As for operative attri-
al-Isla¯m¯ıy¯ın, ed. Ritter, Istanbul, 1929, p. 155). Without
butes, they do not constitute a stable state (h:a¯lah tha¯bitah)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ATTRIBUTES OF GOD: ISLAMIC CONCEPTS
619
of the divine essence, nor of the ma Ea¯n¯ı, but they are made
(pp. 149ff.). The famous judge shows how his master, in the
up of the pure emanation of effects starting from God.
principal questions, has followed a middle way between the
exaggerations of the MuEtazilah and those of the h:ashw¯ıyah
AL-ASHEAR¯I. It was left to Abu¯ al-H:asan al-AshEar¯ı (d. 935),
who, in truth, were recruited among the H:anbal¯ı extremists
a deserter from the MuEtazilah, to give to it the hardest and
(see Gardet and Anawati, 1948, pp. 58–59).
one might say the most decisive blows. The doctrine he elab-
orated would become that of orthodox Islam itself.
Al-AshEar¯ı was not the only one to fight the good fight
for the triumph of traditional doctrine. One of his contem-
A native of Basra, he was for forty years the disciple and
poraries, al-Ma¯tur¯ıd¯ı, propagated in the eastern provinces of
then the collaborator of al-Jubba¯E¯ı, the chief of the
the empire the ideas that the author of the Iba¯nah fought for
MuEtazilah in that city, until one day, suddenly made aware
in Baghdad. After epic struggles against the old conservatives
of the dangers that the MuEtazilah were bringing to Islam,
on the one hand and the MuEtazilah on the other, AshEarism
he was “converted” to the true doctrine. He broke publicly
ended up in triumph. It won its case definitively when the
with them and consecrated the rest of his life to the refuta-
famous Seljuk minister Niz:a¯m al-Mulk created chairs for the
tion of their doctrine.
new theological doctrine in the schools he founded at
But at the same time that he attacked his former com-
Nishapur and Baghdad.
panions, he took care to put himself in the good graces of
This triumph was marked by the successive develop-
the fervent traditionalists, the H:anbal¯ı zealots. Their inquisi-
ment of doctrine; three names indicate the principal stages:
torial attitude was allied—among the most exalted of them,
the qa¯d¯ı al-Ba¯qilla¯n¯ı (d. 1013), al-Juwayn¯ı (Ima¯m
the h:ashw¯ıyah—with a materialization of doctrine that did
al-H:aramayn, d. 1085), and finally al-Ghaza¯l¯ı (d. 1111).
not fail to disquiet the intelligent believers. And it was pre-
AL-BA¯QILLA¯N¯I. Among al-Ba¯qilla¯n¯ı’s numerous works, it is
cisely to fend off their misdeeds that al-AshEar¯ı, upon arriv-
in his Kita¯b al-tamh¯ıd that we find the most information on
ing in Baghdad, decided to write his Iba¯nah, or “elucidation”
the problem of the attributes and the divine names. He deals
of the principles of religion. In an apostolic captatio
with it especially in the chapter on tawh:¯ıd, written explicitly
benevolentiae, he expressed his admiration for Ibn H:anbal
against the MuEtazilah, “for they all affirm that God has no
out of a desire to show the latter’s disciples that one could
life, no knowledge, no power, no hearing, no vision” (ed.
be a good Muslim without falling into the exaggerations of
R. C. McCarthy, Beirut, 1957, p. 252).
literalism.
At the beginning of his treatise, al-Ba¯qilla¯n¯ı speaks only
What was al-AshEar¯ı’s method, and on what bases did
of the active participles such as Ea¯lim (“knowing”), qa¯dir
this doctor, only yesterday a fervent MuEtaz¯ı, ardent promot-
(“able”), and h:ayy (“living”), whereas in the chapter on the
er of reasoning, construct his “defense of dogma”? First of
attributes he seems to affirm that only the substantives em-
all, regarding exegesis of the QurDa¯n, he thrust aside the
ployed in language about God designate attributes properly
much too drastic tanz¯ıh of the MuEtazilah, which led to
speaking.
ta Et:¯ıl, the total stripping away of the notion of God (Iba¯nah,
In the chapter on the name and the named (al-ism wa-
Cairo, 1929/30, p. 46; Ibn H:azm, Fis:al, vol. 2,
al-musamma), a distinction is made between the names of
pp. 122–126). He had in mind to keep himself within a liter-
God, encompassing all the active participles, and the divine
al interpretation of the text and thus clearly seems to present
attributes, which are substantives characterizing the essence
himself as a faithful disciple of Ibn H:anbal. One should not
of God or his action. The attribute is of two sorts: that of
be too surprised that the creed opening the short treatise of
essence or that of action. From the divine names one deduces
the Iba¯nah explicitly refers to the severe ima¯m, covering him
logically the existence of the attributes. To what degree are
with eulogies. This is a literalism peculiar to al-AshEar¯ı, for
they really existent in God? To respond in precise fashion
the later AshEar¯ıyah were to move away noticeably from the
to this question, he distinguishes two series of terms:
rigid literalism of their founder and thereby draw upon
was:f (“description”), s:ifah (“attribute”), and maws:u¯f
themselves the fire of an Ibn H:azm and of the H:ana¯bilah
(“described”), on the one hand, and tasmiyah
themselves (Henri Laoust, Essai sur . . . Tak¯ı-d-D¯ın Ah:mad
(“nomination”), ism (“name”), and musamma¯ (“named”), on
B. Taimiya, pp. 81–82). Likewise, on the question of “the
the other. He defines the attribute (s:ifah) as “the thing found
vision of God,” on that of anthropomorphic expressions and
in the being described [maws:u¯f] or belonging to it; that
attributes (Iba¯nah, p. 45), he entertains opinions that Ibn
which makes this thing something acquired is the act of de-
H:anbal would have subscribed to without fear.
scription [was:f], which is the quality [na Et] deriving from the
That is the al-AshEar¯ı of our direct sources, but there is
attribute [s:ifah]” (p. 213). Much later he will say: “The act
another one: the figure whom his disciples have in mind. For
of describing is the speech of the person who describes God
al-Juwayn¯ı (eleventh century), who would become
or someone else as ‘being,’ ‘knowing,’ ‘living,’ ‘able,’ giving
al-Ghaza¯l¯ı’s teacher, al-AshEar¯ı is not a theologian who ral-
favor and kindness. This act of describing is speech that is
lied to the opinions of Ibn H:anbal but a reconciler of two
heard and its expression; it is different from the attribute sub-
extreme positions. We have a clear testimony in the long ex-
sisting in God and the existence of which entails that God
tract from al-Juwayn¯ı that Ibn EAsa¯kir gives us in his Taby¯ın
is knowing, able, willing” (p. 214).
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ATTRIBUTES OF GOD: ISLAMIC CONCEPTS
In a parallel way al-Ba¯qilla¯n¯ı gives the following precise
dence and the explicit assertions of the QurDa¯n. Al-Juwayn¯ı
details: “The doctrine of the partisans of the truth is that the
goes further: he divides the attributes into nafs¯ı (“essential”)
name [ism] is the named [musamma¯] itself, or an attribute
and ma Enaw¯ı (of quality, or “entitative” [Allard]). The “es-
tied to it, and that it is other than the fact of giving a name
sential” attribute is every positive attribute of the subject that
[tasmiyah]” (p. 227).
resides in the subject so long as it lasts and that does not
come from a cause. The qualitative attribute comes from a
Thus, to explain the realism of the divine names and at-
cause that exists in the subject (Irsha¯d, ed. and trans. Jean
tributes, al-Ba¯qilla¯n¯ı distinguishes between the plane of lan-
Dominique Luciani, Paris, 1938, pp. 17–18; trans. p. 39).
guage and that of reality. “Language affects the reality of the
Next al-Juwayn¯ı sets down the different attributes of God:
speaker, but the moment that speech [name or attribute] is
existence, eternity, subsistence, dissimilarity to all things—in
uttered, it refers only to the one spoken of” (Allard). This
particular the absence of extent, hence the obligation to in-
distinction presupposes a theory of the divine origin of
terpret allegorically those passages of the QurDa¯n that presup-
language that allows humans to enter into reality directly,
pose extent.
as it is.
Then al-Juwayn¯ı affirms that God is not a substance (ja-
In the chapter dealing with name and denomination,
whar), which implies extent, and thus he refutes the Chris-
al-Ba¯qilla¯n¯ı gives a classification of the names and attributes,
tian doctrines on the Trinity. After that he shows the unicity
which can be summarized as follows (p. 235, 5–15; Allard,
of God by the argument of “the natural obstacle”: if there
1965, p. 308):
were two gods, their wills could be discordant. Finally, the
1. Names that express the named—for example, “thing”
seventh chapter is dedicated to the qualitative attributes:
(shay D), “existent” (mawju¯d);
God is powerful; he is willing, living, and so forth.
2. Names that express that the named is different from the
Contrary to most of the mutakallimu¯n, he preserves the
rest—for example, “other” (ghayr), “different” (khila¯f);
system of the “modes” (ah:wa¯l), which in his opinion resolves
the rather delicate problem of the relations of the essence of
3. Names that express an attribute of the named, an attri-
God with the attributes, the mode being an attribute at-
bute that is the form, the composite; an attribute that
tached to an existing thing but which is qualified neither by
is an exterior aspect; an attribute that is found in the
existence nor by nonexistence (pp. 47–48/81–83).
being itself; an attribute that is an action of this being;
an attribute that is not an action.
To know the divine attributes we cannot but start with
that which is known to us: the invisible can only be known
On the question of the anthropomorphism of the QurDa¯n,
by starting with the visible. The bonds that unite the two are
al-Ba¯qilla¯n¯ı remains very close to al-AshEar¯ı: he affirms that
of four kinds: the law of cause (to be knowledgeable in the
God really has a face, and hands, that he is really on his
visible world is a result of knowledge), the law of condition
throne. He refuses to interpret these expressions either in a
(to be knowledgeable presupposes that one is alive), the law
realistic fashion (like the H:ana¯bilah) or in an allegorical fash-
of essence (the essence of the knowing person is to have
ion (like the MuEtazilah). Similarly, for the “vision of God”
knowledge), and finally the law of proof (the action of creat-
(pp. 266–279), al-Ba¯qilla¯n¯ı insists on God’s transcendence:
ing proves the existence of the Creator, p. 49/83–84).
there is no possible explanation for the way that vision will
AL-GHAZA¯L¯I. Of the works of the great theologian
take place any more than there is for the way that divine
al-Ghaza¯l¯ı, I shall confine myself here to only two: the
speech is to be understood.
Iqtis:a¯d f¯ı al-I Etiqa¯d (The just mean in belief) and Al-maqs:ad
AL-JUWAYN¯I. With al-Juwayn¯ı a distinction among the di-
al-aqs:a˜: Sharh: asma˜D Alla˜h al-h:usna˜ (The further goal: Com-
vine attributes was made with reference to the notions of the
mentary on the most beautiful names of God).
necessary, the possible, and the impossible. In his treatise
Al-irsha¯d, which became a classic of kala¯m, after an introduc-
In the first book, al-Ghaza¯l¯ı devotes the first four chap-
tion consecrated to the study of the character of reasoning
ters to establishing the nature of kala¯m, its social function,
and its nature, the author deals with tawh:¯ıd: he proves the
its method, and the category of people it addresses. Then he
existence of God, in particular by the contingency of the
divides the ensemble of the questions envisaged into four
world and a novitate mundi; then he establishes two large cat-
main parts, expressed precisely: since God is the object of
egories: (1) what exists necessarily in God—the attributes,
kala¯m, one should first of all study him in his essence (first
and (2) what is possible—in which he deals with the visibility
part), then in his attributes (second part); one then should
of God, the creation of human acts, justifica-
consider God’s action, that of his personal acts (third part)
tion and reprobation, prophetology, eschatology, and the
and those of his envoys (fourth part). The whole of the work
imamate.
may be summarized as follows:
As regards the attributes, al-AshEar¯ı spoke of bi-la¯ kayf
Preliminaries. The nature of kala¯m; its importance; its
(lit., “without how”): affirmation of the existence of the attri-
methodology.
butes while refusing to ask about their mode (kayf) so as to
I. The Divine Essence. (1) God exists. (2) He is eternal.
safeguard, at one and the same time, the divine transcen-
(3) He is permanent. (4) He is insubstantial. (5) He is incor-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ATTRIBUTES OF GOD: ISLAMIC CONCEPTS
621
poreal. (6) He in nonaccidental. (7) He is undefined. (8) He
make the attribution. Insofar as they are applied to creatures,
is not localized. (9) He is visible and knowable. (10) He
they are accidents of different kinds, but, applied to God,
is one.
they should be considered properties expressing only action.
Moreover, terms that, when applied to created things, are
II. The Attributes of God. (1) The attributes in them-
positive in both their form and signification, when applied
selves: life, knowledge, power, will, hearing, sight, speech. (2)
to God have a negative sense while retaining their positive
The “status” of the attributes: (a) they are not the essence;
form. Al-Fa¯ra¯b¯ı would say of the divine attributes, for exam-
(b) they are in the essence; (c) they are eternal; (d) the divine
ple, that they fall into two groups: (1) those that designate
names.
what belongs to God by virtue of himself and (2) those that
III. The Acts of God (what God can or cannot do). (1)
designate what has a relation to something else outside of
God can choose (is free) to impose no obligation on his crea-
him, that in fact designate an action. As examples of the lat-
tures. (2) Or he can choose to impose on them what they
ter, al-Fa¯ra¯b¯ı mentions justice (al- Eadl) and generosity
cannot do. (3) God does nothing in vain. (4) He can make
(al-ju¯d); as an example of the former, he would say that God
innocent animals suffer. (5) He can fail to reward one who
is not wise through wisdom that he would have acquired by
obeys him. (6) The obligation of knowing God comes from
knowledge of something outside his essence, but rather it is
revelation alone. (7) The sending of prophets is possible.
in his own essence that he finds this knowledge. In other
IV. The Envoys of God. (1) Muh:ammad. (2) Eschatology
words, the nonrelational predicates, such as wisdom, are af-
(and faith). (3) The caliphate. (4) The sects.
firmed of God as if belonging to him in a negative sense: the
qualities they express were not acquired from something ex-
The Maqs:ad al-aqs:a¯ is a small treatise numbering about
ternal to his essence.
a hundred pages in the Cairo edition (n. d.), on the attributes
and the divine names. A long introduction contains an analy-
In the same manner, Ibn S¯ına¯ explains that the attri-
sis of the nature of the name and its relations with the
butes are properties that reveal not the essence of God, but
named, along with its meaning in reality and in the spirit.
only his existence. Even then they only reveal it in describing
Al-Ghaza¯l¯ı distinguishes among the different categories of
the actions of God or his dissimilarity to other things. So
names—univocal, synonymous, equivocal—and shows how
much so is this the case that even when the predicates are
the pious man finds his happiness in this world in attempting
adjectives of positive form one must interpret them as signi-
to pattern his life on the “divine morality” expressed by the
fying actions or negations.
attributes and the names. In the second part, a more or less
One can understand that, under these conditions,
lengthy account is given to each of the ninety-nine names
al-Ghaza¯l¯ı had a good chance to show that the fala¯sifah (he
of God.
had in mind al-Fa¯ra¯b¯ı and Ibn S¯ına¯ above all) were practical-
(For the development of the doctrine of the divine attri-
ly denying the reality of the distinction between the essence
butes and the place it occupies in the later theological trea-
and the attributes; see his exposition of the doctrine of the
tises of al-Shahrasta¯n¯ı, al-Ra¯z¯ı, al-Bayd:a¯w¯ı, al-¯Ij¯ı, al-Jurja¯n¯ı,
fala¯sifah on this point and his criticism in Taha¯fut al-
al-Sanu¯s¯ı, and, for the contemporary period, al-Laqa¯n¯ı,
fala¯sifah (Incoherence of the Philosophers).
al-Ba¯ju¯r¯ı, and Muh:ammad EAbduh, see Gardet and Anawati,
With certain reservations, Ibn Rushd (Averroës) adopt-
1948, pp. 160–174.)
ed Ibn S¯ına¯’s position on the divine attributes and attempted
THE FALA¯SIFAH. In the wake of Aristotelian and Neoplatonic
to refute al-Ghaza¯l¯ı’s attacks in his Taha¯fut al-taha¯fut (The
philosophy, al-Fa¯ra¯b¯ı (d. 950) and Ibn S¯ına¯ (Avicenna; d.
Incoherence of [al-Ghaza¯l¯ı’s] Incoherence).
1037) elaborated a metaphysical notion of God that attempt-
ed to return to the QurDanic data. For al-Fa¯ra¯b¯ı as for Ibn
In conclusion one may say that, from early times down
S¯ına¯ God is the necessary Being as such; in him essence and
to the present, the divine attributes and names have played
existence are identical; he is without cause and the cause of
an important role in Muslim piety among the educated and
everything; he belongs to no genus nor to any species; he has
the common people alike. The faithful need to address them-
no contrary in any respect; nothing resembles him. He is the
selves to God, to a living God, and they can only reach him
Truth, the pure Good, the pure Intelligence; he is generous;
through those descriptions that the QurDa¯n has offered, pre-
he is life; he is blissful. He knows because he knows himself,
cisely in order to make him accessible to those who invoke
and so forth.
him. The Muslim prayer beads (subh:ah) serve to remind
those who hold them while reciting the “most beautiful
But what becomes of the divine attributes in this con-
names of God” that their creator is among them and that he
ception, and what degree of reality do they have outside of
is enveloping them in his protection and mercy. It is no exag-
the divine essence? In referring more or less explicitly to Aris-
geration to say that the quintessence of Muslim piety finds
totelian principles, al-Fa¯ra¯b¯ı, and after him Ibn S¯ına¯, consid-
its best sustenance in this fervent meditation on the attri-
er the attributes as properties of the essence, but expressed
butes and the divine names.
negatively. The principle is as follows: Certain terms, al-
though applied to creatures, can also be applied to God, but
SEE ALSO AshEariyah; Creeds, article on Islamic Creeds;
only by taking into account the manner in which one would
MuEtazilah.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
622
ATUA
BIBLIOGRAPHY
In some Polynesian groups (e.g., Tokelau, Samoa) a
For the general development of Islamic theology, see Louis Gar-
loose distinction is made between atua (gods) and aitu (spir-
det’s and my Introduction à la théologie musulmane (1948; 2d
its). Monberg (1966, p. 58) uses the term aitu to refer to less-
ed., Paris, 1970); J. Windrow Sweetman’s Islam and Chris-
er gods, while Raymond Firth (1970, pp. 66–69) uses the
tian Theology, 2 vols. (London, 1942–1947); Harry A. Wolf-
term atua to refer to all supernatural beings. A summary of
son’s The Philosophy of the Kala¯m (Cambridge, Mass., 1976);
and A. J. Wensinck’s The Muslim Creed (1932; reprint, New
usages of the word disguises the variations found between is-
York, 1965).
land groups. However, a summary can also give the range of
There are many studies on the divine attributes in Western lan-
meanings associated with this term. Generally, the term atua
guages. In my article “Un traité des Noms divins de Fakhr
can refer to two major groups of entities: atua who have
al-D¯ın al-Ra¯z¯ı, le Lawa¯mi D al-bayyina¯t,” in Arabic and Islam-
never been human, and those who once were human.
ic Studies in Honor of H. A. R. Gibb, edited by George Mak-
First among the group who were never human are the
disi (Leiden, 1965), pp. 36–52, I discuss al-Ra¯z¯ı’s seminal
great creator gods of Polynesian origin stories. Sometimes
work on the subject. For al-AshEar¯ı’s approach to the ques-
tion of the attributes of God, Otto Pretzl’s Die frühislamische
these major atua are seen as sea gods (e.g., Tangaroa) or land
Attributenlehre (Munich, 1940) is an important study based
gods (e.g., Tane). Under them come what could be called
on al-AshEar¯ı’s Maqa¯la¯t al-isla¯m¯ıy¯ın. Other works to be con-
departmental gods—those that have control over the ele-
sulted include J. W. Redhouse’s “The Most Comely Names,”
ments, the landscape, and human interactions, such as war
Journal of the Royal Asiatic Society 12 (1880): 1–69; Youakim
or fertility. Both major and lesser deities can manifest benefi-
Moubarac’s “Les noms, titres et attributs de Dieu dans le
cent or maleficent characteristics, although actively unpleas-
Coran,” Le Muséon 68 (1955): 93–135; Jacques Jomier’s “Le
ant spirits are often associated with specific places on the
nom divin Dal-Rah:ma¯nD dans le Coran,” in Mélanges Louis
land. While these atua were never human, the chiefly lines
Massignon (Damascus, 1957), vol. 2, pp. 361–381; Denise
of some Polynesian island groups are believed to have de-
Masson’s Le Coran et la révélation judéo-chrétienne, 2 vols.
scended from them. There are few female atua in the Pacific
(Paris, 1958), especially chapter 21, “Les attributs de Dieu,”
pantheon—Hina, often associated with the moon, Pele of
pp. 15–82; and Michel Allard’s Le problème des attributs
divins dans la doctrine d’al-Aˇs Eari et de ses premiers grands dis-
Hawai’ian volcanoes, and the atua Fafine (female goddess)
ciples (Beirut, 1965).
of Tikopia—but the majority are male. Gender roles and re-
Abraham S. Halkin’s “The Hashwiyya,” Journal of the American
lations on earth are often reflected in the heavens.
Oriental Society 54 (1934): 1–28, is a useful introduction to
The second group, spirits that were once human, can
the doctrines of that group. For more details on the
be important dead ancestors whose significance on earth has
MuEtazilah, see Richard M. Frank’s very technical study, Be-
been recognized in the supernatural realm and who may even
ings and Their Attributes: The Teaching of the Basrian School
of the Mu Etazila in the Classical Period (Albany, N.Y., 1978).
be seen as lesser gods. All humans were believed to have ora,
The doctrines of the fala¯sifah and al-Ghaza¯l¯ı’s criticism of
or “soul.” At death this ora goes on to become either atua
them are discussed in Harry A. Wolfson’s “Avicenna, Alga-
or aitu, a continuation of the life force in the spirit realm.
zali and Averroes on Divine Attributes,” in Homenaje a Mil-
These ancestral spirits may play no particular role in the rela-
lás-Villicrosa, vol. 2 (Barcelona, 1956), pp. 545–571, and in
tionship between the living and the dead, or they may feature
Ibn Rushd’s Taha¯fut al-taha¯fut, which has been translated by
in the rituals of their descendants, returning to collect the
Simon van den Bergh as The Incoherence of the Incoherence,
spirits of the newly dead and overseeing the welfare of the
2 vols. (Oxford, 1954). On Gnostic and mystical elabora-
family to which they once belonged.
tions of the attributes of God, see A. E. Affifi’s The Mystical
Philosophy of Muhyid Din Ibnul EArab¯ı (Cambridge, 1939),
Records of traditional religious beliefs in Polynesia were
index 2, and Reynold A. Nicholson’s Studies in Islamic Mysti-
often collected by the missionaries whose duty it was to extir-
cism (1921; reprint, Cambridge, 1976), pp. 77–148.
pate these beliefs. The extent of their understanding varied
GEORGES C. ANAWATI (1987)
in quality. Alternatively, accounts were also collected after
Translated from French by Mary Ann Danner
the conversion of the Pacific to Christianity (Firth writing
on Tikopia is an exception) and the stories of traditional gods
have sometimes been fitted into a Christian understanding
ATUA. Across Polynesia the word atua (or its cognate
of a supreme god or a trinity. The oral traditions of each is-
form) is commonly interpreted as “god,” “deity,” “supernat-
land group and their early ethnographies need to be studied
ural,” or “spirit” entity. According to Torben Monberg
carefully to discover the parameters of the term atua.
(1966, p. 36) the atua were anthropomorphic (shaped like
humans), anthroposocial (able to perceive what humans were
SEE ALSO Mana; Polynesian Religions, overview article;
doing and to communicate with them), and anthropopsychic
Taboo.
(relations were conducted with them as though they had
human ways of thinking). E. S. Craighill Handy (1927,
BIBLIOGRAPHY
p. 88) defined atua as personified concepts that embodied
Firth, Raymond. Rank and Religion in Tikopia: A Study in Polyne-
desires, needs, hopes, and dreads, or as individualized ele-
sian Paganism and Conversion to Christianity. London, 1970.
ments and forces observed in nature.
Handy, E. S. Craighill. Polynesian Religion. Honolulu, 1927.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUGUSTINE OF CANTERBURY
623
Monberg, Torben. The Religion of Bellona Island: The Concepts of
in southeastern England and first archbishop of Canterbury.
the Supernaturals. Copenhagen, 1966.
Pope Gregory the Great (590–604) had conceived a mission
Williamson, Robert W. Religious and Cosmic Beliefs of Central Pol-
to evangelize the Anglo-Saxons and in 596 chose Augustine,
ynesia. Cambridge, U.K., 1933.
prior of Saint Andrew’s monastery in Rome, to lead the expe-
JUDITH MACDONALD (2005)
dition. With forty monks and letters of recommendation
from Gregory addressed to Catholic leaders across Gaul, Au-
gustine embarked. Within the year he reached the town now
ATUM was the creator god of Heliopolis, the sole progeni-
called Canterbury, which was the headquarters of the Saxon
tor and head of the ancient Egyptian pantheon according to
king Ethelbert (Æthelberht). Augustine was received with
one of the earliest Egyptian cosmogonies. Atum, “the all” or
surprising hospitality, probably because Ethelbert had mar-
“the complete one,” by spitting, vomiting, or masturbating
ried a Christian, Bertha, the daughter of the Frankish king.
produced Shu and Tefnut, “air” and “moisture,” who in turn
Ethelbert gave Augustine lodging, land on which the mission
generated Geb and Nut, “earth” and “sky.” This last chthon-
could support itself, and freedom to preach and teach. Al-
ic pair produced Osiris and Seth, rivals for the rulership of
though Augustine and his men spoke only Latin and had to
the land, together with their consorts, Isis and Nephthys.
use interpreters, their message and manner of life were evi-
Together these nine deities comprised the great Heliopolitan
dently winsome. Within a year several thousand people had
ennead, but probably the greatest function of this pantheon
requested baptism. Soon after, Augustine crossed the channel
was to provide a genealogy for the Egyptian king, who was
to Arles and was consecrated a bishop. Shortly after his re-
equated with Horus, the son of Isis. Horus had to avenge the
turn to Canterbury, he baptized Ethelbert, and this act set
slaying of his father, Osiris, by his uncle, Seth.
the stage for a wider Christian influence among the Saxons.
As early as the Old Kingdom (2686–2181 BCE) the sky
In 601, Gregory appointed Augustine archbishop and sent
god, Atum, had been assimilated to the sun god, Re. This
additional helpers with instructions for him to establish his
new solar deity, Re-Atum, gained or regained a commanding
cathedral in the old Roman trade center to the northwest,
position at the head of the Egyptian pantheon and contribut-
called Londinium (London), and to appoint twelve suffragan
ed to some weakening in the myth of divine kingship by
bishops for the area. Augustine chose Canterbury as more
clearly subordinating the king to the god by the fifth dynasty.
feasible, but he did establish a bishop in London and one in
However, the Horus-king was accommodated to the new
Duro Brevis (modern-day Rochester), twenty-four miles
solar cult by being titled also “Son of Re.” At some point the
west of Canterbury.
creator god, Atum, was subordinated to Ptah, at least by
Memphite priests who described Atum’s creation by Ptah as
Far to the west of Canterbury existed another group of
recorded on the Shabaka Stone.
Christians among the Celtic people. According to optimistic
The great temple of Heliopolis, one of the three largest
instructions from the pope, “all the bishops of Britain” were
in Egypt, has not survived, and very few finds have been
to be under Augustine’s care, a message that revealed Rome
made in its vicinity. The vast amount of religious literature
to be largely ignorant of the old Celtic church, which the
whose origin was Heliopolitan was primarily solar-oriented
Saxons had driven out of central England. Their church cal-
and had Re as principal god, but the sources are from the
endar, pastoral organization, and monastic procedures were
fifth dynasty and later. In the solar religion Atum was re-
different from those of Rome. In 604, Augustine arranged
tained as the old, setting sun, and Khepri was the young, ris-
a meeting with some of its bishops and sought to harmonize
ing sun, but Re was the bright noonday sun. It is probably
the two groups’ differences. The distinctions between the
impossible to estimate the earlier importance of Atum or of
two, however, and the Celts’ fear of the Saxons, formed a
the later revivals that may have reawakened interest in this
chasm that seemed unbridgeable. Although unable to unify
primordial god. The late Contendings of Horus and Seth pres-
the church in his day, Augustine contributed to the unity
ents Atum as one of the chief judges before whom most of
that would come sixty years later.
the other senior deities testify on behalf of Horus, while Seth
appears to have had the support of the supreme god Re.
Limited also was the extent of Augustine’s evangeliza-
tion, but he did bring to Canterbury the Italian monastic tra-
BIBLIOGRAPHY
dition, as it was beginning to be modified by the rule of Ben-
The two volumes of Studien zum Gott Atum (Hildesheim, 1978–
edict of Nursia. This monastic practice of daily rounds of
1979), edited by Karol Mysliwiec as volumes 5 and 8 of the
worship, meditation, farm work, preaching, works of mercy,
“Hildesheimer ägyptologische Beiträge,” offer comprehen-
and operation of a school for the sons of the leading families
sive coverage.
of the area was to become an influential instrument in the
LEONARD H. LESKO (1987)
conversion of England. Augustine died May 26, 604 or 605
and was buried in Canterbury. He left no writings and estab-
lished only the three dioceses in the southeast, but he
AUGUSTINE OF CANTERBURY (d. 604/5),
laid foundations for the christianization of Anglo-Saxon
leader of the first evangelistic mission to the Saxon peoples
England.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
624
AUGUSTINE OF HIPPO
BIBLIOGRAPHY
evil. Manichaean stress on the evil nature of flesh had far
A history written one hundred years after Augustine is the funda-
reaching influence on Augustine. The impact of the
mental source: Bede’s Ecclesiastical History of the English Peo-
Manichaean view of sex in his later formulation of the con-
ple, edited by Bertram Colgrave and R. A. B. Mynors (Ox-
cept of the basic sinfulness of humankind and the weakness
ford, 1969), bk. 1, chaps. 23–33. For the times of Augustine
of the flesh has not been fully recognized.
and a critical evaluation of the man, see Henry H. Howorth’s
Saint Augustine of Canterbury (London, 1913). Good for his-
In 373, Augustine came upon Cicero’s now lost Horten-
torical context and for a reply to accusations that Augustine
sius. This work “inflamed” Augustine with a love of philoso-
was a mediocre leader is Margaret Deanesly’s Augustine of
phy that continued for a lifetime. Induced by Monica’s in-
Canterbury (London, 1964).
cessant pleading, prayers, and vivid dreams, Augustine
H. MCKENNIE GOODPASTURE (1987)
turned to the Christian scriptures, but was gravely disap-
pointed. In comparison to “the stately prose of Cicero,” the
Bible seemed unworthy. He found sections of Genesis crude;
AUGUSTINE OF HIPPO (354–430), Christian
he questioned the integrity of certain Old Testament figures.
theologian and bishop. A creative genius of mystical piety
It was philosophy that captured his intellectual curiosity. He
and great philosophical acumen, Augustine wrought a theo-
proceeded with study of Aristotle’s book on the categories.
logical-ecclesiological system in which biblical tradition and
Augustine returned to Tagaste, where he began teaching
classical philosophy coalesced. Not only was his thought
rhetoric. Patricius had died, having embraced the Catholic
seminal for the development of Western Christianity, his
Church at Monica’s insistence. Monica refused her son en-
moral values and personal piety remained norms for medi-
trance to her home because he had espoused Manichaeism.
eval and Reformation Europe.
She continued to pray and was told by a bishop, “It cannot
Augustine’s life spanned a crucial epoch in state and
be that the son of these tears should be lost” (Confessions
church. The late Roman Empire was disintegrating, and its
3.12).
collapse would devastate the public sense of political stability
In 380, Augustine completed his first book, De pulchro
and continuity. The Christian church, having weathered per-
et apto (Beauty and Proportion), a work on aesthetics no lon-
secution, moved into a period of doctrinal and ecclesiastical
ger extant. At this time, he gathered about him a group of
formation. Punic Africa had no small part in these political
students who became his intimate friends. Among these were
and religious affairs, and Augustine’s self-proclaimed identity
Alypius and Nebridius, who, like Augustine himself, would
as “an African, writing for Africans. . . . living in Africa”
become priests and bishops in the African church.
(Letters 17.2) must not be overlooked. Indeed, the manner
in which Augustine united, in his works and in his person,
Bitter sorrow at the death of a childhood friend prompt-
the various currents of his time has definitely marked West-
ed Augustine’s return to Carthage. There he became interest-
ern culture.
ed in the Skeptics (the New Academy) and less enchanted
with Manichaeism. A long anticipated dialogue with the cel-
EARLY LIFE. Augustine, known also as Aurelius Augustinus,
ebrated Faustus, Manichaen bishop of Milevis, proved to be
was born in Tagaste (present-day Souk-Ahras, Algeria) to a
utterly disappointing to Augustine. Thus began his disillu-
pagan father, Patricius, and a Christian mother, Monica.
sionment with and gradual separation from the sect, which
Monica’s influence on Augustine was tremendous. He was
he increasingly detested and later acrimoniously attacked.
convinced that her prayers, piety, and relentless pursuit of
his conversion were instrumental in bringing about his life-
Unruly students in Carthage occasioned Augustine’s de-
altering encounter with God. Monica forbade Augustine’s
cision to leave for Rome, but once there illness overtook him.
receiving infant baptism, but he was given the rite of the
Upon his recovery he began teaching rhetoric. The position
cross on the forehead and cleansing salt on the lips.
of public orator opened in Milan—where the imperial court
frequently resided, and with the aid of friends and associates
After early study under local schoolmasters, Augustine
he secured this important position.
was sent, at fifteen, to Madaurus to continue his education.
There began a period of profligacy that was to continue when
In Milan, Augustine came to know the respected Am-
he went to Carthage for advanced study. In that city, he took
brose (c. 339–397), the patrician bishop of Milan. The lat-
a concubine and fathered a son, Adeodatus, meaning “gift
ter’s skill as rhetorician was legendary, and it was professional
of God,” to whom Augustine referred as “child of my sin.”
interest that drew Augustine to him initially. Ambrose’s alle-
In Carthage, Augustine’s education centered primarily on his
gorical interpretation of the Bible gave Augustine a new un-
becoming a rhetorician and lawyer—a field in which he be-
derstanding and appreciation of scripture. Stoic ethics—in
came highly proficient. In later years, according to Philip
which Ambrose was an expert—likewise had lasting effect.
Schaff, he “enriched Latin literature with a store of beautiful,
Augustine was also fascinated by the use of music—chanting
original, and pregnant proverbial sayings” (History of the
and hymns—in Ambrose’s church.
Christian Church, vol. 3, Grand Rapids, 1950, p. 998).
Augustine was soon joined by Monica, several cousins,
At this time, Augustine became enamored of Manichae-
his brother, students, and his mistress and son. Thus sur-
ism, a sect that emphasized an essential dualism of good and
rounded by a congenial African phalanstery, Augustine 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
AUGUSTINE OF HIPPO
625
his associates were introduced to Plato via the teachings of
country estate north of Milan. Here he engaged in leisurely
Plotinus (205–270). Ambrose was well informed on Plotinus
debate and writing. Works of this period, such as De beata
and quoted at length Plotinus’s mystical interpretation of
vita (On the Happy Life) and De ordine (On Order), show
Platonic idealism. What clearly appealed most to Augustine
Augustine’s transition from philosophy toward theology.
was the possibility of combining Platonism with Christian
In Milan at Easter of 387, along with Adeodatus and
cosmology. Augustine saw the Platonic conception of God—
Alypius, Augustine was baptized by Ambrose. The decision
the One as the absolute, the all perfect, from whom emanates
was then made to go back to Africa, and the family journeyed
the nous (intelligence)—as a key to understanding the “God
to Ostia, planning to take a ship for Carthage. At Ostia, Au-
who was in Christ.”
gustine and Monica experienced in their discussions of eter-
From this beginning Augustine delved deeper into Pla-
nal wisdom moments of towering mystical exaltation. Short-
tonism, reading Plato in Latin translations. In Plato, Augus-
ly thereafter, in Ostia, Monica died.
tine found answers to questions on the origin and meaning
Returning to Rome, Augustine immersed himself in
of evil that had first drawn him to the sect of Mani. Later
writing. His De immortalitate animae (On the Immortality
in his life, Augustine transformed Plato into a near-
of the Soul) and De quantitate animae (On the Greatness of
Christian, combining the Logos doctrine with Platonic ideal-
the Soul) clearly reveal a philosopher who is incorporating
ism, the Gospel of John with the writings of Plotinus—in
a new biblically oriented theology into his understanding of
short, reconciling Greek wisdom with Hebrew-Christian
the Christian faith.
faith. A Platonic metaphysics was the result: the absolute
Good as center of all reality, transcending thought and con-
Once more in his native Africa, Augustine established
crete being.
a lay retreat, a monastery, for philosophical contemplation,
based at his small estate at Tagaste. He and his friends aimed
Very likely in pursuit of greater wealth and higher posi-
to be servants of God. Here he composed De vera religione
tion in the society of Milan, it was decided that Augustine’s
(On True Religion), which takes the Trinity as the founda-
mistress be dismissed and a marriage with a Milanese heiress
tion for true religion, a theme central to the majority of his
arranged. This separation was painful to Augustine, but,
works, and sees in Christianity the consummation of Plato’s
nonetheless, unable to restrain his sexual desires while wait-
teaching.
ing for his intended bride, he took another mistress. He was
At this time, Augustine had no thought of becoming a
deeply tormented by these conflicts between his actions and
priest and carefully avoided those towns where priests were
ideals. He had been reading the Bible regularly, listening to
needed, but a chance visit to Hippo Regius (present-day An-
Ambrose, and discussing with friends the lives of those con-
naba, Algeria) in 391 resulted in his conscription. The aging
verted by scriptures. The number who had subsequently real-
bishop Valerius probably contrived the scene wherein Augus-
ized the need for celibacy particularly struck him.
tine was ordained under popular pressure. Such conscription
Events converged during August of 386. The stern ethi-
and summary ordination were common in the African
cal demands of Ambrose’s preaching joined with Monica’s
church at that time. Immediately after ordination, Augustine
unending pleading that Augustine become a Christian.
requested a leave of absence for intensive study of scripture.
These, along with an increasing sense of the Platonic idea of
He increasingly became a man of the Bible.
personal integrity, were linked with the message of the apos-
Refreshed from his retreat, Augustine took up his duties
tle Paul.
as parish priest, using Paul as guide and ideal rationale for
A crisis was at hand. “I was frantic, overcome by violent
ministry. He found in Paul his theological mentor. Valerius
anger with myself for not accepting your will and entering
granted permission for the establishment of a monastery,
into your covenant” (Confessions 8.8). Suddenly, as he stood
which became Augustine’s seminary for the training of future
in the garden, he heard the voice of a child chanting “Tolle
priests and bishops. Valerius did more—in violation of tradi-
lege” (“Take it and read”). Taking up the Bible, he read the
tion, which stipulated that when present the bishop always
first passage to strike his eye, Romans 13:13–14: “not in rev-
preached: he requested Augustine to deliver the sermon regu-
elling and drunkenness, not in lust and wantoness, not in
larly. This practice became a lifelong responsibility, wherein
quarrels and rivalries. Rather, arm yourselves with the Lord,
Augustine established himself as master homiletician.
Jesus Christ; spend no more thought on nature and nature’s
By 392, Augustine was writing to Jerome (c. 347–420)
appetites.” Augustine underwent a dramatic conversion, a
in Bethlehem, asking for Latin translations of Greek texts.
profound life-transforming experience wherein sexual, will-
After early difficulties with Greek, Augustine had made him-
ful, and spiritual wrestling resulted in complete surrender
self only somewhat proficient; he knew scant Hebrew. The
to God.
same year he composed numerous biblical commentaries; on
A
Psalms, on the Sermon on the Mount, and on the letters of
UGUSTINE THE CHRISTIAN. Marriage plans were dismissed,
and Augustine now aimed to become a Christian philoso-
Paul.
pher. To that end he took his coterie of friends and students,
In an unprecedented move, Augustine convinced
together with Adeodatus and Monica, to Cassiciacum, a
Valerius that the Catholic Church must bestir itself against
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
626
AUGUSTINE OF HIPPO
Manichaeans, pagans, and irreligionists of all sorts. In 393,
ministrator but as teacher, interpreter, and defender of pure
the General Council of Africa assembled in Hippo. Augus-
doctrine. A bishop was responsible for determining ortho-
tine made his address, De fide et symbolo (On Faith and the
doxy, through use of the pronouncements of councils as well
Creed), a stirring call for catholic reform and evangelism.
as scripture, and for eradicating heresy. At no point does this
This was the beginning of regular councils in the African
issue come into clearer focus than in Augustine’s protracted
church, with Augustine as perennial lecturer.
and painful conflict with the Donatists.
Valerius, fearing that he might lose his priest to a vacant
Donatism provoked a major schism, almost exclusively
see, requested that Augustine be made his coadjutor, and Au-
affecting the African church, dividing it into warring camps.
gustine was elevated to episcopacy in 395. Valerius died the
The Donatists accused the Catholics of having a blemished
following year, leaving Augustine to rule as sole bishop of
priesthood and thus no true sacraments. Against this view,
Hippo.
Augustine lucidly argued that the efficacy of the sacraments
does not depend upon the worthiness of the priest. “My ori-
Two years after becoming a bishop, Augustine, now
gin is Christ, my root is Christ, my head is Christ,” he
forty-three, began his Confessiones, a treatise expressing grati-
claimed. “The seed of which I was born, is the word of God
tude to God in which he employed intimate autobiographi-
. . . I believe not in the minister by whom I was baptized,
cal recollections. He wrote with complete candor, revealing
but in Christ, who alone justifies the sinner and can forgive
to the world his agonizing struggle with himself, his sexual
guilt” (Against Petilianus 1.1.7).
nature, his self-will, and his pride. In this his aim was to give
God the glory for his redemption, to create a paean of praise
Augustine repudiated Donatist insistence that if Catho-
and thanksgiving, rejoicing in the grace of a God who had
lics were to join the Donatist church they must be rebap-
stooped so low to save so fallen a sinner.
tized. It was the universal church that Augustine proclaimed,
and baptism does not profit the recipient unless the sinner
Simultaneously, the Confessions was a theological work
returns to the true fold. The esse (being) of the church is not
in which Augustine presented his positions on the Incarna-
found in the personal character of the several Christians in
tion and the Trinity. In the three concluding books he prof-
it but in the union of the whole church with Christ. The
fered a study on memory, time, and Genesis, weaving the
church is not made up of saints as the Donatists held but of
work of the Holy Spirit into the act of creation. He devel-
a mixed body of saints and more or less repentant sinners.
oped in the Confessions the theological direction in which he
Augustine insisted that weak members must be patiently
continued to move, emphasizing divine predestination, per-
borne by the church—as in the parable of the wheat and
sonal religious experience through conscious conversion, and
tares. How can there be a full separation of saints and sinners
the direct relationship of the believer to God. Augustine’s
prior to the final judgment?
opus in praise of God, drawing on his spiritual journey,
After two major colloquies in which Augustine led the
stands as a masterpiece in the world’s devotional literature.
attack, stringent imperial laws were enacted against the
THEOLOGICAL CONTROVERSIES. Immediately after taking
Donatists, banishing their clergy from the country. In 415,
up his duties as priest in Hippo, Augustine lost no time in
they were forbidden to hold religious assemblies on pain of
launching his attack on his mortal enemies, the
death. Augustine advocated and applauded the use of imperi-
Manichaeans. He denounced Manichaean cosmology, the
al force to bring such heretics under control.
view of humanity and humanity’s sin, and especially the con-
cept of God as having human attributes and anatomical fea-
In his early work De libero arbitrio (On Free Will), writ-
tures. The error that Augustine repudiated repeatedly was the
ten between 388 and 396, Augustine endeavored to explain
attribution of evil to deity. The dualistic Manichaeans
the apparent contradiction of the existence of evil in the
claimed that good and evil had their origin in two distinct
world with the goodness of an omnipotent deity. Evil, Au-
deities. For Augustine, the one true God could not be
gustine assayed, was the result of Adam’s free will. God
blamed for the existence of evil.
would not permit humans to be completely free without giv-
ing them the potentiality of doing wrong or right. From
In 392, Augustine engaged in public debate with the
Adam’s sin all later humanity inherited the inclination to-
Manichaean bishop Fortunatus. Augustine, the consummate
ward evil, thus, all humans since Adam have been sinners.
debater, so demolished Fortunatus that the Manichaean did
Only God’s grace could overcome that propensity. No num-
not appear for the third day of the contest. Augustine fol-
ber of good works chosen freely by latter-day men and
lowed up his victory with a scathing polemic, Acta contra
women could atone for so grievous a fall. God proffered sal-
Fortunatum Manichaeum (Against Fortunatus the Mani-
vation to those he deigns to give grace, knowing that many
chaean), which demonstrated his implacable attitude toward
would refuse it. For humankind, the possibility of eternal
people and causes he thought heretical. He was soon the pro-
damnation was the price of moral freedom. Divine fore-
tagonist for the Catholic position.
knowledge does not obliterate human freedom. God simply
Augustine’s advocacy of consistent teachings in the
foresees the choice that free moral agents will make.
church is exemplified by his contributions to ecclesiology.
It was the brilliant Celtic monk Pelagius (d. 418) who
He defined the status and role of the bishop not only as ad-
confronted Augustine with the fundamental issue of the na-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUGUSTINE OF HIPPO
627
ture of humankind. Shocked by the gross immorality of cul-
ture was created for perfection, and humanity is competent
ture, Pelagius called for a righteous responsibility on the part
to achieve it. Augustine repeatedly assailed this theme which,
of Christian believers. He soon had an enthusiastic follow-
for him, struck at the heart of the Christian gospel. Augus-
ing. The Pelagian view was later advocated by Julian, bishop
tine’s numerous anti-Pelagian writings testify to the unalter-
of Eclanum, who became the chief theological adversary of
able position that man cannot redeem himself; man cannot
Augustine’s later years. Against this school Augustine direct-
depend upon himself for goodness. Whatever virtue exists in
ed his anti-Pelagian writings, a corpus of some fifteen works.
human nature is a gift from God.
The controversy with Pelagianism occasioned extended de-
It is interesting to note that Pelagius and Augustine
bate on questions of human freedom, responsibility, and hu-
never met face to face. In 410 Pelagius went to Hippo, hop-
manity’s relation to God.
ing to meet Augustine. Indeed, Pelagius had written in ad-
Pelagius claimed that what one does, “either laudable or
vance, but received a cautious reply. When the visit took
blameworthy,” depends upon the individual. Human nature
place, Augustine was conveniently absent. Augustine finally
has the inherent capacity for achievement. Augustine, in De
achieved the condemnation of Pelagius and Pelagianism in
Spiritu et littera (On the Spirit and the Letter) and later in De
431 at the Council of Ephesus.
natura et gratia (On Nature and Grace), insisted that grace
The sacraments. Attendant to Augustine’s view of grace
alone enables fallen humanity to achieve anything worthy.
is his concept of the church: the earthen vessel for sacramen-
Freedom is linked with God’s grace, not humanity’s nature.
tal grace. For him, the Catholic Church represents, exclusive-
God is not, however, in any sense responsible for sin,
ly, the genuine infusion of love by the Holy Spirit. Sacra-
nor does obedience to God’s will nullify human freedom. In
ments are the work of God, and only in the Catholic Church
De gratia et libero arbitrio (On Grace and Free Will) Augus-
do the sacraments attain their appropriate function; there
tine asserts, “No man . . . when he sins, can in his heart
alone can that attesting love be found.
blame God for it, but every man must impute the fault to
Sacraments are visible signs representing invisible spiri-
himself. . . . Nor does it detract from man’s own freedom
tual reality, outward symbols by which divine matters are ex-
of will when he performs any act in accordance with the will
hibited. Communication of the invisible divine reality, of in-
of God” (part 4).
visible divine power, takes place in the sacraments. The
In De praedestinatione sanctorum (On the Predestination
outward symbol, however, has no power to convey to the in-
of the Saints) and De dono perseverantiae (On the Gift of Per-
dividual the divine reality unless that person’s inner being is
severance), Augustine presents grace as independent of
sensitive to communion with God. To that end God’s grace
human desert. It is a sacred mystery why some are chosen
will assist.
for eternal life and others for eternal death. The mystery of
Augustine’s list of sacraments holds baptism and the
faith and righteousness is hidden in God’s eternal wisdom
Lord’s Supper as preeminent; others are ordination, mar-
and purpose (a position John Calvin would elaborate in the
riage, exorcism, and the giving of salt to the catechumen.
sixteenth century).
Without the sacraments there is no salvation. “The churches
“Know,” said Augustine in Contra Julianum, “that good
of Christ maintain it to be an inherent principle, that with-
will, that good works, without the grace of God . . . can be
out baptism and partaking of the Supper of the Lord it is im-
granted to no one.” How much of this position on grace re-
possible for any man to attain either to the kingdom of God
flects Augustine’s personal experience of God’s saving power?
or to salvation and everlasting life” (De peccatorum meritis et
Augustine had attempted to save himself, through elevated
remissione; On the Wages and Remission of Sins 1.34).
wrestlings with philosophy, and found it could not be done.
Trinity and Christology. Recognized even during his
Humanity cannot save itself. Salvation is God’s doing. In
lifetime as a doctor of the Latin church, Augustine clarified
gratitude the believer lives. The mind as God’s creation is en-
numerous points of doctrine. In fact, he established doctrine,
dowed with a natural capacity for remembering, understand-
not the least of which was his interpretation of the triune
ing, and willing. When these powers are rightly directed, the
deity. “I am compelled to pick my way through a hard and
self will recognize the true order of being, its relation to God
obscure subject,” he noted as he embarked on his De Trini-
in whose image it is. In the human fallen condition, sin holds
tate (On the Trinity), an opus written over a period of twenty
this natural capacity in abeyance but can never completely
years (399–419). Primarily in answer to the Arians, Augus-
destroy it. Grace awakens the dormant power in humans to
tine sorted out points at issue that would later become key
see God’s image in themselves.
factors in discussion at the Council of Chalcedon in 451.
In his discussion of grace, Augustine frequently em-
While On the Trinity is unquestionably a definitive work in
ployed the symbol of the infant—a child in constant need
Christian theology, Augustine’s basic suppositions are made
of a parental deity. Pelagius scoffed at such notions; for him,
lucid in earlier writings, including his letters and sermons.
son, warrior, and mature adult were suitable emblems of the
To Nebridius he wrote, “Whatever is done by the Trinity
person in his relationship to God. Pelagius insisted, “Since
must be regarded as being done by the Father and by the Son
perfection is possible for man, it is obligatory”; human na-
and by the Holy Spirit together” (letter 10).
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628
AUGUSTINE OF HIPPO
In his view of the Trinity, Augustine emphasized that
PHILOSOPHY OF HISTORY. On August 24, 410, Alaric in-
there are not three Gods but one. These form a “divine unity
vaded Rome. Son of a great Visigoth family, Alaric regarded
of one and the same substance in an indivisible equality.” In
himself a defender of the empire and a faithful Christian. His
this Trinity “what is said of each is also said of all, on account
sack of Rome lasted only three days, and the city was by no
of the indivisible working of the one and same substance”
means destroyed, nor was it the end of the Western Empire.
(Trinity 1.4.7, 1.12.25). He established a metaphysical
The psychological effect, however, was horrendous. “If
ground for the Christian’s threefold experience of God. In
Rome can perish, what can be safe?” lamented Jerome. Deci-
the Father, the believer knows God as source of being; in
siveness and dependability in government were in serious
Christ, the redeemer; and in the Holy Spirit, the sanctifier.
question. It was in response to the charge that abandonment
of the ancient Roman deities and widespread acceptance of
Revelation was Augustine’s starting point. The first part
Christianity had brought about the fall that Augustine, in
of On the Trinity considers the nature of faith. Citing scrip-
413–427, produced De civitate Dei (City of God). His im-
ture (especially passages falsely interpreted by the Arians—
mediate assertion was that rather than bringing down the city
for example, John 14:28, John 10:30, Mark 13:32), he proves
the Christians had saved it from total ruin. The work pro-
the deity of the Son and his relation to the Father. Augustine
ceeds to render his brilliant critique of Greco-Roman cul-
argues at length that the Son is in no way subordinate to the
ture, drawing illustrative material from the greatest historians
Father. Previously, Tertullian and Origen had insisted on
and writers. Augustine had enormous respect for and loyalty
subordination of the Son and Holy Spirit to the Father. For
to that culture yet he believed it to be morally rotten, and
Augustine, there “is so great an equality in that Trinity that
he goes to considerable lengths to point out degradation of
not only the Father is not greater than the Son, as regards
Roman standards of conduct, life patterns, and sexual behav-
divinity, but neither are the Father and the Son greater than
ior. He pictures gross licentiousness and obscenities pertain-
the Holy Spirit” (Trinity 8). The Holy Spirit proceeds from
ing to Liber and other deities. By contrast, he depicts the
Father and Son and enjoys the same essential nature. Rela-
health, vigor, and cleanliness of the Christian life. Thus, as
tions between the persons of the Trinity are not of degree
the Pax Romana deteriorated, Augustine became spokesman
or order but of causality. The Father is “the beginning of
for a new, fresh, Christian social order.
the whole divinity. . . . He therefore who proceeds from
the Father and the Son is referred back to Him from whom
MORALITY AND ETHICS. City of God best illustrates a facet
the Son was born.” The Holy Spirit is the unifying principle
of Augustine seldom recognized: he was a moral rigorist who
in the godhead, “a certain unutterable communion of Father
permitted nothing to stand in the way of either individual
and Son.” Every theophany is thus a work of the three, even
or group righteousness. Neither personal relationships nor
though in such divine manifestations the appearance is fre-
individual aspirations should be permitted to thwart the
quently that of only one of the persons. This is because of
doing of God’s will. Sinful pleasures were intolerable. It was
the limitations of the “bodily creature” necessary for a the-
in part reaction to his profligate past that prompted the com-
ophany. One cannot repeat the words Father, Son, Holy
plete turnabout in which he became the seer of an ethical,
Spirit simultaneously and without an interval. Accordingly
morally upright deity.
“both each are in each, and all in each, and each in all, and
all in all, and all are one.”
Scrupulous observance of the ethical code was required
of Augustine’s people, especially his clergy. On one occasion,
When speaking of the Trinity, Augustine’s Latin term
certain members of Augustine’s monastery had not complied
for what the Greeks called hupostasis is persona (“person”),
with the vow of poverty and at death willed large estates to
but he frankly admits the inadequacy of any appellation. Ul-
their families. Augustine reacted swiftly and sternly, requir-
timately the key to knowing God—the Trinity—is love, for
ing that all draw up statements of their holdings prior to
love itself implies a trinity “he that loves, and that which is
being admitted to the order. In his monastery, Augustine es-
loved, and love itself” (Trinity 8.10.14). In the final analysis,
tablished a way of life that was to become the prototype for
Augustine himself, after years of contemplation, admits that
the cenobite. It is claimed that his own widowed sister, ab-
the human mind may behold the Trinity “only in an enig-
bess of the convent he established in Hippo, was never per-
ma.” Only when liberated from the restrictions of physical
mitted to converse with her brother save in the presence of
being will humans be able to comprehend completely “why
a third party. Augustine’s moralism must be seen in the con-
the Holy Spirit is not the Son, although He proceeds from
text of his ideal of blessedness. It was said of him, “Everyone
the Father” (Trinity 15.24.45).
who lives with him, lives the life described in the Acts of the
Apostles” (sermon 356).
Augustine declared that the whole of doctrine might be
summed up as service to God through faith, hope, and love.
FINAL YEARS. On September 26, 426, Augustine named his
This principle underlies his work the Enchiridion. Taking the
successor, Eraclius, and arranged for the latter to assume re-
Lord’s Prayer as starting point, he develops the theme of
sponsibility for the practical affairs of the diocese. At that
Christ as mediator and considers the Incarnation as manifes-
time Bishop Possidius agreed to write a biography of Augus-
tation of God’s saving grace. He explicates the Apostles’
tine. His biography captures the spirit of the man Augustine.
Creed and with rare sensitivity assesses the resurrection.
He tells of daily life in the monastery, stressing the simplicity
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUGUSTINE OF HIPPO
629
of the monks’ lives, and of Augustine’s concern for the poor.
Works by Augustine
Augustine the eminent theologian is barely visible.
For the serious student, the Latin works are indispensable. A com-
plete collection appears in Patrologia Latina, edited by J.-P.
May of 429 saw the army of Genseric’s Vandals cross
Migne, vols. 32–47 (Paris, 1841–1842). In spite of errors
from Spain and march through Mauritania, spreading havoc
and omissions, Migne’s edition remains an essential source,
and desolation. Roman rule in Africa collapsed. Augustine
but it should be studied along with Palémon Glorieux’s Pour
spent these concluding years comforting and reassuring his
revaloriser Migne: Tables rectificatives (Lille, 1952). Augus-
people. On the Predestination of the Saints and On the Gift
tine’s collected works can also be found in Corpus Scriptorum
of Perseverance, written 428–429, reflect the message that
Ecclesiasticorum Latinorum, vols. 12, 25, 28, 33–34, 36, 40–
God alone would provide faith and courage for his elect. This
44, 51–53, 57–58, 60, 63, 74, 77, and 84–85 (Vienna,
became a doctrine of survival.
1866–1876), which is the product of good critical schol-
arship.
In 426 Augustine began to correct and catalog his vast
literary output in his Retractiones. His wish, and that of his
Splendid translations into modern English, reflecting superior
contemporary scholarship, can be found in “The Library of
fellow bishops, was that whatever befell Hippo, Augustine’s
Christian Classics,” edited by John Baillie and others, vols.
library was to be preserved. Fortunately for posterity, it was.
6–8 (Philadelphia, 1953–1958); “The Fathers of the
As Vandals were besieging Hippo, Augustine was dying,
Church,” edited by Roy Joseph Deferrari, vols. 1–15, 17–18,
insisting—perhaps for the first time—that he be alone; he
and 35 (New York, 1947–1963); and “Ancient Christian
read, in these final hours, the penitential psalms hung on the
Writers,” edited by Johannes Quasten and Walter J. Burg-
walls of his room. On August 28, 430, while prayers were
hardt, vols. 2, 9, 15, 22, and 35 (Westminster, Md., 1960–).
The several texts are strengthened in their overall usefulness
being offered in the churches of Hippo, Augustine died. It
by an impressive amount of supportive background data, co-
was designated his day in the lexicon of Roman Catholic
pious explanatory notes, full bibliographies, and indexes.
saints.
Works about Augustine
Augustine’s place in Western history is not to be con-
Classic works by eminent scholars such as Prosper Alfaric, Adolf
tested. He was a man of science (in spite of his deprecation
von Harnack, and Otto Scheel continue to be mandatory
of scientific knowledge) whose power to scrutinize nature
reading for the thoughtful student. Among the most recent
was remarkable. He engaged in an unrelenting quest for
publications, Karl Adam’s Die geistige Entwicklung des heili-
knowledge that rendered him a keen observer of human na-
gen Augustinus (Augsburg, 1931) is a superb work with bibli-
ture, and he probed the deep recesses of the human soul. Au-
ographical references that are especially helpful. A Compan-
gustine set the compass for much of the Western Christian
ion to the Study of St. Augustine, edited by Roy W.
culture that followed. His interpretation of Plato dominated
Battenhouse (New York, 1955), presents a series of scholarly
most of Christian thought in the West until the rediscovery
essays, especially helpful as broad, introductory works. Ger-
of Aristotle in the thirteenth century. Humanists of the Re-
ald Bonner’s St. Augustine of Hippo: Life and Controversies
(London, 1963) provides a survey of the enormous literary
naissance relied upon Augustine. His impress on Reforma-
output of Augustine.
tion leaders is great. Luther followed his conception of grace.
A reading of Calvin’s Institutes of the Christian Religion re-
Possidius’s fifth-century Sancti Augustini vita scripta a Possidio
veals that second to the Bible, Augustine is the most fre-
episcopo (Kiel, 1832) is the original biography by one who
quently quoted source. In the eighteenth century, John Wes-
stood in awe of his subject. Filled with human interest sto-
ries, it nonetheless should not be missed. Peter Brown’s Au-
ley studied Augustine diligently, even when he came to differ
gustine of Hippo (London, 1967) is unquestionably the best
strongly with him. Indeed, even those who most heartily re-
biography available. His Religion and Society in the Age of
ject Augustine’s anthropology have found it necessary to
Saint Augustine (London, 1972) is of equally fine scholarship
come to terms with him. Pietistic, sentimental studies of Au-
and is indispensable for an understanding of the period. My
gustine during the nineteenth and early twentieth centuries
own Augustine: His Life and Thought (Atlanta, 1980) is a live-
are being replaced with frank appreciation not only for his
ly biography, portraying Augustine against the backdrop of
intellectual and spiritual preeminence but also for his pro-
the tumultuous age in which he lived. Frederik van der
found human qualities.
Meer’s Augustine the Bishop (London, 1961) is an interpreta-
tion of Augustine’s episcopate and the cultural milieu.
SEE ALSO Arianism; Autobiography; Donatism; Free Will
Étienne Gilson’s The Christian Philosophy of Saint Augustine (New
and Predestination, article on Christian Concepts; Grace;
York, 1960) is an outstanding study of the overall thought
Manichaeism; Merit, article on Christian Concepts; Neopla-
of Augustine. A wide range of scholarly articles can be found
tonism; Pelagianism; Pelagius; Plotinus; Skeptics and Skep-
in Augustine: A Collection of Critical Essays, edited by Robert
ticism.
A. Markus (Garden City, N. Y., 1972). Ragnar Holte’s Béat-
itudes et sagesse: S. Augustin et le problème de la fin de l’homme
BIBLIOGRAPHY
dans la philosophie ancienne (Paris, 1962) concentrates on
Listing all the worthy studies of Augustine would be difficult, if
Augustine as philosopher. John Burnaby’s Amor Dei: A Study
not impossible. The student of Augustine is apt to be over-
of the Religion of St. Augustine (London, 1938) is outstand-
come by the sheer enormity of the material available. Only
ing, especially in interpreting Augustine’s theological under-
a small selection follows.
standing of love. Pierre Courcelle’s Recherches sur les Confes-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
630
AUGUSTUS
siones de S. Augustin (Paris, 1950) provides one of the best
into decay and built numerous new ones. He revitalized old
interpretations of the Confessions.
cult forms and priesthoods, such as the lares compitales and
Henri Irénée Marrou’s St. Augustine and His Influence through the
the Fratres Arvales, and instituted new ones, such as Pax Au-
Ages (New York, 1957), Karl Jaspers’s Plato and Augustine
gusta and the Seviri Augustales. He carefully steered public
(New York, 1962), and Eugene TeSelle’s Augustine the Theo-
approval of his person and policies into religious channels.
logian (New York, 1970) are excellent studies of various as-
Particularly in the Greek provinces of the East, he permitted
pects of Augustine’s philosophy and theology. Robert
himself to be worshiped as a god. Roman state cult celebrated
Meagher’s An Introduction to Augustine (New York, 1978)
the divine element and creative force that resided in Augus-
provides new translations of important passages that are clues
tus through the cult of the Genius Augusti. Religious reform
to fresh interpretations of Augustine’s spiritual life.
and innovation were linked to programs of social and moral
Finally, Tarsicius J. van Bavel’s Répertoire bibliographique de Saint
reform, aimed at restoring traditional Roman values of ser-
Augustin, 1950–1960 (Steenbrugis, Netherlands, 1963) is a
vice and piety toward country, family, and the gods.
useful survey of recent critical studies.
The Augustan program tapped the wellsprings of popu-
WARREN THOMAS SMITH (1987)
lar piety in an age of religious revival. It mobilized in its ser-
vice literary and artistic talent of enduring genius: Vergil’s
Aeneid, Horace’s Roman Odes and Carmen saeculare, Livy’s
AUGUSTUS (63 BCE–14 CE), Roman emperor. Born
history of Rome, and the iconography of the Altar of Augus-
Gaius Octavius, he was the grandnephew of Julius Caesar.
tan Peace (the Ara Pacis) at Rome all celebrated, each in its
Adopted by Caesar, and made his chief heir at nineteen, Oc-
own medium, the message that the gods themselves had
tavius built upon Caesar’s name, charisma, military success,
willed the peace-bringing and benevolent rule of Rome and
political connections, and fortune. Calculating, opportunis-
Augustus over the entire human race.
tic, an unfailingly shrewd judge of men and circumstances,
he emerged in 31 BCE from thirteen years of political chaos
BIBLIOGRAPHY
and civil war triumphant over Mark Antony and sole master
The best-balanced introduction to Augustus and his achievement
of the Roman world.
is H. H. Scullard’s study From the Gracchi to Nero, 5th ed.
(London, 1983), which includes extensive bibliographical
Exhausted by the effects of civil war and seeking only
notes. Recent but somewhat superficial accounts of Roman
peace and a return of order and prosperity, Roman citizens
religion in the age of Augustus include Continuity and
and provincial subjects alike hailed Octavius as a savior sent
Change in Roman Religion, by J. H. W. G. Liebeschuetz (Ox-
by divine Providence. He did not fall short of their expecta-
ford, 1979), pp. 55–100, and Religion and Statecraft among
tions. To mark the beginning of a new order, he assumed
the Romans, by Alan Wardman (London, 1982), pp. 63–79.
the name Augustus in 27 BCE. In a series of gradual steps, he
For interpretative studies of Augustus’s religious policy with-
restructured the Roman political system. While preserving
in the context of traditional Roman religion, see my Princeps
the forms of republican government, he in effect established
a Diis Electus: The Divine Election of the Emperor as a Political
a monarchy, concentrating in his own hands all real power,
Concept at Rome (Rome, 1977), pp. 121–130, 189–219, and
political, military, financial, and legal. This power was used
my following contributions to Aufstieg und Niedergang der
römischen Welt, vol. 2.17.2, (Berlin and New York, 1981):
with great and enduring success to reform the administration
“The Cult of Jupiter and Roman Imperial Ideology,”
of the provinces, the finances of the Roman state, and every
pp. 56–69; “The Theology of Victory at Rome,”
aspect of military and civil life. In so doing he laid the basis
pp. 804–825; and “The Cult of Virtues and Roman Imperial
for two centuries of unparalleled peace and prosperity in
Ideology,” pp. 884–889.
western Europe and throughout the Mediterranean world.
The golden age of Rome’s empire, “the period in the history
New Sources
Alföldi, Andreas. “From the Aion Plutonios of the Ptolemies to
of the world during which the condition of the human race
the Saeculum Frugiferum of the Roman Emperors (Redeunt
was most happy and prosperous” (Gibbon), was the supreme
Saturnia regna VI).” In Greece and the Eastern Mediterranean
legacy of Augustus.
in Ancient History and Prehistory. Studies Presented to Fritz
Himself deeply pious, Augustus understood fully the
Schachermeyer on the Occasion of his Eightieth Birthday, edited
important role that religion plays in securing that unity of
by K. H. Kinzl, pp. 1–30. Berlin, 1977.
shared belief that is essential to the integration and successful
Binder, Gerhard. Saeculum Augustum, vol. 2, Religion und Litera-
functioning of a pluralistic society. Through carefully orches-
tur. Darmstadt, 1988.
trated and highly effective propaganda techniques, he pro-
Bleicken, Jochen. Augustus. Berlin, 1998.
jected the image of himself as a divinely sent savior; and the
Bowersock, Glen W. “The Pontificate of Augustus.” In Between
very name he assumed, Augustus, evoked in Latin and in its
Republic and Empire: Interpretations of Augustus and His Prin-
Greek form, Sebastos, an aura of divine consecration and
cipate, edited by Kurt A. Raaflaub and Mark Toher,
charismatic authority.
pp. 380–394. Berkeley, 1990.
Augustus undertook a thorough reform of Roman state
Cotton, Hannah M., and Alexander Yakobson. “Arcanum im-
religion. He restored some eighty-two temples that had fallen
perii: The Powers of Augustus.” In Philosophy and Power 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
AUM SHINRIKYO
¯
631
the Graeco-Roman World. Essays in Honour of Miriam Griffin,
the blind in Kyushu. He went to work in Tokyo after gradu-
edited by Gillian Clark and Tessa Rajak, pp. 193–209. Ox-
ating from high school with special training to become a li-
ford, 1992.
censed masseur. Asahara then entered cram school in Tokyo
Eck, Werner. Augustus und seine Zeit. Munich, 1998.
to prepare for the university entrance examinations. After he
Fishwick, Duncan. “On the Temple of Divus Augustus.” Phoenix
failed, he got married and, with the help of his wife’s parents,
46 (1992): 232–255.
opened a pharmacy of Eastern medicine in Chiba prefecture.
Huttner, Ulrich. “Hercules und Augustus.” Chiron 27 (1997):
Asahara’s religious interests matured during this period.
369–391.
In the 1980s he was a member of Agonshu¯, a new religious
Pollini, John. “Man or God: Divine Assimilation and Imitation
movement based on the ideas of the Shingon sect of esoteric
in the Late Republic and Early Principate.” In Between Re-
Buddhism, Kun:d:alin¯ı Yoga, and the a¯gama, the ancient col-
public and Empire: Interpretations of Augustus and His Princi-
pate, edited by Kurt A. Raaflaub and Mark Toher,
lections of the Buddha’s own words and teachings. Agonshu¯
pp. 334–363. Berkeley, 1990.
stressed liberation from individual karma and the attainment
Radke, Gerhard. “Augustus und das göttliche.” In Antike und Un-
of supernatural powers by awakening the chakras, the spiritu-
iversalgeschichte. Festschrift Hans Erich Stier, edited by Rein-
al centers inside the body. Later, Asahara’s teaching also em-
hardt Stiehl and Gustav Adolf Lehmann, pp. 257–279.
phasized the goal of attaining those powers by yogic practice.
Münster, 1972.
Asahara opened a yoga school in Tokyo in 1983. In ei-
Speyer, Wolfgang. Das Verhältnis des Augustus zur Religion. Berlin
ther 1984 or 1986 he named his circle Aum Shinsen no Kai
and New York, 1986.
(Aum circle of immortals); it is certain that he established the
Syme, Ronald. The Roman Revolution. Oxford, 1939.
Aum Corporation in 1984. He frequently appeared in New
Whitehorne, John E. G. “The Divine Augustus as Theos Kaisar
Age magazines during this period, and he published books
and Theos Sebastos.” Analecta papyrologica 3 (1991): 19–26.
with such titles as The Secret Method to Develop Psychic Pow-
Zanker, Paul. The Power of Images in the Age of Augustus. Translat-
ers (1986) and Beyond Life and Death (1986). In 1986, Asa-
ed by Alan Shapiro. Ann Arbor, Mich., 1988.
hara claimed that he had attained “ultimate enlightenment”
J. RUFUS FEARS (1987)
after meditating in the Himalayas. In 1987, Asahara re-
Revised Bibliography
named his group Aum Shinrikyo¯ and transformed his yoga
school into a religious body. At the same time he published
a book titled Initiation (1987), in which he invited people
AUM SEE OM:
to become members.
In 1989 the Tokyo metropolitan government recog-
nized Aum Shinrikyo¯ as a religious corporation, which gave
AUM SHINRIKYO
¯ , or “Aum Sect of Truth,” is a new
it tax-exempt status and legal protection. By this time Aum
religious movement based on Buddhism and other Eastern
was facing attacks from those who saw it as a dangerous
traditions, including Hinduism and Daoism. The movement
group that recruited minors as monks and stole money from
was founded by Asahara Sho¯ko¯, also known as Matsumoto
believers. In November 1989, with criticism mounting, Asa-
Chizuo (b. 1955), who claims to have attained ultimate en-
hara secretly ordered his disciples to kill not only the anti-
lightenment. Although Aum Shinrikyo¯ presents itself as a
Aum lawyer of families whose children were Aum members,
Buddhist sect, its main deity is S´iva. This is unusual even in
but also the lawyer’s wife and baby boy.
the eclectic and syncretic Japanese religious tradition. Com-
pared to other new religious movements in the main line, at
Asahara had a political ambition to become elected to
its height Aum was a small group, with only one thousand
the Japanese diet, and in February 1990 Asahara and twenty-
shukke (full-time members who had renounced the world)
four of his followers stood for election in the general election.
and ten thousand zaike (lay members) in Japan, and more
Their resounding political defeat was a humiliation for both
than twenty thousand members in Russia. As of early 2004,
Asahara and Aum Shinrikyo¯. Aum Shinrikyo¯ then built facil-
twelve Aum members (including Asahara) had received
ities in rural Yamanashi and Kumamoto prefectures, and in
death sentences because of the group’s criminal and terrorist
both sites the group provoked strong opposition, causing As-
activities perpetrated in the name of salvation. Aum
ahara’s antipathy toward Japanese society to intensify.
Shinrikyo¯ proved to the world how a new religious move-
Asahara began publishing books with such titles as
ment could be a real threat and danger to the contemporary
Doomsday (1989) and The Truth of the Destruction of Hu-
society. In 2001, under the leadership of Jo¯yu¯ Fumihiro (b.
manity (1991) that announced a coming armageddon caused
1962), the group changed its name to Aleph. Reeling from
by the use of weapons of mass destruction. His apocalyptic
the legal problems and poor public relations resulting from
eschatological vision intensified during these years, and his
the 1995 sarin gas attack on the Tokyo subway, the sect was
disciples worked to facilitate his prophecies. They secretly
radically reformed.
pursued research into biological weapons and constructed a
Asahara Sho¯ko¯, who suffered from severe eye problems
laboratory in Aum’s Yamanashi compound. In 1990 Aum
as a child, entered an elementary school and high school for
tried to produce poison gas in the Kumamoto compound,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUM SHINRIKYO
¯
632
and in 1993 Asahara secretly ordered his disciples to produce
more years. Although many intellectuals pointed out that
one thousand machine guns and conduct research on devel-
Aleph was not capable of mass murder, there was almost no
oping chemical weapons. At the same time, he complained
public objection to the extension of the surveillance over the
that Aum was being persecuted by the Japanese government
organization.
and American troops, and he claimed that they themselves
AUM PRACTICES AND WORLDVIEW. In Japan, new religious
had suffered from nerve gas attacks.
movements have developed during four distinct periods. The
S
first such development occurred in the waning days of the
ARIN GAS ATTACKS. In June 1994 Aum members released
sarin gas in Matsumoto, killing 7 and injuring 144. On
Tokugawa regime in the late nineteenth century; the second
March 20, 1995, Aum agents released sarin gas on several
occurred in the Taisho period of the early 1900s; and the
Tokyo subway trains, killing 12 people and injuring 3,796.
third was the period following Japan’s defeat in World War
Two days later several thousand police officers began system-
II. Aum Shinrikyo¯ and Agonshu¯ were products of the fourth
atic raids on Aum facilities. On May 16 Asahara was found
boom of new religious movements, which occurred in the
hiding in one of the Aum facilities and was arrested. More
1970s. The religious movements of the first and the third pe-
than one hundred Aum members were arrested that year.
riods stressed this-worldly merits and popular ethics in daily
The details of the criminal activities of this religious organi-
life. However, the movements that arose during the second
zation were revealed in the subsequent trials.
and the fourth periods emphasized manipulation of the spir-
its and personal asceticism for self-cultivation. After the stu-
Asahara is accused of masterminding seventeen crimes
dent revolution in the late 1960s and early 1970s, young
in which at least twenty-six people were killed and more than
people experienced a spiritual void and disorientation. New
five thousand were injured. The crimes that Asahara and his
religious movement like Aum Shinrikyo¯ gave some of them
followers committed fall into the following categories: mur-
a purpose and meaning in life. The average age of Aum’s
der of its own members (thirty-three Aum members are miss-
members was around thirty, which was young compared
ing); murder of its enemies; and indiscriminate mass murder
with other new religious movements.
using nerve gas. Aum members also produced and used ille-
The worldview of Aum Shinrikyo¯ and Aleph is a mix-
gal drugs like LSD, and they manufactured machine guns.
ture of Hinduism, Buddhism, and other traditions. Accord-
On February 27, 2004, Asahara was convicted and received
ing to Aum teachings, human history is devolutionary. Peo-
a death sentence from the Tokyo District Court. His lawyers,
ple are degenerating from their true selves in maha¯nirva¯na,
who claimed Asahara’s innocence and blamed his disciples,
and they are fallen and stuck in the mud of suffering. To be
appealed to the upper court just before their resignation. It
born in this world means that one has bad karma. Every liv-
will take a number of years before the Japanese Supreme
ing being transmigrates up and down through the six worlds
Court passes the final sentence on him. Aleph announced its
of being.
deep regret to the victims and vowed to compensate them
on the occasion of Asahara’s death sentence.
Asahara espoused a kind of eschatology from the start.
In 1987 he predicted that Japan would arm itself again in
In October 1995 the Tokyo District Court ordered
1993 and that there would be a nuclear war between 1999
Aum Shinrikyo¯ to disband as a religious corporation because
and 2003 unless Aum Shinrikyo¯ built two branch offices in
of the danger it posed to the public. Members of the govern-
each country in the world. Then, in 1989, Asahara predicted
ment argued whether or not it was proper to apply existing
that the United States president and the secretary general of
antisubversive activities laws to Aum Shinrikyo¯. In January
the Soviet Union would start a war that would put an end
1997 they decided that this was not necessary because most
to the world. He warned his disciples that more than one-
of the executive members involved in the sarin incidents in
fourth of humankind would die unless Aum Shinrikyo¯ pro-
Matsumoto and Tokyo had been arrested, eliminating any
duced accomplished practitioners.
clear and present danger.
The ultimate purposes of Aum Shinrikyo¯ were the wor-
In 1999 there were major changes in Aum Shinrikyo¯.
ship of S´iva as the principal god and the saving of every living
The organization finally admitted its criminal responsibility,
being from sam:sa¯ra based on ancient yoga, original Bud-
asked for forgiveness, and promised to compensate victims
dhism, and Maha¯ya¯na Buddhism under the guidance of peo-
and bereaved families. Two new so-called Aum laws were
ple who understand and execute S´iva’s will. There are three
passed by the national diet. They restrict groups that have
kinds of salvation: to free people from disease, to bring
committed indiscriminate mass murder and allow the confis-
worldly happiness to people, and to lead people to satori and
cation of the group’s property to compensate victims.
gedatsu, that is, “self-realization” and “enlightenment,” as
At the end of 1999 Jo¯yu¯ Fumihiro was released from
Aum translated these terms into English. The first two kinds
prison. In January 2001, Aum Shinrikyo¯ changed its name
of salvation are this-worldly benefits typical of new religious
to Aleph. As the leader of Aleph, Jo¯yu¯ began trying to reform
movement in Japan. The third is an otherworldly ideal that
the organization’s structure and doctrine. The Japanese gov-
is consistent with traditional Buddhism.
ernment decided to keep Aleph under surveillance for three
Aum Shinrikyo¯ promoted a plan to transform Japan
years, but in 2003 the surveillance was extended for three
into Shambhala, a society based on truth, in which people
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUROBINDO GHOSE
633
realize themselves according to the truth, understood as the
and New York, 2001), a good collection of papers and infor-
great will of Asahara and S´iva. Later, Aum Shinrikyo¯ tried
mative essays on reactions to the Aum affair; Susumu Shima-
to make the whole world into Shambhala. This means that
zono, Gendai shu¯kyo¯ no kano¯sei (Possibility of contemporary
Aum Shinrikyo¯ aimed to put the world under its rule.
religions; Tokyo, 1997), a critical study of the doctrine of sal-
vational violence in Aum Shinrikyo¯; Shimada Hiromi,
Aum’s system of practice was also a mixture of Bud-
Oumu: Naze shu¯kyo¯ wa terorizumu wo undanoka? (Aum:
dhism and Yoga philosophy. On the Buddhist side, there was
Why did a religion turn to terrorism? Tokyo, 2001), an in-
the noble eightfold path, the six perfections of wisdom
depth study of Aum and the author’s personal reflections on
(prajña¯pa¯ramita¯s), and other ideas and practices. On the
the future of religious studies; and Robert Lifton, Destroying
Yoga side, there was raja, kun:d:alin¯ı, jña¯na, Maha¯ya¯na, and
the World to Save It: Aum Shinrikyo¯, Apocalyptic Violence, and
astral and causal yoga. In addition to these practices based
the New Global Terrorism (New York, 1999), a psychologi-
cally informed reflection on the Aum affair, including inter-
on self-power, there were also initiations that relied on other-
views with former members, which are rare in English-
power. Initiations like shakt¯ıpat were methods to increase
language materials.
one’s spiritual ability through the guru¯’s charisma or some
other source of spiritual power.
MANABU WATANABE (2005)
It was believed that Aum’s superior members removed
the bad karma of inferior members by violence or ill treat-
ment. Such behavior was interpreted by Aum as an act of
AUROBINDO GHOSE (1872–1950), yogin, nation-
compassion, because it was a means of eliminating the bad
alist, poet, critic, thinker, spiritual leader of India. Born in
karma of members. This idea was taken to extremes, howev-
Calcutta (August 15, 1872), Aurobindo Ghose was educated
er, with the poa (phowa) in Aum Shinrikyo¯’s sense. The Ti-
in England from the age of seven to age twenty-one at the
betan word phowa refers to the transference of the dead soul
insistence of his father, Dr. Krishnadhan Ghose, who had
to a higher realm. However, Asahara claimed that a deliber-
been one of the first Indians educated in England. Having
ate act of murder by a superior being was also a case of poa.
grown up ignorant of Indian culture and religion, Aurobindo
To be identical with Asahara (meaning “the cloning of the
neither discovered nor appreciated Indian languages, litera-
guru¯”) was also interpreted as liberation and salvation for As-
ture, or history until he returned to India after college, in
ahara’s disciples because Asahara was considered the ultimate
1893. He served for a time as a teacher of French and English
enlightened one and the embodiment of the true self.
and as vice principal and acting principal of Baroda College.
CONCLUSION. Aum Shinrikyo¯ is an ultimate example of a
In 1906 Aurobindo joined the political movement of Indian
new religious movement that turns violent. Aum’s violent
resistance to British colonial rule and became a prominent
acts have had an impact on religion and politics around the
voice of the Nationalist party, arguing for complete indepen-
world, and they have led to legislation against dangerous
dence from Britain. Through his articles in periodicals such
groups in a number of countries, especially in Japan and
as Bande Mataram, Aurobindo nourished a revolutionary
France. For a number of secular people the Aum incident
consciousness among Indians by addressing the issues of
was a serious disappointment and caused disbelief toward re-
swara¯j and swade´si (both centered on self-rule) and boycott.
ligion in general. And it also raised people’s awareness toward
He was open to the use of armed revolt as well as nonviolent
deviant religious movements in various countries, and Japa-
means for achieving independence. In this he was flexible
nese people actually welcomed and supported the arrest of
and pragmatic: the means of social change were selected on
the founders of such groups as Life Space and Ho¯-no-hana
the basis of circumstances, not adherence to an absolute ethi-
Sanpo¯gyo¯ in 2000. Because of its use of a chemical weapon
cal principle.
(one of the weapons of mass destruction), Aum Shinrikyo¯
In 1908 Aurobindo was arrested in connection with an
also indicated that the activities of a new religious movement
unsuccessful bombing episode against a British district judge.
could be a matter of public safety. The sect created an apoca-
Although he was ultimately acquitted, he spent a year in the
lyptic connection between religion and violence (as well as
Alipore jail during the investigation and trial. During this
terrorism) that foreshadowed the tragedy of September 11,
imprisonment his interest in yoga deepened. In 1910, fol-
2001.
lowing “a sudden command from above,” Aurobindo moved
to French India. He spent the next forty years of his life in
SEE ALSO New Religious Movements, overview article, arti-
Pondicherry, formulating his vision of spiritual evolution
cle on New Religious Movements in Japan.
and integral Yoga, and refusing to pursue direct involvement
in political events.
BIBLIOGRAPHY
“Spiritual evolution,” or the evolution of consciousness,
Several books can be recommended: Ian Reader, Religious Violence
in Contemporary Japan: The Case of Aum Shinrikyo¯ (Rich-
is the central framework for understanding Aurobindo’s
mond, U.K., 2000), one of the most reliable and critical re-
thought. Consciousness is a rich and complex term for Auro-
views of the Aum affair; Robert J. Kisala and Mark R. Mul-
bindo. Consciousness is inherent in all things, in seemingly
lins, eds., Religion and Social Crisis in Japan: Understanding
inert matter as well as plant, animal, human, and suprahu-
Japanese Society through the Aum Affair (Houndmills, UK,
man life. It participates in the various levels of being in vari-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
634
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
ous ways. Sachchida¯nanda, literally the highest level of
1972–1976). A useful overview of Aurobindo’s major works
“being, consciousness, and bliss,” is also known as the Abso-
can be found in Six Pillars: An Introduction to the Major
lute. The Supermind mediates sachchida¯nanda to the multi-
Works of Sri Aurobindo, edited by Robert A. McDermott
plicity of the world. The Overmind serves as delegate of the
(Chambersburg, Pa., 1974). Kees W. Bolle relates Aurobin-
Supermind. Intuitive Mind is a kind of consciousness of the
do’s thought, which evidences both Western and Eastern in-
heart that discerns the truth in momentary flashes rather
fluences, to the Tantric tradition, in The Persistence of Reli-
gion: An Essay on Tantrism and Sri Aurobindo’s Philosophy
than in a comprehensive grasp. Illumined Mind communi-
(Leiden, 1965). A lucid analysis of Aurobindo’s philosophy
cates consciousness by vision, Higher Mind through concep-
of the world is found in Beatrice Bruteau’s Worthy Is the
tual thought. Mind generally integrates reality through cog-
World: The Hindu Philosophy of Sri Aurobindo (Rutherford,
nitive, intellectual, and mental perceptions rather than
N.J., 1976). My The Quest for Political and Spiritual Libera-
through direct vision, yet mind is also open to the higher le-
tion: A Study in the Thought of Sri Aurobindo Ghose (Cran-
vels of consciousness, for it is basically oriented to Super-
bury, N.J., 1976) addresses the relationship between Auro-
mind, in which it participates in a derivative way. The Psyche
bindo’s political (1905–1910) and spiritual (1910–1950)
is the conscious form of the soul that makes possible the evo-
commitments and writings.
lution from ignorance to light. Life is cosmic energy through
New Sources
which the divine is received and made manifest. Matter, the
Heehs, Peter. Sri Aurobindo, A Brief Biography. Delhi; New York,
lowest level in Aurobindo’s hierarchy of consciousness mani-
1989.
festation, is not reducible to mere material substance, but is
Kluback, William. Sri Aurobindo Ghose: The Dweller in the Lands
an expression of sachchida¯nanda in diminished form.
of Silence. New York, 2001.
The hierarchical view of consciousness or spirit must
Madhusudan Reddy, V. Seven Studies in Sri Aurobindo. Hyder-
also be seen in a process perspective in which the supreme
abad, India, 1989.
is seen as continuously being and becoming manifest in these
McLaughlin, Michael T. Knowledge, Consciousness and Religious
many levels of being. Consciousness liberates itself through
Conversion in Lonergan and Aurobindo. Rome, 2003.
an inner law that directs evolution. Spiritual evolution is also
Nandakumar, Prema. Sri Aurobindo, A Critical Untroduction.
seen as a series of ascents from material, physical existence
New Delhi, 1988.
up to supramental existence, in which we are able to reach
Umar, M. G. Sri Aurobindo, Thinker and the Yogi of the Future.
or true being and fulfillment.
Pondicherry, 2001.
Yoga is a means by which this evolutionary thrust can
Van Vrekhem, Georges. Patterns of the Present: From the Perspec-
be consciously assisted. Whereas evolution proceeds slowly
tive of Sri Aurobindo and the Mother. New Delhi, 2002.
and indirectly, yoga functions more quickly and directly.
Vrinte, Joseph. The Perennial Quest for a Psychology with a Soul:
Evolution seeks the divine through nature, while yoga reach-
An Inquiry into the Relevance of Sri Aurobindo’s Metaphysical
es out for the divine as transcendent to nature.
Yoga Psychology in the Context of Ken Wilber’s Integral Psychol-
ogy. Delhi, 2002.
Aurobindo’s Integral Yoga is so named because it seeks
to incorporate the essence and processes of the old yogas,
JUNE O’CONNOR (1987)
blending their methods and fruits into one system. It is inte-
Revised Bibliography
gral also insofar as it seeks an integral and total change of
consciousness and nature, not for the individual alone but
for all of humanity and the entire cosmos. Unlike some yogas
AUSTRALIAN INDIGENOUS RELIGIONS
of the past, Integral Yoga does not seek release from the cycle
This entry consists of the following articles:
of birth and death but seeks a transformation of life and exis-
AN OVERVIEW
tence, by, for, and through the divine. In most yogas, ascent
MYTHIC THEMES [FIRST EDITION]
MYTHIC THEMES [FURTHER CONSIDERATIONS]
to the divine is emphasized. In Integral Yoga, ascent to the
NEW RELIGIOUS MOVEMENTS
divine is but the first step; the real goal is descent of the new
ABORIGINAL CHRISTIANITY
consciousness that has been attained by the ascent.
HISTORY OF STUDY [FIRST EDITION]
HISTORY OF STUDY [FURTHER CONSIDERATIONS]
Disciples, admirers, and advocates of Aurobindo’s vi-
sion of spiritual evolution and system of Integral Yoga gather
in communities throughout the world. Best known are those
AUSTRALIAN INDIGENOUS RELIGIONS: AN
OVERVIEW
who have begun construction of Auroville, a city near Pondi-
cherry designed to embody Aurobindo’s ideal for a trans-
The opening ceremony of the Sydney Olympic Games began
formed humanity, and the ashram at Pondicherry where
at dusk on September 15, 2000, with a fanfare of charging
Aurobindo himelf lived for forty years.
Aussie stockmen, dignitaries, flags, and anthems. Then the
floor of the huge stadium was cleared.
BIBLIOGRAPHY
The sound of gulls signaled sea’s edge. A golden-haired
The complete works of Aurobindo are available in the “Sri Auro-
girl in pink beach dress skipped into the stadium, placed a
bindo Birth Centenary Library,” 30 vols. (Pondicherry,
beach towel down on the sand, and laid back. The Australian
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
635
television commentator explained: “The opening ceremony
six hundred Indigenous nations. Over two hundred Aborigi-
tonight is designed to encapsulate the evolution of Australia
nal groups representing over 250,000 Indigenous Austra-
from its ancient Indigenous origins to a modern twenty-first
lians. This is an awakening.”
century society. A wide brown land linked inextricably to the
Indigenous peoples’ roots on the continent reach back
sea. It is now, and always has been, a land of dreams.”
at least forty to sixty thousand years and possibly longer. The
Giant marine creatures floated into the stadium. Sud-
British active colonization of the continent dates back only
denly and dramatically the “dream girl” rose, swimming her
to 1788. Though the categories and numbers stated by
way to the surface many meters above the stadium floor. Sta-
Dingo might be contested in their precise detail by a variety
dium Australia was transformed into an ocean in which a
of experts, the sentiment he expressed is important. There
deep-sea choreography was performed against the back-
is no single Indigenous religion in Australia. There are many.
ground of a rich symphonic score. The giant screen declared
There is no single Australian Indigenous experience. There
this segment of the opening ceremony to be:
are many.
“Réve des profoundeurs oceans. Deep Sea Dreaming.”
Australia is an island continent. It stretches across thirty
As the last notes of the deep-sea score were conducted,
degrees of latitude in the Southern Hemisphere. The “Top
a deep male voice addressed the audience from the dais. He
End” of Australia reaches toward Papua New Guinea and In-
addressed the world in a language incomprehensible to most.
donesia and is subject to monsoon weather patterns. In the
Clap sticks and didgeridoo accompanied his address. The
south of the continent the climate is temperate and includes
man, his body clad in loin covering and white clay, was un-
alpine regions that are snow-covered each winter. The center
ambiguously Aboriginal. Around his neck hung a clear signi-
of the continent is a vast area of arid desert subject to extreme
fier of his power as an Indigenous man. With the spotlight
heat in the summer months and freezing overnight tempera-
focusing on him the stadium was grounded once more. The
tures in the winter.
giant screen announced this segment of the four-hour open-
Although they belong to many specific cultural groups,
ing ceremony: “Awakening.”
Indigenous people in Australia are often described collective-
The young Australian girl who swam in the heights of
ly as “Aboriginal” (referring generally to Indigenous people
the stadium and dived to resurface on its sea floor was Nikki
from the mainland and the southern island of Tasmania) or
Webster, a thirteen-year-old actor and singer born and bred
“Torres Strait Islander” (referring to those Indigenous people
in Sydney. The tall Indigenous performer on the dais was
coming from the hundreds of islands between the tip of the
Djakapurra Munyarryun, born in the “remote” settlement of
mainland and Papua New Guinea). It has become customary
Yirrkala and brought up in the “Top End” region of Arnhem
to refer to Indigenous Australians associated with the main-
Land in Australia’s Northern Territory. Presented in the
land as Aboriginal people with a capital A as a mark of respect
“Awakening” segment of the Sydney 2000 opening ceremo-
for their “proper” status as a group of people. Before the
ny were many of the themes taken up in this overview article.
1970s the term Aboriginal was not accorded the status of a
They will be used to signpost the discussion.
proper noun in Australian usage. Since the mid-1990s the
referent “Indigenous Australians” has become popular.
Understanding Indigenous religions in Australia must
take relations between people, territory, and history as its
The federal, or commonwealth, government has devel-
starting point. The first major section of this article will out-
oped (since the late 1960s) an administrative definition of
line themes for a continent-wide understanding of Australian
Aboriginal and Torres Strait Islander people by reference to
Indigenous religions. The discussion will be broad, teasing
their descent, identification, and community acceptance.
out underlying themes that resonate but are not necessarily
Under this definition an Aboriginal or Torres Strait Islander
the same in Australia’s hundreds of Indigenous religious tra-
is someone “of Aboriginal or Torres Strait Islander descent
ditions. Then the article will travel west to the central region
who; identifies as being of Aboriginal or Torres Strait Island-
of Australia via the Olympic performance of a section of the
er origin and who is; accepted as such by the community
Seven Sisters Dreaming by Central Desert women. The arti-
with which the person associates.”
cle will pause to explore a particular example of Central De-
Aboriginal and Torres Strait Islanders are a minority
sert culture: the Warlpiri people. Then the article will track
group in Australia. In the 1996 census people identifying
north, as the opening ceremony did, to the Yolngu people,
themselves as Aboriginal or Torres Strait Islanders comprised
whose homelands are in the north of Australia, in Arnhem
2.1 percent of the total population. Only in the Northern
Land. From there the article will go south to examine the
Territory, which arguably was the last outpost of the colonial
contested religious heritage of the Ngarrindjeri people,
frontier, did Indigenous people make up a significant pro-
whose homelands are near the capital city of South Australia,
portion of the population as a whole, 27 percent. It is in the
Adelaide.
Northern Territory and in the more remote or “outback”
CONTINENTAL THEMES. In his introduction to the “Awak-
areas of the states of Western Australia, South Australia, and
ening” segment of the Sydney Opening Ceremony, Ernie
Queensland that “traditional” practices are understood to
Dingo continued: “Over forty thousand years of culture with
continue to underpin everyday life. In the longer-settled “fer-
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636
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
tile fringe” of the continent, around cities towns and cultivat-
As hunter-gatherers there was little need for complex
ed lands, Indigenous traditional practices are popularly un-
built structures. Their kin-based society did not give rise to
derstood to have been disrupted if not destroyed. This sets
hierarchical political structures. Australia’s Indigenous peo-
up a broad “primitivist” dichotomy in popular Australian
ple built simple shelters to sleep under. They camped behind
discourse between remote-traditional societies and settled-
natural windbreaks. Men hunted with simple but sophisti-
nontraditional Indigenous peoples and areas. In reality the
cated tools like boomerangs and spears with specialized
circumstances of all Indigenous people in Australia have been
launchers. They traveled over the water in bark canoes. They
transforming since before 1788 in a continuum of history
netted, trapped, and speared fish. Women were by and large
and experience.
gatherers, harvesting grasses, berries and fruit, small reptiles,
insects, mussels, and shellfish. Grinding stones, wooden
National statistics also give Aboriginal and Torres Strait
dishes, and digging sticks were among their key tools across
Islanders a number of dubious distinctions that reflect their
the continent. Sophisticated stone tools were keys to many
experiences of colonizing processes. Aboriginal and Torres
tasks, including the making of other specialized tools.
Strait Islander peoples as a group have worryingly low life ex-
pectancies and high levels of illness and disease. They suffer
Aboriginal people did not hoe and cultivate the land as
high levels of violence and crime. They are disproportionate-
European settlers came to do. Australia’s hunter-gatherers
ly imprisoned. They have relatively low educational and em-
moved lightly over their lands and waters. Though it is a
ployment levels. They have low income levels. And as the
matter of live debate, some scholars are of the view that in
High Court of Australia noted in the landmark Mabo native
many parts of the continent Indigenous people nurtured the
title judgment, the homelands of most Aboriginal people in
productivity of their homelands with incipient “farming”
Australia have been alienated from them “parcel by parcel.”
practices. They managed the country with selective burning
referred to as “fire stick farming,” cultivated practices to nur-
Prior to colonization there were probably, as Max Char-
ture the growth of plants for harvesting; engaged in “fish
lesworth suggests in his review of the literature on Aboriginal
farming” with the construction of eel traps and fishponds;
religion in Religious Inventions (1998), around five hundred
and used dams and weirs to increase natural productivity.
distinct Aboriginal groups in Australia using more than two
In the “Top End” of the Northern Territory, Yolngu
hundred distinguishable languages. Each of these groups had
people in Arnhem Land had long-term relations with Macas-
its own territory or “country.” Each had a specific social sys-
sans from what is now part of Indonesia, probably from the
tem and laws. Each spoke a particular language or dialects
sixteenth century forward. The situation in the Torres Strait
of a larger language group. Before European colonization
Islands was also somewhat different, their practices revealing
began in 1788, Indigenous people lived as members of hun-
extensive links with Melanesian peoples. Torres Strait Island-
dreds of different cultural and landholding groups across the
ers, by contrast with most mainland Aboriginal peoples, were
continent. At the start of the twenty-first century most of
not predominantly hunter-gatherers. They owned and culti-
Australia’s population is urban and most towns and cities can
vated gardens and harvested marine life in designated fishing
be found in the more fertile coastal fringe of the continent.
grounds.
Indigenous people continue to live across the continent, but
many of their traditional homelands have been alienated, and
Indigenous life in local groups was a complex, inter-
many more Indigenous Australians live in towns and cities
twined whole. Religion could not be separated from facets
than live in the homelands of their ancestors.
of their lives like land ownership and subsistence, or their in-
teractions with others in marriage, trade, and warfare, or
It is generally accepted that prior to colonization most
their understandings of the cosmos. Each of these facets, now
Indigenous people on the mainland of Australia were hunter-
given English-language names, underpinned the rich fabric
gatherers. Small groups of relatives, often between five and
of people’s lives in ways that did not divide them from
fifty people or more in the most fertile regions of the conti-
others.
nent, moved as extended families, hunting, gathering, and
camping in their territories. In rich ecosystems, population
Central to their existence were people’s connections to
densities were higher, and it seems that there Indigenous
specific territory. In contemporary times the English term
people were able to be more sedentary, at times moving be-
country is frequently used to refer to Indigenous territories.
tween winter and summer camps. The area now called Syd-
Countries included both land and waters (inland and sea).
ney includes such rich cultural and natural areas. In the Tor-
A pivotal idea shared by most if not all Indigenous traditions
res Strait Islands, Indigenous people were more like their
is that “country” is sacred and imbued with the powerful and
northern Melanesian neighbors and interacted with them in
immanent spirits of ancestors. “Country” was, before the dis-
their everyday lives. In arid areas, particularly the inland de-
ruptions of colonization and “settlement,” vested in groups
serts, population densities were lower, and Indigenous peo-
of varying sizes and territorial range: clans, tribes, and na-
ple moved around their territories and, with permission,
tions with their own specific understandings of the world,
crossed into those of their neighbors. They hunted with tools
practices, and ways of being.
made from resources in their local environments or traded
The Australian continent was crisscrossed by a complex
in from other groups.
web of religious, marriage, and trading relationships 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
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
637
highlighted and managed the differences between particular
digenous people live in cities, towns, and “settled regions.”
peoples, boundaries, beliefs, and practices. Some trade routes
In remote areas the lives of many so-called traditional people
moved resources, including the religious resources of myth
are now centered on remote settlements—former mission
and ritual, between disparate groups. Other trading relation-
stations, now small townships with residents from a number
ships operated in much more localized regions.
of different Indigenous groups and territories. Some of these
settlements were established early in the colonial period; oth-
Ceremonies and rituals brought people together in larg-
ers were established after World War II. The focal position
er groups when the season or time was ripe. The extended
of such settlements persists despite a constellation of home-
families that were the general basis of Indigenous hunting-
land settlements established when people moved away from
gathering life came together usually in the seasons of plenty
service-providing townships to create smaller settlements
to undertake larger affairs. These periods might bring hun-
(often called “outstations”) on their homelands in a move-
dreds of people together for periods of several weeks. Thus
ment dating from the 1970s. Indigenous settlements and
various configurations of landholding groups were usually
towns provide the basic infrastructure of government ser-
well represented at these gatherings and indeed needed to be
vices: schools, transport nodes, power, water, sewerage man-
so that the “business” being celebrated would have an
agement, water services, and in some communities, television
“owner,” “managers,” and “visitors” present to ensure its ac-
stations and museums. Indigenous Australians in longer and
curacy and efficacy. Indigenous people undertook rituals to
more intensively settled parts of Australia predominantly live
maintain the fertility of country and all the living beings it
in the suburbs of towns and cities. A minority live in “fringe
supported. They performed rites of passage that made people
camps” on the peripheries of towns and cities.
more human and gave them insights into the nature of their
world and what it is to be human. In the context of large cer-
GROUNDS OF BEING. From the spotlight on Djakapurra
emonial gatherings, marriages were arranged, disputes set-
Munyarryun addressing the audience on the stadium’s dais,
tled, and valuables traded.
attention shifted back to the stadium floor. Nikki Webster
Many Indigenous people were multilingual, under-
in her pink beach dress was again visible as a huddled group
standing as many as a score of languages. Yet no Indigenous
of white ochre-daubed dancers parted to make space for her
person understood or even knew about the many more hun-
to move. These performers were also recognizably Indige-
dreds of languages beyond that of their homeland and re-
nous. They seemed to pursue the golden-haired girl toward
gional neighbors. By the time of the 2000 Sydney Olympics
the dais. They moved beside and behind her with their heads
about a hundred Indigenous languages remained in everyday
down and torsos bent low, clasping their hands behind their
use in Australia. Of these only around twenty had a suffi-
backs.
ciently large and concentrated “community of speakers” to
Nikki Webster glanced back at her pursuers with evi-
make it possible for children to learn them as their first lan-
dent uncertainty and concern. Finally the young Australian
guages. Yolngu Matha, the language in which Djakapurra
girl climbed the stairs toward the tall Aboriginal man and
Munyarryun addressed a global audience in the Sydney
was picked up by performers and placed beside him on the
“Awakening” ceremony, is one he learned in his own “Top
dais. She knelt. Looking. Learning. The scene was punctuat-
End” homeland. It is among the diminishing number of In-
ed by a white cloud as the Aboriginal man clapped his ochre-
digenous languages that remain strong and vital.
filled hands above her. The voice of Indigenous commenta-
The composition of the “Awakening” segment points to
tor Ernie Dingo elaborated: “The deep-sea dream of young
the diversity of Indigenous religious and cultural experience
Australia is transformed by an undeniable call from an an-
in Australia. Some performers were from the long-settled fer-
cient heritage by the Dreamtime spirits of another age, but
tile northern rivers region of New South Wales (the host
a culture very much alive.”
state commonly abbreviated as NSW); others were from Syd-
ney, the host city. Others, such as women from the Central
Ernie Dingo’s statement of ancient Indigenous roots
Desert regions that cross the states of South Australia, West-
and contemporary vitality was significant. So too were refer-
ern Australia, and the Northern Territory, the Yolngu people
ences to an ancient heritage of Dreamtime spirits. In this
from Arnhem Land, and the Torres Strait Islanders continue
Dingo pointed the audience to what has become the key con-
to live everyday lives, albeit under conditions different from
cept for understanding most Australian Indigenous religious
that of their forebears, through which they maintain a strong
traditions. These concepts link the religious lives of Indige-
connection to their ancestors, their country, and their
nous people from the forty thousand and more years before
traditions.
the continent’s settlement by non-Indigenous people and the
two hundred and more years since.
But such locally founded identity is not the experience
of most Indigenous people. Australian Bureau of Statistics
The idea of Dreaming, the Dreamtime, and Dreamtime
census figures suggest that in 1996 only 29.1 percent of Ab-
Spirits has wide usage, is key to understanding Australian In-
original and Torres Strait Islander people “identif[y] with [a]
digenous Religions, and the words are not restricted to Indig-
clan, tribal or language group,” and only 31 percent live in
enous or non-Indigenous speakers. Though these terms have
their “homelands/traditional country.” Most Australian In-
become general in their usage, they had their origins in the
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638
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
translation of a specific term by a specific group by research-
Deborah Bird Rose put it this way in Nourishing Ter-
ers working in the late eighteenth century.
rains (1996):
The concept of the Dreaming can be understood as that
The Australian continent is criss-crossed with the tracks
transcendent aspect of power through which all key elements
of the Dreamings: walking, slithering, crawling, flying,
of the cosmos—material and immaterial—have their origins
chasing, hunting, weeping, dying, giving birth. Per-
and remain connected. The essence of the Dreaming is in the
forming rituals, distributing the plants, making land-
Indigenous principles of formation, order, and knowledge.
forms and water, establishing things in their own places,
Most Indigenous traditions in Australia share basic ideas
and making relationships between one place and anoth-
er. Leaving parts or essences of themselves, looking back
about the place of Aboriginal people in their cultural world,
in sorrow; and still travelling, changing languages,
and it is the “business” of contemporary Indigenous people
changing songs, changing skin. They were changing
to continue these ideas in order to maintain that world.
shape from animal to human and back to animal and
Across the continent Indigenous people take as the bedrock
human again, becoming ancestral to particular animals
of their being (or believe that their ancestors did so in the
and particular humans. Through their creative actions
past) deep ideas of transcendent form and relatedness and the
they demarcated a whole world of difference and a
enduring entailments of these connections.
whole world of relationships which cross-cut difference.
(Rose, 1996, p. 35)
The terms Dreaming, or Dreamtime, mentioned in the
Olympic “Awakening” ceremony are used to refer to the “the
Dreaming stories, countries, people, and all living things are
ancient past” in which all Indigenous life was founded. For
differentiated. Although the idea of the Dreaming founds all
many it endures from its ancient formational time into the
life, particular people and particular groups of people have
present and future. The anthropologist W. E. H. Stanner,
rights and responsibilities for specific segments of stories,
in White Man Got No Dreaming (1979), called it “the every-
tracks, movements, and the sacred: dances, designs, and sa-
when.”
cred objects. A single person will generally have relationships
As Howard Morphy has suggested in “Empiricism to
and therefore responsibilities to a number of specific ances-
Metaphysics: In Defense of the Concept of the Dreamtime”
tral figures and tracks. People make those parts of the
(1995), Dreaming is part of a group of related terms that can
Dreaming for which they have responsibility manifest in the
be found in most if not all Australian Indigenous languages.
organization and performance of ritual and the realization of
Such sets of terms refer to ancestral figures, their actions and
the powers of their “everywhen” in sand, on rock, on bodies,
powers, and sacred things and doings that connect living be-
and on canvases. They sing them into power and dance their
ings to them.
presence. In doing so they continue the Dreaming and carry
out their responsibilities for its endurance.
The ideas behind such sets of terms are thoroughly
grounded in the premise that people properly belong to spe-
Living human beings keep particular segments of the
cific areas or “countries” that were created by their own an-
Dreaming alive: by keeping the rules of practice laid down
cestral spirits. Indeed “country” itself was formed long ago
by the founding beings, dancing the segments to which they
as these powerful transcendent beings moved across the land-
have rights, repeating their actions and their tracks in the
scape or stayed as forms within it. Ancestors left tracks and
landscape, “singing” the country in a language that the spirits
sometimes their own bodies in the areas through which they
of the dead can hear, dancing and re-creating the ancestors
moved. These tracks gave the land and waters a form that
and their actions, living in ways that nurture continued life,
endures in the early twenty-first century. Thus in some In-
and guarding the propriety with which others do so.
digenous traditions mountains are the shelters that ancestors
left behind as they traveled. A bend in a river may be a
Social orders were also established in the foundational
Dreaming figure’s elbow or knee or the sweep of a giant an-
“everywhen” of the Dreaming, including clans, “skins” (sub-
cestral fish. Sand dunes are the kinetic tracks of women who
sections), totems, and other groupings of identity, relation-
danced in the “Dreamtime” or the windbreaks behind which
ship, and regulation. Particular human groups are allied with
they camped. Islands are the ossified remains of ancestors or
natural species or forces and given responsibilities for their
the objects they carried. Ancestors created or were the natural
vitality and endurance. Religious action is predicated on the
species that fill the land and waters.
cooperation of different groups of people who have different
roles in performance and in many regions a critical distinc-
Dreamings in the broadest sense then are power-filled
tion is made between the “owners” of ritual and the “manag-
landforms, stories, spirits, stars and natural species as well as
ers” who must survey proceedings and ensure that things are
natural forces like rain, sun, whirlwinds, and waters. They
properly done.
initiated relationships. Contemporary human beings are the
descendents of these powerful beings with all the responsibil-
In Indigenous social orders gender is a fundamental
ities of relatedness and enduring connection. Countries are
point of differentiation as well as cooperation. Males and fe-
sacred and have particularly sacred places because of their an-
males have mutually entailed knowledge, roles, and responsi-
cestral connections. Specific natural species are kindred: to-
bilities in the world. These things were established in the
temic protectors and friends.
foundational orders of the Dreaming.
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
639
Critical stages in human life too were established in for-
by others, to participate in action and constructions but not
mational times and events as well as the rites for human pas-
to gain rights to repeat them in any way.
sage: they included in some societies birth rituals, initiation,
Another broad feature of Indigenous traditions is an in-
and mortuary ceremonies. In some traditions human con-
sistence as ideology that things that have come from the
ception was animated as spirits entered a woman in particu-
Dreaming are unchangingly “everywhen”: that the Dream-
lar places (often those associated with water), enlivening a
ing and its consequences are not subject to innovation and
fetus within her. Such places come to be regarded as the per-
that “things have been this way for forty thousand years.” Yet
son’s “conception place.” These connections gave rise to spe-
many traditions also admit the possibility of “rediscovering”
cial relationships, rights, and responsibilities. Rituals for
things temporarily lost or the gaining of new insight or elab-
maintaining the fertility of country and species more general-
oration in the inspired dreams of living humans. The am-
ly were also given to human beings from foundational ac-
biguity of layered systems of knowledge also makes space for
tions. In this way too laws of living were established and pun-
new understandings and sometimes in turn new practices. It
ishments and rewards set down for tradition.
is also clear that new rituals, performances, and objects move
Complex processes of concealment and revelation are
between groups from time to time and probably that they
pivotal in the life of many Indigenous traditions and prac-
have long done so. And clearly the Dreaming has also found
tices. Some practices are open and public. Others are restrict-
new ways of life: in the expression of Dreaming designs in
ed. Knowledge, practice, and power in such traditions are
paintings on canvas using acrylic paints, for example, and in
frequently layered and segmented. With the pioneering work
performances like those at the Olympics, where new group-
of Phyllis Kaberry, Catherine Berndt, and Diane Bell has
ings of Aboriginal people are linked into an overarching per-
come a deeper understanding of the positions and roles of
formance message before different and radically enlarged au-
Indigenous women in their societies. Many Indigenous tra-
diences and with performances adjusted for this
ditions are organized around age and gender-based divisions
unprecedented context.
of religious cooperation, knowledge, and work. Some mat-
The “Awakening” segment of the Sydney opening cere-
ters were restricted to women, some to older women, some
mony, with its three to four billion viewers worldwide,
to women with several children. These matters and responsi-
brought together seven different Indigenous groups and per-
bilities are now often referred to as “women’s business.” Oth-
formers from all corners of the Australian continent in an in-
ers were restricted to men and are referred to as “men’s busi-
novative performance of different traditions lasting just over
ness.” Both sides of business required the complementary
eleven minutes. These different performances were linked to
participation of the other and entailed negotiations of who
create an innovative “story.”
knew what story and who could claim knowledge. The bal-
ance as to who takes the lead depends on the purpose of the
This was far from the first time Indigenous cultural pro-
ceremony and varies across the continent.
ductions went global, though clearly this was Indigenous
Australians’ largest and most widely based global audience.
Rituals, objects, and designs commonly have many
Australian Indigenous art, based in artists’ own Dreamings,
meanings in these traditions. Revelation and knowledge of
had moved out of ethnographic museums into art galleries
spiritual matters were graduated. Some sacred matters were
by the 1980s. Public institutions commission Indigenous art
more narrowly restricted within gendered knowledge. It is
to hang on walls in public view. When Australia’s new Parlia-
not uncommon, for example, for novices in initiation to have
ment House opened in 1988, it featured a commanding fore-
less-restricted knowledge about stories or the nature of prac-
court paved with a mosaic by the Western Desert artist Mi-
tices, designs, or the sacred revealed to them while the adepts
chael Nelson Tjakamarra. The same year the Asia Society in
who bring this knowledge withhold other “inside” meanings.
New York hosted the exhibition Dreamings: The Art of Ab-
As ritual experience and adeptness is gained, so too is inside
original Australia. Australian Indigenous art now sells widely
knowledge.
and commands high prices in global art markets. Exhibitions
But it is also crucial to recognize that knowledge has
of Indigenous art tour the world.
power in such societies. It is not given away freely. For this
Indigenous cultural performance has also gone global.
reason Eric Michaels, in “Constraints on Knowledge in an
The Bangara Dance Theatre, whose director, Stephen Page,
Economy of Oral Information” (1985), has written of such
was codirector of the “Awakening” segment of the Sydney
systems as forming an “economy of knowledge.” Founding
2000 opening ceremony, has been presenting contemporary
practices in which gender, age, ritual status, and divisions of
Indigenous dance to international and Australian audiences
esoteric knowledge were laid down also established the basis
since 1989. The Arnhem Land rock group Yonthu Yindi
of different rights and obligations in these economies of
sings Yolngu messages that are broadcast to large audiences,
knowledge: to come into and see special sacred places or to
and Yolngu elders invite influential outsiders to come and
turn one’s back and stay away, to tell and reenact specific an-
learn from them at Garma festivals held in their homelands.
cestral actions in ritual, to sing but not to dance, to dance
but not to sing, to paint bodies or to be painted, to see and
Traditional religious acts and performances, ordinarily
hear restricted knowledge, to oversee specific performances
set in the country made by Dreamings, have also gone inter-
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640
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
national. Often they are part of the opening of exhibitions
Mythological and ceremonial knowledge . . . has un-
of Indigenous art. In “Culture-Making: Performing Aborigi-
doubtedly in some sense diminished since the turn of
nality at the Asia Society Gallery” (1994), Fred Myers has
the century: yet initiation continues, dreamings are
documented the complex negotiations and performances
transmitted and enhanced, and old stories and songs
through which sandpaintings were constructed in New York
now sit side-by-side with new stories and songs about
Jesus and Mary, God and Satan, and Adam and
as part of the opening of the 1988 Dreamings exhibition.
Eve. . . . Some Western Aranda men are now very
Men from the small and remote Aboriginal community of
prominent in the Lutheran Church, but they have not
Papunya, 160 miles from Alice Springs, traced sandpaintings
thereby forsaken their countries or their dreamings or
ordinarily grounded in their remote homelands, albeit adapt-
their kinsmen. This would quite simply be unthinkable.
ed to this particular and peculiar audience and context.
(Morton 1991, p. 54)
In January 2000 Warlpiri people from the Central De-
THE AUSTRALIAN POLITICS OF INDIGENOUS RELIGIONS.
sert presented a “One Family corroboree” at the Baptist
Nikki Webster, the young Australian star of the opening cer-
World Alliance Congress in Melbourne in which they paint-
emony, was pursued by clay-daubed “awakening spirits”
ed strong Warlpiri iconographs on their bodies for their per-
along the stadium toward the stairs of the dais from which
formance of a “Christian purlapa” (Christian public ceremo-
Dkakapurra Munyarryun spoke. She joined him on the dais.
ny). As Ivan Jordan documents in Their Way (2003), the
Ernie Dingo said: “The young Australian girl is now part of
designs they painted on their bodies and the songs and
the land’s ancient culture, for her too to share. First of all
dances they performed were “dreamed” into being in small
to understand the origins of where it all came from.”
Central Desert communities.
Dingo’s call was understood by many Australians in the
Indeed as many as 75 percent of the nation’s Indigenous
audience to address political debates from the years running
people call themselves Christian. Some might be said to have
up to the Sydney 2000 Olympics. The peak national Indige-
converted from the religious life of their ancestors to Chris-
nous body, the Aboriginal and Torres Strait Islander Com-
tianity. For many others Christian ideas sit side by side in
mission (disbanded by the Australian government in 2004),
a now enlarged cosmology in which the forces that founded
said of the Indigenous performance:
Indigenous countries and for which human beings have re-
sponsibilities include ancestral figures as well as God and
The Sydney Olympics will help shine a spotlight on Ab-
Jesus Christ. And understandings about the nature of the
original culture and its historical plight. The attention
human condition are told in stories about the formational
should prove uncomfortable to the Australian govern-
actions and powers of Dreaming figures as well as with those
ment. The nation has made great strides on the racial
front in recent decades, but it is showing some distress-
drawn from the Bible.
ing signs of weariness from the progress, and a resis-
The concept of the Dreaming or Dreamtime has had
tance to march onward. In recent months, the Austra-
a central place in Indigenous and popular Australian parlance
lian government has ceased cooperating with United
for many years. It has long been a central though sometimes
Nations human rights monitors looking into the status
contested concept in academic analyses of Indigenous reli-
of Aborigines and has opposed calls for an official apol-
gion. The use of these English-language terms originated
ogy for past wrongs.
from a translation of a particular term in a particular Indige-
The 1990s began with hope for acknowledgment and recon-
nous language group (the Aranda or Arrente) in the late eigh-
ciliation. A wide-ranging national inquiry of the executive
teenth century. Their contemporary use carries the danger
government (the Royal Commission into Aboriginal Deaths
of homogenization: of concealing cultural difference be-
in Custody) listened carefully to bereaved Indigenous people
tween the hundreds of Indigenous groups in Australia. This
as well as a range of other witnesses. The inquiry found that
issue will be addressed in the following sections.
fundamental disadvantage underlay the disproportionate in-
But the strength of the English terms’ usage, as Morphy
carceration rates (and consequent high death rates) of Indige-
has shown, is that these concepts overlap semantic fields or
nous people in Australia. It recommended systemic change
sets of related terms in most if not all Aboriginal languages.
in legal and social institutions and practices. This gave some
Morphy has suggested that the term “signifies a semantic
Indigenous Australians hope for their children’s future. It
field in Aboriginal languages, the significance of which be-
suggested that “reconciliation” between Indigenous and set-
came relevant in the context of postcolonial Aboriginal dis-
tler Australians might be possible.
course. The term fitted a lexical gap in Aboriginal languages,
Indigenous hopes were raised too in 1992, when the
a lexical gap the colonial conditions made it more necessary
High Court of Australia recognized the prior ownership and
to fill. It was an anthropological term that was adopted by
native title of the Meriam people of the Torres Strait in the
Aboriginal people because of its salience to them” (Morphy,
Mabo case. The following year an act of the commonwealth
1995, p. 178).
(federal) parliament gave Indigenous claimants across the
If the term Dreaming can be traced back to early at-
country a right to have their native title claims tested and de-
tempts to understand the terms of Aranda-Arrente religious
clared by the federal court (the Native Title Act of 1993).
life, it should be kept in mind, as Morton has noted, that:
In overturning the doctrine of terra nullius (that the conti-
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
641
nent at settlement was a land without owners and therefore
man continued to sing and address the audience in his own
open to be legally taken and colonized), the High Court of
language. Ernie Dingo explained again to television viewers:
Australia noted in its judgment that “Aborigines were dispos-
“Djakapurra, the song man, calls the visitors to listen to the
sessed of their land parcel by parcel, to make way for expand-
sounds of the earth, to meet an ancient past and awaken the
ing colonial settlement. Their dispossession underwrote the
spirits within.”
development of the nation.”
Djakapurra Munyarryun, the key Indigenous performer
The new legislation gave Indigenous people the oppor-
in the opening ceremony of the Sydney Olympics, is an Ab-
tunity to claim native title on crown land—land whose title
original man. More particularly he is a Yolngu man. Yolngu
had not been sold or transferred to others in legal contracts
is the term six thousand people in Arnhem Land use to iden-
but was still held by “the crown.” The primary questions be-
tify themselves to others as Indigenous people.
fore the courts in native title claims is whether Indigenous
claimants were owners of crown land through their own sys-
Djakapurra Munyarryun is a member of a specific Yol-
tem of custom and law (which would have to be demonstrat-
ngu clan reported to be the Wan’gurri clan. The homelands
ed) and whether they have maintained their connection with
of the Wan’gurri are Dhalinbuy, inland and roughly south-
the land they claim. The Native Title Act promised limited
west of the township of Yirrkala and the Nhulunbuy-Gove
access to native title rights and recognition across the nation.
area (the site of a large bauxite mine and its associated town-
ship).
It was the Land Rights (Northern Territory) Act of
1976 that put Australian Indigenous religions squarely on
Yolngu clans like the Wan’gurri are made up of people
the agenda of public debate in Australia. That act, which was
related to each other through their fathers. They are a group
limited in its operation to the Northern Territory, put Ab-
because they share a common ancestor (usually about five
original peoples’ religious lives at the heart of their claims to
generations distant) through their patriline (father’s line),
land. A key test in land claims turned on Aboriginal peoples’
but also because they are linked by being created on land by
spiritual affiliation with the land. According to the legisla-
a particular Dreaming ancestral figure and as part of a partic-
tion, it was “Traditional Aboriginal owners” who could make
ular story of creation. Clan members, led by elders, are custo-
claims for land. But the claimants had to constitute “a local
dians of specific tracts of country for which they have partic-
descent group of Aboriginals who have common spiritual af-
ular responsibilities. Each clan claims and looks after
filiations to a site on the land, being affiliations that place the
particular tracts of country (land in coastal areas, the sea) and
group under a primary spiritual responsibility for that site and
have a specific set of sacred objects, songs, dances, and de-
for the land, and are entitled by Aboriginal tradition to for-
signs that are underwritten by the activities of particular an-
age as of right over that land” (emphasis added).
cestral figures.
Ideas about Indigenous beliefs and traditions later un-
The Wan’gurri clan of which Djakapurra Munyarryun
derpinned the federal “safety net” heritage act, which offered
is a member belongs to the Yirritja moiety. Other Yolngu
Indigenous people a way to protect areas or objects of signifi-
clans belong to the opposite and complementary Dhuwa
cance to their tradition from destruction or desecration when
moiety. Everything in the Yolngu world is part of one moiety
all other means had been exhausted. In the Aboriginal and
or the other. Yolngu people become a member of their fa-
Torres Strait Islander Heritage Protection Act of 1984, “Ab-
ther’s moiety at birth (and are such prior to birth in a dead-
original tradition” means the body of traditions, observances,
spirit-to-newborn continuum). In Yolngu tradition they
customs, and beliefs of Aboriginals generally or of a particu-
must marry a member of their mother’s moiety, for it would
lar community or group of Aboriginals and includes any
be incestuous to marry into the moiety they share with their
such traditions, observances, customs, or beliefs relating to
father. Many Yolngu religious obligations can be discharged
particular persons, areas, objects, or relationships. A critical
only in cooperation with people and clans of the opposite
question then becomes: Who defines tradition and according
moiety. They require particular ceremonial events to be con-
to what criteria?
ducted in the presence of members of both moieties. For ex-
Thus, Australian Indigenous religions have been made
ample, some dances and designs held by one clan are only
to count in a number of facets of Australian affairs. This has
to be used under the supervision of members of another clan
brought Australian Indigenous religions into a spotlight of
belonging to the opposite moiety. This is often described as
controversy and contestation. Indigenous people became by
the yothu-yindi (child-mother) relationship between an indi-
the mid-1990s a target of political skepticism. Some have
vidual’s own clan and his or her mother’s clan. Thus the duty
been accused of fabricating traditions and beliefs they sought
to observe and supervise the activities of another clan is akin
to have acknowledged as significant under Australian law. In
to the responsibility of a mother providing advice and guid-
this context the commentary that “the young Australian girl
ance to her child.
is now part of the land’s ancient culture, for her too to share”
When Yolngu people refer to themselves, they frequent-
had a particular salience.
ly use specific terms that identify them with a narrower
PARTICULARITIES: PERSON AND IDENTITY. As Nikki Web-
group of people, such as a specific clan group, that possesses
ster joined Djakapurr Munyarryun on the dais, the Yolngu
its own language dialect which is associated with one or more
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642
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
homelands and that shares ancestral totems, songs, and de-
was formed in 1980. The words of a senior member of the
signs associated with and bestowed upon them by particular
council were translated and appeared as subtitles in the film
Dreaming ancestors responsible for the creation of their clan
Minymaku Way. They read:
lands. More narrowly still Yolngu clan members identify
There are many of us living across a huge area of coun-
themselves as belonging to a family or particular patriline
try [in fact the area is 350,000 square kilometers of the
(which since mission times have come to be identified by dis-
interstate desert areas]. Our country belongs to us An-
tinct surnames). Djakapurra’s second name, Munyarryun, is
angu people and we have our own ways, our own lan-
such a name.
guage and we women want to keep these ways alive, es-
In 1991 Djakapurra Munyarryun moved as a young
pecially while there is so much tragedy in our lives. That
man to Sydney to become a performer and cultural consul-
is why we formed the Women’s Council.
tant for the Bangarra Dance Theatre. He remained a full-
Minymaku Way tells the story of the council’s first twenty
time member of the company until 2002. As a member of
years. It tells of how the council was formed in 1980 during
Bangarra, Djakapurra Munyarryun embodied long-standing
the fight for land rights, a fight from which women—despite
links between the dance company and Yolngu peoples in
their business and traditions—were silenced and excluded.
Arnhem Land, where members of the company traveled,
It tells also of contemporary programs arising out of “worry
viewed dance in its ceremonial context, and held contempo-
for families,” as the non-Anangu worker Maggie Kavanagh
rary dance workshops in local venues. As the Bangarra Dance
put it. Prominent among Women’s Council programs are
Theatre web page notes: “Djakapurra contributes far more
care for the aged, disability services, domestic violence, nutri-
than dancing, singing and didjeridu playing. He is a creative
tion programs, and substance abuse (alcohol, marijuana, and
consultant, linking traditional past and contemporary pres-
petrol sniffing).
ent as he moves between his remote community, Sydney and
international tours that have taken him around the world”
Minymaku Way also tells that a major item on the agen-
(www.bangarra.com.au).
da of the twenty-year anniversary general meeting of the
council held at Kanpi (about a seven-hour drive from Alice
PARTICULARITIES: THE SEVEN SISTERS. The “Awakening
Springs) was to decide on one song, dance, and body paint-
Spirits” dance that moved Nikki Webster to join Djakapurra
ing for their performance at the opening ceremony of the
Munyarryun on the podium finished with a puff of dry ochre
Olympic Games, a context for them to showcase their
(a dry white clay powder). As Nikki Webster knelt watching
strength and culture “for all the world to see.” The meeting
and learning beside the song man, the high pitch of many
at Kanpi celebrated the roots of the Women’s Council in the
women’s singing voices turned viewers’ attention to the other
singing of the “Land Rights Song” that appeared as subtitles
end of the stadium. Television viewers saw from overhead
on-screen as the women sang in their own language:
three hundred women proceeding in a pendulous elongated
group up the stadium. At ground level the women could be
It is our grandfathers’ and our grandmothers’ country
seen entering the stadium with their hands clasped behind
from a long time ago. Listen everybody! This is our sa-
their backs. Then, as they hastened down the stadium, they
cred land. This is a really true story. Why don’t you lis-
brought their arms to their sides, with elbows bent in a styl-
ten to us? Listen everybody! Listen everybody! This is
ized movement. The women wore only black skirts and red
our land, our beautiful land.
headbands. Their breasts were painted with lined designs of
The decision about what they would perform at the Olym-
white, yellow, and red.
pics was a difficult one. Many women from different com-
“This, inma kunga rapaba,” Ernie Dingo announced, “a
munities would perform. The audience would primarily be
dance from central Australia. Dance of the seven emu sis-
those with no ordinary right to see or hear the performance.
ters.” At about two-thirds of the way down the length the
It would include men, women, and children. Other Aborigi-
women stopped their forward movement and bunched into
nal people, including some from their own communities,
circle, their arms raised in the air, hands cupped and waving
might tune in. One Anangu woman talked about the dilem-
above them.
mas on film: “We have to make a proper choice. Making our
songs so public is unusual because normally we keep our
These women, members of the Ngaanyatjarra, Pitjant-
songs so private, hidden and separate. We have to consider
jatjara, and Yunkunyatjara (or NPY) Women’s Council,
and discuss which non-fun song, which serious and impor-
came to Sydney from homelands in three Australian states,
tant song we can present to the people of the world.”
South Australia, Western Australia, and the Northern Terri-
tory. They are members of a cultural region sometimes re-
The group narrowed their decision down to two possi-
ferred to in the ethnographic literature as the “Western De-
bilities. In the end the decision was made to perform a sec-
sert” block. Their languages, though distinct, are generally
tion of the Seven Sisters story. The other song and dance
comprehensible to each other. They call themselves by the
considered was deemed to be too restricted and sacred to per-
common term anangu (human beings).
form for the world.
The NPY Women’s Council has been an important
Maggie Kavanagh sent a message on camera to Stephen
force in local, regional, state, and national politics since it
Page, the co–artistic director of the “Awakenings” segment
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
643
of the Olympics opening. She spoke about the negotiations
systems. Of the Seven Sisters constellation in particular, he
and decisions about which inma (song-dance-design relating
wrote, in nineteenth-century parlance:
to a segment of a Dreaming) the women would perform in
Sydney. She spoke to the camera in English:
The aborigines of the Clarence River have a story that
the Pleiades when they set with the sun go away to
They have decided on the Seven Sisters and they prac-
bring winter; and that when these stars reappear early
ticed three parts of the Seven Sisters inma. Looks like
in the evening in the eastern sky, they are ushering in
the one [localized section] they’ll agree on is the
the warm weather. They are supposed to be a family of
kanpi. . . . Kanpi means fat. It is emu fat. The Seven
young women, whose name was War-ring-garai, and
Sisters are traveling [she moved her hands up one after
who belonged to the section Wirrakan. . . . Among
the other in a flowing movement as if to grasp some-
the Ngeumba blacks, in the cold weather of mid-winter,
thing in the air, bending her elbows in a stylized way
when the Pleiades rise about three or four o’clock in the
as she did so]. You’ll see them trying to get the emu fat
morning, the old men take some glowing coals on bark
[with their hands], that’s a really prized part of the emu.
shovels, and cast them towards this constellation as
And it’s actually not far from where we are [referring
soon as it is visible. This is done to prevent the spirit
to the inma’s specific section of country or locale at
women, whom these stars represent, from making the
Kanpi]. The women liked the song, for that particular
morning too cold. The women in the camp are not per-
Seven Sisters song and also the movement. They like
mitted to look at all at the Pleiades in winter nights, be-
the movements. They think it’s really good moving-
cause such conduct would increase the severity of the
movement for what you want in Sydney.
frost. If a woman transgresses this law, her eyes will be-
come bleary, and she will suffer from uterine troubles.
The Kanpi inma of the Seven Sisters Dreaming was taped
(Mathews, 1904, pp. 279–280)
by David Page and his colleagues from Sydney as the women
performed it in song and dance in the landscape to which
It is not clear whether all stories across the continent are parts
it referred. Minymaku Way showed the women singing the
of a wide-ranging whole. It is clear, however, that such
songs relating to the designs they painted on their bodies
Dreamings crossed boundaries and connected a number of
(though taking out the black so the designs would show bet-
different groups. It is more likely that some if not most of
ter as they danced before a world audience). In the country
the Seven Sisters stories that track around the arid inland,
of the song they danced in a clearing, keeping their forefeet
in and out of Western Australia, South Australia, and the
in the sand, marking the country with the story once again
Northern Territory, are related and connecting Dreaming
and grasping for the emu fat unseen in front of them while
stories. Certainly contemporary women make the assertion
others sat beating time with bottles, shoes, and clapping
that this Dreaming connects them to many others across the
sticks. It was the sounds of their singing that day, clarified
continent. Most of the reported segments or versions in the
in a Sydney studio, that were broadcast for the Sydney per-
cross-border desert regions contain common themes. They
formance.
tell of a group of women who travel widely, camping, danc-
ing, eating, and spending much of their time trying to escape
There are many stories and many story lines about the
from the unwelcome and usually illicit advances of a lustful
Seven Sisters among Indigenous Australians. These stories
man (and sometimes more). Sometimes the main pursuer
concern the Pleiades constellation. Aboriginal people some-
has a son.
times refer to the stars of the constellation as the “many
women or sisters.” The “Seven Sisters” is a common usage.
As with other Dreamings, these women’s presence can
This constellation rises and falls in the sky seasonally. Chris-
be seen in the early twenty-first century in the sandhills they
tine Watson is the most recent scholar to canvass the travels
used as windbreaks or those they formed as tracks when they
and adventures of the Seven Sisters. Spurred by work she did
danced with their feet in the sand. Particular vegetation
on women’s art and ceremony from Balgo in northeastern
marks food they ate or with which the lustful “lover boy”
Western Australia, she describes, in Piercing the Ground
sought to tempt them. Caves point to places where they were
(2003), how those women’s Dreamings are part of a “web
raped. In some versions of the myth the women have dogs
of Seven Sisters narratives which traverse mainland Australia,
that protect them and fight off the lecherous man or men.
the Torres Strait, and Tasmania, through South Australia to
The women move between earth and sky, rising and falling
New South Wales and Victoria, parts of them belonging to
with the seasons as the Pleiades. The lustful man is still to
men’s and parts to women’s ceremonial practice among the
be seen in the sky as Orion or in other traditions the moon.
different groups holding the mythology” (Watson, 2003,
At various points this Dreaming crosses and interacts with
p. 194).
other Dreaming tracks.
In the temperate eastern states of Australia documenta-
In her Nukunu Dictionary (1992) Luise Hercus re-
tion from the nineteenth century suggests that the Seven Sis-
corded an account of the story from a South Australian
ters story was associated with winter and frosts. R. H. Ma-
Nukunu informant, Harry Bramfield. This account makes
thews recorded in 1904 that all the stars and star clusters in
clear the relationship between events in the story, the stars,
the sky are named and known in Aboriginal tradition. The
and terrestrial landmarks. In Bramfield’s account the Seven
stars, he said, are like human beings arranged into kinship
Sisters
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644
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
ran from the east and they came across to Yartnamalka
“maps” on to these communities. Their accounts differ in
[in the Flinders Ranges], where the Yartnamalka lady
important ways and point up the fact that difference is im-
is, where the big chunk of clay is in the hills. They ran
portant for understanding the religious life of Indigenous
away from the east and they went west. One of them
people in Central Australia. The central part of Warrabri, as
got crook [ill] at the hill at Yartnamalka, and that is
Bell experienced it in 1976 to 1978, included a built-up area
where she stayed, so there is only six of them up there
with an airstrip, powerhouse (for generating electricity), po-
(in the sky) now. The seventh is there at Yartnamalka,
that is the landmark. And of course the three broth-
lice station, store, sports field, council offices, hospital, and
ers—they only had three brothers, they took after them
houses surround by a number of camps, each oriented to the
to find them, they traveled and traveled and they too
“country” of its traditional owners. There were also initiation
went up into the sky so there is the three brothers chas-
grounds, “Sorry” camps (for the bereaved), and a number of
ing the six sisters. (Hercus, 1992)
jilimi, or independent women’s camps. During Dussart’s
stay in Yuendumu from 1983 to 1985, that community like-
The Seven Sisters Dreaming is a context for ritual and indeed
wise included the built structures of a remote Australian
political cooperation among different groups. Arguably this
town: airstrip, powerhouse, council buildings, school, sports
Dreaming is progressively more celebrated by Aboriginal
facilities, and store as well as a hall, a video-television station
people in the contemporary context where their special
building (under construction at the time), a church, a recre-
claims have been under a variety of political threats. Whether
ation center, a clinic, a morgue, an adult education center,
such issues were at the forefront of decisions made by the
and separate men’s and women’s museums. Surrounding
women themselves and the ceremony organizers, the dancing
these “permanently” built structures were the six Aboriginal
of the Seven Sisters at the opening ceremony of the Sydney
“camps” with their men’s and women’s ritual areas. She too
2000 Olympics was in many ways a particularly apt choice,
found jilimi as well as yampirri, the quarters of unmarried
for the Seven Sisters is a Dreaming story that links Indige-
men, and yapukarra, the quarters of married couples.
nous groups across the continent and through all of Austra-
lia’s mainland states.
But these are also communities that keep their Dream-
PARTICULARITIES: THE WARLPIRI OF THE CENTRAL DE-
ings alive and frequently perform ritual, as the substantial
SERT. What the Sydney Olympic organizers referred to as
ethnography from this area demonstrates. The languages of
“Central Desert” Aboriginal people and attributed to the
these complex settlements refer to the Dreaming similarly:
NPY Women’s Council includes a large number of distinct
as Jukurrpa. Each member of these communities has particu-
Indigenous groups—the Alyawarra (Alywarr), Kaytej (Kayte-
lar connections to specific Jukurrpa as stories, relationships,
tye), Pintupi, Ngaanyatjarra, Pintjantjatjara, Yankunytjat-
objects, designs, places, and actions. People sing their
jara, Warlpiri, and Warumungu. Their homelands can be
Dreamings. They dance them. They draw their designs in
found in the remote regions of three different states of Aus-
the sand. They paint the marks of the Dreaming on their bo-
tralia: Western Australia, South Australia, and the Northern
dies. They recognize their marks on ritual objects. They
Territory. To complicate matters, scholars have sometimes
move about the landscape with its forces, powers, and es-
distinguished between the Central Desert and Western De-
sences always in mind and with them as guides of where to
sert cultural regions. In this schema Pintupi, Ngaanyatjarra,
go and where they must lower their eyes and turn their backs.
Pintjantjatjara, and Yunkunytjatjara are groups from the
Aboriginal people are mindful of the rules and laws set down.
“Western Desert cultural bloc,” and Alyawarra (Alywarr),
And for some decades now they have painted their Dream-
Kaytej (Kaytetye), Warlpiri, and Waramungu are from the
ings onto canvases and sung them as they did so.
so-called Central Desert bloc. In reality these “blocs” are
All the critical moments in an individual’s life are “made
crumbling somewhat. Nowadays people from these regions
manifest” in ritual. Conflicts resolved, lovers are attracted
live in settlements and small townships like Ali Kurang (for-
and repelled. Dussart tried to convey the force of ceremony:
merly Warrabri), Yendemu, Lajamanu (once known as
“In reenacting a Dreaming, ritual performers follow in the
Hooker Creek), and Balgo, now known as Wirrimanu.
footsteps (spiritually and physically) of their Jukurrpa Ances-
When Diane Bell worked at the Aboriginal community
tral Beings” (Dussart, 2000, p. 47).
of Warrabri (Ali Kurang), it comprised Kaytej, Alyawarra,
The Aboriginal groups of the Central Desert regions
Warlpiri, and Warumungu-Warlmanpa people but was lo-
have extraordinarily intricate systems for specifying member-
cated on Kaytej country, a place associated with dog Dream-
ship of a number of groups of relations and orienting one’s
ing. The community of Yuendumu began its life in 1946,
future marriage preferences. These webs of relatedness are
when the government established a “ration depot” near a
founded in connections to specific tracts of land and through
soak of that name. The depot was situated near several Warl-
them to specific Dreaming ensembles. Groups of people also
piri ceremonial sites and came to be used by mainly Warlpiri
have special relationships with natural species, which are
people but also by Pintupi and Anmatyerre.
often referred to in English as their “totems” or “Dreaming.”
Both Bell, in Daughters of the Dreaming (1983), and
Rights and responsibilities to Dreamings are shared by
Françoise Dussart, in The Politics of Ritual in an Aboriginal
groups of relatives related in specific ways to it. Kirda are
Settlement (2000), provide a sense of how Aboriginal life
those related to a particular place, “country,” or Dreaming
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
645
on their “father’s” side, from their father and grandfather.
sites visited by the diamond dove in its trek south. The
They must dance for the country and wear the designs for
songs told of each site, of how the dove tired of travel-
the Dreamings and places in the country. Kudrungurlu are
ling, of how the dove cried out for seed. On approach-
those who are related to the same places, “countries,” or
ing the claypan known as Pawurrinji, the dove sighted
Dreaming on the “mothers’ father’s” side. As Bell notes in
the willy-wagtail, who was feasting on a small marsupial
Daughters of the Dreaming (1983), “they had to sing, paint
mouse. Women of the black and white designs of the
wagtail danced forward to meet the travelling dove peo-
the kirda, and ensure that the Law was correctly followed.”
ple; who then wove in and out of the wagtail ranks,
Members of each group must be present for ritual perfor-
flanking them before joining them in one circle. From
mances to be proper. Both must be present and sign off on
where I sat I could see that the patterns traced in the
acrylic paintings of Dreaming segments. In their action one
red desert sand by the dancer’s feet echoed those on the
to the other and in respect of the Dreamings for which they
sacred boards. (Bell, 1983, p.13)
hold complementary responsibility, kirda and kurungurlu
Bell describes how all the dancers then united in a tight circle
help each other carry out their responsibilities.
in front of the seated singers. They presented the painted
But all people who are related as kirda and kurungurlu
boards to them. With this the spirits of the birds entered the
are not the same. There are two further distinctions that are
ground. This was the climax of the performance.
essential to consider in respect of Central Desert religious
General gaiety followed. Singers were paid for their ritu-
life: gender and the restrictions that could be called those of
al work, and nonparticipants paid for having seen the cere-
adeptness.
mony. And singing again of the country, the women began
The Warlpiri continue to conduct male initiation cere-
the task of “rubbing down” the boards: “The designs had to
monies. Though these are “men’s business,” women play im-
be removed and the power with which they were infused
portant roles in this ritual process. Women too have ritual
during the dancing, absorbed and neutralized” (Bell, 1983,
responsibilities.
p. 14).
In Daughters of the Dreaming, Diane Bell describes a ya-
It is kurdungurlu who introduce the country with songs.
wulyu ceremony she witnessed in 1976. On average, she said,
It is they who collect the kirda for the ceremony. Both kirda
she saw one such ceremony a week during her stay. These
and kurdungurlu dance. Both sing. But as Bell notes, “they
rituals are “women’s business” and continue to be a feature
do not sing for themselves.”
of Warlpiri life. Women gather for yawalyu in the afternoon
In Their Way (2003) Ivan Jordan describes how, follow-
and prepare ritual objects and designs. A fire is kept burning
ing attempts by missionaries to develop meaningful symbols
throughout the ceremony, and the ashes will be raked over
for their church teaching, Warlpiri Christians came to pres-
and reused in subsequent rituals.
ent Christian symbols and develop Warlpiri Christian ritu-
In Bell’s account the first stage entailed the gathering of
als. Jordan describes how boards were painted with Warlpiri
women and painting of women’s bodies and of the sacred
Christian iconographs, new songs were developed, and final-
boards they hold. While this work goes on, women sing of
ly the first “Christian purlapa” (public ceremony) was per-
the Jukurrpa ancestors who formed their country and its in-
formed. He describes how in 1977 the Lajamanu and
stitutions. When their preparations were finished, “the as-
Yuendumu churches met:
sembled group had sung for the country where the ochres
Then it happened. For many days, as daylight disap-
were quarried; they had sung for the ancestors who were to
peared into darkness “big mobs” of people gathered to
be celebrated in the dancing; they had provided ritual in-
sing this new corroboree. Often someone came to the
struction for those women who were being groomed as fu-
door to tell us they were ready to start. . . . As with
ture leaders, and they had offered brief guidance regarding
all traditional corroboree singing, each song had just a
the structure of their activities” (Bell, 1983, pp. 12–13).
few words, maybe five or six, and these words were re-
peated many times—at least thirty or forty. . . . When
As the sun was nearly setting, seven women moved some
it finally happened, the dancing was truly exciting.
distance from the group of singers. With this the singers em-
Firstly, the appropriate symbolism for the body paint-
phasized the rhythm of their songs with cupped hand clap-
ings had to be agreed on. . . . Preparation always took
ping. The song grew stronger, and women from all groups
hours. . . . Having finished the painting, the right
and “countries” were called to attend. When the broader
starting positions and dances and gestures were agreed
group had gathered, the singers recounted the travels of the
upon after a good deal of group interaction. . . . I can
ancestors depicted in the painted designs. Then, dancing in
still see those first dancers; dust flying, calloused black
a straight line from the northwest came women wearing red
feet thudding the ground in perfect timing and harmo-
and white designs on their bodies.
ny with the rising and falling chants of the singers and
the echoing clicking of the boomerangs, Japanangka
They represented the activities of the diamond dove
and Napurrula, husband and wife church leaders, were
that travelled from Kurinji country through the desert
Mary and Joseph. At the appropriate time a suitable
lands. . . . As they neared the seated singers they held
baby wrapped in a blanket and lying on a coolamon
aloft the painted boards bearing ideational maps of the
[wooden carrying dish] was produced from the
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
crowd. . . . At the conclusion of the purlapa, it was
nal people whose cultural lives and traditions are generally
usual for the men to begin rubbing the decoration from
understood to have been sorely tested and disrupted by the
their bodies, the women quickly don bras, and blouses
colonial process in which their homelands were “settled” by
while Jerry Jangala [a church leader] stood and talked
non-Indigenous Australians.
briefly about the story. Jangala would then conclude by
praying. After this the people would disappear into the
The “NSW Nationskoori clans,” or “Koori clans,” as
darkness happy and excited that they had not just heard
the creative team appears more commonly to have referred
God’s story but they had actually danced and sung it.
to them in film footage, performed dances especially choreo-
They had danced and sung God’s “Business.” (Jordan,
graphed for the opening ceremony. They performed themes
2003, pp. 119–121)
that are emerging as general Indigenous religious ideas across
Jordan’s account resonates in interesting and significant ways
the nation: the complex of ideas that the land and people
with Bell’s description of Warlpiri ritual performance.
hold within them the spirit of the land to which, despite dis-
ruption, their own spirit remains tied. These are connections
PARTICULARITIES: KOORI KIDS EMBRACING CULTURE AND
they might respect and in performances like this rekindle and
COMING TO KNOW. About two-thirds of the way down the
nurture. Matthew Doyle, described as the koori clan chore-
stadium the Seven Sisters dancers ceased their forward gait
ographer, said on camera: “What we were trying to do is rep-
(which we can see, in retrospect, as signifying at some level
resent young Aboriginal people from New South Wales from
their pursuit of emu fat). They formed a circle, dancing,
quite a few different areas.” Describing his choreographic
swaying on the spot with their cupped hands in the air. The
process, he continued: “I’m just looking at a couple of differ-
Awakening spirits moved in close to surround the older de-
ent styles of dance, you know, a mixture of some traditional-
sert women. Ernie Dingo explained to viewers that the clay-
type movement and some modern and contemporary.”
daubed Awakening Spirits dancers came back from the podi-
Djakapurra Munyarryun has pointed to the cultural
um to which they had followed the young girl and encircled
“awakening” of these koori kids in The Awakenings film:
the tightly bunched performers from the center of Australia.
“When I was watching the kids during the ceremonies . . .
He announced their intent:
they were learning something. Learning something not new,
To perform, to take to the heart of Australia the ancient
but old” (Roger, 2001).
art, the ancient stories of the past and to be embraced
What was it they were learning? Michael Cohen, a par-
by the young Aboriginal culture of today and to share
ticipant-observer of the ceremony and preparations, reported
in its history and acceptance without questioning. They
that, “having taught performers the stooped torso and soft
are preparing for an awakening, a welcome, and a re-
birth in unity, so we can all be as one mob, the youth
lifting of feet involved in the ‘spirit dance,’ Page constantly
of today and the ancient culture of years gone by.
reminded the performers of the sacredness of their move-
ments: ‘Yes we’re gonna do the low [dances]. The ones that
The cameras moved from the circled Central Desert women
hurt. [You’ve] gotta stay low. [The movements] are circular
and koori kids to Djakapurra Munyarryun and Nikki Web-
to keep the spirit internal.’”
ster on the dais. Dingo continued: “The rebirth has started.”
The Awakenings shows Stephen Page directing the per-
The “Awakening” spirit dancers who “embraced” the
formers in rehearsal. He told them to move “Like spirits
desert women were young, Sydney-based Koori performers
coming through.” Page is also reported by Cohen to have
covered in white clay. “Koori” is a term now widely under-
told performers in practice, “[Awakening] Spirits, that was
stood as a collective referent for Aboriginal people in New
good—keeping your hands close to your sacred chests. But
South Wales and Victoria. Those children were learning
now just one problem: you have to try to move fast and still
about Australian Indigenous culture from this experience.
keep the spirit low. You have to try and combine these two
Their dance was choreographed. Until their participation in
energies” (Cohen, p. 166).
the Sydney Olympics, many of the koori clan performers of
As far as one can tell from the available material, the
the “Awakening” segment shared with Stephen Page a child-
Koori kids were presented with generalized Indigenous ideas
hood in which they “had no exposure to our traditional cul-
about sacredness and spirits in their dancing. They mastered
ture.”
movements the choreographers presented to them with these
The Sydney Organising Committee of the Olympic
generalized ideas.
Games (SOCOG) media guide to the opening ceremony de-
In the film The Awakenings, Rhoda Roberts says:
scribed the group brought together for the occasion as the
“NSW Nationskoori clan.” The SOCOG media guide de-
I think for the North coast group it’s a very brave thing
to dance in front of traditional people [for whom] cere-
scribed this group as one hundred men and women “from
mony is an everyday part of their lives. And I think we
seventeen high schools and dance groups, [who] represent
have in some way given a spirit and a soul and about
the Sydney language groups and the East coast of NSW lan-
what culture is what they didn’t have before they started
guage groups such as Biripi, Geawegal, Wiradjuri, Bund-
this little journey for the Olympics. And I think that
jalung, Gidbal, Awagakul Dunghutti and Gumbainggir”
makes me very proud to see that they are actually proud
(SOCOG, p. 27). These Indigenous performers are Aborigi-
of their culture. (Roger, 2001)
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
647
Cohen reports that Rhoda Roberts told the Awakening spir-
forms one edge of the Gulf of Carpentaria. Yolngu country
its performers that the Central Desert women “dance inma.
is rich in resources. Its coastline includes rich mangrove estu-
They dance bare-breasted. They paint each other. They’re
aries as well as sandy beaches. Inland the mighty Arnhem
sistas [sisters]. I’m asking you to pay respect. I want you to
Land escarpment juts out of the resource-rich plains and lit-
understand. Those other segments [of the opening ceremo-
toral belt. There are three main settlements of Yolngu people
ny]—they’ve got props, they’ve got gizmos. But we don’t
in northeast Arnhem Land: Milingimbi, founded in 1922;
need that cos we’ve got land. We’ve got spirit.”
Yirrkala, founded in 1935; and Elcho Island, founded in
It is unlikely that the koori kids were told much detail
1942. These settlements began their lives as mission stations.
of the Kanpi section of the Seven Sisters myth, whose dance
Before the establishment of these settlements Yolngu clans
and body paint the desert women displayed but did not fully
were dispersed throughout northeast Arnhem Land. As Mor-
reveal to the world. But it is clear that the kids learned about
phy has noted in Ancestral Connections (1991): “Although
spirits and land and their own power as Indigenous people.
the size and structure of communities varied seasonally, for
In The Awakenings, Stephen Page calls on performers ex-
much of the year people lived in bands of around thirty to
hausted by rehearsal: “Wake up now. We’re gunna go and
forty individuals” (Morphy, 1991, p. 40). By the 1970s an
meet the respected mother spirit from the Central Desert.
“outstation movement” was under way and many people
Three hundred and thirty women represent one mother
were returning to their ancestral homelands.
earth. We as young children got to respect that. Open our
Yolngu call their ancestral figures or Dreamings wan-
door. Got to welcome. We go and get them when they come.
garr. They tell of them and their formative actions in myths.
All their paint. We’re very lucky” (Roger, 2001). The Koori
As Morphy has eloquently shown, Yolngu people live
performers were asked to respect the desert women who rep-
resented “mother earth,” a concept of Indigenous relation-
in a world that includes both European and Aboriginal
ships to land that has been gaining cross-continental curren-
institutions, systems of knowledge, languages: they are
influenced by both. Yolngu clans have taken on func-
cy among Indigenous people who have been distanced from
tions and arguably a constitution that they did not have
their own local traditions.
before, and those new functions are going to affect the
But it was not their loss that seems to have been empha-
trajectory the clans have over time. The process is a two-
sized to these young performers. Rather, organizers empha-
way one, and European institutions in northern Austra-
sized what they had gained by participating and coming in
lia must sometimes take account of Aboriginal practices
contact with people from remote communities. By the end
and institutions. (Morphy, 1991, p. 4)
of their journey some of the koori performers saw the rela-
Yolngu openness to other cultures and cultural exchange is
tionship as a two-way exchange. One boy from the Northern
not new. The flag dance performed at the opening ceremony
Rivers region of NSW put it this way in The Awakenings:
relates to the annual visits of Macassans from what is now
“They’re learning. They can back up what they learned down
Suluwasi in Indonesia. They came annually to Arnhem Land
here and we what we learned here take back [to] where we
on the winds of the northwest monsoon, sailing in praus.
came from. Show the people there what we learned, people
They set up camp on Yolngu beaches, gathering and process-
we met” (Roger, 2001). If some Indigenous Dreamings re-
ing bêche-de-mer (sea cucumber) until stopped by govern-
main embedded and enduring in local contexts, a new sense
ment officials in 1907. Ian Keen has noted:
of general spiritual connection that respects the sacredness
of the earth is also developing among Indigenous people in
Many Yolngu religious traditions reflected their rela-
all corners of the nation.
tions with the Macassans. . . . Ceremonies represent-
ed the practices of Macassans, including their rituals.
PARTICULARITIES: YOLNGU. The encircling of desert women
The subjects of these songs and ceremonies were not
by koori kids dominated the stadium until the spotlights
merely historical or typical figures but wangarr ances-
traced a large oblique cross on the red sands of the stadium
tors of the human Macassans. . . . Through the ex-
floor. Attention turned to colorful dancers with flags emerg-
change of personal names Macassan names entered the
ing from the four corners. They danced into center stage to
Yolngu lexicon, along with other words. Some Macas-
the sound of didgeridoo and song. Ernie Dingo elaborated
san place names [continue to have currency] . . . for
for the television audience:
the Macassans applied their own names to the land-
scape of north-east Arnhem Land and declared certain
The wonderful voice of Don Nundihirribala singing
rocks sacred, as sites for offerings to sea spirits. (Keen,
the Dhumbala which is the flag song. Flags represented
1994, pp. 23–24)
[the relationship] with the Aboriginal community of
the top end, of Arnhem Land, when the Macassan trad-
Ian McIntosh suggests that Macassans caused some turbu-
ers used to come over four thousand years ago to trade
lence in Yolngu life. Memories of interactions between Yol-
shellfish with cloth and tobacco. Representation of the
ngu and Macassans also focus on the creational being Bir-
Numbulwar, Yirrkala, Ramingining, and Maningrida
rinydji. In “Sacred Memory and Living Tradition” (2000)
people from Arnhem Land.
McIntosh suggests, “Belief in Birrindyji empowers the listen-
In the tropical “Top End” of Australia the country of the
er-viewer to transform the nature of relations between the
Yolngu juts out into the Arafura Sea, and its eastern coast
cultural groups and to regain what was deemed to have been
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648
AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
lost at the ‘beginning of time’” (McIntosh, 2000, p. 144).
Keen notes too that, “from a Yolngu point of view . . .
When a replica of a Macassan prau returned to Yolngu shores
land was not mere dirt; land and waters consisted in part of
in 1988, hundreds of Yolngu performed the ceremonies of
the bodily substance of the wangarr ancestors.” Keen has
Birrinydji for their arrival. McIntosh also notes two kinds of
drawn out the connection between country (Wa:nga), ances-
depictions of Macassan themes: some “inside” some “out-
tors (wangarr), sacred objects (rangga, which were “placed in
side” designs. He continues:
the country by the ancestors and which were the ngaraka,
‘bones,’ of the ancestor”), and ceremonial grounds (where sa-
Depictions of praus (sailing craft), trepang-processing
cred objects are revealed to novices) (Keen, 1994,
sites, the goods obtained through trade with the visi-
tors, the mistreatment or abduction of women by Ma-
pp. 102–103).
cassans, or the slaughter of Aboriginal men by firing
All these things and beings implied links between peo-
squad, are “outside.” Images such as golden-skinned
ple, living and dead, country, ancestors, and the cere-
women working on weaving looms, the performance of
monies which followed them. The individual, group,
corroborees in honour of Allah, and an Arnhem Land
and country were all identified with the bodies and
creational being who directs Aboriginal men in the
mali’ (“image,” “spirit”) of the wangarr ancestors. In
making of iron kilns are “inside.” “Outside” art deals
ceremony a rangga sacred object which represented the
with specific historical episodes; “inside” art refers im-
transformation of a wangarr ancestor or a part of an an-
plicitly or explicitly with Birrinydji. (McIntosh, 2000,
cestor was its bone and flesh. The “bone country”
p. 144)
(ngaraka wa:nga) contained the transformed substance
The idea of “inside” and “outside”—open and restricted
as well as the powers of the ancestors. The individual
gained both his or her being and powers from the wan-
knowledge and practice—is a fundamental feature of Yolngu
garr. At a person’s death the spirit was believed to return
religious life. As Keen notes in Knowledge and Secrecy in an
to the waters on his or her country, the domain of the
Aboriginal Religion (1994), “Age, gender, group identity, and
wangarr ancestor, and/or to a land of the dead over the
kin relation to a group were important determinants of who
sea, and/or to heaven, the spirit home of [the Christian]
could impart information about elements of ceremonies, es-
“God wangarr.” But if people performed disinterment
pecially secret meanings, and to whom” (Keen, 1994,
and reburial rites the body of the dead was reincorporat-
p. 244). Yet as Annette Hamilton shows, one does not find
ed with the country and body of the ancestor in its
in Arnhem Land a context in which gender separation is as
manifestation as a hollow-log coffin. (Keen, 1994,
marked as it is in the desert regions. Rather, she says, “we
p. 103)
find a complex conundrum of arrivals and departures, pres-
Despite the apparent remoteness of their countries, Yolngu
ences and absences, in which women are fully involved. It
people were subject to alienation from their lands like Indig-
is sometimes said that women are made present by their ab-
enous people across the nation. In the 1960s the federal gov-
sences. This is a neat expression of a much more complex set
ernment of Australia granted a mining lease and property
of connections” (Hamilton, 2000, p. 71).
rights to a French aluminum company over a large part of
Keen relates:
northeast Arnhem Land. In 1963 Yolngu people from Yirr-
kala sent a petition to the federal parliament in Canberra.
Yolngu conceived of wangarr ancestors as beings with
The Yolngu petitioners demanded that their rights in land
human form, but having some of the properties of the
be recognized and protected. They sought to be consulted
beings or entities whose names they took, such as Rock
about such developments in their homelands. Significantly
or Honeybee, and as having extraordinary powers. They
the protesting Yolngu did not present their petition to the
were active long, long ago in “far off” times. They
federal parliament as a mass of signed pages, the traditional
camped, foraged, made love, quarreled and fought, and
bore children, somewhat like humans, but they were in-
form by which Australian parliaments are petitioned. In-
volved in extraordinary events and were transformed by
stead, the Yolngu petition, as Morphy notes, “was attached
them, perhaps into species such as jabirus or entities
to a bark painting bordered with designs belonging to the
such as the moon. Some wangarr engendered the ances-
clans whose lands were most immediately threatened by the
tors of human groups. These were a group’s
mining” (Morphy, p. 18). A federal inquiry and a court case
gulu’kulungu ancestors. (Keen, 1994, p. 45)
followed. Their findings were sympathetic to the Arnhem
Yolngu views of reproduction include a connection between
Landers’s plight. Morphy notes, “In the short term the Yol-
wangarr ancestors, reproductive processes (such as the ances-
ngu had completely failed, but in the process they had helped
tral spirit menstruating into waters), and the conception of
to create the political environment for granting Aboriginal
children’s spirits. In this understanding of human concep-
land rights” (Morphy, p. 31). This case laid the foundation
tion, a child’s “image” (mali) enters the woman from such
for the passage in 1974 of land rights legislation in the then
waters. The father might then “find” the spirit of his child
commonwealth-administered Northern Territory.
in a dream or strange experience (Keen, 1994, p. 106). Thus
PARTICULARITIES: THE NGARRINDJERI AND A CONTESTED
Keen says that in Yolngu belief “the person was, in a sense,
SEVEN SISTERS STORY. Veronica Brodie, a woman of Ngar-
born of the wangarr ancestor and the waters” (Keen, 1994,
rindjeri and Kaurna descent, says in My Side of the Bridge
p. 107).
(2002): “You know there’s a beautiful Dreaming story that
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
649
goes with Hindmarsh Island, and that’s The Seven Sisters.”
search of two wives who had run away from him. At first a
It is in this area, Brodie says, that the Seven Sisters rise and
giant cod (pondi) traveled before him. The sweep of its tail
descend seasonally to the sky world.
widened the river in parts. Elsewhere it darted away from
him when he threw his spear to create long straight stretches
One side of Ngarrindjeri country lies where the land of
of the river. Other actions of the pair gave form to the
the lower Murray and Coorong Rivers meets the Southern
swamps, shoals, and wetlands along the way and formed the
Ocean. This coastal and lakes region forms an area with huge
great lakes at the river’s end. When the cod reached Lake Al-
horizons. The land and waters of Ngarrindjeri country fill
exandrina, Ngurunderi sought the aid of another ancestral
only the bottom of everyday vistas. On a clear night the sky,
figure, his wives’ brother Nepeli. Ngurunderi caught the cod
punctuated by stars and the soft clouds of the Milky Way,
and cut it up with a stone knife. From pieces of pondi’s body
comes down to meet the horizon. In this country it is not
came other fish: boney bream, perch, callop, and mudfish.
a great leap to imagine ancestral figures moving between sky,
Ngurunderi made camp but while he was there smelled
sea, and land.
cooking fish and knew his wives were near. He left his camp
South Australia was colonized in 1836. The lands of the
to renew his pursuit, but his huts remained as two hills, and
Ngarrindjeri people, within a hundred or so miles of Ade-
his bark canoe rose into the sky to form the Milky Way.
laide, the new colony’s capital, were settled soon after. Grad-
More forms came into being in his tracks and wake. The
ually the land was taken, parcel by parcel. Even so many
story ends with the drowning deaths of the two wives whose
Ngarrindjeri families remained in or near their homelands
bodies became islands known as the Pages. Eventually
in the mission established in 1859 at Point McLeay or in
Ngurunderi himself entered the spirit world on Kangaroo Is-
fringe camps throughout the region. Some continue to live
land. He dived into the sea and rose to become a star in the
on their country. Others have moved to major centers and
Milky Way.
live in homes that blend easily with those of their suburban
In the late 1980s, by then 150 years after settlement, the
neighbors.
South Australian Museum framed an exhibition of Ngar-
A century after the colonization period had begun, re-
rindjeri culture around the Ngurunderi myth. On display
searchers of Indigenous life, such as Norman Tindale and
too was a dramatization of the myth by contemporary Ngar-
more briefly Ronald Berndt, undertook work with Ngarrind-
rindjeri people. Though knowledge of the Ngurunderi myth
jeri people. They documented the endurance of significant
was no longer widespread, it had persisted in the memories
cultural knowledge a century or so after the process of settle-
of a small handful of Ngarrindjeri people. The processes of
ment had begun in earnest. Both researchers recorded myths
negotiating the exhibition and its subsequent popularity re-
about the formation of the landscape and of Ngarrindjeri
vived and revitalized existing knowledge of the myth across
law. Both documented their informants’ knowledge of Ngar-
the Ngarrindjeri nation.
rindjeri life prior to the arrival of white settlers.
The mighty Murray River winds its way through three
The action of the Murray River dominates the life of
states of Australia as it makes its way from the east to the
the area. As Ronald M. Berndt and Catherine H. Berndt put
south of the continent. At the end of its journey it spills slow-
it:
ly into one of Australia’s great lakes, Lake Alexandrina. De-
spite barrages and irrigation, the waters of the Murray flow
The great River Murray that dominated the Narrinyeri
[Ngarrindjeri] people was significant not only because
on, channeling out of the lake and around a low-lying island
of the Ngurunderi myth which was known all over its
called Kumerangk, or Hindmarsh Island, in the Goolwa
territory. . . . [T]he River was like a lifeline, an im-
Channel. The Murray edges past the small river town of
mense artery of a living “body” consisting of the Lakes
Goolwa. At a place known as the mouth the breakers of the
and the bush hinterland that stretched across towards
Great South Ocean run onto a sandbar, where a channel or-
the Adelaide Hills and over the southern plains and un-
dinarily gives course for the ocean and the fresh water to fi-
dulating land. This “body” also included the country to
nally meet.
the east. . . . Its “legs” spread south-eastwards along
the Coorong and south-westwards along Encounter
In May 1995 a group of thirty-five or so Ngarrindjeri
Bay and beyond. The “body,” symbolic of Ngurunderi
women met with an appointee of the national minister re-
himself, embraced five different environments which
sponsible for Indigenous affairs. The developer of a marina
merged into one another: salt-water country, riverine,
complex had sought to start building a bridge between Hind-
Lakes, bush (scrub) and desert plains (on the east)—a
marsh Island and the township of Goolwa. Ngarrindjeri peo-
combination that had particular relevance to the socio-
ple sought protection of their heritage, which they said
economic life of the people. (Berndt and Berndt, 1993,
would be damaged or destroyed if the bridge work went
p. 13)
ahead. The state minister accepted that damage and destruc-
Several versions of this myth have been recorded. This is
tion was entailed in building the bridge but, in the context
thought to reflect the orientation of different clans to the
of a complex web of preexisting obligations, authorized the
story and to the section of it relating to their homelands. The
work to proceed under an act the aim of which was the pro-
myth tells of the great ancestor Ngurunderi, who traveled in
tection of Aboriginal heritage in South Australia. Ngarrind-
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
jeri people petitioned the federal minister to exercise his
ports in My Side of the Bridge that the claimant women de-
powers under the Aboriginal and Torres Strait Islander Heri-
clined on the first day of hearings to participate in the royal
tage Protection Act of 1984.
commission’s enquiry. Instead, they wrote to Royal Com-
The minister had been informed that in Ngarrindjeri
missioner Iris Stevens as follows:
culture the “meeting of the waters” around Kumerangk
We are deeply offended that a Government in this day
(Hindmarsh) Island was vital to the fertility and life of ngatji,
and age has the audacity to order an inquiry into our
Ngarrindjeri totems. He had also been advised that the area
secret, sacred, spiritual beliefs. Never before have any
had significance to women in Ngarrindjeri tradition but that
group of people had their spiritual beliefs scrutinized in
the nature of that significance was part of “secret-sacred” tra-
this way. It is our responsibility as custodians of this
ditions.
knowledge to protect it. Not only from men, but also
from those not entitled to this knowledge. We have a
On a cold day in May 1995 women who were petition-
duty to keep Aboriginal law in this country. Women’s
ing the federal minister for the protection of their heritage
business does exist, has existed since time immemorial
formed a circle on the beach of Kumerangk at the mouth of
and will continue to exist where there are Aboriginal
the river. There with them was the woman appointed to re-
women who are able to practice their culture. (Brodie,
port to the minister. They said this place was important to
2002, p. 151)
their fertility and to the survival of their culture. Many wept.
Women hugged and held each other. Some said that though
The Stevens Hindmarsh Island Bridge Royal Commission
they had not known the significance of this place in their tra-
found in December 1995 that “the whole of the ‘women’s
dition before these meetings, they could now feel the signifi-
business’ was a fabrication” intended to prevent the con-
cance of the place and felt assured of the rightness of what
struction of a bridge between the township of Goolwa and
they were doing. Doreen Kartinyeri, a key figure in their ap-
Hindmarsh Island.
plication to the minister, looked out at the mouth and said,
In 1998 Brodie, with the support of other Ngarrindjeri
“For all the mothers that was, for all the mothers that are,
women, gave Diane Bell permission to publish (in Ngarrind-
for all the mothers that will be,” indicating why she was un-
jeri Wurruwarrin) the following limited account of her
dertaking this task.
knowledge of the Seven Sisters story and its relevance to the
Kartinyeri was later elected the group’s spokesperson,
issue of building a bridge to Hindmarsh Island:
authorized to disclose restricted knowledge that underpinned
her opposition to the building of the bridge to the minister’s
It begins with Ngurunderi’s cave which is situated . . .
[at Goolwa]. From the cave he looked across to the is-
reporter. Her disclosures did not occur without immediate
land. Ngurunderi felt it was his responsibility to look
opposition. Some Ngarrindjeri women in the group took the
after the sky, the bird life, the waters, because he made
position that Ngarrindjeri people should not disclose restrict-
the environment and the island. He was the god of the
ed knowledge to people not entitled by tradition to receive
Ngarrindjeri. His connection with the Seven Sisters was
it. Despite the difficult debate about the propriety of divulg-
that he sent a young man, Orion, after the Seven Sisters
ing restricted traditions, the group of women ultimately au-
to chase them and bring them back. They didn’t want
thorized Kartinyeri to disclose the restricted knowledge to
to be caught so they headed up to the sky, up and up
the minister’s reporter. She in turn agreed that she would do
and over the Milky Way and hid and there became the
her best to protect against its further disclosure. The minister
Seven Sisters. When they want to come back to see their
acted to ban the building of a bridge for twenty-five years:
Mum, who is still in the waters—near where the ferry
the years that would cover perhaps another generation of
crosses, just a little over towards the mouth, to the
south—there has to be a clear way, so they can return
Ngarrindjeri people.
and they’ll be returning shortly, when it gets cold, that’s
But that was not the end of the matter. The developers
when they disappear from the sky. Then they come
whose bridge and marina project was stymied by this deci-
back down and go under the water to be with their
sion sought legal review. Nearly a year later, in May 1995,
mother. Their mother belonged to the Warrior Women
another group of Ngarrindjeri women went public with
of the Island. (Bell, 1998, p. x)
claims that the knowledge had been fabricated. Most said
In 1997 the commonwealth government legislated to ex-
simply that they did not have this knowledge themselves and
clude this area from the protections offered by the Aboriginal
on that basis doubted its veracity. One said she believed she
and Torres Strait Islander Heritage Protection Act. Ngar-
was witness to an insinuation by Ngarrindjeri men that the
rindjeri claimants made appeal to the High Court of Austra-
area of the lower Murray represented “a women’s privates”
lia, arguing among other things that the Hindmarsh Island
and that this suggestion was the beginning of a process of
Bridge Act breached the Australian constitution and the
fabrication. These claims split Ngarrindjeri people and Ngar-
Commonwealth Racial Discrimination Act of 1975. In April
rindjeri families. They split anthropological opinion. They
1998 the High Court ruled to the contrary. The Hindmarsh
split opinion across the nation.
Island bridge was built. It opened to traffic in March 2001.
The South Australian government called a royal com-
It has become a curiosity stopover on Australian tourist
mission into the claims of fabrication. Veronica Brodie re-
routes.
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AUSTRALIAN INDIGENOUS RELIGIONS: AN OVERVIEW
651
Legal questions relating to the matter have now been
On the dais smoke rose from wooden vessels held high
pursued through a number of state and commonwealth
by dancers from the Bangarra Dance Theatre. With
courts in a number of separate cases. In August 2001, after
Djakapurra Munyarryun they descended the stairs to the sta-
a long-running civil suit for damages, Federal Court judge
dium floor. The ground pattern broke up. “The smoking
John Von Doussa found that he was not convinced that the
ceremony is set up to cleanse the air of all ailment; to cleanse
claims of the claimant women were fabricated.
the air of all negativity; to cleanse this meeting place in prep-
Meanwhile the phrases “secret women’s business” and
aration for rejoicement.”
“secret men’s business” have entered popular Australian
Smoke rose now from forty-four-gallon drums on the
speech. They are used to refer to gender-specific contexts, es-
stadium floor. Djakkapurra Munyarrun sang again, beating
pecially those carrying sexual overtones. Racing boats have
time with his clap sticks.
these names. Prewedding parties are referred to with these
“Once the cleansing has happened, the spirits are awak-
terms. These usages indicate how easily Indigenous religious
ened, called by the song man.”
claims that are brought to bear in Australian law or public
On high stilts, spiky headdressed “mimi spirits” loped
life can be disrespected. In the early twenty-first century the
through and above the smoke billowing from the stadium
controversy and the public skepticism of Aboriginal claims
floor. Ernie Dingo introduced the finale.
it fuels continue. So too do Ngarrindjeri people endure.
“The Bradshaw paintings depicted . . . are the helpers
FINALE. This overview of Australian Indigenous religion has
of the Wandjina, the great spirit from the Kimberlies in
traced connections, responses, contestation, and endurance
Western Australia. When the people are one, they’ll call the
to explore themes that underlie many Indigenous traditions.
spirits of creation to awaken the spirit, to lead them to a fu-
It has surveyed a range of Australian Indigenous societies and
ture they want to be.”
their contexts.
Then a huge golden fabric was raised. Outlined on it
The “Awakening” segment of the Sydney Olympic
in black was a great fringed head with big black eyes and
opening ceremony has provided touchstones for this discus-
nose, a Wandjina figure. The figure was raised to form an
sion. This article has moved between specific Dreamings
enormous backdrop. The Wandjina rippled gently in the
grounded in local places, where they are constantly enlivened
breeze.
in human action, to more diffuse expressions of emerging
Pan-Australian Indigenous expressions and beliefs. But the
“The great Wandjina spirit who comes from the Kim-
finale of the Olympic journey is still to come.
berley. The eyes. The nose. And no mouth to pass judgment
will awaken the spirits around and [give] the people the
The Yolngu flag dancers moved into lines running
chance of rejoicement.”
down the stadium. Overhead cameras showed the performers
on the stadium floor forming into a colorful design: two sep-
The Indigenous performers now mixed together on the
arated lines leading like a pathway into a circle open to meet
floor waving their hands above their heads before the Wand-
it.
jina. Stilted spirits stepped high among them. The back-
ground music rose to a crescendo. Then a barrage of fire-
A conch shell heralded the arrival of another group of
works pierced the night and shot sparks around the stadium.
performers. Drums and rattles beat out an aggressive rhythm.
The great Wandjina figure was animated in the light and
Headdressed and painted dancers in colorful grass skirts
breeze.
formed a phalanx and proceeded, full of rhythmic vitality,
in a low hopping and skipping movement down the stadium
The “Awakening” segment was ending and “Fire” be-
toward the patterning presences on the floor. Ernie Dingo
ginning. Ernie Dingo explained: “The rebirthing has started.
responded to the energy of the performance: “Ah, this’ll get
The land now needs to prepare for a new life. A new life
ya’ blood boiling. To the Torres Strait. Welcoming the Tor-
comes in the form of a bush fire, controlled fire which al-
res Strait Islanders, brothers and sisters from the north of
lowed the Aboriginal people [to rid] the land of unwanted
Queensland and the admulla, the rhythm dance to celebrate
life.”
the energy of the Torres Strait Islands from far north
The Awakenings film showed Stephen Page, codirector
Queensland.” The Torres Strait Islanders moved to position
of the segment, on camera high in a control room enjoying
themselves kneeling, though still performing, as additional
the finale. “That’s what you call a ceremony!” he said. “Can’t
lines in a “pathway” to the circle.
have a ceremony without culture” (Roger, 2001).
Then a new sound was heard. Jean-clad dancers entered
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though myth is not always linked directly to religious ritual,
Hercus, Luise. Nukunu Dictionary. Canberra, Australia, 1992.
the most important myths usually have a two-way, mutually
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when translated into ritual action, emphasizes different facets
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of North-East Arnhemland. Oxford, 1994.
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regionally based: hand-sign vocabularies, material represen-
McIntosh, Ian. “Sacred Memory and Living Tradition: Aboriginal
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ited by S. Kleinert and M. Neale, pp. 144–145. South Mel-
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Oral Information.” Current Anthropology 26, no. 4 (1985):
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Mythic characters were usually associated with specific
Morphy, Howard. Ancestral Connections: Art and an Aboriginal
sites in the territories of specific groups. They mediated and
System of Knowledge. Chicago, 1991.
personalized the relationship between people and the land.
Morphy, Howard. “Empiricism to Metaphysics: In Defense of the
But most mythic beings were travelers, not confined to single
Concept of the Dreamtime.” In Prehistory to Politics: John
regions, and however much of their spiritual essence they left
Mulvaney, the Humanities and the Public Intellectual, edited
behind at sites which now commemorate them, their mythic
by Tim Bonyhady and Tom Griffiths, pp. 163–189. Mel-
tracks led outward as well as inward. Along with trade and
bourne, Australia, 1995.
gift exchanges, which connected persons and groups beyond
Morphy, Howard. Aboriginal Art. London, 1998.
the ordinary range of social interaction, the mythic beings
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FIRST EDITION]
653
encouraged a centrifugal perspective, actualized in meetings
last words urged the people of that region to gather and eat
for religious rituals that focused on the appropriate mythic
him in his food manifestation.
characters, their sites and tracks, and their sayings, songs, and
In a Dieri myth from the Lake Eyre region, one of the
deeds.
muramura used songs to make both bitter and pleasant-
Aboriginal societies were based on religion. Religious
tasting plants grow. (Howitt, 1904, p. 781). T. G. H. Stre-
rules, authority, and sanctions were dominant, permeating
hlow, in the narrative myth of Emianga in central Australia,
the whole of living and ranging from the highly concentrated
sets out details of edible seed preparation (see below).
secret-sacred dimension through the dimension of the open
Ngurunderi, the great mythic personage of the lower Murray
sacred, or public sacred, to more routine mundane affairs.
River in South Australia, took a fish—a Murray cod—
In themes and in modes of transmission, and in their ritual
caught by his wives’ brother Nepeli in a giant pondi, cut it
associations, myths in all regions reflect that span and that
into pieces, and threw the pieces into the river and into the
coverage.
lakes at the river’s mouth. As he did so, he named each piece
SACRED CONTEXT OF EVERYDAY LIFE. Many myths contain
as a different variety of fish, making the waters rich in fish
primary or secondary themes that have a practical bearing on
for the human beings who were to come.
issues of everyday life. These are sometimes regarded as too
On Cape York Peninsula, Hard Yam Woman and Ar-
mundane or too localized to be put in the same category as
rowroot Man, descending into their respective sacred sites,
more obviously sacred myths with potentially universal ap-
took on the shape of roots and uttered instructions on how
peal. Nevertheless, they are set firmly within a religious
they should be treated to render them edible (McConnel,
frame.
1957, p. 54). Beforehand, they themselves had foraged and
Essentially practical and down-to-earth, Aboriginal reli-
hunted for food, as they traveled, the woman digging for
gion put almost equal importance on human physical well-
roots and the man spearing fish. According to the story,
being and on spiritual matters or nonempirical aspirations.
Hard Yam Woman carefully prepared the roots by cooking
Many religious rites, large and small, were directed to human
them with pieces of heated ant-bed (termite mound) and re-
goals. For example, a multitude of species-renewal rites, per-
peatedly washing and rinsing them. She carried a dillybag
formed by different persons or groups at different times and
and bark container and Arrowroot Man had a spear-thrower
places, tried to ensure that people had enough of all the re-
and a tomahawk as well as spears.
sources they regarded as necessary for living in their particu-
Characters in Aboriginal myths do not often instruct
lar area. The rites were designed to achieve through religious
human beings about food and water, nor do they usually
means aims that were, in one sense, mundane. And myths
transform themselves into food; they are more commonly
were vital ingredients in this process. Mythic characters were
seen using the resources that are already available. Usually no
responsible for contributing the different “necessities for liv-
explanation of how the resources got there is given; it is
ing”; they also sanctified and sponsored locally available as-
enough, in these myths, that they are there and can be uti-
sets by simply using them themselves. Myths, then, were and
lized by the characters whose story it is in the course of their
are storehouses of practical information, rules, and precepts,
adventures and encounters. That applies to the making or
as well as a source of divine truths.
use of tools and other nonedible resources.
Some mythic characters created supplies of food or
In a song series closely related to the Wawalag myth, the
water that had not been there before. For example, the
boomerang-legged honey spirit man Wudal, or Woial, car-
Djanggawul sisters in eastern Arnhem Land urinated to pro-
ries bees in tightly plaited baskets hung from his shoulders;
vide fresh water for the local human populations. Several of
he chops out a honeycomb from a tree with his stone ax and
these waters were so powerfully sacred that access to them
gashes a paper-bark tree with his boomerang to obtain fresh
was restricted. The Djanggawul also caused trees to grow
water. (His boomerang legs are a type of bone deformity, said
from their posts, called djuda, but in western Arnhem Land
to be a result of early malnutrition.) The Wawalag them-
a high proportion of mythic characters are credited with ac-
selves have baskets and digging sticks; they build a fire and
tually “planting” a wide range of vegetation. Sometimes they
try to cook their food on it and gather paper bark for sleeping
carried vegetables or fish in long baskets and “poured them
mats and stringy bark for a hut. The stone spear blades they
out” in what seemed appropriate places. Others, such as one
carry are referred to in one of the Wudal songs: Ridarngu-
of the many mythic sister pairs who traveled throughout
speaking men who have dug out and shaped the stone sit
Arnhem Land, shaped goannas and lizards, put them among
around in a circle, wrapping the blades carefully in paper
red ants that bit them into life, then struck them on the head
bark, then packing them into baskets.
with a spear-thrower to make them move and spread across
the land. Still other characters turned into various vegetable
Metamorphosed stone objects at various sites are the
foods or into fresh and edible land creatures. An old potential
grinding stones, food containers, domestic tools, and fish
water-peanut man ended his journey (during which he plant-
traps of mythic characters. Other myths throughout the con-
ed many foods) in a billabong near the East Alligator River,
tinent tell of the making of spears and shields. In some cases,
where he gradually changed into a water peanut and with his
they say who was responsible; in others, mythic characters
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654
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FIRST EDITION]
simply use the implements. For example, the Djanggawul
At one level, the myths of different regions provide two
came on the path of the rising sun in their bark canoe (or
kinds of information. First, they contain details about ter-
raft), but we are not told who made it. Boomerangs were not
rain, vegetable and animal foods, and fresh and salt water,
used or even traded in all regions. Where they were, they
noting how these resources are utilized by mythic characters.
were not all the same: not all were returning; not all were
Secondly, the artifacts that are mentioned can be located on
used as weapons or clapping sticks for singing or as ritual def-
maps, as in the case of boomerangs and didjeridu, indicating
loration tools, or in women’s secret rites. Similarly, the did-
where and how they appear in myths—including ceremonial
jeridu (drone pipe) does not appear in inland or Western De-
gift exchanges where mythic characters meet, engage in
sert myths. On the north coast of western Arnhem Land,
trade, or carry items from one area to another. Subthemes
however, it is mostly an ordinary item of a mythic songman’s
of both kinds, with varying content, are a rich source of data
equipment. According to one didjeridu origin myth, after a
for comparison with the actualities of traditional Aboriginal
troublesome mythic character had been killed and buried,
life—corresponding, in a different dimension, to details of
people heard a strange new sound coming from under-
mythic origins and to the manufacture and use of sacred and
ground. Far from being dead, the character had put the end
secret-sacred materials. (Howitt, 1904, contains a wealth of
of his abnormally long penis in his mouth and was blowing
detail on all of these points for southeastern Australia.)
through it.
A third kind of information is inseparable from the
Some myths have characters using fire for cooking food
other two, as far as myths in this and in the secret-sacred di-
and for warmth but make no reference to its origin. The
mensions are concerned. In the charter and guide that are
Wawalag sisters, for instance, took it for granted. In other
set out explicitly or implicitly in the myths, the “what” of
myths, there are characters who are credited with introduc-
natural resources and artifacts does not stand on its own; the
ing it. Wuragag, in western Arnhem Land, brought it espe-
issue of “who” is crucial. For example, in the division of labor
cially from his origin place, somewhere beyond Bathurst and
in everyday hunting and foraging, men use spears, women
Melville islands, so that people on the mainland would not
use digging sticks, and these tools symbolize their roles.
need to eat their food raw. In other examples fire is a cause
Some food containers are specific to women (e.g., wooden
of quarrels, as in a simplified children’s story from northeast-
carrying dishes throughout the Western Desert and else-
ern Arnhem Land in which Crocodile and Frilled (Blanket)
where), whereas baskets or dillybags are used by women
Lizard, both men then, fight about fire. Crocodile threw a
slung from their foreheads, by men slung from their shoul-
fire stick at Frilled Lizard, so that he grew small and reddish,
ders, occasionally in everyday circumstances but often (as in
taking on his lizard shape; Crocodile slid into the salt water
northern Arnhem Land), when feathered and decorated, as
and stayed there.
sacred baskets holding sacred objects. This division of labor
was ordained in myth, or myths served as a model justifying
Theft of fire is a common theme and is often associated
it for human beings. Other such themes in myth specify or
with birds. In an account from the Kurnai of Victoria, a “su-
imply who is permitted to eat or to prepare or to handle
pernatural being called Bullum-baukan stole the fire of the
which foods, in what circumstances, and in what company:
early Kurnai. Narugul, the Crow, and Ngarang, the Swamp-
the range of food taboos that were a feature of all Aboriginal
hawk, having recovered it, Bullum-baukun ascended to the
societies, varying in accordance with age, sex, ritual status,
sky by climbing up a cord made of the sinews of the red wal-
and region. The penalties for breaking such taboos might be
laby.” (Howitt, 1904, p. 486). In a Western Desert myth,
imposed either by human agents on the basis of mythic in-
Old Man Gandju’s companions went hunting without him.
junctions or directly by supernatural figures who are believed
He covered up their campfires and went away with his own
to be able to cause illness or death. The same sorts of rules
fire stick. When they returned, they tried to make fire but
apply in the case of material objects; but in both cases, the
could not. They died of cold and are visible today as a heap
sanctions and the penalties in regard to religious ritual mat-
of granite stones at their old camping site. Gandju later had
ters are more conspicuous.
his fire stick stolen by two men, but he turned into a fire spir-
Mythic characters also stipulate—through actual state-
it and burned them to death. On the Daly River, in the
ments or through their own example—how people should
Northern Territory, Dog tried to twirl a fire-drill stick to
behave toward one another. They specify the rules for be-
make fire to cook roots, but the stick always broke. He tried
trothal, marriage, and kinship, as well as the obligations and
to steal a live fire stick from some women who were prepar-
rights that should apply between particular persons and
ing an oven, but twice they drove him away. Big Hawk, his
groups and in relationships involving varying degrees of con-
companion, was also unsuccessful, but Little Chicken Hawk
straints or taboos. These “social relations” themes, in some
was able to swoop down on a piece of glowing wood and fly
instances subthemes, are among the most recurrent in Ab-
off with it. In their camp, Dog had impatiently eaten all his
original myths.
yams raw. That is why dogs eat their food raw today and why
they do not talk. (See Berndt and Berndt, 1982,
REGIONAL PATTERNS. Apart from similarities in general
pp. 396–397. Some fire myths in various parts of Australia
themes, modified by regional distinctiveness in cultural de-
are discussed by Maddock, 1970).
tails, there are examples where almost the same myth, or
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closely related myths, can be found over very great distances.
wanted to marry them, and who died of despair when they
The Kunapipi and Munga-munga, not necessarily under
could not, are now Orion’s Sword and Belt. In various parts
those names, are known in linguistically different popula-
of the Great Victoria Desert and in the Western Desert gen-
tions over wide expanses of country. The rites that go with
erally, similar myths are known to women as well as to men
these mythic complexes have helped keep them largely intact
(White, 1975, pp. 128–130; also, for one part of the story,
while adapting to various local conditions. That is true also
Berndt and Berndt, 1982, p. 250). In the eastern Kimberley,
for the Two Men myth and the myth of Malu, the Red Kan-
the Pleiades women were chased by Eaglehawk, now the
garoo Man, in their respective versions throughout the West-
Southern Cross constellation (Kaberry, 1939, p. 12). But in
ern Desert and adjacent regions, as well as for the Dingari
the north of the Western Desert, by the 1980s Nyirana-
myth ritual complex.
Yulana and the women he pursued were regarded by women
as “something for men to talk about, not for us.”
In some cases myths seem to have spread slowly,
through interactions between participants in large religious
Although the theme of a sky world, other than stars and
rituals, whether or not such myths are linked with those par-
clouds, appears in myths throughout the continent, it is
ticular rituals. A few mythic themes have been reported from
more common in the south and southeast (bearing in mind
almost every part of the continent, with no accompanying
that myth material from the southwest, like information on
references to any traveling rituals or cults—unlike, for in-
ritual and religious matters generally, is scarce because so lit-
stance, the Molonga song series of Queensland or the several
tle was recorded before the region’s traditional cultures and
Kurangara series of songs and myths ranging from the Kim-
people succumbed to outside pressures). There are more ref-
berley to the north of the Western Desert. The most notable
erences to the inhabitants of the sky world and to ropes,
in this respect is the Rainbow Snake theme.
vines, and other bridges between the sky and earth. Also, the
land of the dead is more often located in the sky. For in-
Australia’s terrain and vegetation vary a great deal—
stance, after his physical death, the great Ngurunderi of the
from arid scrub, sand hills, and rocky hills to rain forests,
lower Murray River cleansed himself in the sea before going
fresh and tidal rivers, salt lakes, coastal beaches, and man-
to the sky world to continue his nonearthly life. His canoe
grove swamps. The populations of birds, mammals, reptiles,
had earlier been metamorphosed into the Milky Way.
fishes, and insects vary accordingly. All of these factors find
a place in myth. Even in adjoining regions, however, ac-
Another common theme deals with the questions of
counts of the origins of natural phenomena can diverge wide-
why and when certain creatures—venomous snakes, sharks,
ly, as do the myths and stories about the sun, moon, and stars
and the like—are dangerous. In a related group of myths,
in southeast Australia (Howitt, 1904, pp. 427–434). There
characters appear in the shape of snakes or other such crea-
are also transcontinental differences in mythic statements
tures and are respected or feared because of their destructive
about stars. Most regions have a number of such statements,
or punitive powers. They may swallow their victims before
at least to the extent of naming a few stars, and in some cases
regurgitating them (more or less intact in form) or vomiting
a wide range of individual stars and constellations. These are
them (not intact) as parts of the landscape or as sacred relics.
not conceptualized as material entities in their own right; vir-
Although regional diffusion of mythic themes, with or
tually everywhere, with a few exceptions, the stars and con-
without ritual expressions, is significant, the intraregional
stellations were originally in human or some other terrestrial
patterning of myths and related features is perhaps even more
form, and in their stories they are involved in human situa-
important. Traditionally, no myth or ritual or song sequence
tions and show human emotions.
existed in isolation. Every such item was associated with par-
ticular social groups and people, so that there was a mosaic
There are some widespread similarities. A falling star, or
of proprietary rights, responsibilities, tasks, and rewards: a di-
meteorite, usually presages or indicates a death. Just as com-
vision of verbal and dramatic and song materials, and a divi-
mon is the theme of a group of young women, often called
sion of labor in regard to holding and safeguarding and trans-
in English the Seven Sisters, pursued by a man whose ad-
mitting them to, and through, appropriate persons.
vances they reject. They escape into the sky, where they are
Distinctions along lines of sex and age had a bearing on such
now visible as the Pleiades; their pursuer, in some versions,
transmission, and on rights to know and rights to participate
is now a star in the constellation Orion. Among the Wotjo-
and to transmit. Thus what might seem to be the same myth
baluk of northwestern Victoria (Howitt, 1904,
could actually exist in a number of versions, with levels of
pp. 429–430), Native Cat Man was always chasing the
complexity in form, content, and interpretation.
women who are now the Pleiades. “Now he is up in the sky,
still chasing them, and still behind.” Howitt also (p. 787n.)
Contrasts have been drawn by, for example, Strehlow
refers to an Arabana story in which a number of girls become
(1971) between wholly sung and wholly narrative versions
stars in the Pleiades and in the belt of Orion, while the man
of myth, especially in relation to esoteric as against public in-
who tries to follow them is now “the principal star in Scor-
terpretations. He sets out and contrasts (pp. 147–165) the
pio.” In a New South Wales example (Parker, 1974,
Northern Aranda Emianga myth in its narrative and song
pp. 105–109, 125–127), their pursuer captured two of them
versions, combining “the myth and song of Ljaua women
before they escaped into the sky; a group of boys who had
with those of the serpent ancestor (Ljaltakalbala).” (Ljaua is
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a small plant with edible seeds; the deep pool at Emianga was
Marsupial Mole Man, in the north of the Western Desert,
the women’s origin site.)
changed into a mole after a quarrel with his two wives, who
attacked him because he had deceived them and failed to
The beginning of the narrative Emianga myth details
provide them with meat. This story, then, presents children
the women’s collection of seeds in wooden dishes and the
with several obvious themes, including the message of a hus-
processes of winnowing and grinding them, shaping them
band’s duty as a hunter, and the incidents are clearly located
into “meal cakes,” cooking, dividing, and eating them. A
at specific sites. It is one of several such stories which become
Willy Wagtail Woman who had come from the same pool
more complex as children are judged more competent to deal
later took seeds to her nephew, the huge serpent who had
with them.
also emerged from the pool; she ground them, gave him an
uncooked meal cake, and invited him to return with her for
In western Arnhem Land, a children’s story about the
some cooked ones. The rest of the long story tells of his ad-
Long-necked Tortoise Woman, Ngalmangii, tells how she
ventures: he swallowed all the people, and their belongings,
and Echidna Woman had quarreled after she had eaten
at a camp of Echidna Men who, secretly goaded by his aunt,
Echidna Woman’s baby, left in her care when they were
had been planning to kill him. He split himself open, let out
camping together. Her excuse was “I was hungry!” Echidna
their bones and their belongings, and sang his own wounds
flung at Tortoise the flat stone she always carried, and Tor-
to heal. The same thing happened at a camp of Yam Men.
toise threw the small bamboo spears she always had with her
Eventually he swallowed all the Ljaua women and vomited
at Echidna. That is how they took their present shapes. In
them out as tjurunga in the sacred cave at Emianga. Only the
northeastern Arnhem Land, children are (or were) intro-
Willy Wagtail escaped into a narrow cave. He himself now
duced to the great Djanggawul epic with a shorter account
remains forever inside the deep pool.
of the travels of the Sun Woman and her small daughter, a
story that includes such items as the colorful feathered string
Briefly, Strehlow sees Aranda prose myths as giving “a
symbolizing the rays of the sun.
coherent story of the history of a legendary totemic ancestor
(or group of ancestors),” complete with place names, mythic
In these examples there is a transition from simple to
tracks, and the rituals instituted by such characters. He dis-
less simple versions within a similar range of topics or
tinguishes these from ordinary stories in the Aranda cultural
themes. Another, more significant point is the interconnec-
area on the grounds that stories are not tied specifically to
tion between adult myths within the same region. There
sites, ritual expressions, or group ownership and are there-
have been suggestions that “a myth is best interpreted
fore, he implies, more mobile as well as less sacred.
through another myth.”
In any one regional pattern of myth, story, song, and
Fate and destiny. Mythic characters proceeding on
ritual material, every item needs to be considered in relation
their journeys are likely to encounter others whose stories
to the others and to the total context within the social frame.
lead them in divergent directions. Such meetings may in-
Children who grew up learning their own language, culture,
volve conversations and perhaps camping together for a short
and social relationships without very much intrusion by alien
time and then separating, never to see one another again.
influences were introduced to this pattern of myths through
An example of a very brief, single encounter comes in
relatively simple examples and were taught to see those exam-
a western Arnhem Land Rainbow Snake myth told to me in
ples in connection with others, as part of a pattern. The con-
1950 by Gunwinggu-speaking women at Oenpelli. The
text of myths and stories was as significant in the learning
Snake “arose far away, coming from the north, from the mid-
process as were other contextual features. Relatively simpli-
dle [of the] sea. She saw land, and came up out of the sea.
fied (but not contextualized) children’s versions of myth are
No water there! Dry land! She went underneath again, travel-
regarded by many traditionally oriented Aborigines as the
ling underground, and camp up here at Oenpelli, at this
only suitable versions for most outsiders. The more detailed
water where we drink. Then she went on to the waterfall,
and elaborate versions they themselves have learned would,
where those two Birds spoke to her.” Following the stream,
they say, not be appreciated or understood.
she eventually dug out a deep billabong, set rocks in place
to form a cave, and gave birth to an egg, which she put in
Traditional stories for children purport to answer some,
the sun to harden. The two Birds, whose spirits remain forev-
not all, of the same questions that adult myths raise. Who
er at the waterfall, are the only other Dreaming characters
are we? Where did we come from? Where did it all begin?
noted in her story until an old Dangbun-speaking man,
Why do people die? Where do people go when they die?
Manyurulbu, “came to that tabu water because he was
In parts of the Western Desert, children’s stories may
thirsty. He saw the egg, broke it, cooked it and ate it. Inside
be accompanied by fast-moving scenes drawn in the sand,
the cave she moved in her sleep, feeling something was
with sticks or leaves to represent the main characters. They
wrong; she came out, and smelt him. She was weeping, look-
are sometimes dismissed by adults as insignificant because
ing for her egg. She took him under the water, then brought
they lack portentous meanings or ritual connections. They
him up to the surface and vomited his bones.” He “went
are just-so stories about how various creatures assumed their
hard,” like rock. He became taboo and was transformed into
shapes, why they behave as they do, and so on. For example,
an eternal spirit presence, djang, at that site. The Rainbow
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Snake, in the cave above the billabong, watches over the
casual or long-term sweetheart or marital unions—or in hos-
other two eggs that she made and allowed to become hard.
tilities—but in a large proportion of these myths the Rain-
(One was stolen during the late 1940s but was returned after
bow Snake provides a common thread.
a local outcry: people were afraid the Snake might punish
them for failing to prevent the theft.) No one is allowed to
Another Rainbow Snake story from the same region
go to where the Snake is lying.
leads us to several further points. The venomous snake Bek
was once a man. In his travels he came to a mortuary plat-
This is an almost typical Rainbow Snake story. The
form, looked at the soles of the corpse’s feet to see who it
Snake’s meeting with the two Birds has numerous parallels
was, and identified it as his uncle. He was upset and angry:
in western Arnhem Land myths in general. The conversation
“They [someone] killed my uncle!” He went as a death mes-
between them is not reported, but it is unlikely, given the
senger, taking the news. The people (unspecified, but rela-
Rainbow Snake’s reputation, that the Birds told her to move
tives are implied) wept and gashed themselves in grief. He
to another site. Usually the Rainbow Snake does not meet
“stood as gungulor for them”; the bearer of a death message
animals or human characters as equals: the encounter with
takes the risk of being attacked by the mourners. He decided
the old Dangbun man is more characteristic. Although in the
to take revenge on them. “I’ll damage a Dreaming djang, and
final outcome he also becomes taboo and immortalized at
then that Mai [an oblique reference to the Snake] will come
that place, he is less taboo, and less dangerous, than the
and eat us all!” He used the term man-djang; the man- prefix
Snake.
usually classifies vegetable foods and plants, but when at-
Among the rocks and caves of the western Arnhem Land
tached to other substantive forms it indicates an especially
escarpment, every large hill and even small topographical fea-
sacred or ritually important quality. He found a taboo palm
tures are locally compartmentalized, shared among a number
tree and chopped it to pieces. A great rain came and drowned
of djang. One of the exceptions is Wuragag, Tor Rock, who
all of those people at that place. But he went into a rotten
rises as a landmark above the coastal plains. Wuragag “made
tree, buried himself inside it, and spat at them all: “You turn
himself hard” without the intervention of the Rainbow
into rocks—but as for me, I become a creature!” The narra-
Snake, partly because “he was afraid. He thought some men
tor added, “Ngalyod bit their heads, ate their noses. Their
[other mythic characters] were coming to kill him.” He had
bones lie about like rocks, but Bek put himself as djang; and
been the husband of Waramurungundji, the anthropomor-
his spirit remains there, at Maganbang, in Magani.”
phic creative mother of this region, but she left him after he
Bek’s vengeful action is one of several such cases in west-
slapped her cheek for referring openly to coitus. After that,
ern Arnhem Land myths, but it is only in the realm of myth
she tried unsuccessfully to introduce the rite of circumcision
that there are any reported instances of suicide in traditional
for boys.
Aboriginal Australia. Revenge usually takes the form of direct
A similar venture in the south of the region also failed.
violence or indirect sorcery, and both of these are found
An old man, known as Stone Knife Carrier, or Penis djang,
often in myth. Also, like Wuragag, Bek made his own deci-
came traveling from beyond Dangbun territory, circumcis-
sion about his djang transformation; unlike Wuragag, he sur-
ing boys along his route. However, the first Gunwinggu boy
vives in the form of a living, mobile natural species, still an-
he tried to circumcise died instantly. Men who had gathered
tagonistic to human beings, as well as in a site-linked spirit
for the ritual turned on him angrily, declaring that the prac-
manifestation. The Rainbow Snake was not directly an agent
tice was “not for us, we who speak Gunwinggu and Gunba-
in his transmutation. The myth includes no reference to any
lang” (a language spoken farther north, toward the coast).
attempt on Bek’s part to evade being swallowed by the Rain-
Traditionally, circumcision was not practiced in western
bow Snake or to plead not to be swallowed, as some mythic
Arnhem Land. The two myths provide a reason, and the
characters do; nor is there any mention of the Snake trying
Stone Knife Carrier episode ends with a statement about lin-
to engulf him or being thwarted or defeated, as in cases from
guistic and cultural boundaries. Waramurungundji was more
coastal areas where a Snake manifestation is killed and cut
successful with girls’ puberty rites. By teaching her young
open to release the victims. However, while in one sense they
daughter at puberty, through actions and verbal advice, she
are victims, in another sense they are not.
showed what should be done at first and subsequent men-
Western Arnhem Land is unusual in the high propor-
strual periods, including the routine behavior of squatting
tion of statements about transformation and intent made by
over a heap of hot coals and ashes, frequently changed, avoid-
its mythic characters. Many mythic accounts, especially of
ing water courses (fresh or salt), and observing social and
potential djang, open with such statements; others come at
food taboos.
the conclusion. The pervasive tone of the djang myths is one
In western Arnhem Land alone, more than in a number
of destiny and of its inevitability, and the Rainbow Snake is,
of other regions, the theme of travelers meeting is built into
for most such characters, the main force through which des-
the fabric of many myths, and knowing those myths also in-
tiny is achieved. A few characters manage to delay the inevi-
volves knowing at least something about all of the characters
table end, but only temporarily: they might weep or try to
whose paths cross at or near particular sites. Some travel
escape, but they “couldn’t do anything.” If, in rare instances,
alone, in pairs, or in small family groups and join others in
they were helped by a “clever man,” an Aboriginal doctor,
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they eventually “became hard,” and their djang sites are iden-
all of this was documented in myth, supplemented by illus-
tified as such.
trations in rock art and in bark paintings. Adding to the “liv-
ing” quality of the whole region were, and are, numerous
Without spelling it out, the myths make contradiction
spirit characters such as the Mimi, whose ancient, stick-thin
here plain. On the one hand, there is the inescapable aspect
likenesses, drawn in blood, appear in paintings in the rocky
of fate: the aim of a djang character’s journey and the choice
hills and escarpment country. Other spirit beings who can
of the “right place” are predetermined, although the deter-
be either friendly or malevolent include the ghost aspects of
mining agent is not mentioned. On the other hand, the ac-
dead human beings, whose souls have gone to the land of the
tions that cause the final disaster, as it is often described, are
dead, leaving a third aspect to return to child spirit centers
mostly set in a more negative frame even when the Rainbow
to await reincarnation.
Snake is not involved. Mythic characters “go wrong” or “do
wrong”; they take a wrong turning spatially or in terms of
The Rainbow Snake, in swallowing and (among more
behavior, or someone else “makes them go wrong.” Although
inland groups) vomiting manifestations, is an important
not defined as such, this contradiction is almost like a con-
linking theme in regard to the shape of the landscape and,
trast between preordained destiny and individual will. It has
to some extent, of the seascape. The Snake connects land and
a parallel in local views on sorcery, which combine the ac-
people and the invisible, supernatural dimension in another
knowledgment that physical death is the fate of all human
way, in the sphere of religious ritual—in the Ubar, for in-
beings with the belief that it can be brought about prema-
stance, and in the Kunapipi, with their bearing on fertility
turely through human action.
and on initiation rites and their core of secret-sacred mys-
tique. Other important characters are widely known in west-
A large range of myths deal with issues of human choice
ern Arnhem Land, not only through their cross-country trav-
in regard to good and bad behavior in social relationships.
eling but also through their position in the same kind of
They appear in the content of djang myths but only as sec-
ritual context. Among them are the Nagugur, associated with
ondary themes. Except in such examples as the Bek myth,
the Kunapipi rites. In some versions of their myth, they are
they are not shown as causal or precipitating factors in at-
a father-son pair traveling with their wives; in others, a group
tracting the Rainbow Snake. The Snake is drawn more or less
of that name, sometimes said to be self-renewing or self-
automatically to the following kinds of scenes: when, for ex-
perpetuating. Associated with the Ubar rites is Yirawadbad,
ample, a goanna or an opossum sizzles and bursts while
a venomous snake man (in one ritual manifestation, a Rain-
someone is trying to cook it in a low-lying sandy place during
bow Snake); Nadulmi or Narol’mi, a kangaroo man; and
the wet season (or on a flat rock, which is likely to crack);
Ngaldjorlbu, the Ubar woman. Associated with the Maraiin
when someone mistakenly kills a daughter or son of the
rites are Lumaluma, the Whale Man, a good and bad charac-
Rainbow Snake; or when someone makes loud noises, allows
ter, and, among others, Laradjeidja of the Yiridja moiety and
children to cry, or breaks food or ritual taboos. In the myths,
Gundamara of the Dua moiety. (Dua and Yiridja are patri-
all of these are presented as potentially, but not inevitably,
lineal-classifying terms that have been spreading from north-
dangerous circumstances: the characters concerned have a
eastern Arnhem Land.)
measure of choice. Some of them, in their final moments,
say, “We went wrong, we shouldn’t have done that!”—
The paths, or tracks, of these and other characters are
whereas others, such as Bek, know exactly what they are
usually implicit in their myths, but it is the sites that receive
doing and make a deliberate choice to draw upon a supernat-
most attention. That is the general rule throughout the con-
ural force to achieve a personal objective. One sociocultural
tinent too, but within a certain territorial range people also
theme implied in the Bek story is, “If someone has an unsat-
know and identify the tracks without hesitation, partly be-
isfied grievance, watch him carefully because he may take a
cause these are paths they themselves are, or were traditional-
secret revenge.” That theme emerges more conspicuously in
ly, likely to use in their own journeys. In the Western Desert,
sorcery accounts, in myth and in everyday life, especially in
mythic tracks are especially important in respect to what used
regard to neglected obligations or a girl’s rejection of her be-
to be called “conception totemism.” The place at which a
trothed or her husband. Resolution of such conflicts is seen
woman first reported awareness of pregnancy need not be a
as a human responsibility. As a rule it is only the physical
named site. The crucial question is, On or near what track—
consequences of human action that bring the Rainbow Snake
whose track—did this happen? For instance, was it on or near
to deal with ordinary people—noise, ground movements,
a Dingari route, a Malu (Red Kangaroo) route, or a Wadi
breaches of taboo, damage to taboo sites, and the like.
Gudjara (Two Men) route? The answer has implications for
the child’s religious ritual rights and participation in later
Myth patterns in local perspective. People throughout
life.
western Arnhem Land were traditionally acquainted, at least
in outline, with most of the djang myth themes and could
Traditionally, the myths of a region—and the sites,
identify djang sites. More significantly, they were aware that
paths, and activities they enshrined—made up a living con-
the country around them was spiritually alive with thousands
text map, pervaded and highlighted by religious rituals and
of major and minor presences, and they knew that every
full of practical information about natural, human, and su-
djang site had its story and its specific character(s) and that
pernatural resources. The verbal surface of the myths and
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659
songs, the visible and audible surface of the rituals, and the
myth, songs, and place names, but a unique superhuman in-
material representations that went with both of these never
carnation. The rumors were short-lived. However, the north-
contained all the information available for understanding,
central recognition of the Djanggawul’s importance is much
interpreting, and acting in relation to them. Even knowing
less marked farther south, where emphasis is on the Wawalag
them all in toto would not be enough. In an ongoing situa-
constellation, with its inland overtones, and on the longer-
tion, the social context of discussion—the “running com-
standing inland association with Kunapipi ritual.
mentary,” as Malinowski called it—is an indispensable part
Both constellations, Djanggawul and Wawalag, share a
of any myth or ritual constellation. Furthermore, to take a
common, pervasive theme of fertility of the land and of all
single myth or a single ritual sequence out of its larger con-
its living inhabitants. Within the overall theme, the Djangga-
text of myths or of rites is to ignore what can be vital clues
wul stress the human component. The two sisters, and on
to its meaning. This is not to say that one must have, or must
the eastern side they and their brother, produced the first
include in one’s scrutiny, details of every account in any
human populations in the region, locating them at specific
given region. No Aboriginal person in a traditionally ori-
named sites and telling them what languages (dialects) they
ented society could do that. But adults in such a society
should speak, along with other customary rules these new
would be aware of the extent and nature of the information
people were to follow. They provided supplies for fresh water
and of its relevance, even though some would be more
and indirectly indicated what foods they were to eat or ab-
knowledgeable by virtue of age, ritual status, interest, and
stain from. The Wawalag sisters are often referred to in con-
competence. That kind of awareness is a minimal require-
nection with fertility, but this rests mainly on their connec-
ment for students of myth.
tion with the Great Python, who swallowed them. They were
Interconnecting themes. An inside perspective on
not traditionally regarded in northeastern Arnhem Land as
myth should coincide, up to a point, with an outside per-
the very first people or as creators on a large scale, as were
spective—recognizing that in neither case can there be a sin-
the Djanggawul. (Some bark paintings on this theme in the
gle perspective. Over and above that, however, an outside ap-
Djanggawul myth show multiple birth scenes on a superhu-
proach should take into account a wider span of similarities
man numerical scale.) The Djanggawul story includes some
and differences in a larger comparative frame. Such compari-
“human” touches, such as putting newly born girls onto soft
sons should begin on a small, regional scale. This frame
grass and boys onto rougher ground. But the sisters are al-
should go beyond what people take as their own immediate
most impersonal as contrasted with the Wawalag; although
mythic and ritual and social context and include material
they are not forcibly separated from the children by the
that they may know or have heard a little about but do not
Snake, as in the Wawalag case, they continue on their jour-
explicitly or consistently bring together.
ney toward the setting sun, voluntarily leaving the children
behind to fend for themselves.
A useful example in this respect is northeastern Arnhem
Land, a fairly compact region for which a great deal of infor-
The Wawalag sisters are sometimes referred to as “the
mation on myth and ritual has been available since the
first mothers,” but no time sequence is suggested to distin-
1920s. The two most important mythic and ritual sequences
guish them from the Djanggawul in this respect. Certainly
there are the Djanggawul and the Wawalag. William Lloyd
in the Wawalag myth the sisters have a more obvious moth-
Warner, from the vantage point of his fieldwork at Mil-
ering relationship with their child(ren). (In Aboriginal Aus-
tralia a mother’s sister would also be called “mother.”) Be-
ingimbi in the 1920s, attempted a brief comparison of these
tween them the Wawalag sisters have only two children,
two great sequences. The significant point is that he made
three at the most. They care for the children as individuals
the attempt, even though it reflects some of the difficulties
and try to protect them from the Snake; detailed versions in-
inherent in the exercise. As he noted, the Djanggawul con-
clude conversations about looking after the children, and a
stellation was better known in northeastern Arnhem Land,
breast-feeding fireside scene for the new mother. The moth-
the Wawalag in the north-central area. That position contin-
er-child relationship is a focal theme in this part of the myth.
ues to apply, up to the mid-1980s, with one exception which
Also, the Wawalag sisters perform almost no miraculous
must have been relevant even in Warner’s day. The Djangga-
feats, even though they are bringing with them powerful
wul, traveling from east to west, roughly parallel to the
songs and dances from their inland place of origin. They are
course of their mother, the Sun, did not move very far from
more vulnerable than the Djanggawul and have to join with
the coast. Milingimbi, in the Crocodile Islands, was virtually
the Great Python before their ritual linkages and also the
their last port of call in eastern Arnhem Land. Extensive ver-
monsoon rains can be activated. Although there are some ob-
sions of their myth were still well known there, to both men
vious similarities as well as contrasts between the two myths,
and women, up to the 1950s, although they have been some-
a more detailed inquiry would reveal that they are even more
what attenuated in more recent years. Even in the early
obviously complementary.
1960s, rumors were circulating on the eastern side that an
incarnation of one of the Djanggawul sisters had been seen
Another important constellation in the same region, al-
at Milingimbi—not the routine type of incarnation of child
ready noted, is also complementary to the Wawalag myth
spirits, nor the routine use of personal names drawn from
but less clearly so to the Djanggawul. Like them, it belongs
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to Dua moiety clans. The central character, himself Dua, is
lit by Wudal with the bark fire stick he always carries. It is
the boomerang-legged honey spirit man, Wudal. His journey
“burning grass time.” The clouds are dark with rain—Dua
from the distant inland toward the Roper River is told in
rain and wind, the “wind of the honey and the bees,” blow-
song, not in story-type narrative. It is a riteless myth, made
ing from the sacred billabong.
up of images, place names, and short action sequences.
The songs, each seemingly inconsequential in itself,
Wudal is often described as a single male person. His body
build up into a coherent pattern with a number of pertinent
is covered with white feathered string, and he wears a head-
themes. One is the Wawalag connection. Some of the place
band of kangaroo claws; long baskets full of bees and honey
names noted in the songs also appear in the Wawalag myth.
are slung from both shoulders. He moves with a kind of skip-
One, Muruwul, was said to be the “billabong of Wudal,
ping step, partly because the sunbaked rocks are hot under
Crow, and the Wawalag.” The two djuwei posts resemble
his feet; he pauses at intervals to dance and to tap the sides
stylized Wawalag figures and have the same shredded-bark
of his baskets. However, the traveler can be female (Laglag
hair. In the Rainbow Snake’s song in the Wawalag myth, the
is one of the names more often used in that case) or, as in
sacred mound is equated with the Wawalag sisters’ hut that
other single or multiple myth examples from other regions,
the Snake is preparing to coil around before swallowing
a group of Dreaming men and women. The song sequence
them. He also sang the names of places from which the
details his journey, the creatures encountered on the way,
honey wind comes, bringing its Dua-moiety rain. There are
and his own actions. The sequence of some of the songs can
other meeting points between the two myths, some explicit,
vary according to different versions, but it should always end
others more oblique. As myths, the two are generally asserted
with a song accounting for the redness of the sunset sky.
to be separate; and the ritual associations of the Wawalag,
Other explanations for the redness are offered in several song
as well as the central role of the snake (who has no parallel
and myth series from both moieties; in one, for instance, the
in the Wudal sequence), help to keep them distinct.
color symbolizes the blood of the Wawalag sisters.
Whatever the details of similarity and difference be-
In one song (noted earlier), Yiridja men are making
tween them, however, their most salient feature is their com-
stone spear blades, which are of the Dua moiety; the flakes
plementary involvement in the seasonal cycle. The year is di-
they chip off in the process are Yiridja, and in kin relation-
vided into a succession of named seasons, each with its
ship the blades are like mothers to them. Wudal men are
characteristic combination of rainfall, temperature, vegeta-
there too. Tired of sitting down, the men stand up and prac-
tion growth or decay, availability of various foods, and the
tice throwing their spears and posture with them as if danc-
behavior of various land and sea creatures. It is not a simple
ing. Later, Dua Wudal men of various subsections (an eight-
division between wet and dry seasons. The Wawalag-
fold division into social categories, widespread through
Yulunggul contribution is responsible for the Dua-moiety
much of Aboriginal Australia) have been hunting and killing
monsoon from the west and northwest, the principal source
Yiridja-moiety kangaroos: the song notes their subsection af-
of fertilizing rains. The major contribution of the Wudal
filiations, one by one. They return to their home base, a
song sequence in toto is the gentler, less ferocious but moder-
large, freshwater billabong. Leaning their spears against the
ately strong wind and rains, also Dua, that bring relief from
stringy-bark trees there, they lean forward to look at their re-
the heat at a time when the grasses and foliage of the inland
flections in the water, then stoop down to drink, making lap-
are dry and inflammable. Lightning strikes, as well as deliber-
ping noises and spitting out some of the water. In the late
ate burning-off for hunting and regeneration in selected
afternoon they settle down to eat their kangaroo meat, which
areas, cause large, billowing smoke clouds. Perhaps just as
they like raw, with blood running. They spit as they eat, red-
significant in this seasonal context is the theme of bees and
dening the sky, causing the red cloud, or sunset.
honey. The songs that focus on the bees bring in several sing-
ing names of the stringybark: it is gongmiri (it has “hands”);
Other songs have noted the creatures Wudal sees on his
it is mareiin (“sacred”). Wild honey is a highly desirable food,
travels and at the sacred billabong: colored caterpillars, frilled
and the flowering of the eucalyptus signals the development
(blanket) lizards, several kinds of birds, and his own bees.
of other foods.
Several songs describe a sacred mound of earth that men have
prepared near the billabong. Wudal people, gathered for
Even though no formally organized rites are attached to
dancing, speak the untranslatable ritual language, gin-nga, or
this song series, the actual singing and accompanying danc-
gidjin, associated with this. On the mound they have erected
ing, though performed in a less emotionally charged atmo-
two painted djuwei posts with bark hair, representing two ad-
sphere, are equivalent to such rites. The series is in the cate-
olescent girls. In the “honey wind” part of the series, Wudal
gory of so-called clan songs, in this case belonging to Dua
is thirsty and eats honey from his baskets and from the sacred
moiety dialect units such as Djambarbingu and Riraidjingu.
trees at the billabong and kangaroo meat from a separate bas-
The singing in itself affirms and anticipates the coming of
ket. As he eats, he spits. The spray of saliva rises up, mixing
the required state of affairs in an almost timeless sequence.
with the spray from the Wudal men and with the crows and
The honey wind, then, comes between the west monsoon
the bees. It joins the clouds rising from the smoke of fires
and the southeast trade winds that bring light rain at the end
sparked by the flaking of the stone spear blades and from fires
of the cold weather.
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661
Wudal himself is credited with bringing the subsection
with rain and thunder), the image of spitting and spraying
system to northeastern Arnhem Land. Of inland origin, the
out moisture, as in the Wudal songs, recurs in a number of
subsection system is now an integral feature of social organi-
settings. In one song sequence, spray rising from whales in
zation all along the north coast. Boomerangs, however, are
their rare appearances offshore automatically causes clouds,
not, except in ritual settings such as the Kunapipi, they are
followed by rain. Lighting fires that send up columns of
still associated with “other” Aboriginal groups. The songs re-
smoke, another Wudal activity, is another way of making
veal Wudal as a stranger, coming north toward the coast for
clouds and rain, not necessarily in the same area as the fires.
the first time; the coming of travelers from one area to anoth-
There are clan songs about Dua fire and others about Yiridja
er is one of the commonest themes in all Australian Aborigi-
fire, just as there are distinct song series relating to clouds and
nal myths. And he is a benefactor, bringing bees and honey,
rain. Clouds, in named varieties, are either Dua or Yiridja;
taking part in stone spear blade preparation and distribution,
they come from, pass over, and go toward named places and
and strategically sending rain between the deluge of the mon-
populations. Clouds of both moieties may meet and pass
soon and the lighter falls from the southeast.
each other, just as freshwater streams and tidal rivers may
contain layers of water belonging to different moieties.
The complementary relationship between the two patri-
lineal moieties, Dua and Yiridja, is a subtheme in many
Such images are basic ingredients in the clan songs,
myths and song series. They are portrayed as different but
whether or not they are explicitly associated with mythic
interdependent. Everything and everyone of significance is
characters. They permeate the myths of this region, with
classified in those terms. Even the major mythic figures, the
their often poetic language. In varying degrees they also enter
deities, do not stand outside the system: they are either Dua
into the so-called play stories, the wogal dou, that include sto-
or Yiridja. However, while men’s offspring are in the same
ries designed mainly for children, such as a version of the
patrilineal moiety as themselves, women’s are not: Yiridja
Djanggawul myth. These range from the trivial to the por-
women have Dua offspring, and vice versa. Except for the
tentous or tragic. Wogal means “play” but carries an underly-
great Djanggawul, themselves Dua, who made children of
ing tone of seriousness or purpose; dou means “information.”
both moieties—in a situation where they were formulating,
Clouds are more prominent than stars in northeastern
not necessarily conforming with, the rules—myths and songs
Arnhem Land myths and songs. One exception is the eve-
note this almost zig-zag descent line linking mothers and
ning star, symbolically identified with the large water lily, the
their offspring. The two moieties are not identified by a sin-
lotus, and also associated in song with the death and return
gle pair of symbols, as are the famous Eaglehawk and Crow
to life of the moon. The morning star comes from Bralgu,
of southeastern Australia. They have multiple associations,
the mythical island in the Gulf of Carpentaria from which
spread across the whole field of possibilities. Thus, there is
the Djanggawul set out on their epic journey to the Austra-
a Yiridja shark species, but the large, aggressive Dua shark
lian mainland. It is also the home of souls of Dua-moiety
is more prominent in song and in clan-linked symbolism and
dead. That theme connects it with the Djanggawul, although
oratory. In shark songs, a female Dua shark must have Yiridja
the song series that goes with mortuary rites for a dead Dua
offspring: in procreation,“Yiridja comes out of Dua,” “Dua
person is separate from the principal Djanggawul myth. So
comes out of Yiridja.” The song and myth references are a
is the myth that describes what happens to the soul on its
reminder that neither moiety can do without the other and
voyage to Bralgu and when it reaches there, and that also
that patrilineal rights and obligations are not the only consid-
gives advice on what to expect from the spirit guardians there
eration: a person has certain rights also in the myths, songs,
and how to behave toward them. That myth is supplemented
and ritual affairs of his or her mother and mother’s brothers,
by the account of a Dua-moiety man, Yawalngura, said to
including rights to tell and to sing and participate.
have gone to Bralgu by canoe while he was still living and
to have returned for just long enough to report his experi-
The Wudal myth resembles the clan song style of pre-
ences (Warner, 1937, pp. 524–528).
sentation in being sung rather than told, in whole or in parts,
as a narrative. The clan songs deal predominantly in imagery
The song imagery begins with a corpse on its mortuary
and in song words specifying attributes and activities of vari-
platform, then dwells, in turn, on the creatures that move
ous creatures and other natural phenomena. Yiridja rain and
to and fro between it and Bralgu. One section of the se-
wind from the southeast are treated in this way in one song
quence focuses on the morning stars that Bralgu spirits send
sequence, where mythic characters as such play only a minor
out to specifically named sites on the mainland and islands
part. Another popular subtheme in myths and songs pur-
of northeastern Arnhem Land. This overall combination of
ports to answer a twofold question: How do clouds come
the more conventionalized Djanggawul creation myth, the
about, and what (or who) makes rain? Rainmaking rites are
corroborative report of a living human being, and the song
virtually lacking in northeastern Arnhem Land, except for
sequence on the topic of a Dua person’s final transition to
the larger seasonal fertility affairs that link the Djanggawul
the island from which the Djanggawul embarked on their
and Wawalag and other myth and ritual complexes. Aside
journey, dwells explicitly on the two dimensions of human
from outstanding figures such as the Lightning Snake, and
life—the spiritual and the physical. The decay of the body
Larrpan the Cyclone Man (whose long penis is associated
is frankly stated, in some detail, but that process is demon-
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662
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FIRST EDITION]
strated to be inseparable from the continuing life of the soul
table source of rules and injunctions governing human be-
after the death of the body.
havior. This early period is portrayed in myth as an era of
Two associated myth complexes make it clear that not
development and process: the sociocultural as well as the nat-
all of the soul goes on the voyage. One of these complexes,
ural world was taking shape or, rather, being given shape not
which is not set out in narrative form but usually as an ad-
only by the major deities but also by the host of mythic char-
junct to other accounts, emphasizes the theme of reincarna-
acters who were, and continue to be, an integral part of the
tion or continuity. One part of the deceased person’s spirit
process.
remains in its former country, to animate the fetus of a
When the lawmaking, lawgiving characters make pro-
human being in the appropriate social categories, an event
nouncements at the end of their earthly journey in the form-
revealed in a dream to the prospective father or father’s sister,
ative era, their myths have already recorded the events lead-
or other eligible relatives. A third part, the trickster spirit, is
ing up to these; they do not merely note the pronouncements
the subject of many wogal dou and other stories, some of
but tell how and why they came to be made. The mythic ex-
them highly dramatic. Together, the substance of all of these
planation, in many cases, describes the very behavior or situa-
myths and songs makes up a detailed commentary on the
tions the rules were supposed to guard against, prohibit, or
transcendental issues of human life and death: how individu-
at least discourage. Even when myths spell out the details of
al people came into being, something about their life on
such behavior, they do not always add the warning that it
earth as human beings, and what they can expect to happen
is wrong. In the ongoing traditional Aboriginal scene, the
after that. They do not, however, take up the difficult ques-
messages believed to be contained in myth did not need to
tion of relationships with close relatives and spouses of the
be stated explicitly on any one occasion of telling or singing
opposite moiety. The question is traditionally left unan-
or ritual enactment. There were other opportunities for that,
swered—or, rather, not asked. In the conventional view,
formal or otherwise; and in any case, the levels of complexity
people of the Yiridja moiety go to their own land of the dead,
in interpretation varied according to the social and ritual
an island off the north coast. The Yiridja guardians of the
context. The dynamic, continuing aspect of myth has its
dead also send items to living people on the mainland and
counterpart in human life: the events set in train by the
offshore islands. The songs tell how these things come bob-
mythic beings are still in process. To keep things going in
bing and dancing on the waves, borne by the north and
the appropriate way, this and that must be done, in religious
northeast Yiridja winds.
ritual terms and in everyday social living. Myths were not de-
A major theme in all the myths of northeastern Arnhem
signed as an intellectual exercise or for aesthetic pleasure or
Land is the relationship between people and their land.
entertainment. They were for use—for information, expla-
When the mythic characters shaped the land, they shaped the
nation, and action. Narrative myths, outside the more for-
sky, the clouds, and the seasons—the total environment that
malized ritual context, were open to audience participation
provided a background for themselves and for all the living
and questions and comment. Sometimes a narrator would
beings there.
amplify certain passages when he or she considered that some
In the Wudal myth as in the Djanggawul and Wawalag,
members of the audience needed further information on a
and in eastern Arnhem Land generally, the patterning of
topic.
cross-references is much more noticeable than in many other
In this living mythology, no myth is taken as a total
parts of Aboriginal Australia. There is a concern with small
package, the content of which is to be accepted or rejected
details, which are not left suspended or clustered loosely but
en bloc. Even where claims are made to that effect, they are
fit together in a variety of coherent shapes. The interlocking
largely ideal statements or, rather, statements of principle
of items and themes has been tentatively described as repre-
that take for granted the matters of selection and interpreta-
senting a characteristic sociocultural style which finds expres-
tion that accompany even the most rigid attempts to main-
sion in graphic art such as bark paintings and stylized body
tain verbal (and ritual) adherence to an unchanging pattern.
designs (C. H. Berndt, 1970, p. 1316). Strehlow notes the
same point in stressing the need to examine material from
Some precedents are fairly straightforward: in regard to
all of the Aranda groups in studying myths in central
food and material resources, for instance, that are fundamen-
Australia:
tal in making a living. Another set of mythic themes that also
seem to have been taken very much as a given recounts the
When looking through a collection of myths that have
been gathered in any one of these groups, one feels that
shaping of human and other forms of life. In general, the po-
one is being led into a wide-spread maze, into a vast lab-
tential for change was inherent in all of the mythic charac-
yrinth with countless corridors and passages and side-
ters. The shape in which they appeared at the beginning of
walks, all of which are connected with one another in
their respective stories was not necessarily the same as that
ramifications that at times appear altogether baffling in
of their final appearance. More often than not, it was quite
their complexity and interdependence. (Strehlow,
different, but the emphasis is on the word appearance. They
1947, p. 45)
had built into them the program or plan which emphasized
PRECEDENTS AND CONTRASTS. The creative period of the
the shared quality of all life but accorded them different roles
Dreaming is traditionally regarded as the principal, indispu-
and different shapes in the “web of life” that encompassed
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AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FIRST EDITION]
663
them all. However, as far as human shapes were concerned,
1939, pp. 128, 199–200). Howitt (1904, pp. 428–429) re-
myths put forward more or less common views as to what
ports the same kind of edict from southeastern Australia.
a human being should look like (as well as how he or she
Strehlow (1947, pp. 44–45) outlines a different myth
should behave).
among the northern Aranda. Near Ilkakngara, Curlew Peo-
Howitt (1904, pp. 475–476, 484ff.) provides some in-
ple emerged from the hard rock: women first, one making
teresting examples of this. Bat was lonely, because “there was
an opening in the rock with her nose, then men. The first
no difference between the sexes,” so “he altered himself and
man lit a fire, but the others were angry and pointed a magic
one other, so that he was the man and the other was the
bone against him, so that he died. After he was buried, griev-
woman”; he also made fire. In another version the great
ing women danced around his grave, and he began to work
being Bunjil “made men of clay and imparted life to them,”
his way up through the ground, head first. He had almost
and his brother Bat “brought women up out of the water to
freed his shoulders when Magpie, in a rage, thrust a heavy
be their wives.” Among the Yuin, it was the Emu-Wren who
mulga spear into his neck and stamped him down hard into
shaped incomplete creatures into men and women. On Cape
the ground, ordering him to remain there forever. If Magpie
York Peninsula a White Sand Snake Man, wanting a wife,
had not so forcibly intervened, everyone who died would
castrated and cut an opening in his younger brother to make
have come to life again, emerging successfully from the
him into a woman (McConnel, 1957, pp. 128–130); the
ground. Strehlow notes that other “legends” express the same
same action is also attributed to Moon (p. 28). In the eastern
general idea.
Kimberley an old mythic woman “tried to subincise girls and
Themes that are more open to debate or to questions
‘make them into men.’ But they developed into young
of interpretation mostly hinge on matters of social relation-
women,” and she admitted defeat (Kaberry, 1939, p. 201).
ships. One is about the nature of participation and control
The Djanggawul, in contrast, with their dominant position
in religious affairs, especially ritual affairs, as between men
in the mythic scene in northeastern Arnhem Land, adjusted
and women. The key set of questions in mythic terms is,
their own shapes to what they considered proper for human
Who first found, owned, or controlled the most sacred reli-
beings. All that was needed in their case was clitoris shorten-
gious materials? What happened? and Did that situation
ing for the sisters and penis shortening for the brother. This
change? Outside the field of myth, in the sphere of ordinary
episode has an initiatory connotation, just as in the eastern
human activities, the question is, Who has control now? with
Kimberley version of the subincision attempt. And in fact the
the corollary, Who makes decisions about participation? In
bodily operations which are part of so many initiation rituals
the great majority of myths such questions do not focus spe-
conform with the same body-shaping, body-marking princi-
cifically on male-female relations in this respect, but in a sub-
ples that are implied, if not actually enunciated, in the more
stantial minority of examples across the continent they do.
comprehensive initial efforts. So are the minor body-
marking conventions of cicatrization, nasal septum piercing,
In the Djanggawul myth, the sisters lose their monopoly
and the like. All of these, like hairstyles, rest on mythic edicts
right to ownership and control of secret-sacred materials
or suggestions.
when these are stolen from them by men. On Cape York
Peninsula, two girls find a bull-roarer and swing it, singing
A theme that is more emotionally charged is how, and
that it is forbidden; they place it in a bloodwood tree, saying
why, death is the lot of all human beings. In many myths,
“It belongs to us women, really, we have found it! But no
Moon is somehow connected with this. In one western Arn-
matter! We leave it for the men!” (McConnel, 1957,
hem Land myth, simplified as a children’s account (because
p. 119). In east Kimberley, “some of the female totemic an-
children traditionally learned, quite young, the facts of bodi-
cestors were given tjurunga” by the mythic being Djulargal,
ly death), Moon Man and Djabo, Spotted Cat Man, travel-
but “later these were stolen from them by Porcupine” (Ka-
ing together, succumbed to a sickness that was spreading
berry, 1939, p. 201). In western Arnhem Land, “the ubar rit-
across the land. Moon was a margidjbu, a healer or clever
ual belonged at first only to women”; Gandagi Kangaroo
man. He recovered and wanted to revive Djabo, but Djabo
Man drove the women away, took their sacred emblems, and
didn’t trust Moon, so he refused—and died. Because of that,
gathered a group of men to perform the same rites (Berndt
all human beings must die, and their bodies cannot be re-
and Berndt, 1982, p. 257; 1970, pp. 120–121). The Waw-
newed, but when Moon dies, he always comes back anew
alag brought Kunapipi songs and rites on their journey to
after three days. There are many variants on the same theme.
the northern Arnhem Land coast, but after being swallowed
This one carries an added message: if you are sick and a mar-
by the Great Python they taught these, and gave them, to
gidjbu offers to heal you, you must have faith in him and in
men. An interesting point here is that the Wawalag were
his treatment to survive. In east Kimberley, Moon originated
swallowed and regurgitated in much the same way as male
death and wrong marriage by trying to marry a woman he
novices are, symbolically, in initiation rites. But those male
called mother-in-law. “She and the other women with her
novices are recipients of sacred knowledge, whereas the
attacked him in fury and cut off his organs which changed
Wawalag were both teachers and donors, and the novices in
to stone.” Then he declared that after dying he would “come
that episode in their myth were adult men. To compound
back in five days,” but they would not come back (Kaberry,
this issue of “women had it first,” many ritual sequences now
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AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FIRST EDITION]
dominated by men show a preoccupation with the idea, or
the inevitable and irreversible framework of existence” (R.
the ideal, of women, and with female physiological charac-
M. Berndt, 1970, pp. 220, 223, 244).
teristics such as pregnancy and childbirth.
A crucial issue, particularly in respect to what Strehlow
Mythic precedent and substantiation also emphasize the
has called the “amoral” behavior of many central Australian
important place of women in the creative era of the Dream-
mythic figures, is whether sanctions operate to discourage or
ing, even in cases where it is not spelled out. For example,
prevent or deflect such behavior. How far do the myths
in the Northern Aranda Curlew and Magpie death myth, it
themselves serve to deflect it, as a kind of catharsis? This is
was a Curlew woman who first broke through the hard rock
a complex issue because the myths never exist in a sociocul-
to emerge on the earth, followed by other women. Strehlow
tural vacuum.
specifies in other discussions the “majestic” and impressive
To compile a dictionary or an index of themes or motifs
bearing of mythic women in Aranda myth. Isobel M. White
in traditional Aboriginal mythology would be a formidable
(1974, 1975) has tried, inconclusively, to explain central
undertaking. But it would be only a beginning in the process
Australian myths that seem to suggest ritual subordination
of understanding and explanation. In virtually all cases, a
of women by relating them to similar attitudes and values
spoken or written myth must be heard and seen in relation
in everyday living. Others, including Diane Bell (1984), have
to the unspoken, unwritten information known to the peo-
argued that such interpretations are based on inadequate em-
ple to whose mythology it belongs, the shared understand-
pirical evidence and that closer scrutiny of both myth and
ings that are essential in learning what it is about. Discus-
its sociocultural context are needed before any definitive con-
sions and comments help to throw light on these
clusions can be reached. In the past, Aboriginal women’s per-
assumptions, but they are not enough without a more com-
spectives have rarely been taken into account except at a very
plete knowledge of the sociocultural and personal contexts.
superficial level, and in some areas their own secret-sacred
And the nature of the relevant sanctions and rules is a neces-
rites and myths continue to be unknown to outsiders. That
sary and salient aspect of that context.
aside, the larger issue of myth interpretation is still controver-
sial and difficult.
Myths do not consitute a mirror image of Aboriginal so-
cieties. They reflect those societies, in their “ought” as well
Myths from all parts of the continent contain as much
as their “is” dimensions, in a variety of ways, both negative
bad as good human behavior. The activities of a great many
and positive. What the myths in general do reflect is one of
mythic characters do not conform with what was regarded
the major strengths of Aboriginal religion. It ranges from the
as good behavior by, or for, the people who told and heard
mystical and esoteric, the secret aspects of the sacred,
their stories. Even in regions where the main deities concen-
the spectacle and exhilaration and drama of ritual events, to
trate on creation in a relatively mild way, such as the Djang-
the more mundane features of everyday living. There is a
gawul (despite their original incest, and the men’s theft of
place in religion—a significant place—for all of these and for
sacred paraphernalia), other material dwells on more emo-
all of the varied roles and circumstances throughout a per-
tionally rousing events. Among the wogal dou are accounts
son’s life. The sphere of myth illuminates that place through
of aggressive encounters, cruelty, and despair. The trickster
contrasts and challenges as well as through insistence on con-
Pomapoma (Gwingula), for example, in the course of his ad-
tinuities.
ventures, rapes and kills his young mother-in-law in a story
which at once deplores his reprehensible actions and presents
SEE ALSO Djan’kawu; Gadjeri; Rainbow Snake; Yulunggul
them in quasi-humorous style. In western Arnhem Land, in
Snake.
a more clearly moralizing or threatening vein, Yirawadbad,
in his venomous snake form, kills both his young betrothed
BIBLIOGRAPHY
wife and her mother because the girl consistently rejected
Bell, Diane. Daughters of the Dreaming. Sydney, 1983. A fairly
him; he is now dangerous to everyone but especially to girls,
wide-ranging discussion of Aboriginal women’s involvement
and he makes his reason explicit as he surveys the two
in mundane and religious affairs in central Australia; also in-
corpses. In his human form, he went on to be one of the
cludes details of social structure and social relationships.
main instigators of the important Ubar ritual; this includes
Aims at achieving a positive balance in regard to Aboriginal
ritual enactment of the scene where, as a snake in a hollow
women, to counter the negative image which has prevailed
log, he bites the hand of each woman in turn.
in the literature, in the writings of women as well as of men.
Berndt, Catherine H. “Monsoon and Honey Wind.” In Échanges
Relating such materials to their sociocultural context in-
et communications: Mélanges offerts à Claude Lévi-Strauss, ed-
volves more than simply considering how, and how far, one
ited by Jean Pouillon and Pierre Maranda, vol. 2,
dimension reflects what takes place in the other. “Mythic be-
pp. 1306–1326. The Hague, 1970. Includes comments on
ings were both good and bad, and badness was a necessary
similarities and interconnections between the Wawalag myth
corollary of goodness.” It is as if “an immoral act must occur
and the Wudal myth-song sequence.
in order to demonstrate what can be regarded as being
Berndt, Ronald M. “Traditional Morality as Expressed through
moral,” but myth and story reflect “the total life situation,
the Medium of an Australian Aboriginal Religion.” In Aus-
in which . . . there is both good and bad . . . [as] part of
tralian Aboriginal Anthropology, edited by Ronald M. Berndt,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FIRST EDITION]
665
pp. 216–247. Nedlands, Australia, 1970. A companion arti-
of the Tiwi of Bathurst and Melville islands, but more useful
cle is “Mythic Shapes of a Desert Culture,” in H. Petri Fest-
for its illustrations and line drawings than for the details of
schrift, edited by Kurt Tauchmann (Cologne, 1973),
its text.
pp. 3–31.
Parker, Katherine Langloh. Australian Legendary Tales: Selected by
Berndt, Ronald M., and Catherine H. Berndt. Man, Land and
Henrietta Drake-Brockman; illustrated by Elizabeth Durack.
Myth in North Australia: The Gunwinggu People. Sydney,
Sydney, 1975. The original volume, with the same title, was
1970. A general study of Gunwinggu culture and people in
first published in London in 1896; the second, More Austra-
western Arnhem Land, incorporating a large number of
lian Legendary Tales, in London in 1898; later there were two
myths, with discussion of their ritual and sociocultural
others. This section is designed mainly for children, though
context.
it includes some discussion for adults. The editor’s discussion
and the illustrations (especially the distorted Arnhem Land
Berndt, Ronald M., and Catherine H. Berndt. The World of the
figures heading the “Seven Sisters” story, p. 105) tend to be
First Australians (1964). Rev. ed., Adelaide, 1985. Includes
misleading.
examples, with discussion, of myths from several regions:
first in connection with religious rites; and later, along with
Spencer, Baldwin. Native Tribes of the Northern Territory of Aus-
a number of stories, in the perspective of oral literature.
tralia (1914). Oosterhout, 1966. A “must” for any student
Many of these were told to either or both authors and trans-
of Aboriginal mythology in context. Equally so are Baldwin
lated in the course of firsthand fieldwork with men (Ronald
Spencer and F. J. Gillen’s The Northern Tribes of Central Aus-
M. Berndt) or women (Catherine H. Berndt). A longer ver-
tralia, (London, 1904) and their two-volume study The Ar-
sion and discussion of the Gandju Fire myth from the West-
unta (1927; reprint, Oosterhout, 1966), as well as their The
ern Desert appears on pp. 46–49 of my and Ronald M.
Native Tribes of Central Australia (1899; reprint, London,
Berndt’s “Aboriginal Australia: Literature in an Oral Tradi-
1938).
tion,” in Review of National Literatures: Australia, edited by
Stanner, W. E. H. “On Aboriginal Religion: IV, The Design-Plan
L. A. C. Dobrez, vol. 2. (New York, 1982), pp. 39–63.
of a Riteless Myth.” Oceania 31 (June 1961): 233–258. This
Charlesworth, Max, et al., eds. Religion in Aboriginal Australia: An
is one part of the author’s larger study “On Aboriginal Reli-
Anthology. Saint Lucia, Australia, 1984. A collection of pub-
gion,” extending through several volumes of Oceania during
lished articles on various aspects of the topic.
1959–1961 and 1963. Here he examines in detail the
Murinbata myth focusing primarily on the Rainbow Snake
Eliade, Mircea. Australian Religions: An Introduction. Ithaca, N.
Kunmanggur and on the activities of his son Tjinimin, who
Y., 1973. A useful overview of myth in the context of ritual
raped his two sisters, “mended his own bones” after being
and of religion generally.
dropped onto rocks (p. 243), and had other adventures be-
Hiatt, L. R., ed. Australian Aboriginal Mythology. Canberra, 1975.
fore killing his father. Stanner considers the myth as “ a kind
A somewhat mixed collection of myths, with examples and
of essay in self-understanding” (p. 247), and “an attempt to
analysis and including some controversial as well as some
systemize a throng of visionary shapes set up by mythopoeic
useful discussion.
thought over an unknown period, so that in any version at
any time only some of the many possibilities are used”
Howitt, A. W. The Native Tribes of South-East Australia. New
(p. 251). He pays special attention to variant versions and ex-
York, 1904. For all its obvious shortcomings, this is one of
pressed doubts, but he does not set the myth or discussion
the most useful of the compendia put together by early writ-
in a wider Australian comparative frame.
ers on the topic of Australian Aboriginal culture. It includes
a large assortment of myths and stories as well as other
Strehlow, T. G. H. Aranda Traditions. Melbourne, 1947. This
material.
volume of Aranda myths and rites is indispensable to any stu-
dent of myth. Strehlow’s superb presentation and translation
Kaberry, Phyllis, M. Aboriginal Women, Sacred and Profane. Lon-
of myths and songs is marred only by hints of his strict Lu-
don, 1939. Contains a number of myths, and references to
theran background and his stress on male points of view,
others, based on fieldwork in the Kimberley region of West-
which (as he himself suggests here and there) does less than
ern Australia. Continues to be useful. Kaberry recognized the
justice to the viewpoints of women.
need to reshape and update the study, but her book remains
a classic—virtually the first to look at Aboriginal women’s
Strehlow, T. G. H. Songs of Central Australia. Sydney, 1971. A
viewpoints and contributions.
magnum, or maximum, opus indeed. Strehlow deliberately
included examples and discussion of literature and song from
McConnel, Ursula H. Myths of the Munkan. Melbourne, 1957.
northern Europe to demonstrate that the Aranda material,
Especially useful for its versions of Wik-Mungkan myths
his primary interest, was equal to any on the world scene. It
from Cape York Peninsula, told to McConnel during her
is detailed, emotional, and scholarly. Also, it contains more
fieldwork there, which she began in the late 1920s. She sets
positive comments on the place of women in the Aboriginal
these myths in their living context, but her general discussion
religions of central Australia than does his 1947 study.
and interpretations are less helpful.
Warner, William Lloyd. A Black Civilization: A Study of an Austra-
Maddock, Kenneth. “Myths of the Acquisition of Fire in North-
lian Tribe (1938). New York, 1958. Contains a large number
ern and Eastern Australia.” In Australian Aboriginal Anthro-
of myths and stories, set in their sociocultural and ritual con-
pology, edited by Ronald M. Berndt, pp. 174–179. Nedlands,
text, but (as Warner acknowledged) without sufficient atten-
Australia, 1970.
tion to women’s substantial role and status. His story of Yaw-
Mountford, Charles P. The Tiwi: Their Art, Myth and Ceremony.
alngura, the living man who visited the land of the dead, told
London, 1958. One of the few accounts of the art and myths
to him in the Milingimbi area in the late 1920s, is very simi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
666
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FURTHER CONSIDERATIONS]
lar to versions told to Ronald M. Berndt and me in north-
legal system. The second is in the world of art. Aborigines
eastern Arnhem Land in 1946–1947.
use a variety of mediums that engage non-Aboriginal audi-
White, Isobel M. “Sexual Conquest and Submission in the Myths
ences and that are often market-oriented, such as artworks
of Central Australia.” In Australian Aboriginal Mythology, ed-
for sale, film, international dance performances, fiction, po-
ited by L. R. Hiatt, pp. 123–142. Canberra, 1975. Takes
etry, and biographical and autobiographical writings. The
what some consider to be a negative attitude toward Aborigi-
third is a burgeoning urban New Age movement focusing on
nal women’s role as portrayed in myth and in “real life” cir-
Aboriginal spirituality, health and healing. Publications in
cumstances, although she claims that her view is both realis-
this field seem to outnumber scholarly works on Aboriginal
tic and positive.
mythology. The increasing, if appropriative, recognition of
CATHERINE H. BERNDT (1987)
Aboriginal traditions is reflected in the expanding cultural
tourist industry as well as the growing popularity and rising
prices of publications on any theme related to Aborigines.
The fact that in many parts of the Australian continent
AUSTRALIAN INDIGENOUS RELIGIONS:
Aborigines uphold knowledge of mythic traditions that
MYTHIC THEMES [FURTHER
began to evolve long before colonization does not allow us
CONSIDERATIONS]
to infer that the same paradigms and meaning structures
By the beginning of the twenty-first century, the role of
continue to be relevant. As Ronald and Catherine Berndt
myths in shaping the imagination of Australian Aborigines
have noted in what may be considered the most important
had become exceedingly difficult to determine. Various ex-
compilation of myths in the second half of the twentieth cen-
ternal forces have left their mark on this theme, and these
tury, The Speaking Land (1989), there exists an “incalculable
forces have made Aborigines the subject of a project of
number” of myth-stories in the passive form of “memory cul-
mythologization that, in turn, has been appropriated by the
ture” (p.13). By itself, this tells us little about the status of
Australian state. The multimillion-dollar Aboriginal arts in-
mythic themes as an active force in the consciousness and the
dustry, for instance, has turned mythic themes visualized on
unconscious of people, or how stories relate to other symbol-
canvas into commodities and icons of national identity. Sim-
ic systems. Moreover, as John von Sturmer (2002) pointed
ilarly, the spiritualization of the Aboriginal cosmo-ontology
out, important myths are not recalled, told, or sung in fully
through marketable popularizations and simplifications—
elaborate form; they are “called on” in fragments.
whereby Ancestral sites become conflated into “My Mother
Earth,” for example—has occluded the historical foundation
It is self-evident that post-contact expressions of the
of myths. This process presents a particular historical turn
Dreaming are transformations of a worldview that knew only
in itself, and raises questions about the likelihood and forms
itself. For this reason, anthropologists emphasize the inher-
in which mythic themes may endure.
ently dynamic constitution of the Dreaming that Aborigines
consider to be the source of all forms and purposes of
Since the late 1980s anthropologists have rarely cen-
being—past, present and future. Scholars point out that the
tered their work on myths in the narrow sense of story. Fol-
structural potential for change is the very condition for the
lowing Aboriginal English usages in certain parts of the con-
resilience of the Law and is built into the clan organization
tinent, some ethnographers have replaced the term myth,
(Berndt, 1979); ways of forging totemic identities and rights
with its emphasis on narration, with the far more compre-
over country in the domains of ritual and everyday life
hensive expression, Dreaming.
(Duelke, 1998); a concept of non-biological subjectivity
CONTINUITIES, CHANGE, AND CHALLENGES. The constitu-
(Petchkovsky et al., 2003); kinetic perceptions of features in
tion of Aboriginal cultures is dynamic and highly heteroge-
the landscape such as rocks that quiver or places that move
neous. A variety of pre-contact traditions combine with the
(Redmond, 2001); and the variety of artistic systems. For in-
uneven experience of colonization and the emergent relation-
stance, in Central Australian Warlpiri communities, designs
ships between Aborigines and the wider Australian and inter-
that totemic Ancestors give to individuals in nocturnal
national community to form locally-specific forms of sociali-
dreams can be painted on canvas for sale or, if accompanied
ty and identity. Cultural diversity persists alongside the
by song, may be incorporated into ritual (Dussart, 2000;
notion of traditional Aboriginality. Hence, the endurance of
Poirier, 1996). People in the Daly River region in northwest-
the Dreaming is not a question internal to Aboriginal socie-
ern Northern Territory conceive new songs from ghosts in
ties alone; it concerns the articulation of relationships across
dreams that become efficacious in ceremony (Marett, 2000).
cultural contexts.
Artists in Arnhem Land develop adaptive conceptual struc-
At the end of the 1990s, possibly 20,000 out of a total
tures that encode Dreamings through modifications of paint-
of over 350,000 Aboriginal people were living in so-called
ing styles (Morphy, 1991; Taylor, 1996).
remote communities in the Kimberley region, the Western
Observations about the endurance of the Dreaming fur-
Desert, Central Australia, Arnhem Land, and on Cape York
thermore need to address the profound differences in the re-
Peninsula. The ceremonial life in these regions has thrived,
ligious orientation across cultural regions as well as on the
but manifestations of the Dreaming are also present, if con-
level of local communities, especially the heterogeneity of
tested, in at least three other fields. One is the Australian
Aboriginal Christianity (Swain and Rose, 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
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FURTHER CONSIDERATIONS]
667
Recognition of Aboriginal identities has become a major
Since the mid-1980s, Aborigines have increasingly held
issue in the Australian public self-understanding. One indi-
intellectual control over ritual objects, artifacts, paintings,
cation is the progressive, if contested, legal codification of In-
and audio recordings of myths together with research docu-
digenous rights over land and cultural knowledge. The polit-
ments that were collected and stored by others. Some com-
ical ramifications of establishing mythic traditions that can
munities have begun to establish their own cultural heritage
challenge existing and future forms of land tenure and use
collections, held in local museums and galleries. ADnangu
have impact on the way Aboriginal custodians handle such
(Pitjantjatjara and Yankunytjatjara speakers) in northwest
knowledge as well as on how anthropologists conceptualize
South Australia have developed an interactive digital muse-
and employ that knowledge. From a wider perspective, the
um that stores and re-creates myths, family histories, pictori-
incorporation of Aboriginal identities, cultural property, and
al material, and various historical documents. They have also
land ownership into the framework of state and federal laws
produced several thousand hours of video recordings of
creates conflict between Aborigines and others as well as be-
Inma, the ritual and song performances of Dreamings.
tween Aboriginal groups and families.
The movement toward self-representation is in part in-
The 1995 Hindmarsh Island Bridge Affair painfully il-
spired by the awareness that oral traditions expressing the
lustrated such an intragroup disagreement. Some Ngarrind-
many links between people and country are at risk of being
jeri Aboriginal women publicly accused other Ngarrindjeri
irretrievably lost for future generations.
women of having deliberately fabricated a secret women’s
Painting. One way of recording and maintaining myth-
tradition pertaining to Hindmarsh Island and the surround-
ic knowledge is to paint for an international art market.
ing lower Murray River region in South Australia. The claim
Paintings are possibly the most prolific public expression of
made by the accused was aimed at preventing the progress
mythic themes and forces. For Aboriginal artists, canvas,
of a marine development project and the building of a bridge
bark, batik, print, and sculpture present suitable mediums
on the island. The lengthy legal dispute that ensued relied
of communicating aspects of the Dreaming outside local
on anthropological expertise and fuelled a battle over the na-
contexts. The condensed and multi-dimensional symbolisms
ture of cultural traditions, secrecy, and the legitimacy of in-
that have been developed allow for the control of carefully-
novative processes. In the male-dominated courts and parlia-
guarded knowledge without diminishing the total aesthetic
ment, the provision that mythological knowledge was
effect necessary to evoke Ancestral presence or Dreaming
restricted to women was a major problem, since the gender-
Power.
restricted nature of information was also thought to prove
The function of paintings as the visual embodiment of
the authenticity of the claim. The case deeply divided Ngar-
Dreamings has solidified Aborigines’ links to country even
rindjeri society and damaged the anthropological profession.
where it is no longer possible to visit the ancestral sites. Until
Such difficulties notwithstanding, Aboriginal people
the late 1980s, men dominated the painting movement of
have felt encouraged that their role as cultural educators has
the Western and Central Deserts with magnificent pictorial
been acknowledged. Aborigines have long expressed desire
renditions of local totemic sites and the great traveling
to speak for themselves and for their country. With the open-
myths. Some of these early paintings are valued as national
ing of communication, it has become worthwhile then to
cultural heritage on the basis of a triple antiquity: the Dream-
survey the many forms in which the Dreaming is conveyed
ing, the modern painting movement, and the seniority of the
outside the context of ritual and secrecy.
painter. By the 1990s, women had become fully engaged in
making their Ancestral connections visible, often painting
CULTURAL KNOWLEDGE AND SELF-REPRESENTATION. Ab-
bush food Dreamings.
original people from very different backgrounds consider it
their responsibility to record and often publish certain sec-
Paintings are also an important form of documenting
tions and layers of mythic traditions that have been main-
destructive interferences with the Dreaming brought about
by colonization, resource development, and tourism. Two
tained as part of the local knowledge or reclaimed from exter-
art shows about missionary and mining activities were held
nal sources. These works are directed at both their own
on Ngaanyatjarra lands that, together with the accompany-
descendants and a wider audience. Often produced in collab-
ing catalogues, Mission Times at Warburton (2002) and Trust
oration with former missionaries or anthropologists, the
(2003), are powerful examples of how local communities
works include documentations of the regional totemic land-
seek to make explicit and preserve their cultural heritage.
scape in narrative and photographic form, such as Dorothy
Tunbridge’s Flinders Ranges Dreamings (1988); compilations
SCHOLARLY APPROACHES TO MYTH. For a variety of rea-
of myths and legends that may draw heavily on versions re-
sons, the number of scholarly publications specifically con-
corded by non-Aboriginal researchers; art exhibition cata-
cerned with myth has diminished since the 1980s. One of
logs; and biographical and autobiographical accounts that,
these is that with the growing participation of Aboriginal
like Warlpiri Women’s Voices (1995) or Ruby Langford Gini-
people in the academic and public domain, it has become
bi’s My Bundjalung People (1994), establish identifiable links
necessary to restrict access to secret-sacred knowledge. The
with country in the context of a history of displacement.
primary example of this conflict of intellectual interests is 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
668
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FURTHER CONSIDERATIONS]
withdrawal from the market of Charles P. Mountford’s mas-
federations.” In stark contrast to Rose’s (1994) assertion that
sive documentation of Pitjantjatjara myths, Nomads of the
in Dreaming law “there is no category of being . . . which
Australian Desert, in 1976. The Pitjantjatjara Council had
is not bodied” (p. 329), Turner recognizes as the organizing
made a successful case for an interlocutory injunction on the
principle of the religious attachment to the land an “abstract
basis of breach of confidence.
eternal jurisdiction” (p. 54). Throughout the 1980s and
1990s, most ethnographic field researchers focused on the
Between the late 1980s and mid-1990s, researchers de-
contextual, performative and political nature of the Dream-
voted much attention to the issues of Aboriginality, urban
ing, in particular its relationship to artistic forms. Exemplary
Aboriginal identity, women’s rights and rituals, land rights,
studies include Howard Morphy (1990) and Luke Taylor
mining, and racism. Howard Morphy’s (1990) brief analysis
(1996) on totemic painting traditions in Northeast Arnhem
of the constitutive links between myths and clans in Yolngu
Land and West Arnhem Land respectively; Ian Keen (1994)
society is one of few publications on Aboriginal mythology.
on the politics of secret knowledge held by Yolngu men in
With the passing of the Native Title Act 1993, however,
Northeast Arnhem Land; Françoise Dussart (2000) on Warl-
whereby the occupation of the continent prior to coloniza-
piri women’s ritual; and Fred Myers (2002) on the intersec-
tion became recognized as common law, the study of myth
tions between international and local contexts of Pintupi art-
received a renewed impetus. Partly in response to the contro-
making. Dianne Johnson’s (1998) literature-based survey of
versy in the legal arena about rights over land, and partly in
sky-related myths is significant in being the first contribution
the context of appreciating narratives of resistance, a debate
towards an Australian Aboriginal ethno-astronomy. The
developed on the relationship between myth and history. In
claim by Ngarrindjeri women over a sacred site in the waters
an attempt to re-conceptualize Aboriginal ontologies in a
around Hindmarsh Island rests on a Seven Sisters Dreaming
way that incorporates the experience of colonization,
about the Pleiades (Bell, 1998, pp. 573–89) that occurs in
Aboriginalists began to re-analyze stories they had recorded
many variations across Australia. A new generation of schol-
decades earlier. Following a conference organized by Jeremy
ars has begun to analyze the aesthetic forms themselves and
Beckett, the journal Oceania devoted almost an entire issue
how these encode meaning and relate to the structures of the
(December 1994) to the discussion of how history, human
social and mythological imagination (e.g., Biddle 2003;
agency, and the Dreaming intersect. This theme was revisit-
Eickelkamp 2003; Tamisari 1998; Watson 2003).
ed shortly thereafter at another Australian anthropological
conference and extended into a comparative framework with
Three important contributions to Aboriginal mytholo-
Papua New Guinea (Rumsey and Weiner, 2001). Basil San-
gy explore the classic ethnographies from the late nineteenth
som’s essays (e.g., 2001) on the subversive aesthetics of the
and early twentieth centuries. One is the highly contested
Dreaming are further important contributions in this field.
work by the historian of religion Sam D. Gill (1998), who
produced a textual analysis of the scholarly construction of
Anthropologists have generally adopted a holistic and
the Central Australian Arrernte and their religious traditions
dynamic approach to the meaning of mythic traditions. Deb-
by early ethnographers, including Mircea Eliade and Jona-
orah Bird Rose (1984, 1992, 1994, 2002) and David Turner
than Smith. The second is a monograph by Johanna M.
(1987) have made especially comprehensive contributions in
Blows (1995) that offers a structuralist and psychoanalytic
this field. But despite seeming conceptual affinities, their re-
exegesis of the Eagle-Crow conflict myth based on twenty-six
spective frameworks of interpretation differ profoundly.
previously recorded text versions mostly from the Darling-
Both authors seek to establish a contrast between the values
Murray River system in the southeast part of the continent.
and worldview of Aborigines on the one hand, and the West-
Third, John Morton has analyzed in a number of essays Cen-
ern Christian tradition and modern capitalist society on the
tral Australian and foremost Arrernte creation myths in a
other. Yet Rose goes further and aligns Aboriginal cultural
framework of Lacanian psychoanalysis, while also strongly
notions with extraneous environmental and feminist con-
drawing on the insights of the early psychoanalytic ethno-
cerns. This is perhaps most evident in her conceptualization
grapher Géza Róheim (e.g., Morton 1993).
of a “Dreaming ecology” (1992) or “nourishing terrains”
REFLECTIONS. Ronald and Catherine Berndt observed that
(1996, 2002), an emphasis on universal moral principles
myths are an “immense mirror” (1989, p. 4) for Aboriginal
(1984), gendered places and power, world-creating women,
people’s self-understanding, but not, according to Catherine
and the bodied existence of all forms of life (1994). Turner’s
Berndt, a mirror of their society. They left untouched the
starting point is at the opposite end. Combining anthropo-
question of how differences between these two symbolic or-
logical and comparative religious scholarship, he analyses in
ders, society and the collective self-understanding, are to be
parallel fundamental aspects of Australian Aboriginal, Cana-
perceived.
dian Cree and Judeo-Christian ways of life, thinking and
symbolizing. He arrives at a classification of cultural systems
In contrast, psychoanalytic anthropologists have made
that emphasizes historically evolved differences of human so-
this a central point of investigation. For example, Morton
cial organisation. His analysis includes a structuralist inter-
(1993, pp. 333–334) identifies Ancestral creation as a pro-
pretation of myths that underscores his characterization of
cess of mirroring or self-reflection—looking to one’s own
Australian Aboriginal societies as clan-based pluralistic “con-
transformation from one species into another, being echoed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUSTRALIAN INDIGENOUS RELIGIONS: MYTHIC THEMES [FURTHER CONSIDERATIONS]
669
in a name—that is extended to human identities and the so-
Marrett, Alan. “Ghostly Voices: some Observations on Song-
cial order. Petchkovsky, San Roque, and Beskow (2003),
Creation, Ceremony and Being in NW Australia.” Oceania
having worked therapeutically with Central Australian Ab-
71 (2000): 18–29.
origines near Alice Springs, suggest that a Jungian perspec-
Mission Time in Warburton. Exhibition and catalog, compiled and
tive on the imagination may help to understand better the
edited by Vikki Plant and Albie Viegas. Warburton, Western
conditions for self-reflection and for the creation of mythic
Australia, 2002.
traditions. They also show the central importance of the ac-
Morphy, Howard. “Myth, Totemism and the Creation of Clans.”
tive imagination in myths and nocturnal dreams for the sus-
Oceania 60 (1990): 312–328.
tenance of creativity. Pointing out that the inner imagery
Morphy, Howard. Ancestral Connections: Art and an Aboriginal
process in Aboriginal mythopoesis and dreaming appears to
System of Knowledge. Chicago, 1991.
have been changing since at least the 1950s, they cautiously
Morton, John. “Sensible Beasts: Psychoanalysis, Structuralism,
observe that the vividness of dreams in conjunction with rit-
and the Analysis of Myth.” The Psychoanalytic Study of Society
ual may be deteriorating.
18 (1993): 317–343.
Mythic themes endure because people make them, but
Mountford, Charles P. Nomads of the Australian Desert. Rigby,
those themes also make the people. Through the accounting
Australia, 1976.
of myths, the Dreamings have become everlasting manifesta-
Myers, Fred R. Painting Culture: The Making of an Aboriginal
tions that tell of their self-transformations. It may be then
High Art. Durham, N.C., 2002.
that the capacity of their human descendants to sustain a via-
Native Title Act (Queensland) 1993. Available from http://
ble image of themselves may likewise depend on the possibil-
www.legislation.qld.gov.au/LEGISLTN/CURRENT/N/
ities for creative renewal. As the Warlpiri/Pintupi man An-
NativeTitleQA93_01_.pdf. Also see A Guide to Australian
drew Japaljari put it, “One reason why we [Aboriginal
Legislation Relevant to Native Title. Native Title Research
Unit, AIATSIS, Canberra, 2000.
people] can’t handle the grog is because we have no Grog
Dreaming” (Petchkovsky et al. 2003, p. 224).
Petchkovsky, Leon, Craig San Roque, and Manita Beskow. “Jung
and the Dreaming: Analytical Psychology’s Encounters with
B
Aboriginal Culture.” Transcultural Psychiatry 40, No. 2
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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
670
AUSTRALIAN INDIGENOUS RELIGIONS: NEW RELIGIOUS MOVEMENTS
Trust. Exhibition and catalog edited and curated by Jan Turner.
Such movements are often generated by younger people to
Alice Springs, 2003.
challenge the established leaders of the central ritual system
Tunbridge, Dorothy. Flinders Ranges Dreaming. Canberra, 1988.
who are perceived as incompetent to deal with contemporary
reality.
Turner, David H. Life Before Genesis: A Conclusion. 2d ed. New
York, 1987.
Indigenous leaders are expected to be “strong, powerful
Vaarzon-Morel, Petronella, ed. Warlpiri Women’s Voices: Our
and dangerous . . . physically vigorous [with] forceful per-
Lives, Our History /Stories Told by Molly Nungarrayi et al.;
sonalities” (Williams, 1987, p. 44). Leaders of new cultic de-
Alice Springs, 1995.
velopments, who are generally widely traveled, may attempt
Watson, Christine. Piercing the Ground: Balgo Women’s Image
to engage with new and stronger forms of power in order to
Making and Relationship to Country. Fremantle, Western
deal with new conditions of life. They, like traditional clever
Australia, 2003.
men, attempt to appropriate strange and mysterious powers
from faraway places. In the early colonial period some cultic
UTE EICKELKAMP (2005)
leaders clearly attempted to appropriate European colonial
power-knowledge in order to achieve their goals.
OLD AND NEW TYPOLOGIES. Early colonial studies of Indig-
AUSTRALIAN INDIGENOUS RELIGIONS: NEW
enous new religious movements reflect European colonial
RELIGIOUS MOVEMENTS
beliefs and values. In this period it was taken for granted by
Indigenous new religious movements or cultic developments
missionaries and social scientists alike that colonized peoples
have a certain exotic appeal for theorists from state societies.
would become like them. Theorists and policy makers saw
But new religious developments in kin-based societies are not
assimilation as an appropriate goal for Indigenous peoples
dissimilar in role to new political movements in state socie-
within a colonial state. Confronted by strange religious phe-
ties. For kin-based peoples, the ancestral realm is the source
nomena that appeared to be neither Christian nor Indige-
of life, knowledge, and power. During the original cosmo-
nous, religious theorists appealed to their traditional frame-
gonic journeys, ancestral substances and energies were trans-
works of reference. They classified new religious movements
formed into landforms and water sources. At the end of their
along a pagan-Christian dimension and used descriptive
journey the ancestors grew tired and merged into the land-
terms from their own religious traditions—messianism, mille-
scape, taking the forms of hills, rocks, and trees. For their
narianism, and prophetism—in order to render the strange
human descendants, following the ancestral way ensures pro-
cults familiar. Early attempts at categorization proliferated
tection from unknown and potentially malign outside forces.
into a bewildering array of typologies, including Neopagan,
Breaking ancestral laws can lead to withdrawal of protection,
Hebraist, Sabbatarian, Ethiopian Zionist, syncretist sects, al-
revenge, and calamity. Indigenous people acted on the world
aduras, prophet healing, Apostolics, revelatory, enthusiastic
and achieved their political and economic goals through reli-
movements, spiritual churches, and separatist sects (Turner,
gious ritual and activation of ancestral power.
1976, p. 13).
The Western mind compartmentalizes human-world
Anthropologists entered this discourse in the 1930s and
enterprises into separate domains, such as economics, poli-
1940s and, using the terminology of the religious theorists,
tics, and religion. It reifies “religion” and gives it a sui generis
began to construct their theories of social change. In this co-
status, setting it above “mundane” spheres of life. But for Ab-
lonial period anthropologists saw new religious movements
original people and people of other non-Western cultures,
as prime examples of acculturation to the European way of
human-ancestral interaction is not separate from politics or
life. These strange hybrid cults, however anticolonialist in
economics or any other sphere of life.
theme, were believed to be transitional stages along the road
New religious movements in Aboriginal Australia did
to full acculturation or assimilation. Ralph Linton (1940) set
not come into being as a result of European colonization.
his analysis of new religious movements within this general
New cults were continually being generated from old reli-
framework. “Nativistic movements,” that is, “organised at-
gious forms. They were used to legitimize migration and es-
tempts to revive or perpetuate certain aspects of their native
tablishment of land claims in new areas and were widely used
cultures,” were believed to be set in motion by the impact
as alliance-forming mechanisms. For Indigenous people, the
of European culture on traditional societies. Linton classified
new is really just a discovery (or rediscovery) of something
his nativistic movements as revivalistic-magical, revivalistic-
that was there from the beginning but had become lost or
rational, perpetuative-magical, and perpetuative-rational
hidden. Sociocultural practices are “always in flux, in a per-
(Linton, 1979, pp. 497–501). This began a new spate of
petual historically sensitive state of resistance and accommo-
typology construction. Anthropologists began to speak
dation to broader processes of influence that are as much in-
of dynamic nativism, passive nativism, reformative nativ-
side as outside the local context” (Marcus and Fischer, 1986,
ism, adjustment movements, accommodative movements,
p. 78). For I. M. Lewis, new religious movements are the
transformative movements, crisis cults, denunciatory cults,
idiom in which those who aspire to positions of leadership
protest movements, vitalistic movements, and revitalization
compete for power and authority (Lewis, 1971, p. 128).
movements (Burridge, 1969, p. 102). However, these 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
AUSTRALIAN INDIGENOUS RELIGIONS: NEW RELIGIOUS MOVEMENTS
671
scriptive terms do not refer to types that are mutually exclu-
Kalkadoon warriors in 1884. The traveling cult that spread
sive. In the 1970s there was a movement away from syn-
into South Australia and Central Australia excited the re-
chronic typology construction stimulated by historical
search interests of Walter Roth, Baldwin Spencer, Otto Sie-
research and phenomenological studies (Fernandez, 1978,
bert, and Adolphus Elkin. Performers in this cult not only
p. 204). With a new generation of researchers, colonial
reenacted the bloody confrontation between colonists and
studies of “millenarian” and “messianic” cults developed into
Aborigines but danced out the desired end of this interac-
postcolonial studies of anticolonial movements, cultural per-
tion. Dances showed Aborigines being shot down by whites
sistence, and “discourses of resistance.”
until the “Grandmother,” a powerful ancestral being,
emerged from the sea to swallow the whites, gesturing in
The concept of the Dreaming is nonmillenarian, nonu-
every direction to show that the destruction of whites would
topian, and nonhistorical. Localized Dreaming narratives are
be complete. Leaders of the Mulunga cult exhorted adher-
unable to account for cataclysmic changes (Wild, 1987,
ents to follow the ancestral laws, especially marriage and sex-
pp. 562–563). However, local and regional Dreaming tracks
ual relations (Carey and Roberts, 2002, p. 835). Siebert saw
and story lines can be extended indefinitely as new tracks can
in the Mulunga cult millenarian and nativistic themes
be discovered, ancestral routes changed, and different routes
(Kolig, 1989, p. 79).
connected together. Erich Kolig describes a universalizing
project that occurred in the Fitzroy Valley region of the Kim-
BANDJALANG PENTECOSTALISM. Bandjalang people on the
berley in the 1970s. Walmajarri people brought the ancestors
northern coast of New South Wales were first evangelized by
of local totemic cults together to travel over vast areas along
the fundamentalist United Aborigines Mission (UAM). In
newly interconnected tracks in order to eliminate religious
1952, as a result of UAM missionary shortages, Aboriginal
particularism and unify themselves organizationally (Kolig,
UAM adherents transferred their allegiance to a Pentecostal
1981, pp. 37–43).
fellowship. The Christian God merged with the ancestral
Anticolonial movements in Australia occurred most
being Ngathunggali, the Virgin Mary with Ngathunggali’s
commonly at colonial frontiers—places of extreme violence
wife, and Jesus Christ with their son Balugan (Calley, 1964,
and dissymmetries of power (Carey and Roberts, 2002).
pp. 50–53). Beginning in the 1950s Bandjalang people de-
These politico-religious cults were precipitated by failed mil-
veloped some elaborate foundation stories from biblical and
itary resistance, massacres, and catastrophic population de-
Dreaming sources. For example, Ngathunggali-God landed
cline brought about by introduced diseases, falling birthrates,
on the north coast of New South Wales in a bark canoe. His
and high infant mortality. Through participation in religious
people, the Bandjalang, are the descendants of Jacob, who
ritual, Aboriginal people attempted to mobilize powerful an-
set out from the Holy Land in a sailing ship that was wrecked
cestral forces to engulf and destroy the colonial invaders.
off the coast of New South Wales. The crew safely reached
shore, built a bark canoe, and continued on their journey.
THE BAIAME WAGANNA, 1833–1835. The Baiame waganna
Twelve tribes of Aboriginal people developed from these
(dance ceremony) was one of the earliest anticolonial move-
“founding fathers.” The Bandjalang identified themselves as
ments recorded in Australia. This traveling cult was precipi-
one of the “lost” tribes of Israel (Calley, 1955, pt. 2,
tated by a catastrophic smallpox epidemic (1830–1831) fol-
pp. 6–7).
lowed by continuing population decimation. European men
on the colonial frontier were usurping Aboriginal men’s sex-
The Old Law was a special revelation of Ngathunggali-
ual rights to women. The Wiradjuri spirit beings, Baiame
God to the Bandjalang. God spoke to Aboriginal people
and Tharrawiirgal, were emasculated by European colonial
through the clever men. Balugan-Christ was killed by ene-
penetration into Wellington Valley. Tharrawiirgal lost his
mies (white people) at Kempsey and is buried on the Ar-
tomahawk (and sent smallpox into the valley in revenge).
akoon racecourse, from whence he will return to the Bandja-
One of Baiame’s wives was stolen by a white man, and he
lang. The white people, prosperous and powerful, crucified
was angered into retaliatory action (Carey and Roberts,
Christ and are rejected by God. The Bandjalang, humble and
2002, pp. 822–843).
poor like Christ, are the beloved of God. Aborginal people
The Baiame waganna was performed to access the
will go to heaven and white people to hell (Calley, 1964,
power of Baiame (who had defeated Tharrawiirgal in an ear-
pp. 52–53).
lier altercation), to protect Wiradjuri people against further
THE DINGARRI-KURANGGARA SONG CYCLE. New politico-
smallpox depredations, to enforce nasal septum piercing, and
religious developments in northern Australia have been stud-
to direct Baiame’s anger toward European men and the Ab-
ied by the scholars Ronald M. Berndt, A. Lommel, Erich
original women who consorted with them. Hilary M. Carey
Kolig, K. P. Koepping, Helmut Petri, Gisela Petri-
and David Roberts describe the Baiame waganna as a “nativ-
Odermann, Deborah Bird Rose, Tony Swain, and others.
ist” or “revitalist” movement (Carey and Roberts, 2002,
The celebrated Gunabibi traveling cult originated in the Vic-
p. 823).
toria or Roper River regions of the Northern Territory and
THE MULUNGA CULT, 1890S–1930S. Tony Swain (1993,
spread into Arnhem Land, Central Australia, and East Kim-
p. 224–233) traces the Mulunga cult to the Kalkatungu wars
berley (Berndt, 1951, p. 233; Meggitt, 1955, p. 401; Petri,
in northwest Queensland and the wholesale slaughter of the
1954, p. 265). In Central Australia and East Kimberley
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
672
AUSTRALIAN INDIGENOUS RELIGIONS: NEW RELIGIOUS MOVEMENTS
the cult developed into the Gunabibi-Gadjeri complex
rate European colonial power-knowledge into Indigenous
with masculinist forms and ideologies (Meggitt, 1966,
cultic forms. Colonized people do more than just conform
pp. 84–86). This cult complex merged with the wandering
to or resist hegemonic forms and practices. They may cre-
Dingarri-Kuranggara song cycle of the Western Desert. Din-
atively manipulate the forces of colonization by appropriat-
garri traditions celebrate the long migrations of Dingarri an-
ing and transforming its signifiers according to their own po-
cestors through the Western Desert. These migrations ended
litical and cultural needs. Petri (1954, p. 268) regarded the
at Dingarri, a mythical location. The Kuranggara cult ema-
cult as the reaction of younger Aborigines to the increasing
nated highly dangerous life forces that originated in Anangu
incapacity of elders to rally against European encroachment.
Pitjantjatjara country.
Cult organizers were named “clerks,” “policemen,” and
“cooks.” Petri and Lommel’s descriptions of the movement
The Dingarri-Kuranggara song cycle brought the desert
contain nativistic, revivalistic, and antiwhite themes. Kolig
jarnba, spirits of the dead, into regional prominence. Visible
finds millenarian, apocalyptic, and cargoistic themes in the
only to initiates, jarnba were tall, skeleton-like spirits with
Kuranngara cult (Kolig, 1989, pp. 84–85).
menacing faces, horns, and long sexual organs. They could
see what was hidden and were able to kill at a distance using
THE WOAGAIA-JINIMIN MOVEMENT. Modes of resistance to
sacred boards as rifles that they pointed at their enemies. As
colonial incursions vary from ritual performance to overtly
the pastoral industry penetrated into the desert regions, the
political (in the Western sense) forms of struggle. From the
jarnba—with ferocious appetites and raging thirst—were
1930s Aboriginal people on remote pastoral stations orga-
sucking the land dry (Koepping, 1988, pp. 401–402; Kolig,
nized to have their working conditions improved. Most gov-
1989, p. 84; Mol, 1982, p. 67). They also acted as fearsome
ernments supported employers’ refusal to grant Aborigines
guardians of the anticolonial desert cults, exhibiting fierce
award wages, and it was not until the late 1940s that Aborigi-
aggression toward European encroachments (Petri, 1968,
nal workers attracted significant union support. In 1946, as-
p. 254).
sisted by Don McLeod, a white bore sinker, Aboriginal cat-
tlemen walked off twenty-two stations in the Pilbara. During
Within the northern pastoral industry, in a context of
this strike a number of agitators were jailed. In the mid- to
structural inequality and exploitation, Aboriginal people
late 1940s McLeod organized Aboriginal mining coopera-
continued to carry out ceremonial responsibilities for land
tives along socialist principles, and in 1949 “the Pindan
and people. Aboriginal workers conducted complex negotia-
mob” formed their own company in order to control finan-
tions with employers over generations in order to maintain
cial enterprises on their land (McGrath, 2001, p. 144).
a fragile security of land tenure. People adapted their cultural
practices to the seasonal cycle of pastoral work, holding their
Central Australian and West Kimberley people at this
large ceremonies during the wet season layoff period. How-
time were the recipients of intensive missionization. The Lu-
ever, employers failed to reciprocate in kind. They provided
theran Church established its missions with Arrernte people
meager accommodation and in the early years paid workers
of the Macdonnell Ranges, Haasts Bluff, and Simpson De-
only in clothing, kits, and rations. Even in later years they
sert in 1877. The Australian Baptist Missionary Society
paid poor wages, avoided compensation payments, and ne-
began mission work with Warlpiri people of Central Austra-
glected the health of their workers (McGrath, 1997,
lia in 1947. Walmajarri people of the northern Great Sandy
pp. 3–7).
Desert were influenced by both the United Aborigines Mis-
sion (at Fitzroy Crossing from 1952) and the Catholic
In the 1930s the Dingarri-Kuranggara cult began to en-
Church (at La Grange from 1955).
gage with new forms of power to counter the catastrophic
effects of colonization. Cultists trafficked in the deadly
In 1963 the Dingarri-Kuranggara traditions merged
power of the introduced diseases leprosy and syphilis. The
with the new Woagaia-Jinimin movement developing out of
jarnba leader had access to European forms of power-
the Gadjeri-Woagaia cult complex of Central Australia.
knowledge and lived in a white man’s house; there he grew
Woagaia is a generic term for several cults introduced into
leprosy and syphilis from poisonous weeds in his backyard.
the Kimberley by Warlpiri, Gurindji, Ngadi, and other Cen-
This toxic power was ritually transferred into ceremonial
tral Australian groups (Kolig, 1989, p. 124). On a mission
boards that were distributed throughout Northwest Australia
station in Central Australia, Jinimin, the precocious son of
by motor vehicle, steamer, and airplane (Lommel, 1950,
an old venerable ancestral being, revealed himself to Aborigi-
p. 23). The song cycle also predicted a reversal of Indigenous
nal people as Jesus Christ. This epiphany occurred during
gender relationships. At this time women were becoming
the performance of a Woagaia ceremony. Jinimin-Jesus pro-
powerful and dangerous because they associated with white
claimed himself the protector and preserver of ancestral laws
colonial forces and looked like half-castes; it was believed
(Petri and Petri-Odermann, 1988, p. 393).
they would live on after death as powerful ghosts, that they
The black-and-white-skinned Jesus favored Aborigines
would take control of cultic life, and that men would have
over whites. He proclaimed that the land from the beginning
to do the everyday work (Koepping, 1988, pp. 402–409).
had belonged to Aboriginal people and that he would help
The Dingarri-Kuranggara movement was strongly ag-
them regain their land. The Dingarri ancestors were return-
gressive and antiwhite, yet it was also an attempt to incorpo-
ing from the mythic land Dingarri in the east. By participat-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUSTRALIAN INDIGENOUS RELIGIONS: NEW RELIGIOUS MOVEMENTS
673
ing in the Woagaia cult, Aboriginal people would gain the
The 1969 Pastoral Award that granted Aboriginal work-
power and strength needed to rally against the colonizers. In
ers equal wages was followed immediately by a pastoralist
order to succeed in their campaign, they must rigorously ad-
countermove to remove Aboriginal people from stations.
here to ancestral laws. If they did so, the European invaders
The pastoralists’ strategy was to evict Aboriginal people be-
would be defeated, and Holy Water would fall from heaven
fore they were forced to grant them land or fuller access
to drown all white people and turn Aboriginal skins white.
rights. The 1970s thus saw a new dispossession of pastoral
Aborigines would thus regain sovereignty over their lands by
Aborigines, with many forced to live in camps on the fringes
becoming white-skinned (Koepping, 1988, p. 404; Kolig,
of towns. The expulsion coincided with a rise in Aboriginal
1989, p. 86; Petri and Petri-Odermann, 1988, p. 393).
political consciousness (McGrath, 2001, p. 144).
In June 1966 stockmen walked off Newcastle Waters
The Woagaia-Jinimin movement combined Don Mc-
Station, followed by two hundred Gurindji workers at
Leod’s sociorevolutionary ideas, an emerging Land Rights
Vesteys Wave Hill station. Vesteys, an English cattle compa-
politic, and apocalyptic biblical themes. In ceremonial per-
ny, owned ten stations across the Northern Territory and
formance (under the protection of Jinimin-Jesus) the cultists
East Kimberley, controlling a pastoral empire almost the size
appropriated dangerous colonial powers and harnessed them
of Tasmania. One of the richest families in Britain, the
to their own cause. Apocalyptic forces were projected toward
Vesteys made more than a billion pounds in the global meat
the colonizers, while Noah’s ark provided safety and security
for Aboriginal people. Erich Kolig (1988, p. 166) sees chili-
trade, and yet their Aboriginal workers were paid a pittance
astic features in the Noah’s ark story. For Helmut Petri and
and lived in substandard conditions. The Gurindji strike that
Gisela Petri-Oderman (1988, pp. 391–394), the Woagaia-
began as a demand for equal wages and working conditions
Jinimin cult was a new nativistic-millenarian movement with
emerged as the politics of an oppressed people who had never
strong revivalist and revitalistic tendencies.
relinquished sovereignty over their land. The Gurindji
mounted a land claim over their traditional lands and the
JULURRU TRAVELING CULT. The Julurru cult that developed
right to run their community free from exploitation by the
out of the Dingarri-Kuranggara and Woagaia ceremonial
Vesteys and from “welfare” control (Jennett, 2001, p. 122).
complexes made its first appearance in the Pilbara region.
Tony Swain traces the cult to Don McLeod’s Aboriginal
By 1966 the Woagaia-Jinimin cult—proclaimed as
lieutenant, who had frustrated leadership ambitions (Swain,
“God’s Law”—had spread to the west. Walmajarri people
1993, p. 259). Malay ghosts of the sunken ship Koombana
had been migrating in a northwesterly direction from desert
visited him in dreams and revealed to him their colonial ad-
areas three hundred kilometers southeast of Fitzroy Crossing
ventures. Julurru—a dangerous Malay or Japanese ghost—
since the beginning of the twentieth century. Under Walma-
traveled through Australia by Afghan camel trains, horse
jarri direction, Dingarri ancestors were “returning” from the
teams, cars, ships, and airplanes. He united disparate Dream-
desert to their “true” country in the northwest. The Dream-
ing tracks, tracked wandering Dreamings, and brought them
time groups were marching along underground routes
to Dingarri. This fearsome warmonger was also involved in
(which were used to traverse the country of strangers) with
World War II airplane battles, ship sinkings, and bombing
camels to carry their darrugu (secret-sacred objects). Their
raids in Aboriginal country. Through the performance of his
leader and protector on this journey was Jinimin-Jesus. The
traveling cult, Julurru passed his military-technological
Woagaia-Jinimin traveling cult was used to legitimize the
power-knowledge on to Aboriginal people and asserted the
northwesterly migration of Walmajarri people and their es-
equality of Aborigines and whites in Australia (Kolig, 1989,
tablishment of land claims in new areas. It was also an at-
pp. 120–121; Swain, 1993, p. 261).
tempt by people who had been marginalized by European
In the 1960s and 1970s the cult traveled up the Fitzroy
colonization to find again “the centre of the world” (Petri
River and into southern Kimberley, where “prisoners” (cult
and Petri-Odermann, 1970, pp. 251–272).
initiates) were held in “gaol” (jail) and guarded by “police-
In the northwestern coastal areas Jinimin-Jesus was
men.” Dance sequences included soldier battles, airplane
black-skinned. Missionaries were accused of falsifying God’s
battles, spectacular fire dances, the bombing and sinking of
message to keep Aboriginal people in bondage. Apocalyptic
ships, and appearances of Adolf Hitler (Kolig, 1989, p. 122;
Swain, 1993, p. 258).
visions of an end-time deluge continued, and a new Noah
appeared at Fitzroy Crossing. This Walmajarri man had dis-
The cult reached Central Australia in the late 1970s.
covered a gold-laden ark, sent from heaven by Jinimin, that
There Julurru assumed a pastoral guise, dressing in stockman
had been hidden in the land since the Dreaming. At Myroo-
garb with a cowboy hat and pistols. He rode a white horse
dah-Looma, an Aboriginal “Bible” revealed the ark to be a
or a motorbike, consumed vast amounts of alcohol, and
refuge from the flood that would destroy all whites and the
caused vehicles to crash when drivers failed to assist Aborigi-
basis of a new Aboriginal world that would be superior to
nal people (Swain, 1993, pp. 254–255). The cult was em-
European colonial society (Kolig, 1981, p. 160, 1988,
braced by Warlpiri people at Lajamanu during a period of
p. 167, 1989, p. 119; Petri and Petri-Odermann, 1988,
political empowerment—in 1976 the Aboriginal Land
pp. 393–394).
Rights (Northern Territory) Act 1976 was passed, 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
674
AUSTRALIAN INDIGENOUS RELIGIONS: NEW RELIGIOUS MOVEMENTS
1978 Gurindji and Warlpiri people were granted ninety-five
Aboriginal people’s expense. This particular Captain Cook
thousand square kilometers of land south of Wave Hill.
narrative locates responsibility for colonization not in the
However, the 1979 Julurru ceremony at Lajamanu was at-
spirit realm but in European law and practice and finds this
tended by a Noonkanbah contingent that resulted in in-
law immoral (Rose, 1984, p. 35, 1988, p. 371).
creased understanding of Aboriginal powerlessness in the
If Captain Cook has been a negative presence in most
face of mining interests and increased cynicism about gov-
Aboriginal colonial narratives, Ned Kelly has been given a
ernment goodwill toward Aborigines (Wild, 1981, p. 3). Ab-
different focus. In Yarralin stories Ned Kelly and his band
original people from twenty-six communities assembled at
of angels came down from the sky. Friends of Aboriginal
Noonkanbah in April 1980 to prevent the land being mined,
people, they traveled around the Northern Territory and the
engaging in direct political action and in the performance of
Kimberley, shooting the police. Kelly’s life story has been
politico-religious ceremonies.
conflated with biblical stories about God, Noah, and Jesus.
Stephen Wild sees the Julurru cult, at least in part, as
For example, Kelly created dry land after the flood and fed
an alliance-forming mechanism operating between Western
many Aboriginal people with one billy of tea and a small
Desert, Kimberley, and Central Desert Aborigines in the
damper. And in one version of the story, he was killed by
wake of land rights successes and failures. At Lajamanu the
Captain Cook, buried, and on the third day rose from the
cult was managed by relatively young Aboriginal administra-
dead, ascending to the sky to the accompaniment of a great
tors who were politically aware, skilled in negotiations with
noise and the shaking of the earth (Rose, 1988, p. 369, 1992,
Europeans, and in control of community transport and com-
pp. 182–184).
munications. The aim of cult leaders at Lajamanu was to re-
Colonial and postcolonial narratives continue to be gen-
place the old ceremonies with the new (Wild, 1981, p. 14,
erated by Aboriginal people in contemporary Australia. They
1987, p. 565).
construct histories of the world by incorporating Dreaming
Local and regional Dreaming stories were unable to ac-
stories, “the old people’s stories,” and their own life histories
count for the devastation of European colonization. Travel-
into biblical and Australian colonial frameworks (see Beck-
ing cults that trafficked in strange and mysterious life forces
ett, 1993; McDonald, 2001). They (like all human beings)
were unable to generate powers sufficiently dangerous to
appropriate stories and characters from larger explanatory
expel the colonizers. Aboriginal people appropriated narra-
narratives, reworking them to fit present needs, and inserting
tives available to them from the colonists’ repertoires. The
into these frameworks their own narratives of the self. These
Bible—a colonial document—was an excellent source of sto-
narrative sources are subject to readings, misreadings, reread-
ries about catastrophe and devastation. The Old Testament
ings, and interpretations as Aboriginal people move away
God punished wrongdoers with plagues, famines, floods,
from colonial towns and reserves to develop their own inde-
wars, exile, and slavery. Aboriginal cultists incorporated in-
pendent communities. In northern Australia:
creasingly dangerous colonial powers into their ceremonial
[Aboriginal people’s] main goal is a form of segregation
performances and, under the protection of powerful spirit
that will enable them to achieve the necessary measure
beings, unleashed apocalyptic forces onto their enemies.
of detachment from White hegemony and thus once
again give them control over their own existence . . .
More recently Aboriginal people have appropriated
a separation willed and desired by a politically powerless
“nonreligious” colonial narratives, such as Captain Cook and
group so that they may be able to live their own lives,
Ned Kelly stories, to construct discourses of resistance but
at their own pace, and realizing their own ideals. (Kolig,
have used these stories in religious-mythic ways. Aboriginal
1989, p. 33)
narratives featuring Captain Cook as the major agent of colo-
nization have been studied in northern Australia by Kolig,
SEE ALSO Christianity, article on Christianity in Australia
and New Zealand.
Rose, Chips Mackinolty, and Paddy Wainburranga. Captain
Cook, like the Dreaming beings, was a lawmaker, but he re-
B
fused to recognize Aboriginal law. The prior occupancy and
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got their own culture. All around Australia . . . we the one
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Western, post-denominational movement that emphasized
thor’s note: “I thank Melbourne University Press for giving
prophetic obedience, action and liberation. It attempted to
me permission to use extracts from this book.”
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nal religion by drawing up Ancestral Narratives [Dream-
ings], ceremonies, rituals and laws as the divine grounding
McGrath, Ann. “The Pastoral Industry.” In The Australian People:
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tices such as ceremonies and stories as potent reminders of
important cosmic and temporal truths. And it embraced Ab-
Mol, Hans. The Firm and the Formless. Waterloo, Ontario, 1982.
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Petri, Helmut. Sterbende Welt in Nordwest-Australien. Braun-
schweig, Germany, 1954.
Out of the many Aboriginal Christian leaders involved
Petri, Helmut. “Australische eingeborenen-religionen.” In Die Re-
in the development of Aboriginal Theology, the three most
ligionen der Sudsee und Australiens, edited by H. Nevermann,
remembered by Aboriginal Christians today are Pastor Don
E. A. Worms, and H. Petri. Stuttgart, 1968.
Brady, the Rev. Charles Harris and Pastor David Kirk; these
Petri, Helmut, and Gisela Petri-Odermann. “Stability and
men are considered by Aboriginal Christians as the pioneers
Change: Present-Day Historic Aspects among Aborigines.”
of Aboriginal Theology and Church (with reference to the
In Australian Aboriginal Anthropology, edited by Ronald M.
Aborigines Inland Mission, United Aborigines Mission, and
Berndt. Perth, 1970.
the Methodist Church in Queensland). These Aboriginal
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leaders condemned the dominant white society’s subjugation
go I heard a call, ‘Don arise, you are going to do a new
and exploitation of Aboriginal people and also raised impor-
thing’” (Brady, 1971, p. 39).
tant issues of justice and equality. Further, they condemned
white missionaries as destructive influences upon the Aborig-
Brady was the first of all the Aboriginal pastors and lead-
inal peoples and cultures. In this way they mixed deep faith
ers to combine the application of the Gospel with Aboriginal
with political commitment. The impact that these three lead-
cultural practice. There were two things for which he stood
ers had on Aboriginal Christian understanding was radical.
out: (1) he was right at the cutting edge of “Gospel and cul-
Historically, missionaries (both Catholic and Protestant) had
ture”; and (2) his emphasis on social justice issues. His minis-
determined that Aboriginal access to God only could be ob-
try demonstrated the priority of Christ for the poor—
tained through them. Now presented to the Aboriginals was
Christ’s identification with the poor. It was Brady’s particu-
a different image of access—a direct connection to God. Ab-
lar ministry in relation to these two factors that worked so
original leaders made clear for all Aboriginal Christians that
well. He tried to bring Aboriginal culture into the church,
they themselves had direct access to God, and that their rela-
which enormously affirmed Aboriginal people. Aboriginal
tionship to Jesus Christ was established a long time before
church leader, the Rev. Graham Paulson, remembers Brady’s
the white invasion of their land, through their lived experi-
influence, and states, “Brady was right at the cutting edge of
ence with God from time immemorial.
Methodist ministry with urban Aboriginal people” (Paulson,
T
1995).
HE REV. DON BRADY. The Rev. Don Brady was a pivotal
figure in Aboriginal religious, social and political move-
Pastor Brady saw the poverty of his people and heard
ments. Indeed, Aboriginal people recognized that his life and
their cries. He felt that God was on the side of the oppressed
ministry were pivotal to the development of Aboriginal The-
and was leading his people out of bondage. He questioned
ology. He was the first Aboriginal church leader to lead polit-
how he could minister to the spiritual needs of Aboriginal
ical marches, calling for the abolition of the racist and op-
people, when they were enslaved by Australian legislation
pressive Queensland Aborigines Act, which subjected
that oppressed them and literally denied them their human
Aboriginal people to inhumane social, economic and health
dignity and rights. Brady earned the title, “The Punching
conditions, controlling where they could live and work,
Parson,” by simply going around and picking up those of his
whom they could marry, and how far they could advance in
homeless people in the parks and other places who were vul-
school. Brady’s ministry was to influence many generations
nerable to arrest and further abuse by the system. He took
that followed.
them back to a refuge—sometimes having to “knock them
Pastor Brady was from Palm Island, the former prison
out” first, but they always thanked him the next morning.
compound in far north Queensland, which was used to con-
That sort of work, so far as the church was concerned, had
tain and control Aboriginal people. He came to the Lord
never been done before in the history of mission amongst the
there, and eventually was amongst the first of the male Ab-
Aboriginal people.
original students to receive training through the Aborigines
Inland Mission (AIM). He married fellow student Darlene
Brady was a catalyst, in the sense that he created a Black
Willis, of Cherbourg, another Aboriginal mission in south-
church, challenged the institutions, and began a Black move-
ern Queensland. They ministered together within AIM for
ment—one that was to be felt across all of Australia. He lit
a number of years.
the fire in people; he lit the spark, the will to fight, and the
need for them to struggle for justice. He instilled in people
Pastor Brady was a gifted man, who was able to see
the hope, the will to live. Brady revealed to Aboriginal Chris-
through the lack of effectiveness of mission practice, program
tians that the God of justice, who freed the Israelites from
and policy. In the early 1960s, he began a further two years
the bondage of Egyptian rule, also was with the Aboriginal
of theological training in the Methodist College at Kangaroo
people as they struggled for freedom from Western oppres-
Point. In the late 1960s, Brady worked with the Methodist
sion, racist laws and imperialism. Together with other secular
Church in Queensland in the heart of Brisbane, at Spring
Aboriginal movements (such as the Aboriginal Land Rights
Hill. He was enormously popular, particularly among his
Movement) throughout the country, Brady brought the
own Aboriginal people, because his ministry was (w)holistic.
force of his Black Church with him, led by the conviction
Brady was concerned, not only about the spiritual side, but
of equality and freedom for all. Black people began to share
also the physical and emotional sides of people. He had a way
in the hope that God was on their side, and that God would
of connecting with people—of seeing brokenness and being
send the Holy Spirit, the Comforter, to be their strength,
able to heal it. The appeal of his ministry extended far be-
hope and courage in the face of the racism inflicted upon
yond the bounds of his own Aboriginal community, as many
them by the white Australian society. He raised the con-
non-Aboriginal people were also drawn to his charisma.
sciousness of his people—that Christ came and died for
Pastor Brady’s prophetic stance grew out of his experi-
them, and they too were free, and inheritors of the Kingdom.
ences overseas. He had won a Churchill Fellowship, and had
The pressures on Brady were enormous, because he was the
traveled to several communities in the United States and
lone voice in the Methodist Church at that time, saying
begun to sense a new direction. In his own words, “In Chica-
things that Aboriginal people had never heard before.
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AUSTRALIAN INDIGENOUS RELIGIONS: ABORIGINAL CHRISTIANITY
677
Brady questioned the political system (such as the De-
programs, toward the improvement of the quality of life of
partment of Native Affairs in Brisbane), and other policies
people within Cherbourg.
in his concern for the people, and raised a number of social
In the early to mid-1960s, Kirk was asked to serve as
justice questions. In the process, the conservatives and whites
Deputy Principal at the Bible College in Singleton. His com-
in the Methodist Church began to distance themselves from
mitment to social justice was visible through his work of try-
him. He found himself more and more isolated by the system
ing to change the system from within. He did not see Aborig-
that had affirmed him from the very beginning—that is,
inal people being empowered by the system, as there were
until he began to raise questions of justice in terms of social
no Aboriginal leaders participating in the decision-making
issues. Increasingly, Brady found himself a lonely and de-
bodies of the church. They were not in positions of status,
serted leader. Also, from his conservative beginnings in AIM,
nor in positions of power; they were continuously oppressed
some of his former colleagues were sniping at him as well.
and kept down by the mission. Kirk felt that because it was
They could not understand his political leanings and were
called the Aborigines Inland Mission, those whom AIM had
trying to spiritualize away all the political, social and eco-
trained—the indigenous people themselves—should be at
nomic issues.
the forefront of running the mission. He spearheaded the
Brady’s belief in doing and bringing the Gospel through
drive for as long as he could, before finally leaving the mis-
Christ’s action led to severe repercussions. He was spiritually
sion. The confrontation was so great that the Aboriginal peo-
and emotionally shattered. The church pulled back and ‘de-
ple and the non-Aboriginal people decided to go their own
frocked’ him, and his status and the basis for his drive in the
ways.
community—that which gave him the basis for justice and
Ultimately, at a meeting of the Aboriginal people at
morality and integrity—was pulled away from him.
Cherbourg twelve to eighteen months later, the Aboriginal
Convention decided to form the Australian Aboriginal Evan-
Brady gave his life for what he believed, and in obedi-
gelical Fellowship. Unbeknownst to them, Kirk’s colleagues
ence to what God called him to do. And, even though the
had been aware of this movement and were leading their own
church turned against him and tried to silence and discredit
counter-movement amongst the United Aborigines Mission
him, the legacy of his ministry was to be continued and made
(UAM), a sister Mission of AIM in Western Australia. Both
visible in the lives and ministries of those who were to follow.
of these had worked together in the initial stages at La Pe-
Brady’s efforts were not wasted; on the contrary, his influ-
rouse, in Sydney. The Aboriginal Conference in Western
ence lives on in those who have the courage and the convic-
Australia formed the Aboriginal Evangelical Fellowship.
tion to carry the cross today. David Thompson, a lifelong
Within one week of each other, and without prior notice,
friend of Pastor Brady, describes him as “a man ahead of his
these two Evangelical Fellowship organizations, indepen-
time,” and “a man of strength, character and vision, who laid
dently of each other, had arrived at the same name, with al-
the foundations for the future” (Thompson, 1995).
most the same mandate—one in the east and one in the west.
PASTOR DAVID KIRK. Pastor David Kirk was another pivotal
In 1968, they began joint conferences and, finally, in 1970,
figure in the development of an Aboriginal organization-
decided to merge the groups, and formulated the national
fellowship. He grew up in Cherbourg, the mission com-
umbrella, the Aboriginal Evangelical Fellowship of Australia
pound in southeast Queensland. He, like others during his
(AEF).
time, grew up under the oppressive authority of the Queens-
Kirk sought the development of the Aboriginal Church
land Aborigines Act.
by Indigenous principles. Up until this time he could not see
the church being self-supporting, self-governing and self-
Kirk came to the Lord in Cherbourg, under the ministry
propagating. However, he began to see evangelism spread
of an Aboriginal preacher, Herbie Fisher, and entered the
within the Aboriginal community (self-propagation), and see
Bible College at Singleton, in N.S.W., in the mid-1950s. He
the beginnings of self-support. Australian Aboriginals were
worked with Howard Miles—who later became president of
and still are at the bottom of the ladder of socio-economic
AIM in the Northern Territory—and after he was married,
development, and what concerned him most, was that the
he worked at Caroona, in central New South Wales, with his
Aboriginal people had no power of decision-making. How
wife, Dawn Dates. Kirk served for many years with AIM, and
could they get out of this mess, if they could not decide for
the highlight of his ministry was the development of his work
themselves? The teaching of Roland Allen’s book, The Indig-
at Cherbourg, which he built from nothing under the previ-
enous Church, was the driving and motivating force for Kirk.
ous white missionary, to the point where the church became
He sought to employ the principles of Roland Allen within
the dominant social institution in the area. There were many
Cherbourg, but when he went back into the mission the mis-
operations and programs that had their central focus either
sionaries continued to hold onto control and would not give
in or from the church or from the Christians, and the church
up their power base.
was continuously packed. At Cherbourg, he was interested
in upgrading secular education, because Queensland’s De-
In 1978, Kirk, along with others, worked to prepare the
partment of Native Affairs policies still had not changed
property and program to become a Bible College. Kirk saw
since his youth. He worked with the community in social
that the mission’s policies and programs were not working
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AUSTRALIAN INDIGENOUS RELIGIONS: ABORIGINAL CHRISTIANITY
in truly liberating the Aboriginal people. It was only bringing
this radical push, Kirk suffered repercussions. Colleagues
them so far, but still keeping them in bondage within the
wrote letters to him, advising that they were cutting them-
mission system. What Kirk wanted was true autonomy. The
selves off from him because they felt he was too radical. The
mission taught that the truly Indigenous church was to be
white missionaries pulled back, accusing Kirk of racism and
self-governing, but it would not allow the Aboriginal people
separatism; they then used their influence over his Aboriginal
the opportunity to govern themselves within this system.
colleagues to do likewise. Both began to ridicule him togeth-
This caused Kirk to lead his people against the oppressive sys-
er. It was when his own people turned against him, that Kirk
tem. Kirk saw the hypocrisy of the mission, on the one hand
found nothing left for which to live. In 1986, feeling so
teaching self-government in its training program at local
abandoned, Pastor David Kirk took his own life. Kirk’s min-
church level, and on the other not letting self-government
istry was cut short due to the overwhelming heartache of
go through all of the other levels of the church’s bureaucracy.
leadership under these conditions.
The whites held on to power within the decision-making and
T
management processes, and marginalized the Aboriginal
HE REV. CHARLES HARRIS. The Rev. Charles Harris was
a third pivotal figure—the Founder of the Uniting Aborigi-
people. He saw their Westernizing within the context of their
nal and Islander Christian Congress, and the visionary be-
missionizing as racism—a form of racism that was very subtle
hind the 1988 March for Justice, Freedom and Hope.
and that they had systematically perpetuated against Aborigi-
nal people for 80 to 90 years, literally dominating all aspects
The Rev. Harris was born in Ingham, in north Queens-
of their lives.
land, during the Depression. He grew up on the fringes of
white towns during the time of the Queensland Aborigines Act
Further, Kirk saw the mission getting money in the
and the “White Australia Policy” (this policy excluded non-
name of Aboriginal people, and Aboriginals not being the di-
Europeans from entry into Australia on the basis of race).
rect beneficiaries of this income. It was mostly going into
Eventually, his father moved the family to the bush near Vic-
building up the mission bureaucracies in which Aboriginal
toria Station, where they lived in a small “house” with palm
people had no part. He led the charge against the mission,
tree floorboards, kerosene tin walls and roof, and hessian
and led the breakaway with the AEF.
sugar bags for partitions. The eight children, four boys and
Where he sought empowerment for the indigenous peo-
four girls, kept warm during the cold winters by wearing the
ple through the establishment of their own churches and in-
hessian bags. The family lived on what they were able to
stitutions, Kirk, however, did not see the need for the devel-
plant (yam, taro, sweet potato) or keep (fowl), and on the
opment of an Indigenous Theology. He thought that
scraps of his mother’s cane farmer boss. The children walked
through Aboriginal control, he had achieved indigenization;
two and a half miles to school each day, where they could
but, instead, what had in fact been done was the creation of
only afford to have damper with treacle (a syrup). Young
a Black bureaucracy founded upon white theology, mis-
Charles would watch the white children eat their nicely cut
siology, ideology and misogyny. The only thing indigenous
packed lunches, while he sat over in a corner where no one
about this move was the black people who controlled it.
could see his meager damper and treacle. It was at school that
What they all failed to see was they had all internalized their
Harris first realized the power of racism to create the hunger
own oppression, as they were Aboriginal people thinking,
and poverty he and his family were experiencing.
acting and speaking white. They had not seen the need to
During the 1970s and 1980s, Harris completed nearly
incorporate into this new structure, or into the churches,
four years of study in conservative, white, Western theologi-
their own identity, culture and theology. Paulson’s assess-
cal colleges (including Nungalinya, Wontulp-Bi-Buya and
ment of Kirk’s ministry was that “he was still applying West-
the College in Brisbane), where he remained unaware of the
ern theology to Aboriginal situations, rather than conceptu-
issues of justice and struggle.
alizing a new framework for theology” (Paulson, 1995). Kirk
affirmed his culture and identity, but saw these as secondary
In the 1970s, the Rev. Charles Harris followed Brady
and separate to his focus. While Kirk had not constructed
at the ministry in Brisbane, taking up the mantle of direct
a theology of liberation, he nevertheless had radicalized the
ministry with the Aboriginal people at Musgrave Park. His
mission. Kirk believed that Aboriginal people should govern
work continued the prophetic stands for justice, eventually
their own Christian lives, institutions and theological educa-
culminating in his vision of the Uniting Aboriginal and Is-
tion, be the preachers and interpreters of the Gospel message
lander Christian Congress in 1985. His subsequent writings
in their own churches, and determine the mission and evan-
reveal a true passion and “thirst” for justice.
gelism of and to their own people.
When he came to work with Pastor Don Brady in the
After the first ten years, he began to suffer isolation as
inner city suburbs of Brisbane and the centre at Paddington,
some of his colleagues questioned “where he was going” and
however, he encountered a reality that shocked and changed
“where he was leading AEF.” Coming with a more conserva-
him. While Harris was sitting with the alcoholics in Mus-
tive theology, they sought to impose their viewpoints. Kirk
grave Park, God gave him a vision of his own people
saw this imposition as detrimental to the cause of pushing
“crushed beyond hopelessness, just drinking themselves to
ahead for an Indigenous Church. Eventually, as a result of
death, having no hope for the future” (Pattel-Gray, p. 122),
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AUSTRALIAN INDIGENOUS RELIGIONS: ABORIGINAL CHRISTIANITY
679
and he felt the pain and suffering of the Aboriginal people.
ership, which led to a conservative backlash among his peers
There, he met not the imported God, but the Aboriginal
(both Aboriginal and white), his colleagues feeling threat-
God—the One that called him to a radical new vision of a
ened by such radicalism. Moves were made to oust Harris
Gospel which liberates, and one that could “break through
from his position.
any barrier and bridge any gap that existed not only in the
In the closing months of 1988, while attending a church
Aboriginal community, but also in the world” (Pattel-Gray,
conference in Taiwan, the Rev. Harris suffered a severe heart
p. 122). Harris was made aware that the Bible could address
attack. Complications led to his being ill for several years af-
current issues, those that affected his people. “Unless the
terwards, and in 1993 he passed away. In one of his last inter-
Gospel does address and can address the [current] situation
views, Harris stated, “the ultimate vision is that once again
. . . the current issues, then it’s not the Gospel to me. It’s
my people, Aboriginal people, the Aboriginal & Islander Na-
definitely not the Gospel, it’s something that man has im-
tion, will walk tall and again find their dignity that they had
posed upon his fellow man” (Pattel-Gray, p. 122).
before 1788. As they are able to do that they can make a con-
In 1980, Harris was ordained to the Christian ministry
tribution to any world community, any nation throughout
in the Uniting Church in Australia. During this period, Har-
the world, any society” (Reid, pp. 19–21).
ris had a vision of a Black, autonomous church, with its own
Brady, Kirk and Harris were pivotal in facilitating the
leadership and ministry—a place for Aboriginal people to
significant developments that were to follow. All three
gather and to share their hopes, faith and ministry. In 1985,
walked the narrow road, and all three paid a high price for
as the visionary behind this initiative and under his direction,
their radical stance on justice and their challenges to oppres-
Harris founded the Uniting Aboriginal and Islander Chris-
sive racist institutions. Their vision, obedience and leader-
tian Congress (UAICC), under the umbrella of the Uniting
ship pioneered a new way of understanding Christianity,
Church in Australia (UCA). What Kirk had envisioned,
which still is evolving (alongside and in conflict with other,
Harris made a reality for Aboriginal Christians of the UCA.
more conservative ways).
Harris’ achievements included not only separate organiza-
OTHER LEADERS. Following the significant achievements of
tional structures, but also securing the economics to sustain
Brady, Kirk and Harris, Aboriginal people saw the rise of sev-
national and various state entities throughout Australia. No
eral Aboriginal Christian leaders who would also take up the
longer would Aboriginal ministry be in the hands of the
gauntlet and continue to struggle against white oppression
West; now, it would be secured firmly in the hands of Ab-
of Aboriginal communities, in the hope of securing the equal
original people—fulfilling the goal of self-determination so
rights and liberation so desired by Aboriginal people. Yet,
sought by Harris. His accomplishments became the impetus
this struggle quite often came at a high price.
behind the Aboriginal Christian movement within the
In 1975, Patrick Dodson became the first Aboriginal
church for a separate Aboriginal ecclesiastical structure, yet
person to be ordained a Roman Catholic priest. Like Brady
with an equal place in the life of the whole church.
and Harris, his stands for justice were far too threatening for
During his time of leadership as President of the
the hierarchical, institutionalized church, and he left both
UAICC, Harris had yet another vision: a March for Justice,
the priesthood and the church. After his departure, Dodson
Freedom and Hope, which would be a protest against the
served as Director of the Central Land Council, Commis-
white Australian bicentennial celebration. This march was to
sioner of the Royal Commission into Aboriginal Deaths in
go down in history as the largest protest ever seen. On Janu-
Custody, and Chairperson of the (Federal) Council for Ab-
ary 26, 1988—Invasion Day—despite government and gen-
original Reconciliation–all positions which reflect his contin-
eral community insensitivity towards the Aboriginal call for
uing commitment to justice and equality for all peoples. His
a Year of Mourning, most of Australia marked a “year of cele-
writings include: “This Land Our Mother,” in the CCJP Oc-
brations.” For whites, this date (Australia Day) commemo-
casional Paper; and, “The Land Our Mother, the Church
rated the claiming of Australia for the “English Crown” by
Our Mother,” in the Compass Theology Review.
the first British governor of New South Wales. Nevertheless,
Others have followed these great leaders with a strong
Aboriginal people managed to draw national and interna-
theology and a passion for justice. Father Dave Passi, a Tor-
tional attention to the hypocrisy of the bicentenary with the
res Strait Islander priest of the Malo group (which is the tra-
March. On Invasion Day—and for the first time—thousands
ditional religion of the Torres Strait Islander people) is also
of Aboriginals from across the nation met in Sydney and
a fully qualified and ordained priest of the Anglican Church
marched to mourn past and present injustices against Ab-
of Australia. He was one of the original plaintiffs in the land-
original people and to celebrate the Survival of the Aborigi-
mark Native Title (Mabo) land rights case, which shattered
nal Race. As a popular song by an Aboriginal rock band said:
the white “legal fiction” that the Australian continent was
“We Have Survived!” On that day 20,000 Aborig-
terra nullius (or, uninhabited land—ready to be “worked”
inals marched for justice, and another 30,000 non-
and colonized). Passi was led by his strong theological com-
Aboriginals came to march in solidarity with them.
mitment to justice.
During and after the March, the Aboriginal and white
The Rev. Dhalanganda Garrawurra, of the Uniting
leadership turned against Harris as a result of his radical lead-
Church in Australia, was a former Assistant to the Principal
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
680
AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FIRST EDITION]
at Nungalinya Theological College in Darwin—this despite
Gilbert, Kevin. “God at the Campfire and That Christ Fella.” In
the fact that he was denied food rations by Christian mis-
Aboriginal Spirituality: Past, Present, and Future. Blackburn,
sionaries when he did not go to the church on the Aboriginal
Vic., 1996.
Reserve as a youth.
Harris, Rev. Charles. “Reconciliation or Whitewash.” Koori Mail
The Rev. Trevor Holmes—also of the Uniting Church
no. 15 (November 6, 1991): 15.
in Australia—has been at the forefront of the defense of a
Harris, Rev. Charles. “Indigenisation Key to Our Survival.” Koori
small parcel of Aboriginal land on the Swan River, in Perth,
Mail, no. 16 (December 18, 1991): 11.
Western Australia. His theological stand has cost him: psy-
Harris, Rev. Charles. “Thinking for Ourselves.” Koori Mail, no.
chologically (he has been smeared in the media), physically
17 (January 15, 1992): 18, 20.
(he has received death threats and, on numerous occasions,
Harris, Rev. Charles. “Western Christianity a Curse to Indigenous
he has been beaten or arrested by police), socially (he is “un-
Spirituality.” Koori Mail no. 20 (February 26, 1992): 19.
popular” in Perth), and professionally (he is shunned in some
white church circles).
Hart, Max. Story of Fire. Adelaide, Australia, 1988.
Though he probably did not consider himself to be an
McDonald, Heather. Blood, Bones, and Spirit: Aboriginal Chris-
tianity in an East Kimberley Town. Melbourne, 2001.
Aboriginal Christian theologian, Kevin Gilbert nevertheless
provides one of the most comprehensive critiques of Chris-
Passi, Dave. “From Pagan to Christian Priesthood.” In The Gospel
tian theology and Christianity itself. His works demonstrate
Is Not Western: Black Theologies from the Southwest Pacific,
vast knowledge of both the Bible and of Christianity, though
edited by Garry W. Trompf, pp. 45–48. Maryknoll, N.Y.,
1987.
he stood at the fringe of Christian hermeneutics. His sharp
insights offer a major contribution to Aboriginal theology.
“Pastor Burns and Spits on Aboriginal Act,” Courier-Mail
(1970): 1.
While “Aboriginal Theology” has been passionate about
justice and the need for liberation of their people, it never-
Pattel-Gray, Anne. Through Aboriginal Eyes: The Cry from the Wil-
theless has failed to address the particular concerns of oppres-
derness. Geneva, 1991.
sion suffered by the Aboriginal women, youth and the dis-
Reid, John. “Only the Truth Will Make Us Free.” Journey (August
abled. Indeed, all of the theologies mentioned thus far are
1988): 19–21.
weighed down by Western patriarchal structures and sexist
Uniting Church in Australia, commission for Mission. “God’s
attitudes and actions. This endeavor to develop an Aborigi-
Startling New Initiative: The Uniting Aboriginal and Island-
nal systemic theology will encompass everything from Ab-
er Christian Congress.” Mission Probe 25 (1984): 4.
original cosmogony—the timeless oral tradition of Aborigi-
ANNE PATTEL-GRAY (2005)
nal Ancestral narratives to the modern written tradition of
critical exegetical and hermeneutical work. The goal is to
preserve the ancient wisdom of Aboriginal culture and tradi-
tion, as well as reinterpret and reformulate more recent
AUSTRALIAN INDIGENOUS RELIGIONS:
Western theological concepts.
HISTORY OF STUDY [FIRST EDITION]
The study of Australian Aboriginal religions has been the
SEE ALSO Christianity, article on Christianity in Australia
study of religions without a written record provided by their
and New Zealand.
adherents. We depend on what outsiders to Aboriginal reli-
gion have thought worthwhile to commit to writing. More-
BIBLIOGRAPHY
Allen, Roland. Missionary Methods: St Paul’s or Ours? London,
over the history of contact in Australia has been a sorry one
1912.
in the main—Aborigines were dispossessed of land, regarded
Allen, Roland. Missionary Principles. London, 1913.
with contempt, and made socially and politically inferior.
The amateur anthropologist A. W. Howitt could observe in
Allen, Roland. The Spontaneous Expansion of the Church and the
Causes Which Hinder It. London, 1927.
1880 that the frontier was often marked by a line of blood.
Indeed, between the late eighteenth century, when European
Ansara, Martha. Always Was, Always Will Be: The Sacred Grounds
of the Waugal, Kings Park, Perth, W. A. Balmain, Australia,
settlement began, and the 1920s, Aboriginal numbers fell so
1989, rev. ed., 1990.
sharply that prophecies of race extinction were neither alarm-
Brady, Rev. Don. “Sermon Quotes.” Racism in Australia: Tasks for
ist by some nor wishful thinking by others. After World War
General and Christian Education: Report of Southport Confer-
II, in keeping with a new policy of assimilating Aborigines
ence. Melbourne, 1971, p. 39.
to an ill-defined general Australian standard, there was a
Dodson, Patrick. “This Land Our Mother.” CCJP Occasional
great expansion of administrative interference with them.
Paper 9 (1973).
But a more sympathetic attitude toward tradition became
Dodson, Patrick. “The Land Our Mother, the Church Our
prevalent during the 1970s; “self-management” and “self-
Mother.” Compass Theology Review 22, no. 1–2 (autumn–
determination” entered common usage as policy slogans; and
winter, 1988): 1–3.
a few Aborigines even began to call for sovereignty. In what
Gilbert, Kevin. Living Black: Blacks Talk to Kevin Gilbert. Mel-
is now a highly politicized atmosphere, with laws passed or
bourne, Australia, 1978.
proposed for the grant of land rights, the protection of sacred
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FIRST EDITION]
681
sites, and the recognition of customary law, it can be an ad-
nes had made the longest and most difficult move toward the
vantage for Aborigines to be—or to appear to be—
formation of a truly religious outlook, but that they had gone
traditional in outlook and values. It is amid such aftermaths
far beyond that first step.
and in such contexts that scholars (mostly anthropologists)
have studied Aboriginal religion.
Some of the observed particulars and some of the con-
clusions drawn from them are much the same as those from
In the course of this strained and unhappy history a re-
the turn of the century. But a good deal of the old theoretical
markable change has occurred in the appreciation of Aborigi-
baggage—concern with the order of appearance of magic, re-
nal religion. It can best be illustrated by juxtaposing two pairs
ligion, and science, for example—has gone overboard in the
of quotations. In 1828 Roger Oldfield (pseudonym of the
course of extensive remodeling of our frameworks of percep-
Reverend Ralph Mansfield) wrote that “the religion of the
tion and interpretation. That Aborigines lack certain features
Aborigines, or rather their superstition, is very absurd,” and
of the religions best known to Europeans no longer seems
in 1841 another clergyman, Lancelot Edward Threlkeld, de-
important. Thus the heat has left the debate over whether
scribed Aborigines as “deluded men” who, “like most igno-
Baiame, Daramulun, and other such All-Fathers were sup-
rant savage tribes, are remarkably superstitious.” But by the
ernaturalized headmen, Christian borrowings, or genuine
mid-twentieth century, a number of writers had discussed
high gods (as maintained, for example, by Spencer’s contem-
the status of Aboriginal religion more sympathetically. In
porary, the Lutheran missionary and amateur anthropologist
1965, the anthropologist W. E. H. Stanner referred to “the
Carl Strehlow, regarding the Aranda of central Australia)—
facts that have convinced modern anthropologists that the
indeed, it is doubtful that one can still speak of a debate on
Aborigines are a deeply religious people.”
this arcane topic. What does seem important is to see the
world and humankind in Aboriginal terms, though it be
Such a rise in estimation reflects growing knowledge of
through a glass darkly.
and deepening sympathy with Aborigines, but another im-
portant cause is the loss of confidence in the validity or use-
This new imperative has required a considerable broad-
fulness of earlier criteria for distinguishing true religion from
ening in interpretative framework. There would be general
false, or religion from superstition and magic. Assertions of
agreement with Stanner that a study may be about religion
Aboriginal religiosity (or spirituality, as it is often called) and
but will not be of it if any of the four categories of experience,
studies of aspects of Aboriginal religion have proliferated
belief, action, and purpose is neglected. Aboriginal religion,
since the 1950s—coinciding, ironically, with a growing in-
he argued, draws on a human experience of life and a creative
clusion of Aborigines in the Australian polity and an increas-
purpose in life, and the study of it cannot, as so often
ing erosion of the more tangible features of traditional cul-
thought, be equated with study of the beliefs and actions
ture. No longer as objectively “other” as they once were, the
(myths and rites) of its adherents. But a deeper insight is also
Aborigines have become subjectively “other” through being
needed. Stanner saw myths, rites, and the images of art as
credited with a religious dimension largely absent from the
“languages of the mind,” beyond which one must go to reach
secularized society which engulfs them. It would be wrong,
the “metaphysic of life” by which they are cryptically invest-
however, to imagine that an unbridgeable gulf has opened
ed. Few would disagree with him that anthropology has so
between earlier and later bodies of opinion. A degree of con-
far failed in this last and most ambitious task. There is, in-
tinuity can be seen even in the writings of Stanner, who
deed, much still to be done in mapping the languages of the
worked passionately and to great effect to dispel mispercep-
mind and in working out their interplay with one another,
tions of Aboriginal life and thought.
with the social organization of the people, and with the land-
scape in which Aboriginal lives are set.
The Aborigines, he wrote in 1953, have no gods, their
afterlife is only a shadowy replica of worldly existence, their
RELIGION’S LUXURIANT GROWTH. Stanner suggested in
ethical insights are dim and coarsely textured, their concept
1965 that one of the best avenues of study of Aboriginal reli-
of goodness lacks true scruple, and their many stories about
gion was through the surviving regional cults. In fact, an-
the Dreaming (the far-off creative period when nature and
thropological attention has long tended to focus on them,
culture were formed) are plainly preposterous, lacking logic,
as can be seen by the studies that Howitt and Robert Hamil-
system, and completeness. Does this differ much from
ton Mathews (1841–1918) made of the Bora, or initiation,
Howitt, half a century earlier, who could not see that the Ab-
ceremonies in southeast Australia and that Spencer and Gil-
origines had any form of religion, and who thought that the
len made of the increase and initiation ceremonies of central
supernatural beings in whom they believed showed no trace
Australia. This tradition, as it can justly be regarded, has con-
of a divine nature (being, at most, ideal headmen living in
tinued until the most recent times. Some of the more notable
the sky instead of on earth)? Does it differ from Howitt’s
examples are Ronald M. Berndt’s monographs on the
contemporaries, Baldwin Spencer and F. J. Gillen, in whose
Kunapipi and Djanggawul of northern Australia, A. P.
monumental works such words as god, religion, and divinity
Elkin’s papers on the Maraian and Yabuduruwa, also of the
are conspicuous by their absence, though they saw a religious
north, and M. J. Meggitt’s monograph on the Gadjari of
aspect in the Intichiuma, or totemic increase ceremonies, of
central Australia, though there has also been valuable work
central Australia? Yet Stanner insisted not only that Aborigi-
of a more general nature, such as Catherine H. Berndt’s and
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AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FIRST EDITION]
Diane Bell’s studies of women’s religious beliefs and obser-
Nor should we think of express purposes as the motives for
vances.
cult performances. As musical, dramatic, and aesthetic occa-
sions, as mappings-out of landscape and social organization,
The popularity of the cult for study stems from the fact
they can be deeply satisfying for their own sake. This has
that it is in many ways a natural whole—it seems to be self-
been brought out especially in the writings of Stanner on the
bounding. Commonly it has a name (Kunapipi or Kuringal,
Murinbata of northern Australia, and of T. G. H. Strehlow
for example), includes a sequence of ritual episodes—the per-
(1908–1978), the linguist-anthropologist son of Carl Stre-
formance of which may stretch over several weeks—and usu-
hlow, on the Aranda.
ally one or more cycles of songs, and has attached to it a body
of myths and tangible symbols, such as a musical instru-
In spite of seeming to be the natural unit of study, no
ment—gong or bull-roarer, for example—which may stand
cult has yet been the subject of a truly comprehensive pub-
for a mythical founder of the cult and be known by the same
lished work. Howitt and Mathews, for example, concentrat-
name as the cult. An outsider who attends a performance
ed on the sequence of ritual episodes, with the latter also pro-
may well be reminded of European plays, operas, or ballets,
viding detailed descriptions of the shape and dimensions of
though it would be wrong to think of a cult as necessarily
ceremonial grounds, of the paths between them, and of the
an enactment of a straightforward story. Some episodes do
objects of art by which they were surrounded. Berndt’s
have a narrative quality, but others can be quite cryptic, and
Kunapipi monograph runs to 223 pages and his Djanggawul
the sequence as a whole is likely to have a variety of stories
monograph to 320, but both are stronger on myth and song
and significations woven through it. Rather similarly, the
than on ritual description. Elkin on the Maraian, like Meg-
songs that make up the accompanying cycle or cycles may
gitt on the Gadjari and Stanner on the cults performed by
be easily translatable, translatable only in fragments, or alto-
the Murinbata, neglects the songs (the Yabuduruwa lacks
gether devoid of any meaning known to the performers. The
singing). None of these scholars shows, in a really detailed
performers themselves are not self-chosen or selected at ran-
way, how the cults are anchored in landscape and social orga-
dom but occupy roles prescribed according to such criteria
nization, though all of them are aware of it. In short, even
as sex, degree of initiatory advancement, moiety (where, as
at a purely descriptive level, each of our accounts suffers pro-
is usual, a dual organization exists), totemic identity, or local-
nounced weaknesses as well as showing characteristic
ized group. All of these criteria, and perhaps others as well,
strengths. It is as though the student of a cult is defeated by
can be relevant in the course of a single cult performance.
the sheer abundance of what it offers to eye, ear, and mind.
Another typical aspect of a cult is its anchorage in the land-
But even if we had a truly comprehensive account of, say,
scape: myths and songs refer to numerous places, rites are
the Kunapipi or Yabuduruwa, we would still be far removed
symbolically or actually performed at such places, and the
from an adequate grasp of the religious life of the area con-
groups and categories of the social order in terms of which
cerned, for usually several cults coexist.
the performers are chosen stand in a variety of jurisprudential
relations to those places. A cult, then, is virtually a micro-
In southern Arnhem Land, for example, where religious
cosm of Aboriginal culture.
studies have been made by myself, following on earlier work
by Elkin, five cults were extant in the 1960s and 1970s, with
Although a performance can be seen as a many-sided
others still remembered by some older people. The five, in
symbolic display, it also achieves certain institutionalized
order of degree of secrecy or importance, were Bugabud, Lor-
purposes. The Bora ceremonies of the southeast were espe-
gon, Kunapipi and Yabuduruwa (this pair being ranked
cially concerned with the advancement of boys to manhood.
about equally), and Maraian. All men and women could ex-
They included spectacular episodes in which novices were
pect to take part in each of them—they were not the con-
first separated from, and later returned to, mundane life
cern, then, of specialized and mutually exclusive groups of
(often personified by their mothers); in the intervening peri-
votaries. The dual organization, divided into patrilineal moi-
od they suffered a visible mark of advancement in the loss
eties named Dua and Yiridja, imposed its pattern on the set
of a tooth through evulsion. In other regions circumcision
of cults: Bugabud, Lorgon, and Maraian existed in two ver-
or subincision might be substituted for or added to tooth
sions, one for each moiety; Kunapipi was classified as Dua
evulsion as the preeminent physical sign of manhood.
and Yabuduruwa as Yiridja. But in each case performers
would necessarily be drawn from both moieties by virtue of
Throughout much of central and western Australia the
a prescribed division of labor and responsibilities.
maintenance or promotion of fertility in plant and animal
nature was aimed at in cult performances. Disposal of the re-
The acquisition of competence in these cults is part of
mains of the dead can be an important purpose, as can trans-
the protracted process by which individuals rise to full adult-
formation of spirits of the dead into a state in which they can
hood. However, they also discharge purposes connected with
return to ancestral waters (or other places) and from which
the dead. Bugabud and Lorgon are mortuary cults, in the
they can (in some regions) be reincarnated. Several such pur-
sense that they are concerned with the bones of a dead per-
poses can be achieved in a single cult performance. We
son—rites of secondary disposal, as defined early this century
should not, that is to say, think of there necessarily being a
by the French comparativist Robert Hertz. Kunapipi, Ya-
one-to-one correlation of cult and institutionalized purpose.
buduruwa, and Maraian are postmortuary in the sense that,
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AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FIRST EDITION]
683
the mortal remains having been finally dealt with, they are
sense in which they are halves of a divided universe, just as
concerned with transforming the spirit of the dead person
the moieties are halves of a divided society. Much in the liter-
into a state in which it may enter its clan waters and later
ature suggests that such contrasts in design plan are common
be reborn. How many rites are held for a man—or whether
in Aboriginal religious complexes; there may well be equally
any at all are held—depends on such variables as his standing
fascinating patterns of opposition and permutation between
while alive, and the energy, interest, and degree of influence
cults at different levels of a hierarchy.
of his survivors. In addition, mortuary observances can be
It is also clear from the literature that important work
blocked altogether when, as has become usual, people die in
can be done in tracing chains of connection between the reli-
hospitals and are buried in municipal graveyards.
gious complexes of different areas. Some of the early writers
To write an adequate description of such a set of cults
were aware of this possibility—Howitt, for example, in dis-
would be a mammoth undertaking. But to think of portray-
tinguishing eastern and western types of initiation, was rec-
ing the religious life of southern Arnhem Land by describing
ognizing far-flung patterns of similarity and difference—and
discrete cults would be to remain in the condition of theoret-
it has been explored by later writers, including Elkin, Berndt,
ical backwardness remarked upon by Kenelm Burridge in
and Meggitt. The most ambitious effort has come from
1973. What marks recent advances in the study of religion,
Worms, who made continent-wide studies of religious vo-
he argued, is the transformation of functionalism into some
cabulary and also sought to enumerate the “essentials” of Ab-
kind of structuralism, by which he meant the abandonment
original religion and to distinguish them from “accidental ac-
of the concrete institution in favor of the search for the ele-
cretions.”
ments of a total semantic field. Institutions would be seen
MAIN PHASES OF STUDY. It may seem artificial to distinguish
as particular constellations of these elements, and the value
periods in the study of Aboriginal religion, as distinct from
of an element would be determined by its position in a con-
recognizing certain enduring problems posed by the materi-
stellation. Something like this view is now fairly widely held,
al, yet all but a few of the scholars likely to be taken seriously
and two anthropologists have published substantial approxi-
today belong to one of three main groupings. To a great ex-
mations of it. Stanner is one, with his perceptive and influen-
tent the ways in which they have worked their data have been
tial analyses of Murinbata religion. The other is William
conditioned, if not determined, by fashions and theories of
Lloyd Warner, whose classic study, A Black Civilization
overseas origin—Stanner, Worms, and the younger Strehlow
(New York, 1937), includes a valiant attempt to demonstrate
would be notable exceptions.
pervasive and recurring themes and symbols in the myths
and rites of the Murngin of northern Arnhem Land.
A first phase, spanning the late nineteenth and early
twentieth centuries, is dominated by the names of Howitt,
Two examples from southern Arnhem Land may show
Spencer and Gillen, Mathews, and the elder Strehlow. Ex-
the importance of being willing to cut across the boundaries
cept for Strehlow, who concentrated his researches on the Ar-
of discrete cults. One concerns the spirits of the dead, which
anda and their Loritja neighbors, these scholars amassed in-
are transformed by the performance of postmortuary cults.
formation over very great areas indeed, although Howitt’s
In their transformed state, they are colored as the rainbow.
work mainly concerned the southeast of the continent and
So were the waters which covered the earth when time began.
Spencer and Gillen’s the Northern Territory. Some of the
The transformed spirits can be called by the same name as
descriptions of ritual dating from this period, which of
is used for real rainbows, and this is also the name for certain
course preceded the rise of professional anthropology, are as
beings of prodigious power who existed in the Dreaming and
thorough and detailed as any that have been written since,
may still exist, for example, the well-known Rainbow Snake,
if not a good deal more so. (It should be noted that the elder
here conceived to be plural. Moreover the animal-like beings
Strehlow felt constrained as a missionary not to attend cult
who acted creatively in the Dreaming and who, in many in-
performances, so his knowledge of ritual was hearsay, but in
stances, are ritually celebrated in the cults may be described
studying myths and songs he reaped the benefits of long ac-
thusly in order to distinguish them from everyday animals
quaintance with his informants and of a thorough grasp of
who take the same form but lack marvelous powers. In study-
their language.) An indication of the quantity of data collect-
ing such a pattern of thought and imagery we come to grips
ed by the workers of this phase is given by Spencer and Gil-
with Stanner’s “metaphysic of life.”
len’s first book, The Native Tribes of Central Australia (Lon-
don, 1899). It has eight chapters, totaling 338 pages, on
The second example concerns the systematic relation of
totems, ceremonies, and the like, with some material in other
complementary opposition in design plan between Kunapipi
chapters also being relevant to what we would call religion.
and Yabuduruwa, cults of equal rank but of opposite moiety.
Thus one is performed largely by night and the other mostly
A second phase, beginning in the mid-1920s and flow-
by day. One is strongly curvilinear in its imagery; the other
ering especially during the 1930s, the first decade of the jour-
has a rectilinear emphasis. One is full of singing and is noisy
nal Oceania, owed much to the initial impetus given by
and joyous; the other lacks songs altogether. There are other
A. R. Radcliffe-Brown, Australia’s first professor of anthro-
contrasts as well. The point is that although each cult can,
pology. Those years saw the advent of professional anthro-
in a sense, be treated as an organized whole, there is another
pology, inspired by functionalist ideas and committed to in-
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AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
tensive fieldwork in relatively small areas. Yet the harvest of
1973), which is based on specialized studies and theoretical
religious data was meager in comparison with what had been
arguments published before 1965. Another useful account
collected in the preceding phase. Before World War II the
taking an Australia-wide view is the contribution by Worms,
most substantial portrayal of religious life to emerge from the
with an updating by Petri, in Hans Nevermann, Ernest A.
new wave of scholars was Warner’s study of the Murngin,
Worms, and Helmut Petri’s Die Religionen der Südsee und
but the chapters of A Black Civilization devoted to the sub-
Australiens (Stuttgart, 1968). A comprehensive selection of
readings from anthropologists with field experience among
ject run to barely two hundred pages (including a good deal
Aborigines is Religion in Aboriginal Australia, edited by Max
of interpretation)—fewer than Berndt would later devote to
Charlesworth, Howard Morphy, Diane Bell, and me (Saint
the Kunapipi alone. The strong point of the writers of this
Lucia, Queensland, 1984). The wealth of detail to be found
period was their sense of the interconnectedness of the insti-
in particular cults is shown by Ronald M. Berndt in his
tutions that go to make up a culture, and besides Warner a
Kunapipi (Melbourne, 1951) and Djanggawul (London,
number of them made useful, albeit somewhat limited, con-
1952) but is most superbly demonstrated in T. G. H. Stre-
tributions to our religious knowledge. Donald F. Thomson,
hlow, Songs of Central Australia (Sydney, 1971), which in-
Ralph Piddington, Ursula H. McConnel, and Phyllis M. Ka-
cludes texts and translations of a great many songs. Classic
berry may particularly be mentioned. Except for Warner
older accounts of Aboriginal religion are in A. W. Howitt’s
they have since been greatly overshadowed by Elkin, Stanner,
The Native Tribes of South-East Australia (New York, 1904),
and Baldwin Spencer and F. J. Gillen’s The Northern Tribes
and the younger Strehlow—scholars who were active in re-
of Central Australia (London, 1904). Two recent studies on
search before World War II, but published their best work
topical themes are Erich Kolig’s The Silent Revolution (Phila-
on religion long after it, thus overlapping the third phase,
delphia, 1981), a study of change and modernization in Ab-
which indeed they did much to stimulate.
original religion, and Diane Bell’s Daughters of the Dreaming
The third phase really got under way with the expansion
(Melbourne, 1983), which is concerned with the religious
of anthropology departments in the universities and the
roles of women. Australian Aboriginal Mythology, edited by
foundation of the Australian Institute of Aboriginal Studies
L. R. Hiatt (Canberra, 1975), is a good example of the ap-
in the 1960s. Intellectually it owes a special debt to papers
proaches of some of the younger workers in the field; see also
The Rainbow Serpent, edited by Ira R. Buchler and me (The
published by Stanner between 1959 and 1967. Stanner’s
Hague, 1978), which contains studies of one of the most
writings, the product of intensive ratiocination and pro-
widespread Aboriginal symbols. The classic theoretical analy-
longed reflection, best fit his own prescription for study of,
sis remains Émile Durkheim’s The Elementary Forms of the
and not merely about, religion. But much that he has to say
Religious Life (1915; reprint, New York, 1965), but it relies
is difficult, if not positively cryptic, and is best tackled by
on nineteenth- and early twentieth-century research and
readers who already enjoy a familiarity with Aboriginal
opinion. The most penetrating modern vision and analysis
thought and ritual. The store of personally gathered field
are from W. E. H. Stanner, whose On Aboriginal Religion
data on which he relies is far less plentiful than that amassed
(Sydney, 1964) and White Man Got No Dreaming: Essays
by Ronald M. Berndt and Catherine H. Berndt or by the
1938–1973 (Canberra, 1979) are essential.
younger Strehlow, writers whose work has exerted less influ-
KENNETH MADDOCK (1987)
ence on their fellows.
The third phase is less clearly distinguishable from the
second than the second from the first. The greater degree of
continuity is partly due to the shared emphasis on intensive
AUSTRALIAN INDIGENOUS RELIGIONS:
fieldwork by professional anthropologists, as well as to the
HISTORY OF STUDY [FURTHER
CONSIDERATIONS]
survival into the 1970s of scholars who had already begun
to make their mark forty years earlier and to the appearance
These “further considerations” highlight the intellectual, po-
of a few students of religion (notably the two Berndts and
litical, legal, and administrative frames of reference that have
Meggitt, all trained by Elkin) during the intervening period.
shaped the study of Aboriginal religion throughout its histo-
Apart from a vast increase in the number of persons doing
ry. Four phases—not necessarily distinct—are emphasized.
research, the main differences between the two phases consist
Early accounts of indigenous religions were framed by philo-
in an abandonment of old-style functionalism, a rise of ap-
sophical and scientific debates about race in the context of
proaches influenced in varying degree by forms of structural
colonialism and the assumption of sovereignty over subject
or symbolic anthropology, and an intense interest in the sig-
peoples. For much of the nineteenth century the study of Ab-
nificance of the landscape in which Aboriginal lives are set.
original religion went hand in hand with “protection” and
There is still little sign of philosophers or students of compar-
amelioration in the face of racial (and actual) death or a pre-
ative religion challenging the ascendancy of anthropologists.
sumption of disappearance in the face of civilization. This
approach merged with the rise of the missionary proto-
SEE ALSO Howitt, A. W.
ethnographer, whose aims of salvage, instruction, and benefit
were framed by the active pursuit of religious change.
BIBLIOGRAPHY
The best general exposition of Aboriginal religion is Mircea
The development of academic anthropology in the
Eliade’s Australian Religions: An Introduction (Ithaca, N. Y.,
twentieth century was marked by the testing and application
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
685
of various models of explanation. Its results have had an
nal people fitted in an (evolutionary) Great Chain of Being.
abiding influence on how Aboriginal cultures are popularly
Such assessments derived from and contributed to the politi-
perceived and legally treated. The academy was never isolat-
cal positioning—racially, morally, and intellectually—of a
ed from the government policies and practices of its day,
subject people either expected to disappear or required to ac-
however. The study of Aboriginal religion should be viewed
quiesce to the advance of “civilization.”
in the context of finding (social) scientific answers to a vari-
ety of “problems” posed by Aborigines in a modernizing Aus-
Historically constituted framings of what counts as reli-
tralia. Late-twentieth-century developments in the legal rec-
gion have often been more powerful than direct observation
ognition of land rights and native title provided an
or meticulous recording. More than two centuries of elabo-
unprecedented impetus to the study of Aboriginal religion.
rated framings for the study of Aboriginal religion (whether
They are also contexts in which the history of that study has
derived from anthropology, history, theology, or missiology)
become crucial, with its record being recalled, reused, and
have not necessarily transcended such limitations. As Stanner
forensically tested in a wider range of settings than ever be-
has pointed out, studying Aboriginal religion is necessarily
fore. Old ethnographies are being read again, and the archive
distinct from its embodied practice as a fundamental orienta-
is being searched as never before either to support or to con-
tion to place, kin, and country for Aboriginal people them-
found Aboriginal claims to land and identity. It is this that
selves. As an object of study it cannot escape the frames by
has made the framing of the record—its circumstances, in-
which it is apprehended, recorded, represented, and re-
tentions, limitations, and possibilities—so important in the
presented in a range of settings and to diverse ends. Religion
late twentieth century and early twenty-first century.
remains a primary vehicle for knowing Aboriginal cultures
in Australia and therefore forms the basis for various disci-
A NEW SOVEREIGNTY. The earliest pronouncements on an
plinary, legislative, and administrative actions brought to
absence of religion among Aborigines cannot be divorced
bear on Aboriginal people. The problematic “blindness” of
from the simultaneous proclamation of sovereignty over
the earliest witnesses is not so strange and certainly not easy
what to the European colonizers were new and unfamiliar
to transcend. In it one recognizes an abiding separation of
lands. Watkin Tench, captain of the Royal Marines, provid-
purposes despite the enormous progress the history of study
ed one of the earliest accounts of Aboriginal-European rela-
has achieved in reducing the interpretive gaps.
tions in the colony of New South Wales. Despite numerous
opportunities for “detached observations,” Tench could not
MISSIONARY FIELDS. The substantive body of material on
discern the meanings of Aboriginal ceremonies. He pon-
“manners and customs” that derives from nineteenth-
dered the distance between cultures and what he saw as an
century missionary-ethnographers was framed by the con-
Aboriginal perversity (a “fickle,” “jealous,” and “wavering”
joined impulses to protection and conversion. Collins re-
disposition) that inhibited the cross-cultural relations that
ported the devastation wrought by smallpox in 1789, the
might disclose such meanings. In his A Complete Account of
sites of Aboriginal habitation around Sydney Harbour being
the Settlement at Port Jackson (1793), Tench declared that the
filled with the victims’ putrid bodies. As Tony Swain, in A
“indians [sic] of New South Wales” in fact did evidence belief
Place for Strangers (1993), points out, everything known
in spirits and a superintending deity and possessed a sense
about Aboriginal life in Southeast Australia comes from re-
of the immortality of some part of their being. In these con-
cords made after a massive population decline. By the time
clusions Tench aligned Aboriginal belief with what was rec-
missionaries and explorers began recording Aboriginal beliefs
ognizable as religion to the colonists and therefore to what
in the 1830s, it is estimated that only one-third of the quarter
was ideologically integral to the colonizing process itself. Es-
million people in New South Wales and Victoria had sur-
tablishing the media of communication and finding an ap-
vived. By 1850 the figure was down to 4 percent. It was an-
propriate framework for interpreting Aboriginal religion re-
other generation before proto-ethnographic accounts were
main abiding (and contested) concerns for its study.
compiled and then another half century before recognizably
modern records of myth, ceremony, and sites became readily
A contemporaneous and opposite pronouncement was
available in such works as Alfred William Howitt’s The Na-
provided by David Collins, the colony’s judge advocate and
tive Tribes of South-East Australia (1904) and R. H. Ma-
secretary. Despite providing a detailed record of the Eora
thew’s approximately 203 scattered journal articles. The gaps
people’s ceremonies in An Account of the English Colony in
and discrepancies represented by this necessarily piecemeal
New South Wales (1798), Collins declared that the Aborigi-
coverage have continuing implications in the early twenty-
nes of Port Jackson possessed no element of religion what-
first century for Aboriginal people who increasingly must
soever. In this he epitomized the “blindness” noted by
rely on such materials in a variety of legislative and bureau-
W. E. H. Stanner in “Religion, Totemism, and Symbolism
cratic settings.
(1962),” by virtue of which early observers genuinely could
not—regardless of knowledge, learning, or humanism—see
Although lacking in what would later be seen as system-
the “facts” that later convinced others that Aborigines were
atic and “theoretical” examination, the nineteenth century
indeed a deeply religious people. The earliest, conflicting as-
saw an explosion in the recording of Aboriginal religious
sessments of Aboriginal religion were framed by philosophi-
concepts. Once the Blue Mountains west of Sydney were
cal, theological, and scientific debates about where Aborigi-
crossed in 1813, explorers and settlers began noting the
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686
AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
“manners and customs” of the “natives” they encountered.
those of successive Sydney researchers. Outside of Sydney,
It was missionaries, however, who began living with those
Adelaide was a center of substantial and enduring work on
Aboriginal people who had survived the massive disruption
Aboriginal religion, focused in the South Australian Muse-
of their lands and kin groups and who assembled the more
um, the Royal Society of South Australia, and the University
extensive reports on language, religion, and social relations.
of Adelaide. Norman B. Tindale had a research base there
Lancelot Edward Threlkeld, for example, conducted exten-
for his continent-wide studies of tribal boundaries and my-
sive language recording among the Awabakal people “set-
thology; Charles Mountford assembled his substantial re-
tled” on the shores of Lake Macquarie in New South Wales.
cords of art, myth, and symbolism; and T. G. H. Strehlow
He was eventually dismissed by the London Missionary Soci-
produced his incomparable Songs of Central Australia (1971).
ety for spending too much time on ethnographic and linguis-
tic observations and too little on the salvation of Aboriginal
Throughout the twentieth century other universities
souls. Threlkeld initiated a small but strong contingent of
emerged or developed, offering intellectual and financial
missionary observers, including Carl Strehlow, William Rid-
nurturance to the study of Aboriginal religion. Melbourne
ley, Clamor Schürmann, George Taplin, and J. H. Sexton,
provided a base for the biologist Donald Thompson, whose
whose records remain of considerable significance. Pater
work in Cape York, Arnhem Land, and Central Australia is
Wilhelm Schmidt, though he did not work within Australia
still celebrated in books and exhibitions. The University of
himself, was nevertheless instrumental in the collection and
Western Australia was home to Ronald Berndt and Cather-
study of Australian materials.
ine Berndt, indefatigable researchers of myth, rite, and story
throughout Aboriginal Australia, with a legacy of students
The task of studying Aboriginal religious belief (a focus
and colleagues very much active in the early twenty-first cen-
that necessarily predominated over that of religious practice,
tury. Anthropology at the Australian National University,
given the circumstances) was accomplished in tandem with
Canberra has also been pivotal in training, research, publica-
the goal of translating and representing Christian belief for
tion, and debate in all areas relating to Aboriginal religion,
the edification and conversion of people still seen as reli-
including the insertion and translation of such studies into
giously deficient. Carl Strehlow and Johann Georg Reuther’s
a variety of legislative, policy, and administrative reforms.
1897 Testamenta Marra: Jesuni Christuni Ngantjani Jaura
The academic framing of Aboriginal religion has in-
Ninaia Rarithmalkana Wonti Dieri Jaurani (The New Testa-
volved principally an active, progressive, and critical engage-
ment in the Dieri language) was the first complete transla-
ment with theories and ideas coming from a range of devel-
tion into an Aboriginal language. It was both vehicle and jus-
oping disciplines. Major threads have included Durkheim’s
tification for Reuther’s towering linguistic and ethnographic
organicism and its reinterpretation via the structural func-
recording, especially of the mythic journeys and geographic
tionalism of Radcliffe-Brown; Claude Lévi-Strauss’s struc-
creations of ancestral Beings called Muramuras in the far
turalism, especially as interpreted through the works of
northeast of South Australia. This effort was subsequently re-
W. E. H. Stanner and Kenneth Maddock; and Sigmund
peated by Carl Strehlow among the Arrernte (Arunta, Aran-
Freud’s psychoanalysis, reinterpreted through the Aboriginal
da) to the north and was continued by his son Theodor
data by Géza Róheim and continued in the work of Les Hiatt
George Henry Strehlow.
and John Morton. In his chapter article “The Resurrection
The missionary recorders, more than the anthropolo-
of the Hydra,” Howard Morphy provides an excellent and
gists, were presentient of Émile Durkheim’s analytic proposi-
nuanced overview of the main ideas that oriented the aca-
tion (in Les formes élementaires de la vie réligieuse, 1914; The
demic study of Aboriginal religion throughout the twentieth
Elementary Forms of the Religious Life, 1915) that religion is
century. Stanner remains the pivotal mid-twentieth-century
society sanctified and that mythology was a primary vessel
figure, with his On Aboriginal Religion (1966) reissued with
of Aboriginal spiritual sentiment. It is these images of Ab-
commentaries and an “appreciation” in 1989. Stanner’s
original society and religion being coterminous and of story
movement away from structural functional interpretation to-
and songline anchoring belief, people, and place that remain
ward symbolism and ontology—highlighting the distinctive
frames of reference for contemporary analyses of Aboriginal
moral, emotional, and spatiotemporal dimensions of the
religion across Australia.
Dreaming—remains enormously influential, perhaps best re-
flected in the oeuvre of Deborah Bird Rose.
THE WORK OF THE ACADEMY. The great nineteenth-
century and early-twentieth-century recordings appeared be-
The progress of academic study has not been without
fore anthropology was a recognized academic discipline in
contestation, of course, and the resulting debates have im-
Australian universities. The first chair was established at the
pacted enormously on understandings of Aboriginal religion.
University of Sydney in 1926. The work of its first incum-
In particular, the rise of Marxist and feminist theories in the
bent, A. R. Radcliffe-Brown, remains pivotal to debates on
1970s initiated controversies that resonate into the twenty-
the articulation of Aboriginal social organization with tradi-
first century. Exemplifying this period is the work un-
tional land ownership. Its was his successor, Adolphus Peter
dertaken by Annette Hamilton while a research student at
Elkin, however, who had an abiding influence on the study
the University of Sydney, and that of Diane Bell while a stu-
of myth, legend, and music both through his own works and
dent at the Australian National University. In challenging ac-
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AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
687
ademic orthodoxies and overcoming the initial resistance of
and governmental forces at work on the development of aca-
the anthropology discipline, both these scholars have funda-
demic anthropology across much of the twentieth century.
mentally recalibrated the ways in which the lives of Aborigi-
nal men and women must be thought about. Hamilton’s
The anthropological study of Aboriginal life, including
religious life, cannot be separated from more practical con-
1960s research amongst the Gidjingali people of Arnhem
cerns with welfare and assimilation policy throughout this
Land challenged previous perspectives—derived from Hiatt
period. Elkin himself bridged academic and administrative
and Maddock, amongst others—on support and rivalry
worlds. As a professor from 1934 Elkin and his students
amongst cross-sex siblings, the benefits that flow to men and
forged the academic study of Aboriginal life into a proud and
women from marriage bestowal, and issues of male control
progressive tradition. As editor of the pioneering journal
and female autonomy more generally. In the late 1970s
Oceania Elkin oversaw publication of much of the research
Hamilton again challenged models of male dominance in her
that established (and still supports) the authoritative record
PhD research on the economic and religious life of Western
of Aboriginal religion. He was chairman of the Australian
Desert Aborigines. In the far northwest of South Australia
National Research Council’s Anthropology Committee be-
Hamilton documented men’s dependence on women’s
tween 1933 and 1948, overseeing the allocation of research
labor, women’s control of key productive technologies (such
funds to address Aboriginal welfare “problems.” From 1941
as grindstones), and a strong and secret female ceremonial
to 1968 he was vice president of the New South Wales Ab-
domain. Working in the Central Desert region, also in the
origines Protection Board that had the power to intervene
late 1970s, Bell provided equally challenging evidence of
directly into people’s most intimate daily lives. The academic
women’s active participation in marriage bestowal, exercised
study of Aboriginal religion developed alongside the applica-
in ritual contexts and facilitating control of their sexual
tion of anthropology to a range of practical and policy con-
choices. Like Hamilton, but with differences reflecting re-
cerns. The later decades of the twentieth century saw these
gional variation, Bell also documented a religious realm in
domains brought absolutely together.
which women worked separately to maintain the Dreaming,
enact their responsibilities to the land, and manage the
OUTSIDE THE ACADEMY. The study of Aboriginal people—
health and harmony of their kin groups. When first pub-
so problematic for the Australian state, so vulnerable to sur-
lished in 1983, Bell’s Daughters of the Dreaming prompted
veillance and recording—was never of course confined to the
unprecedented reactions to its assertion that Aboriginal
academy. A huge compendium of data on Aboriginal reli-
women hold such an encompassing ritual responsibility as
gion has been assembled outside of formal research settings
well as having strong traditions of cultural and religious au-
by literary scholars, antiquarians, clergy, local historians,
tonomy. This text remains both pivotal and controversial
poets, humanists, and government officials, such as the po-
more than two decades later. In Arguments about Aborigines
lice trooper Samuel Gason, stationed on Cooper Creek to fa-
(1996) Hiatt charts the history of these challenges and their
cilitate the arrival of pastoralists and missionaries. Out of
effects on reconfiguring academic paradigms. These debates
nine years of close engagement with Aboriginal people,
have fuelled a “re-reading” of the traditionalist literature in
learning local languages, and participating in ceremonies,
Francesca Merlan’s “Gender in Aboriginal Social Life: A Re-
Gason provided, in Manners and Customs of the Dieyerie
view,” which highlights dominant constructions of gender in
Tribe of Australian Aborigines (1874), one of the first detailed
the anthropological canon and addresses abiding issues of
accounts of traditional life in the eastern central deserts. It
theoretical bias and ethnographic adequacy. The capacity of
is a record that is still used by researchers and Aborigines
these (unresolved) debates to generate innovative accounts of
alike seeking to verify claims to ancestral lands. This pioneer-
Aboriginal religion as a gendered domain is evidenced by
ing work was not disinterested; it is not separable from its
such works as Françoise Dussart’s The Politics of Ritual in an
frame of economic, material, psychological, and spiritual
Aboriginal Settlement (2000) and Christine Watson’s Piercing
transformation being wrought on Aboriginal people by colo-
the Ground (2003).
nial expansion. Gason’s aim in publishing his data was to as-
sist the Lutheran missionaries at Lake Killalpaninna (where
But work in the academy was never completely removed
Reuther was later to make his own collections); Gason hoped
from wider historical shifts in the social, economic, and ad-
that his writings “may be of some assistance to those pious
ministrative circumstances of Aboriginal life. Elkin’s depart-
missionaries and others, who are extending so greatly inland
ment at the University of Sydney itself functioned in the do-
this vast continent, civilisation, through its gracious hand-
main of applied social research both in the Pacific and at
maiden, Christianity.”
home. It had a major role in training officers for Australia’s
own colonial possession in New Guinea and was supported
The enigmatic Daisy Bates also deserves mention. Vari-
in part by funds from the commonwealth and state govern-
ously a student of anthropology, secular missionary, and un-
ments to do this. Sir John Hubert Murray, the Australian ad-
official “protector,” she lived for decades among Aboriginal
ministrator in New Guinea and the first lieutenant governor
people in Western Australia and South Australia including,
of (the renamed) Papua from 1908, warned the new depart-
famously, sixteen years at Ooldea on the east-west railway
ment against preoccupation with mere scientific investiga-
line. Her prodigious output (something like 274 published
tion. This suggests something of the array of institutional
articles) contains much of significance to the study of reli-
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688
AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
gion, such as her series on astronomy, stellar myths, and asso-
report, for example, one learns that Jurnkurakurr, site of the
ciated rituals that appeared in newspapers such as The Aus-
Tennant Creek Telegraph Station acquired by the Northern
tralasian and The Sydney Morning Herald in the 1920s and
Territory government in 1987 as a monument to white set-
1930s. Her manuscripts, letters, and diaries are scattered in
tlement in the region, is the spiritual home of Jalawala
libraries but are increasingly sourced by researchers seeking
(black-nose python), the Mungamunga women, and the
foundational data for use in a variety of heritage and native
snake Kiliriji—all primordial actors creating the broader
title contexts.
landscape. The report also details the site-specific travels and
cosmological productions of Pirrtangu (flying-fox), Milway-
Such materials have been continually repatriated to
ijarra (two snakes), Aakiy (black plum), and Warupunju
more authoritative and institutionalized processes of study
(fire) together with a host of more minor Dreamings: Nyink-
and documentation. This is exemplified by the work of Iso-
ka (grass-tailed lizard), Yarrangarna (dingo), Emu, Crow,
bel White in collating and editing a portion of Daisy Bates’s
Ngappa (rain), Kurtinja (bush turkey), Karli (boomerang),
manuscripts into The Native Tribes of Western Australia
Yukulyari (wallaby), and Mangirriji (plains goanna) among
(1985), published by the National Library of Australia and
others.
prompting a reassessment of Bates as a serious fieldworker
and scholar rather than a popular commentator. This move-
In these reports the learned justice often reviews the an-
ment of materials accelerated in the later decades of the twen-
thropological evidence presented to the hearing from all sides
tieth century (and continues to expand in the twenty-first
(including that coming from parties opposing the claim),
century) in response to significantly changed frameworks of
testing its usefulness to the legislative framework, assessing
governance, administration, legal recognition, and cultural
its contradictions, and gauging its resonances with the longer
policy. It is to key moments in this change that this discus-
published record. In this way the history of anthropological
sion now turns.
study itself has frequently been reviewed and re-presented as
a matter of public record. The Aboriginal past and the histo-
LAND RIGHTS. Under the Aboriginal Land Rights (Northern
ry of its study are brought into a continuing relationship that
Territory) Act of 1976, Aborigines were able to claim title
directly influences Aboriginal futures, whatever the outcome
to land provided they could demonstrate specific relation-
of the case. In the following Justice Michael Maurice com-
ships to it. The critical test was set out in the definition of
pares what Sir Baldwin Spencer and Francis Gillen had re-
“traditional owner,” requiring a person to be a member of
corded of Warumungu burial practices with what had been
a “local descent group” and to have “primary spiritual re-
elicited from other anthropological sources and from Aborig-
sponsibility” for a site on the land. The two were interrelated:
inal witnesses during the claim hearing:
to have rights in land recognized, a person had to be a mem-
ber of a group on the basis of descent and to possess a spiritu-
The import of Sir Baldwin Spencer’s letter to Sir James
al connection to sacred sites arising from that membership.
Frazer was that many of the practices he had recorded
Not only did this represent a translation of accumulated an-
among the tribes he visited, though they involved dif-
thropological knowledge into legal statute, but it placed Ab-
ferent types of ritual and different kinds of social insti-
original religion at the center of political and administrative
tutions, and took different outward forms, expressed a
relatively invariant current of ideas . . . . It hardly
recognition of Aboriginal rights and aspirations. Evidence
need be said . . . that these ways of being and thinking,
and displays of religious attachment to land were presented
and the social relations in which they are practiced, re-
to administrative inquiries presided over by a specially ap-
main a powerful force in the lives of the Warumungu
pointed federal court judge in the form of an aboriginal land
people today. It is what makes them distinctly different
commissioner.
from non-Aboriginal residents of [the town of] Ten-
nant Creek. The same tradition as recorded by Spencer
The “applied” legal domain of land rights provided an
and Gillen, and by the late Professor Stanner, albeit
enormous incentive and opportunity for the detailed local
much altered, was the source of the present claims, the
“study” and documentation of Aboriginal religious practice
conceptions which informed them, and the terms in
in the late twentieth century. In the almost three decades
which they were stated. (Aboriginal Land Commission-
during which claims to land have been made under the Act,
er, 1988, p. 129)
a vast body of written and recorded materials has come into
Here, in a localized microcosm, the entire history of studying
existence, including the detailed supporting claim books pre-
Aboriginal religion is rehearsed and reassessed for the pur-
pared by anthropologists, linguists, and historians, tran-
pose of returning a parcel of land to Aboriginal people for
scripts of public portions of the hearings themselves, and ref-
what the commissioner acknowledges to be their continuing
erences in the land commissioner’s findings to the
economic, social, and political survival.
demonstration and performance of sacred knowledge. The
final reports themselves are emblematic of the insertion of
The engagement of anthropologists as “expert” transla-
Aboriginal religious knowledge into the Australian public re-
tors of Aboriginal culture in land claim processes has resulted
cord. In them the commissioner reiterates, as a matter of
in some of the most compelling and innovative accounts of
legal fact, the journeys of ancestral Beings (Dreamings)
religion as a key modality of Aborigines’ social, cosmological,
across the land in question. In the Warumungu Land Claim
political, and practical engagement with the world. Out-
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AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
689
standing examples include D. B. Rose’s Dingo Makes Us
perhaps to entail judges, lawyers, and others in relationships
Human (1992), Francesca Merlan’s Caging the Rainbow
of reciprocal obligation and respect). As D. B. Rose pointed
(1998), and Elizabeth Povinelli’s Labor’s Lot (1993). Each re-
out in “Histories and Rituals: Land Claims in the Territory”
envisages the subject of Aboriginal religion as meaning, sym-
(1996), such processes themselves became a form of “cere-
bol, and action, and each brings to that study a broader his-
mony for country” that has fed back into the religious life
torical, legislative, and political context.
of communities. The interpenetration of Aboriginal and
non-Aboriginal worlds and the subsequent changes this has
Land rights highlighted the power of anthropological
wrought on negotiating public versus restricted ritual perfor-
models to frame legal understandings: the act encoded a
mance, managing gendered responsibilities for social and
model of descent through fathers (patriliny), giving rise to
cosmological action, and the seemingly more mundane ne-
rights in land as real property that were often contradicted
gotiations of kin group identity and residence are major
by Aboriginal evidence. Over time land claim hearings forced
threads of Dussart’s fine-grained ethnography of ritual as
the development of more nuanced understandings, promi-
politics among Warlpiri people at Yuendumu.
nently through recognition of the roles of “owners” and
“managers” expressing the complementary rights and ritual
The land claim process also highlighted the dynamic
responsibilities inherited through both men and women. An-
tension between revelation and concealment that is itself a
other development was the facilitation of women to give evi-
feature of Aboriginal religion. In many circumstances reli-
dence of their gender-restricted secret and sacred responsibil-
gious knowledge can only be revealed by those who have par-
ities toward land and the Dreaming. Witnessing ceremonies,
ticular rights to it, to those who have compatible rights to
visiting sites and seeing sacred objects during the course of
know it and with the consent (and often in the presence) of
a land claim hearing meant that procedures for managing
others in positions to authorize such a transfer. In recogni-
men’s restricted knowledge were in place very early, and have
tion of this, some Australian legal processes have, in places
been largely unproblematic. Some early land claims acknowl-
and for limited purposes, adapted to accommodate Aborigi-
edged that women’s ceremonies and secrets complemented
nal cultural principles. Thus whereas land claims have result-
those of men and played an equally vital role in Aboriginal
ed in unprecedented levels of detail about Aboriginal religion
religious life. For example, in his report on the Alyawarra
being made available, they have also underscored the strict
(Alywarr) and Kaititja (Kaytetye) land claim heard in 1978
limits and controls that are placed on such knowledge, with
Mr. Justice Toohey commented on the forceful display of at-
portions of the evidence and hearing transcripts in many
tachment to land he had witnessed in women’s ceremonies
cases being permanently suppressed. At the same time as
and site visits. In other hearings such as the 1988 Jasper
there is greater access to Aboriginal religion in diverse con-
Gorge and Kidman Springs land claim, however, women
texts (from legal judgments to art exhibitions to Olympic
kept their knowledge of sites, songs, dances, designs, and ob-
Games ceremonies), the very restrictions placed on that ac-
jects secret because their own Dreaming law dictated that no
cessibility have become more prominent and more problem-
man should see these things. In the Palm Valley claim of
atic. This theme is explored in papers edited by Christopher
1994 Arrernte women agreed to give evidence on the basis
Anderson as Politics of the Secret (1995), focusing on transac-
that the land commissioner was the only man present; male
tions in men’s restricted knowledge, designs, and sacred ob-
lawyers were permitted to read the transcript but not to cross
jects in central and north west Australia, including the histo-
examine the women. This has subsequently raised a number
ry and micro-politics of Aboriginal engagement with a range
of non-Aboriginal recorders, collectors and institutions.
of broader legal and procedural issues regarding the right of
a party to choose his or her own legal representative and the
The tension between revelation and concealment pro-
capacity of courts to limit that choice on the basis of gender.
vides the framework for Ian Keen’s Knowledge and Secrecy in
In the Tempe Downs land claim, also heard in 1994, women
an Aboriginal Religion (1994), a sustained ethnographic ex-
achieved some procedural parity with men by giving exten-
ploration of a specific (Yolngu) religious tradition that high-
sive evidence in restricted sessions resulting in a restricted
lights the essential ambiguity of cultural meaning and the on-
transcript that was not available to others. In “Preserving
going necessity for its negotiation. Similar themes are
Culture in Federal Court Proceedings,” Greg McIntyre and
explored in Morphy’s Ancestral Connections (1991) and Luke
Geoffrey Bagshaw survey such ongoing difficulties in recon-
Taylor’s Seeing the Inside (1996), both major monographs on
ciling Aboriginal cultural principles of gender-based religious
the expression of the Dreaming through art in northeast and
secrecy with the requirements of Australia law.
western Arnhem Land respectively.
Land claims became a principal occasion for the display
Conflicts over revelation have been played out publicly
and performance of religious knowledge, not just its record-
and acrimoniously in a series of court actions and media tri-
ing. Hearings moved out of the court and into the bush,
als focused on Aboriginal assertions of sacredness and restric-
where successive commissioners heard evidence on or near
tion, Uluru (Ayers Rock), Coronation Hill, and Junction
the land being claimed and were witnesses to performances
Waterhole in the Northern Territory; Noonkanbah station
of ritual, dance, and song that sought to convey direct, reve-
in Western Australia; and Hindmarsh Island in South Aus-
latory knowledge of Aboriginal authority (and in this way
tralia being the most prominent examples. Especially in 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
690
AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
texts where claims to restricted religious knowledge have
There is no legislative requirement to assess spiritual
come into conflict with development or the desires of the
connection to land in native title. However, this has been a
state, some sacred sites have taken on meanings (and have
principal register of inquiry, highlighting the way religion
had effects) far beyond the local and often beyond their cul-
has become embedded in the administrative imagining of
turally specific significance to Aboriginal owners. It is in such
Aboriginal people and their culture.
heightened political arenas that the meaning and peculiar
In proceedings spanning 1994 to 2002, the Miriuwung
power of sacred sites have become what Ken Gelder and Jane
and Gajerrong people sought recognition of their native title
M. Jacobs in Uncanny Australia (1998) call “promiscuous,”
rights in some three thousand square miles of east Kimberley
escaping their Aboriginal specificity and their academic or
land straddling the Western Australia and Northern Territo-
legal framing to disrupt and bring into question the wider
ry border, including the Ord River irrigation project and the
Australian population’s sense of place and identity. These
Argyle Diamond Mine. Continuing religious practice was a
complex currents of what is known and by whom—and who
key element allowing claimants to demonstrate their obser-
should control the circumstances of its revelation, even when
vance of traditional laws and customs, these being the crucial
it is contained in a published record—have themselves redi-
content for legislative recognition of native title. The judges
rected the study of Aboriginal religion. They provide the
in the case rejected physical occupation of the land as a neces-
framework for Diane Bell’s Ngarrindjeri Wurruwarrin
sary requirement for proof of continuing connection. In
(1998), where the voices of Ngarrindjeri women from “set-
being found to have upheld traditional laws and customs,
tled” South Australia are brought into dialogue with the re-
ceremonial practices, economic and ceremonial links with
cord of previous ethnographers, asking questions of what was
other Aboriginal communities as well as possessing knowl-
and what was not recorded about their religious traditions
edge of myths, Dreaming tracks, and sites, the claimants’ re-
and debating what can and cannot be said, even in the twen-
lationship to the land was determined to have been main-
ty-first century.
tained. The evidence elicited from Aboriginal witnesses was
tested against the historical record and the research of an-
NATIVE TITLE. The Land Rights Act returned significant
thropologists, archaeologists, and historians who had drawn
tracts of land to Aboriginal people, but it applied only to un-
together diverse written and unpublished ethnographic ma-
alienated crown land in the Northern Territory, and even
terials for the purpose of the proceedings. This work was ex-
there significant disparities existed between those who could
tensively reviewed, compared, and assessed in the court’s
and could not meet the legal test of traditional ownership.
“Reasons for Judgment.” Likewise the judges reviewed the
Elsewhere around the country (as in Northern Territory
work of Elkin and his student Phyllis Kaberry in the 1920s
towns), aspirations to land and the recognition of rights were
and 1930s, including the latter’s seminal Aboriginal Women:
largely unmet. In 1992 a long-running case brought by the
Sacred and Profane (1939). Kaberry’s field notes, diaries, and
Murray Islanders of Torres Strait resulted in the landmark
genealogies were also before the court. The claimants’ case
Mabo decision by the High Court. In a majority of six to one,
was supported by these materials, and native title was found
the court ruled that, in common law, indigenous rights to
to coexist with other interests, limited by the rights (to water
land had survived the acquisition of sovereignty by Britain,
and minerals, for example) conferred on others.
thus overturning the earlier “fiction” of terra nullius, or of
In another long-running native title case, this one in-
Australia as a land belonging to no one. The Common-
volving land in New South Wales and Victoria, the federal
wealth’s Native Title Act of 1993 sought to enact the court’s
court determined that the most credible source of informa-
decision in law and opened the way for Aboriginal people
tion about the traditional laws and customs of the Yorta
across the continent to have their surviving rights recognized.
Yorta people is in the writings of a nineteenth-century pasto-
It should be noted that in cases where an Aboriginal land
ralist who established a degree of rapport with Aboriginal
commissioner found existing traditional ownership, the rele-
people and observed their society before its “disintegration.”
vant minister could grant an exclusive Aboriginal Freehold
Yorta Yorta assertions concerning the “sacredness” of land,
Title for that land to be held by a land trust. Under the Na-
resources, sites, and contemporary cultural practices were
tive Title Act, a tribunal or court determines whether or not
dismissed in light of the historical record, but also against
native title exists in relation to a particular area of land or
those displays of spiritual attachment that Aboriginal people
waters, the nature of such rights and interests, and with
have produced in other judicial inquiries. Evidence of the
which other parties they coexist. No land is granted as a re-
role of a Christian missionary in disrupting traditional reli-
sult, and only limited rights are conferred on claimant
gious practices and suppressing indigenous language did not
groups. Achieving even that recognition has entailed the pro-
mitigate assessment of the claimants’ inadequate religious ex-
duction of unprecedented quantities of documentation (in
pression. Such are the vicissitudes of contemporary inquiries
the form of “connection reports” detailing a group or a per-
into Aboriginal belief, where the historical record may be as
son’s association with country) and a complex but decentral-
powerful and determinant as anything an Aboriginal person
ized bureaucracy of registration, assessment, mediation, and
may say or demonstrate.
determination. Several contested native title cases have pro-
CONTINUING SIGNIFICANCES. Reuther’s labyrinthine com-
ceeded to full hearings in the federal court.
pendium of myth, story, and place names from the far 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
AUSTRALIAN INDIGENOUS RELIGIONS: HISTORY OF STUDY [FURTHER CONSIDERATIONS]
691
east of South Australia has been preserved in archives and
Bell, Diane. Ngarrindjeri Wurruwarrin: A World That Is, Was, and
made available on microfiche (as The Diari) by the Austra-
Will Be. North Melbourne, Australia,1998.
lian Institute of Aboriginal and Torres Strait Islander
Collins, David. An Account of the English Colony in New South
Studies. It has been deployed again by those various players
Wales with Remarks on the Dispositions, Customs, Manners of
who are required to take account of Aboriginal relations to
the Native Inhabitants of that Country. London, 1798; re-
this area. Thus Reuther’s data have been used by the state
print, Adelaide, Australia, 1971.
in assessing the multiple (and sometimes competing) native
Durkheim, Émile. The Elementary Forms of the Religious Life.
title claims in this region. Copies of his maps and place name
Translated by Joseph Ward Swain. 2d ed. London, 1976.
data are held by mining and exploration companies who
Dussart, Françoise. The Politics of Ritual in an Aboriginal Settle-
must enter into negotiations with native title claimants about
ment: Kinship, Gender, and the Currency of Knowledge. Wash-
access to the land. The material is used by anthropologists
ington, D.C., 2000.
to frame heritage and native title reports to courts and other
Gason, Samuel. “The Manners and Customs of the Dieyerie Tribe
tribunals of inquiry. Increasingly it is used by Aboriginal
of Australian Aboriginals.” In The Native Tribes of South Aus-
people themselves to become informed of their own history,
tralia, edited by James Dominick Woods, pp. 253–307. 2d
their associations with place, and to support contemporary
ed. Adelaide, Australia, 1879; reprint, 1997.
expressions of identity through painting and sculpture.
Gelder, Ken, and Jane M. Jacobs. Uncanny Australia: Sacredness
and Identity in a Postcolonial Nation. Melbourne, Australia,
Similarly Taplin’s recording of “manners and customs”
1998.
became the baseline ethnographic record examined by a royal
commission looking into the contemporary beliefs of Ngar-
Hamilton, Annette. “Dual Social Systems: Technology, Labour
rindjeri women, whose assertion of sacredness and restriction
and Women’s Secret Rites in the Eastern Western Desert.”
Oceania 51 (1980): 4–19.
in respect of a development site embroiled the nation in pub-
lic debate and speculation. The Berndts’ Yaralde material of
Hiatt, L. R. Arguments about Aborigines. Cambridge, U.K., 1996.
the 1940s was trawled through in the same inquiry and in
Howitt, Alfred William. The Native Tribes of South-East Australia.
a subsequent federal court case to test the beliefs and cultural
London, 1904; reprint, Canberra, Australia, 1996.
knowledge of Aboriginal witnesses. Tindale’s manuscripts re-
Kaberry, Phyllis M. Aboriginal Women: Sacred and Profane. Lon-
turned from the United States to be co-opted to the same
don, 1939; reprint, 2004.
proceedings. To some extent his meticulous recordings con-
Keen, Ian. Knowledge and Secrecy in an Aboriginal Religion: Yolngu
flict with those of the Berndts, each having derived from dif-
of North-East Arnhem Land. Oxford, 1994.
ferent informants. Differences of record, methodology, and
McIntyre, Greg, and Geoffrey Bagshaw. “Preserving Culture in
interpretation fuel academic and public debate; materials
Federal Court Proceedings: Gender Restrictions and Anthro-
once confined to the archives are aired in a new light, forging
pological Experts.” Land, Rights, Laws: Issues of Native Title,
new interpretations and positionings for anthropologists,
2, issues paper no. 15. Canberra, Australia, 2002.
historians, and Ngarrindjeri people alike.
Merlan, Francesca. “Gender in Aboriginal Social Life: A Review.”
Such materials are at play in more ways than at any pre-
In Social Anthropology and Australian Aboriginal Studies: A
vious time, ramifying their meanings and multiplying the
Contemporary Overview, edited by R. M. Berndt and Robert
Tonkinson, pp. 17–76. Canberra, Australia, 1988.
contexts of their interpretation. The study of Aboriginal reli-
gion—together with the history, meaning, and uses of that
Merlan, Francesca. Caging the Rainbow: Place, Politics, and Aborig-
study—counts like never before in more forums and with
ines in a Northern Australian Town. Honolulu, Hawaii,
1998.
more consequences than was ever imagined. Its contestation
and its centrality to intellectual life, government policy, and
Morphy, Howard. “The Resurrection of the Hydra: Twenty-Five
public debate ensures that studying Aboriginal religion has
Years of Research on Aboriginal Religion.” In Social Anthro-
pology and Australian Aboriginal Studies: A Contemporary
become as necessary and as dynamic as at any time in its long
Overview, edited by R. M. Berndt and Robert Tonkinson,
history.
pp. 241–266. Canberra, Australia, 1988.
Morphy, Howard. Ancestral Connections: Art and an Aboriginal
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Kaititja. Canberra, Australia, 1979.
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Aboriginal Land Commissioner. Warumungu Land Claim. Report
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Reuther, Johann Georg. The Diari. Vols.1–13. Translated by
Philipp A. Scherer. AIAS microfiche no. 2. Canberra, Austra-
Aboriginal Land Commissioner. Palm Valley Land Claim No. 48.
lia, 1981.
Report no. 57. Canberra, Australia, 1999.
Rose, Deborah Bird. Dingo Makes Us Human: Life and Land in
Anderson, Christopher, ed. Politics of the Secret. Sydney, 1995.
an Aboriginal Australian Culture. Cambridge, U.K., 1992.
Bell, Diane. Daughters of the Dreaming. Melbourne, 1983; 2d ed.,
Rose, Deborah Bird. “Women and Land Claims.” Land, Rights,
Saint Leonards, Australia, 1993; 3d ed., North Melbourne,
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AUTHORITY
Rose, Deborah Bird. “Histories and Rituals: Land Claims in the
tative are myths, as distinguished from legends and fables.
Territory.” In In the Age of Mabo: History, Aborigines, and
Myth carries authority in primitive society for at least three
Australia, edited by Bain Attwood, pp. 35–53. Saint Leon-
reasons. First, myth is a “true” story, never a fable, a fiction,
ards, Australia, 1996.
or a childish fancy tale. Second, it is a sacred story narrating
Stanner, W. E. H. “Religion, Totemism, and Symbolism (1962).”
the acts of the gods and other divine beings that took place
In White Man Got No Dreaming: Essays, 1938–1973. Can-
in the beginning of mythical time. What occurred—in the
berra, Australia, 1979, pp. 106–143.
words of Mircea Eliade—in illo tempore (“at this time”) rep-
Stanner, W. E. H. On Aboriginal Religion (1966). Oceania Mono-
resents for the primitive peoples a reality higher and greater
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than any kind of historical reality known to them. Myth is
Strehlow, Carl, and Johann Georg Reuther. Testamenta Marra: Je-
authoritative because it reveals the “absolute truth” of the
suni Christuni Ngantjani Jaura Ninaia Rarithmalkana Wonti
events at the beginning of mythical time. And third, this
Dieri Jaurani. Tanunda, Australia, 1897.
transhistorical reality that occurred in illo tempore serves as
Strehlow, T. G. H. Songs of Central Australia. Sydney, Australia,
the exemplary model for the activities of man in primitive
1971.
society. According to Bronislaw Malinowski, myth functions
Swain, Tony. A Place for Strangers: Towards a History of Australian
as the “charter” of established social facts, including religious
Aboriginal Being. Cambridge, U.K., 1993.
beliefs and practices, morality, and everyday rules of con-
duct.
Taylor, Luke. Seeing the Inside: Bark Painting in Western Arnhem
Land. New York, 1996.
This divinely sanctioned authoritative tradition is trans-
Tench, Watkin. A Complete Account of the Settlement at Port Jack-
mitted orally from elders to adolescents during rites of initia-
son. London, 1793; reprint, Sydney, Australia, 1961.
tion. The candidate for these rites undergoes the process of
Watson, Christine. Piercing the Ground: Balgo Women’s Image
symbolic death and rebirth, and it is precisely in this process
Making and Relationship to Country. Fremantle, Australia,
of spiritual regeneration that he receives knowledge about
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the secrets of the tribal tradition: the myths serve as bearers
White, Isobel, ed. The Native Tribes of Western Australia by Daisy
of traditional authority; they tell of the gods and the origin
Bates. Canberra, Australia, 1985.
of the world, the names of the gods, the role and origin of
the initiation ceremonies, and, of course, codes of morality
RODNEY LUCAS (2005)
and rules of conduct. Thus the initiate comes to obtain gno-
sis, true authoritative knowledge, essential for his life as a
human being, that is, knowledge about the higher and great-
AUTHORITY is a constant and pervasive phenomenon
er reality that sustains the order of the primitive society in
in the history of religions. One often speaks of traditional au-
which he lives.
thority, scriptural authority, ecclesiastical authority, or impe-
rial authority based on religious claims. As legitimate power
AUTHORITY IN ARCHAIC RELIGIONS. The rise of the great
to require and receive submission and obedience, it is found
civilizations in Mesopotamia, Egypt, India, and China dur-
in primitive and archaic religions as well as in founded reli-
ing the third and second millennia BCE marked a significant
gions wherever the question of order is involved. At different
turning point in history. All these civilizations originated and
stages of history, a variety of religions have contributed to
unfolded along rivers. Irrigation systems had to be worked
the creation and maintenance of order by providing the nec-
out in order to control nature and produce a good harvest,
essary sources of authority. These sources are diverse, but the
and this necessity called for the formation of the efficient ad-
following may be counted among the major ones: (1) per-
ministrative organization, which was accompanied by the in-
sons, usually classified into various types of religious leader-
stitution of kingship. A system of writing was a sine qua non
ship such as kings, founders of religions, and other leaders
for this new development.
of religious communities, (2) sacred writings, (3) traditions,
Under these circumstances, the authority of the oral tra-
oral and/or written, constituting doctrinal truths and ethical
ditions, which had characterized primitive culture, tended to
precepts, (4) religious communities with a priesthood and
be replaced by that of written traditions embodied in literary
sacramental rites, and (5) personal experience. The question
texts. These texts were primarily the creation of royal courts
of the legitimacy of this or that authority has been a cause
and temples, and those who were engaged in the interpreta-
of tension and conflict in and between individual religions,
tion and transmission of the texts were scribes and priests.
for any authority recognized as legitimate must be respected
They were professional carriers of the written traditions. In
and placed in proper order, while a rejected authority must
China, for example, government officials were thought to
be combated.
possess magical charisma by virtue of their familiarity with
AUTHORITY IN PRIMITIVE RELIGIONS. Among many primi-
the Confucian classics. These officials made the study, inter-
tive peoples authority is embodied in orally transmitted tra-
pretation, and transmission of the words of the master Con-
ditions of the tribal community. Oral traditions reign su-
fucius the focal point of their efforts. Their vision was preem-
preme, imposing a binding authority on the tribal
inently political in orientation, and eventually they achieved
community in which they are preserved. Especially authori-
an extraordinarily stable social order. In India, brahmans oc-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUTHORITY
693
cupied the authoritative status in society on account of their
God was absolutely free to confer or withdraw his charisma
esoteric knowledge of the Vedas, the Brahmanas, and the
or “gift of grace” from the ruler on earth. The Chinese Son
many other sacred writings. Not only in China and India,
of Heaven obviously had nothing to do with the genealogical
but also in the ancient Near East, the scribes and priests who
concept of kingship, such as in ancient Egypt or Japan, where
served as guardians of the written traditions were the chief
the king was considered the descendant or incarnation of a
religious figures vested with authority.
certain god; he was simply the earthly representative of Heav-
en, or heavenly will.
It was the king, however, who exercised supreme au-
thority. In archaic civilizations, the state functioned as a reli-
The Chinese king was also conceived as the unique
gious community, as a cosmos, and the king was the person
man, one supremely responsible for the maintenance of the
supremely responsible for the maintenance of this cosmic
cosmic order. He maintained the cosmic order by assisting
order. Imperial authority was sustained by both the kingship
Heaven in the regulation and harmonization of the yin and
ideology, which was grounded in myths, and the celebration
yang principles, as best exemplified by his performance in the
of rituals, especially the New Year festival. The ideology used
ceremonial building, the ming-tang. This structure was an
for the legitimation of imperial authority was different from
imago mundi (“image of the universe”); it had a square plan
one region to another; that is, the nature of the king’s person
symbolizing the earth and was covered by a circular roof,
and his role in the given cosmic order was variously con-
symbolic of the sky. Other features, such as the building’s
ceived in different societies, depending on their religious out-
twelve rooms, reflected the cycle of the year. Thus the whole
look on life and the universe.
structure was a vast space-and-time diagram, a microcosm.
In ancient Egypt, for example, the king was believed to
Here the king observed the rituals of worship and sacrifice
be divine in essence. His coronation, usually celebrated at the
to Heaven and Earth and myriad spirits in order to secure
beginning of a new year, signified not an apotheosis but an
their favor for the entire universe. When he was to inaugu-
epiphany, or self-manifestation, of the god. As long as he
rate the seasons and months, he placed himself in an appro-
ruled, the king was identified with the god Horus; in fact,
priate room of the building: in the second month of the
he was Horus incarnate in his earthly existence, but upon his
spring, for example, the king took his position facing east,
death he was mystically assimilated to Osiris, the god of re-
clothed in green, the color of spring and the east, while in
birth and immortality. Egyptian kingship was also intimately
the fall he faced west, clothed in a white ceremonial dress ap-
associated with the theme of cosmogony. The dais, for exam-
propriate for the fall and the west. Thus, the king assisted
ple, on which the new king was seated symbolized the hill
Heaven in guaranteeing the ascendancy of the yang principle
of sand, the “first” land, which, according to the Egyptian
in spring, while in the fall he helped the rise of the yin princi-
cosmogonic myth, emerged out of the primeval ocean at the
ple. In essence, the Chinese king was expected to be the har-
time of beginning. Ascension to the royal throne represented
monizer of the cosmic movement.
a ritual reenactment of the emergence of a cosmos out of
AUTHORITY IN FOUNDED RELIGIONS. The emergence of
chaos, the primeval waters. Thus, the king repeated the act
Buddhism, Christianity, and Islam is an innovation in the
of creation at his enthronement.
history of religions. While in primitive and archaic religions
authority is embodied in the sacred kings as well as in oral
In Mesopotamia, too, the king played a part of vital im-
or written traditions of the tribal community and state, in
portance in the well-being of the cosmic order. The Enuma
these founded religions authority is ultimately derived from
elish, the Babylonian epic of creation, was recited and reen-
the founder of a new community of faith, and/or his religious
acted during the New Year festival. The primary purpose of
experience. Consequently, the founded religion, whatever it
this recitation and ritual reenactment of the cosmogonic
is, develops its own structure of authority and authoritative
myth was the renewal and regeneration of the cosmos; the
tradition, which is distinctively different from that in primi-
king, representing the god Marduk on earth, repeated what
tive and archaic religions.
took place at the time of absolute beginning, as narrated in
the myth. However, the king in ancient Mesopotamia was
Buddhism. The Buddha’s authority was grounded in
generally not conceived as a divine being. More properly, he
his conviction that he had discovered the dharma, the univer-
was viewed as divine only while he participated in the cere-
sal law of existence, through his personal experience of en-
monies as representative of Marduk. He was essentially a
lightenment. He himself lived in accordance with it, and on
mortal being, not divine; he represented the gods on earth
his deathbed he urged his disciples to depend on it as the sole
as their “chosen servant.”
guiding principle of life.
The king in ancient China was called the “unique man”
But this truth was not self-evident; it was the truth
as well as the “Son of Heaven” (t Eien-tzu). The Son of Heav-
taught and interpreted by the Buddha that his followers ac-
en was one who received the mandate of Heaven
cepted. After his death his closest disciples assumed a new
(t Eien-ming). This notion of the mandate of Heaven implied
responsibility for the successful realization of the Buddhist
that imperial authority could not become a permanent pos-
ideal. Inevitably, important traditions emerged that were
session of the ruler, that Heaven had the complete freedom
transmitted orally until they were put into writing in the first
to confer or withdraw his mandate, just as in ancient Israel
century BCE. These authoritative oral traditions included the
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AUTHORITY
memories and interpretations of the Buddha’s own teaching
Christianity. During his public life of ministry, Jesus
concerning the dharma and the rules of conduct, the Vinaya,
of Nazareth rejected the authority of the oral Torah in Juda-
which he had established for the regulation of the sam:gha,
ism, which is often referred to in the New Testament as the
or Buddhist community.
“tradition of the fathers.” For this he substituted his own au-
thority as interpreter of the written Torah (the Mosaic Law),
However, there exists no single canon of scriptures that
namely, the authority of the one who proclaimed, in word
is universally recognized by all Buddhists. The development
and deed, God’s will as well as the imminent coming of the
of such a canon was impossible because of the decentralized
kingdom of God. Jesus thus presented himself as the ulti-
nature of the Buddhist community or the lack of a central
mate source of the new traditions, which were to become au-
ecclesiastical authority to determine orthodoxy. From the be-
thoritative for the emerging church or community of Chris-
ginning of its history, Buddhism allowed its local monastic
tians.
orders to function as autonomous, self-governing bodies in
accordance with the teachings and disciplinary rules that
After the resurrection of Jesus, his immediate disciples
they had inherited. As might be expected, the development
understood the meaning of his life, suffering, and death in
of the autonomous monastic orders, or “schools,” led to the
the light of the Hebrew scriptures: Jesus was the Messiah (the
rise of different versions of the canon without, however, in-
Christ) and the fulfillment of God’s promise. Naturally, the
validating the importance of the concept of canon or the the-
church assumed responsibility for the creation and transmis-
oretical unity of the Buddhist community as a whole.
sion of the traditions concerning the words and deeds of
Jesus Christ. For the primitive Christian community these
Underneath all this evidence for a virtual absence of the
traditions were the most appropriate and correct interpreta-
canonical and ecclesiastical authority is the Buddha’s insis-
tions of the written Torah; they were, in effect, the oral
tence on the primacy of self-knowledge, the immediacy of
Torah of Christianity. It was especially the apostles and
experience, or the personal realization of truth. The canon
Paul—eyewitnesses to the earthly life and to the resurrection
of scriptures in Buddhism was generally authoritative in con-
of Jesus Christ—who played a vital role in the interpretation
cept, but in practice it functioned meaningfully only on the
and transmission of the traditions, just as in Judaism scribes
level of particular monastic orders or schools. Moreover,
and rabbis made essential contributions to the transmission
the concept of canonicity itself was often in conflict with the
of the oral Torah. Here emerged the authoritative apostolic
Buddhist belief in the immediacy of the experience of en-
tradition, which was initially transmitted orally, then written
lightenment.
down in the various literary forms, and finally codified by
the church as the canon of the New Testament. This New
This general trend, away from the traditional scriptures
Testament took its place beside the canon of the Old Testa-
and toward the exploration of new insights, wisdom, and in-
ment. While Protestantism accords supreme authority to the
terpretations, is more evident in Maha¯ya¯na Buddhism,
combined Old and New Testament as the sum total of the
which arose in the first century CE, than in Therava¯da, that
apostolic tradition, distinguishing it from the postapostolic
is, Buddhism in more traditional forms, especially regarding
tradition, Catholicism asserts the ongoing tradition of the
the concepts of the Buddha and the dharma. The concept
church as having equal authority with the apostolic tradition
of the Buddha in Maha¯ya¯na has changed so much that he
embodied in the scripture. For Catholics there is no funda-
is no longer simply the person who attained enlightenment
mental opposition between scripture and tradition; they are
in the sixth century BCE, but is regarded as a self-
manifestations of one and the same thing, the apostolic tradi-
manifestation in history of the dharmaka¯ya, a cosmic princi-
tion.
ple immanent in all beings, the ground of all expressions of
the eternal Buddha nature. The Buddha preaching on the
The essence of the Roman Catholic church lies in its in-
Vulture Peak, as he does in Maha¯ya¯na scriptures, is not a
stitutional character as the objective organ of salvation,
human teacher talking to a band of his disciples but a trans-
which is embodied in tradition, sacraments (seven in num-
historical being addressing himself to representatives of the
ber), and priesthood. The church stands for the eternal pres-
whole universe. Maha¯ya¯na scriptures purport to be ever-
ence of Jesus Christ in history, and the papacy is based on
recurring revelations of the eternal universal principle
the founder’s explicit designation of Peter as the foundation
(dharmaka¯ya) and tend to be dissociated from the tradition
rock of the church. Roman Catholics claim a direct succes-
that is deeply rooted in the particular life of the historical
sion of papal authority from Peter to the present pope, and
Buddha. A scripture is considered useful insofar as it can lead
this claim to legitimacy, which under the pope’s sanction ex-
one to the same religious experience that the Buddha himself
tends to the entire Roman Catholic priesthood, is a vital ele-
had during his life. The implication is that scriptures can ul-
ment in grounding the authority of the church. Sacraments
timately be dispensed with. This implication is most evident
are the objective and tangible channels through which God’s
in Zen Buddhism, which claims to be based on a “special
grace is communicated to the faithful. The objectivism of
transmission outside the scriptures” and stresses only the im-
Roman Catholicism is best exemplified in its interpretation
mediate personal experience of kensho¯ (“seeing into one’s
of the Eucharist, namely, the theory of transubstantiation,
true nature”), or enlightenment.
officially proclaimed as doctrine in 1215. As to the teaching
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUTHORITY
695
of the church, it is the magisterium (teaching authority) of
founder of the Society of Friends, also known as the Quak-
the church, the pope, who determines the legitimate inter-
ers. Fox organized a community of the faithful without
pretation of scripture and tradition. From medieval times,
priesthood or sacramental rites. He was convinced that true
membership in the Roman Catholic church has involved
religion consisted not in the church or in the creeds, but in
submission to papal authority. This is certainly a typical ex-
the personal experience of what he called illumination by the
ample of institutionalized charisma, and over the centuries
Holy Spirit; the source of final authority for him was the per-
it has proved its strength as a source of authority in the lives
sonal experience of the inner light.
of its adherents.
Islam. For Muslims the QurDa¯n is the immediate and
Eastern Orthodoxy and Roman Catholicism agree that
complete revelation of God’s message to mankind through
the church possesses the divinely given infallible authority.
Muh:ammad. It is the heavenly book of revelation, the word
Eastern Orthodoxy differs from Roman Catholicism, howev-
of God par excellence. While controversies have raged
er, in that its church has no organ of infallibility; the quality
among Muslims as to the sense in which this is true, that it
of infallibility resides in the mystically conceived church it-
is true has never been questioned. The QurDa¯n for some
self, not in any fixed office like that of the Roman Catholic
Muslims is “created,” but for the majority it is not a historical
papacy.
creation; just as the Torah in Judaism is of celestial origin,
The Protestant understanding of authority is inclined
deriving from the time prior to the creation, the QurDa¯n, al-
more or less toward subjectivism in contrast to the objectiv-
though composed in Arabic, reflects its heavenly archetype.
ism of medieval Christianity. The Protestant Reformation
Thus the QurDa¯n is “uncreated,” not conditioned by time
hinged upon two main principles of complementary impor-
and history. The QurDa¯n is unquestionably the supreme
tance: justification by faith and the authority of scripture.
source of authority for the ummah, or Muslim community.
The question that most preoccupied Martin Luther was
The Muslim community has also accepted the h:ad¯ıth
soteriology, that is, the question of personal salvation and its
(“tradition,” i.e., the record of the words and deeds) of the
certainty. According to Luther, man is justified before God
prophet Muh:ammad as the normative authority for its be-
by faith alone; the church with its priesthood, sacraments,
liefs and practices. While Muslims do not consider him the
and tradition can by no means guarantee man’s salvation.
savior in the Christian sense of the word, they are firmly con-
Hence Luther reduced the sacraments to two, baptism and
vinced that Muh:ammad was divinely guided in the years
the Lord’s Supper. While justification by faith is the “materi-
after receiving the revelation; he is God’s prophet and apostle
al” principle of the Reformation, scripture alone is its “for-
and the perfect man, the exemplary model and spiritual
mal” principle. For Luther, as well as for John Calvin, the
guide for humanity. For Muslims, everything Muh:ammad
Bible, not the church, is the final authority for Christian life.
said and did during his life is worthy of study and imitation.
While Calvin in his practice of interpretation seems to accept
Still another tradition, which is accepted as authoritative
particular words of the Bible as the revealed word of God,
by the orthodox Muslims (Sunn¯ıs), is the h:ad¯ıth of the first
Luther distinguishes between the words of the Bible and the
four caliphs. In his later years, when he was in Medina,
word that God speaks through them: the words of the Bible
Muh:ammad attempted to build up a socioreligious commu-
are the “cradle of Christ.” Accordingly, Luther does not sup-
nity on the basis of Islamic principles, and after his death this
port the literal interpretation of the Bible, nor does he find
ideal was carried on by his four immediate successors (ca-
the word of God equally in all its parts, but regards some as
liphs), known as the ideal rulers. The Muslim community
inferior in quality. The corollary of the two main principles
then was in need of detailed rules for ordering both its com-
of the Reformation is the theory concerning the priesthood
munal life and the life of its individual members. These rules
of all believers: each and every individual is a priest to himself
of life, called shar¯ı Eah, or Islamic law, are based on the inter-
or herself and as such is to serve God by listening to the word
pretation of the QurDa¯n and the h:ad¯ıths of Muh:ammad and
of God within the words of the Bible. This emphasis on per-
the first four caliphs who followed him.
sonal conscience constitutes a great innovation of the Refor-
mation, but it has also opened the way for uncontrolled in-
Significantly, the caliph as head of the community had
terpretations of the Bible as well as the proliferation of an
no pontifical or even priestly functions. His task was not to
ever-increasing number of Protestant denominations and
expound or to interpret the faith, but to serve as the guardian
small sects led by conscientious, “inspired” leaders.
of the public order. The task of interpreting the QurDa¯n and
h:ad¯ıths and applying them to the actual life of the communi-
Trends away from the Roman Catholic type of objectiv-
ty was carried out by the Eulama¯D. They were not priests and
ism and toward subjectivism are even more evident in many
claimed no priestly power or authority, but, on account of
sectarian Protestant communities. They insist on the impor-
their learning in the QurDa¯n and h:ad¯ıths, played an impor-
tance of Bible study, prayer, and the personal experience of
tant role quite analogous to that of the Jewish rabbinate.
salvation and its certainty; and for members of these commu-
nities the ideas of sin, salvation, and faith in Jesus Christ as-
While the Sunn¯ıs consider the h:ad¯ıth concerning the
sume an intense and vivid personal reality. One of the best
first three caliphs as one of the sources of authority for Islam,
examples of this Protestant emphasis is George Fox, the
the Sh¯ıE¯ıs have rejected it as such, because they view the three
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696
AUTHORITY
caliphs as illegal usurpers and recognize instead EAl¯ı,
cakravartin, a righteous, universal king. Whereas the Buddha
Muh:ammad’s cousin and son-in-law, as the first caliph, or,
was depicted as a universal king in the spiritual domain, who
more properly, the first imam. What underlies the Sh¯ıE¯ı con-
set in motion of wheel of dharma, the cakravartin, essentially
tention is the belief that Muh:ammad’s personal charisma,
political in nature, was widely expected to appear as a univer-
which he received from God, is transmitted genealogically
sal king and to turn a wheel of dharma in the secular domain.
only in his family tradition. This view is remarkably different
The Buddhist community saw in A´soka, the third emperor
from the Sunn¯ı view that Muh:ammad’s charisma is chan-
of the great Mauryan kingdom, the realization of the cakra-
neled through the office of caliph regardless of its occupant:
vartin ideal: he converted to Buddhism, supported its com-
while Sunn¯ı orthodoxy is committed to the principle of in-
munity, sent out missionaries, and governed people in accor-
stitutional charisma, the Sh¯ıE¯ıs reject it and uphold the prin-
dance with the dharma. To the eyes of the Buddhists, the two
ciple of hereditary charisma. Accordingly, the Sh¯ıE¯ıs have re-
wheels of dharma, one in the spiritual domain and the other
placed the h:ad¯ıth of the first three caliphs with the h:ad¯ıth
in the secular, should go hand in hand. This theory, a kind
of the twelve imams.
of caesaropapism, has exerted enduring influences on Asian
countries.
In sharp contrast to the caliph, who has no legal authori-
ty, the imam is authorized to interpret the h:aq¯ıqah, or inner
The Christian church in its early centuries had no ambi-
mysteries, which are hidden in the QurDa¯n and h:ad¯ıths. He
tion to stand against the Roman imperial authority. It de-
is endowed with such a spiritual gift because, through the
sired only freedom from persecution. This whole situation
chain of direct transmission, he has received from
was changed by the conversion of Constantine, in the fourth
Muh:ammad a body of gnosis, or esoteric knowledge. Conse-
century, and by the subsequent spread of Christianity as the
quently, the imam is charged with a power at once political
official religion of the Roman Empire. What emerged in the
and religious; he is one who rules the community with mercy
arena of church-state relations was caesaropapism. The By-
and justice but who also interprets Islamic law and its inner
zantine emperors transformed the church of the Eastern Em-
meanings. Naturally, the Sh¯ıE¯ıs are persuaded that the final
pire into a state church closely dependent on the imperial
authority for Islam is in the hands of the imam himself. Ac-
government; these emperors claimed the right to control the
cording to them, the last, or twelfth, imam, the so-called hid-
church and decide any disputes that arose in the ecclesiastical
den imam, did not die but entered a prolonged “conceal-
sphere, and the prelates of Constantinople accepted their
ment.” One day, so they believe, from that state of
claims.
concealment he will emerge as the Mahdi (“expected one”),
that is, the messiah. Until he comes, a group of leading law-
In the Western Empire the situation was different. All
yer-theologians, called mujta¯hids, will continue to exercise an
effective imperial power gradually declined during the early
extensive authority on matters of religion and law.
Middle Ages, and this resulted in the emergence of the popes
as temporal governors of Rome and its surroundings. More-
TENSION BETWEEN RELIGIOUS AND SECULAR AUTHORITIES.
over, they abandoned their old allegiance to the Byzantine
While tension between religious and secular authorities may
emperors and formed a new alliance with the Frankish kings.
be present in primitive and archaic cultures, it arises in its
The climax of this Frankish-papal alliance occurred with Leo
sharpest forms only after the emergence of the founded reli-
III’s coronation of Charlemagne as emperor of the Romans
gion. Then it occurs between rival principles, each claiming
in 800; thus Leo established the precedent, followed through
universal supremacy, and only under particular cultural and
the Middle Ages, that papal coronation is essential to the
historical circumstances.
making of an emperor, and in so doing he implanted the
Islam has rarely experienced tensions analogous to those
germ of the idea that empire is a gift to be bestowed by
between church and state in medieval Western Christendom
the papacy.
because the Muslim community has been founded on the
The king’s office, however, was conceived to be as sa-
principle of theocracy, and a distinct ecclesiastical body
cred as the papacy, a view supported by Old Testament texts;
powerful enough to challenge secular authorities has never
kings were regarded as the Lord’s anointed, as ministers of
existed.
God, and were hailed as vicars of Christ. As such, they as-
Buddhism knows of no such tensions either, but for dif-
pired to supreme power, both spiritual and temporal. It soon
ferent reasons. While it succeeded in establishing a theocratic
became customary throughout Europe for kings to choose
state in Tibet, in many other Asian countries it has been
bishops; they gave them great fiefs and invested them with
placed in a defensive position vis-à-vis the indigenous institu-
the ring and pastoral staff that symbolized episcopal office.
tion of sacral kingship and its ideology; the Buddhist com-
This practice proved beneficial for the kings, but it was a rad-
munity has either been headed by the king or indirectly put
ical departure from the sacred tradition of the church. A
under control of the state. Consequently, it has been con-
measure of this imperial power can be illustrated by an inci-
stantly exposed to the temptation of soliciting favor from sec-
dent that occurred in 1046. When Henry III of Germany
ular authorities. It may be noted, in this connection, that
arrived in Rome for his imperial coronation, he found there
Buddhism developed a theory for peaceful interdependence
three rival candidates for the papal throne, each claiming to
between its own community and the state: the ideal of the
be the rightful pope. Henry settled the issue in high-handed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUTOBIOGRAPHY
697
manner: he dismissed all three and installed his own choice.
The sources of authority in Islam are succinctly presented in Sir
It seemed to Henry that he had as much right to appoint a
Hamilton A. R. Gibb’s Mohammedanism, 2d rev. ed. (New
bishop for Rome as for any other diocese in his territory, and
York, 1961), which still remains the best introduction to
as vicar of God he was also very much aware of his duty to
Islam.
appoint the best man available to such an important office.
The origins and development of the structure of authority in the
early Christian church has been masterfully studied by Hans
The clash between papal theocracy and imperial theoc-
von Campenhausen in Kirchliches Amt und geistliche Voll-
racy became inevitable in 1073 when Hildebrand became
macht (Tübingen, 1953), translated by J. A. Baker as Ecclesi-
Pope Gregory VII and asserted the church’s independence
astical Authority and Spiritual Power in the Church of the First
from, and indeed its domination over, the imperial power
Three Centuries (Stanford, Calif., 1969). On scriptural au-
embodied in Henry IV of Germany. Henry could not give
thority in the modern period, there is much useful material
up the right of appointing bishops without abandoning all
in J. K. S. Reid’s The Authority of Scripture: A Study of the
hope of welding Germany into a unified monarchy, and
Reformation and Post-Reformation Understanding of the Bible
Gregory could not acquiesce in the imperial claims, which
(London, 1957) and in Georges H. Tavard’s Holy Writ or
included a claim to appoint the popes themselves. The
Holy Church: The Crisis of the Protestant Reformation (Lon-
Roman pontiff maintained that as God’s vicar he possessed
don, 1959). Concerning authority in Eastern Orthodoxy, see
Georges Florovsky’s Bible, Church, Tradition: An Eastern Or-
a direct authority—not only spiritual but also political—over
thodox View (Belmont, Mass., 1972).
all men and all their affairs in the Corpus Christianum. He
even asserted in the Dictatus Papae, issued in 1075, that the
On the manifold relations of church and state, a useful compara-
pope could depose emperors. Henry then appointed a bishop
tive and typological study has been presented by Joachim
of Milan and strengthened his position by summoning a
Wach in his Sociology of Religion (1944; Chicago, 1962),
pp. 287–330. The standard work on the confrontation be-
council of German bishops, which accused Gregory of gross
tween papal and secular authorities in the Middle Ages re-
abuse of papal authority. Gregory replied in 1076 with a de-
mains Walter Ullmann’s The Growth of Papal Government in
cree in which he declared Henry excommunicated and de-
the Middle Ages, 2d ed. (London, 1962). The primary sources
prived of his imperial authority. Rarely has the history of reli-
relating to the subject have been skillfully assembled by Brian
gions witnessed more direct clashes between religious and
Tierney in The Crisis of Church and State, 1050–1300 (En-
secular authorities.
glewood Cliffs, N.J., 1964).
SEE ALSO Buddhist Books and Texts, article on Canon and
New Sources
Canonization; Canon; Imamate; Intellectuals; Kingship;
Abraham, William. “The Offense of Divine Revelation.” Harvard
Myth; Papacy; Politics and Religion; Scripture; Sunnah;
Theological Review 95 (July 2002): 251–264.
Tradition; Truth.
Berkey, Jonathan. Popular Preaching and Religious Authority in the
Medieval Islamic Near East. Seattle, Wash., 2001.
BIBLIOGRAPHY
Engler, Steven. “Religion, Consecration and the State in Bour-
There are no comprehensive presentations on the theme of au-
dieu.” Cultural Studies 17 (May 2003): 445–468.
thority in the general history of religions based on compara-
tive or typological studies. On the authority of myth in pre-
Keyes, Charles F., Laurel Kendall, and Helen Hardacre, eds. Asian
modern society, see Mircea Eliade’s Myth and Reality (New
Visions of Authority: Religion and the Modern States of East and
York, 1963). This book contains an excellent bibliography.
Southeast Asia. Honolulu, 1994.
Bronislaw Malinowski has attempted to elucidate the au-
Lincoln, Bruce. Authority: Construction and Corrosion. Chicago,
thentic nature and function of myth in primitive society on
1994.
the basis of his fieldwork among the Trobriand Islanders in
New Guinea. See his classic work Myth in Primitive Psycholo-
Siebers, Tobin, ed. Religion and the Authority of the Past. Ann
gy (New York, 1926), which has been reprinted in his Magic,
Arbor, Mich., 1993.
Science and Religion (New York, 1948), pp. 93–148.
Stout, Jeffrey. Democracy and Tradition. Princeton, 2004.
The best single book on the problem of imperial authority in the
Wills, Gregory. Democratic Religion: Freedom, Authority, and
ancient Near East remains Henri Frankfort’s Kingship and
Church Discipline in the Baptist South 1785–1900. New
the Gods: A Study of Ancient Near Eastern Religion as the Inte-
York, 1996.
gration of Society and Nature (Chicago, 1948). The eighth In-
ternational Congress for the History of Religions met in
MANABU WAIDA (1987)
Revised Bibliography
Rome in the spring of 1955 to discuss the theme of kingship.
Its proceedings have been published as The Sacral Kingship
(Leiden, 1959). On imperial authority in ancient China and
Japan, see D. Howard Smith’s “Divine Kingship in Ancient
AUTOBIOGRAPHY. Autobiography is a form of reli-
China,” Numen 4 (1957): 171–203, and my own “Concep-
tions of State and Kingship in Early Japan,” Zeitschrift für Re-
gious literature with an ancient lineage in the Christian, Is-
ligions- und Geistesgeschichte 28 (1976): 97–112. On the
lamic, and Tibetan Buddhist traditions. It became an in-
structure of authority in the Buddhist community, there is
creasingly common and significant form of discourse in
an excellent discussion in Sukumar Dutt’s The Buddha and
almost every religious tradition during the twentieth century,
Five After-Centuries (London, 1957).
and its many forms and recurring themes raise crucial 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
698
AUTOBIOGRAPHY
gious issues. This article first discusses Christian and Islamic
drawn-out religious change and a sudden crisis such as Au-
autobiography, then turns to examples of life writing in
gustine dramatizes in Book 8. It can be argued that the very
Asian and Native American cultures, and finally discusses the
nature of autobiography is tied to the structure of the conver-
religious significance of this literary genre.
sion narrative as the story of how the story’s protagonist be-
came the narrator of the story, the person whose present un-
The question of how to define autobiography is highly
derstanding provides the norms by which past actions are
contested. By its most precise and restricted definition, auto-
judged. Yet one must be wary about imposing this paradigm
biography is, according to Philippe Lejeune’s On Autobiogra-
on all texts, especially ones from religious traditions other
phy (1989), “a retrospective prose narrative that someone
than Christianity.
writes concerning his own existence, where the focus is the
individual life, in particular the story of his personality.”
Many of the central themes of Christian autobiography
Many scholars follow Karl Weintraub in seeing “true” auto-
are rooted in Augustine’s Confessions. A searching, self-
biography as tied to the development of the ideas of individ-
critical conscience shapes the introspective, moralizing tenor
uality and historicity, and therefore as an essentially Western
of many later Christian works. Augustine’s account of mem-
form of discourse. Yet there is a great deal of writing that in-
ory and time in Books 10–13 analyzes the deeply problemat-
tentionally reveals the author’s character in different ways
ic nature of self-knowledge and his continuing dependence
than classical Western autobiography, and these representa-
on God in the act of composition. Augustine showed the in-
tions of the author’s self will be considered here as forms of
terdependence of the writer’s life story with central philo-
religious autobiography. In the West, many examples of life
sophical and theological questions about the nature of truth,
writing do not fit all aspects of the traditional definition,
agency, textuality, faith, and ultimacy. The theme of provi-
such as memoirs of only a portion of a person’s life, accounts
dence is a crucial aspect of Augustine’s legacy, for he demon-
in poetry, and diaries and journals that reflect day-by-day in-
strated how a faithful Christian may discern God’s guidance
trospection rather than a retrospective view of an entire life.
of his life through trials, sin, and suffering.
Many non-Western texts disclose the author’s religious expe-
riences, although they are usually less concerned with distin-
Among the most important autobiographical works in
guishing the author’s uniqueness or singularity than they are
Christian tradition are the writings of medieval mystics in-
with exemplifying a collective sense of identity, a communi-
cluding Teresa of Ávila, Julian of Norwich, Ignatius of Loyo-
ty’s values, or the common human condition. One must be
la, and Margery Kempe. These works are characterized by
flexible in recognizing the diverse forms of writing about the
an intense focus on the life of prayer and vision to the relative
self in the world’s religious traditions and discern both simi-
neglect of details of ordinary social life. Abelard (1079–
larities and differences in relation to the classical Western tra-
1142) wrote The History of My Misfortunes to try to under-
dition of autobiography. What makes an autobiography reli-
stand his adversities, defend himself against false accusations,
gious is the author’s attempt to describe and evaluate his or
and model Christian virtues. In contrast to Augustine’s self-
her life from the perspective of the author’s present convic-
accusation, Abelard’s work is largely an apology, a defense
tions about what is ultimate or sacred.
of his character. Petrarch (1304–1374) composed three
imaginary dialogues with Augustine entitled the Secretum,
CLASSIC CHRISTIAN AUTOBIOGRAPHIES. Augustine’s Confes-
examining his own life’s pursuits in the light of Christian
sions, written between 397 and 401, is the fountainhead of
norms in preparation for death. The essays of Michel de
Christian autobiography. Augustine (354–430) showed later
Montaigne (1533–1592) offer a thematic rather than chro-
writers how to interpret the self in relation to the models and
nological account of the writer and a constantly changing
norms of Christian tradition, including biblical figures such
self-awareness rather than a stable and permanent sense of
as Adam, Moses, Jesus, and Paul. Augustine’s self-disclosure
identity. Montaigne is skeptical of religious certainties and
is indebted to two biblical genres: the Hebrew psalms and
understands himself in the light of classical texts rather than
Pauline letters. Confession for Augustine denotes both ac-
the Bible. There is a crucial ethical dimension in Mon-
knowledgment of sin and confession of praise to God. The
taigne’s criticisms of arrogance and presumptuousness in all
entire book is directly addressed to God, as Augustine speaks
areas of life, including matters of religious controversy. He
in the second person to the source of all being and the One
shows how religious and political theories usually neglect the
who knows him better than he knows himself. The most fa-
physical realities of human existence, pointing out that even
mous sentence in the Confessions is essentially a plot summa-
“on the loftiest throne in the world we are still sitting on our
ry: “Our hearts are restless until they rest in You.” Augustine
own rump.”
attempts repeatedly to place his faith in something other
than God: his career as a teacher, the Manichee religion, the
In the seventeenth and eighteenth centuries, Protestants
love of a woman, or his dear friends. Finally, after these idols
wrote prolifically in many genres: diaries, captivity narra-
have failed to satisfy his yearning, and after protracted intel-
tives, community histories, and conversion accounts. John
lectual struggle, he commits himself to God and attains the
Bunyan (1628–1688) was the most influential Protestant au-
serenity that he asserts can come only from a correct under-
tobiographer. Grace Abounding to the Chief of Sinners (1666)
standing and wholehearted trust in God. As a conversion
was written while Bunyan was imprisoned for preaching to
narrative, the Confessions became a model for both long-
the Baptist community of Bedford, England. Bunyan never
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AUTOBIOGRAPHY
699
goes through a decisive conversion culminating in final se-
ning of secular autobiography haunted by spiritual anxieties.
renity, but instead undergoes a protracted pattern of doubt-
The social struggles of the self displace the religious journey
ing his salvation, searching the Bible for clues, and being re-
of a soul, and it is not movement toward God’s salvation but
assured that he is indeed one of the elect. Then the cycle
the author’s achievements and encounters in society that de-
begins again. Bunyan’s narrative shows the anxieties that
cisively shape the plot of his story. There is a crucial religious
shaped Puritan religious experience, an interest in the mun-
dimension in Rousseau’s struggle to understand the meaning
dane details of an ordinary Christian’s life, and a relentless
of his life in terms of a secular response to the problem of
Protestant focus on the Bible as the key to interpreting every
evil. He believes that his explanation of why he is persecuted
experience. Later Protestants, including Thomas Shepard,
illumines the fundamental nature of the human condition.
Cotton Mather, Mary Rowlandson, Elizabeth Ashbridge,
If Rousseau abandons the substance of Christian faith, he re-
George Fox, Jonathan Edwards, and John Woolman also
tains its metaphors and imagery and the yearning for an ulti-
sought to discern God’s will or providential design for their
mate judgment and justification of his character. This desire
lives, and they took biblical figures as models or metaphors
is continually frustrated, and The Confessions dramatically
for their experience. A period of wandering in the wilderness,
displays the increasing paranoia and self-deception that
an episode of being a prodigal son, or entrance into a prom-
marked Rousseau’s final years.
ised land became the lens for interpreting incidents in their
lives. These works are highly introspective, scrupulously
In the nineteenth century many “versions of deconver-
probing thoughts and behavior for hints of sin. Puritans and
sion,” as John D. Barbour puts it in his 1994 work of that
Quakers used their own stories didactically to instruct others
title, describe the loss of faith. This experience is often the
about their central convictions and to model the expected
result of profound religious doubt and moral reflection and
pattern of a believer’s life.
is described in terms of Christian motifs such as a central
event of crisis, analysis of the subjective experience of faith,
CHRISTIAN VALUES IN MODERN WESTERN AUTOBIOGRA-
and a transition to a new community with a new language
PHIES. Christian values and beliefs continue to influence
for describing oneself and the world. Such writers as Thomas
many autobiographers with secular concerns. Benjamin
Carlyle, John Ruskin, Leo Tolstoy, and Edmund Gosse
Franklin (1706–1790) describes his “scheme of perfection”
wrote powerful accounts of the reasons for which they aban-
based on a theory of the virtues and his multifarious endeav-
doned a particular form of Christianity and sought meaning
ors to improve Philadelphia, largely discarding theological
elsewhere, as in aesthetic experience. At the turn of the twen-
convictions. Franklin was a Deist with little interest in doc-
ty-first century, the theme of deconversion continues to be
trine or denominational loyalties. His autobiography shows
important in autobiography as writers explore religious
how Christian moral values could be expressed in practical
doubts, assess the practices of religious communities, and
activity and a narrative of character building, as well as utili-
struggle to reconcile belief in historic Christian doctrines
tarian and pragmatic modes of thinking that were hostile to
with other intellectual and moral convictions, for instance,
an otherworldly orientation.
about scientific theory or the rights of women.
In The Confessions of Jean-Jacques Rousseau (1712–
Among the most compelling modern autobiographies
1778), Christian metaphors shape the thought of a man who
by Roman Catholics are John Henry Newman’s Apologia pro
has moved far from Augustine’s self-accusation and depen-
Vita Sua (1864); Dorothy Day’s The Long Loneliness (1952);
dence on God’s mercy. Rousseau imagines a scene at the Last
and the many letters, journals, and essays by Thomas Merton
Judgment when he will present his autobiography to God
(1915–1968). Influential Protestant works include medical
and receive approval for his truthfulness. It is not God, how-
missionary Albert Schweitzer’s Out of My Life and Thought
ever, but his readers and his own guilty conscience that Rous-
(1933); C. S. Lewis’s conversion narrative, Surprised by Joy
seau tries to persuade of his essential goodness. His moral
(1955); and Dietrich Bonhoeffer’s Letters and Papers from
standard is not virtuous behavior but sincerity, utter truth-
Prison (1951), a posthumously published collection by a
fulness about himself: “I have displayed myself as I was, as
German theologian imprisoned and executed by the Nazis.
vile and despicable when my behavior was such, as good,
Conversion narratives continue to be a popular genre, and
generous, and noble when I was so.” Rousseau defiantly chal-
in recent decades they are often linked to the theme of recov-
lenges any reader to reveal his heart with equal candor and
ery from various forms of addiction or abuse. Christian
then say, “I was a better man than he.” When he describes
women and persons of color address the reasons that they re-
a number of rather distasteful deeds, Rousseau asserts that
main committed to a tradition that has frequently been mis-
it was always an embarrassing social situation that forced him
ogynistic and racist. They criticize oppressive aspects of
to act against his benevolent inclinations. Human nature is
Christian thought and practice and retrieve minority per-
essentially good, he argues, and the errors people make are
spectives that may offer a helpful corrective in the ongoing
not attributable to selfishness or sin but to the inhospitable
struggle for justice within Christian tradition and in the larg-
and false environment of modern society, which creates a
er society.
struggle for status that corrupts the innocent child of nature.
Although there are many prior examples of life writing with
ISLAMIC AUTOBIOGRAPHY. Autobiographical writing in Is-
a focus on nonreligious matters, Rousseau marks the begin-
lamic culture began in the ninth century and is influenced
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700
AUTOBIOGRAPHY
by even older traditions of biography such as the s¯ıra (exem-
tween Islamic culture and the modern secular world. In the
plary life story) and tarjama (biographical notice included in
twentieth century, autobiographies such as Muhammad
a larger work). Islamic works of hagiography are especially
Asad’s The Road to Mecca (1954) and The Autobiography of
concerned with the chain of transmission of authority back
Malcolm X (1965) were composed in English and European
to the Prophet. Some of the earliest autobiographies com-
languages by converts to Islam.
posed in Arabic are essentially self-authored examples of
HINDUISM. There is virtually no autobiography in Hindu
these biographical genres. Because Islamic historians valued
tradition until the twentieth century. Various explanations
eyewitness accounts so highly, autobiography was usually
have been offered for the relative lack of interest in self-
seen as a reliable and significant source of knowledge for pos-
representation: the Indian love of philosophy and general ab-
terity. In Interpreting the Self (2001), Dwight Reynolds iden-
sence of historical writing; the cyclical view of time; and the
tifies over one hundred Arabic autobiographical texts written
deemphasis on the individual in the search for universal
between the ninth and nineteenth centuries CE and translates
truth. Whatever the explanation, there are few examples of
thirteen representative works into English.
first-person life narratives in classical Hindu tradition, al-
Often a particular verse from the QurDa¯n provided reli-
though there are rich personal references and expressions in
gious justification for self-representation: “And of the bless-
the writings of sant-poets such as Kabir (fifteenth century)
ings of thy Lord, speak!” (93:11). Telling one’s story was an
and Tukaram (seventeenth century).
act of thanksgiving, gratitude, and praise for the generosity
Western literary influences and an intended Western
of Allah. Writers often referred to the example of respected
audience shape the first modern Hindu autobiographies.
figures of the past or traced the spiritual lineage of the au-
Swami Vivekananda (1863–1902), the heir of the mystic Sri
thor’s teaching. Most Islamic autobiographies are highly di-
Ramakrishna, attained renown at the first World Parliament
dactic, and the purpose of moral instruction legitimates de-
of Religions in Chicago in 1893. His letters, while not a
picting the self. Muslim writers often present themselves
complete narrative of his life, reveal his distinctive personali-
explicitly as models for the reader’s emulation.
ty to his disciples in the Ramakrishna Mission and to poten-
As in other traditions, an emphasis on a particular reli-
tial supporters both Indian and Western. Autobiography of a
gious theme is often associated with a distinctive category or
Yogi (1946), by Paramahansa Yogananda, has been published
genre of autobiographical writing. Conversion narratives re-
in many editions and languages. Yogananda (1893–1952)
count how a Christian or Jew became a Muslim or how a
was a Bengali who came to the United States in 1920 and
relatively indifferent Muslim was moved to greater piety, as-
spent many years teaching yoga, lecturing, and promoting
cetic practice, or the S:u¯f¯ı path. Narratives of pilgrimage re-
his Self-Realization Fellowship. His autobiography focuses
count the life-transforming effects of the journey to Mecca.
on encounters with saints, gurus, and yogis who taught and
S:u¯f¯ı texts explore mystical states and the ascent through spir-
inspired him.
itual stations. The Mughal Empire in India yielded numer-
The outstanding example of autobiography by a Hindu
ous autobiographical texts such as the sixteenth-century
is Mohandas Gandhi’s The Story of My Experiments with
Ba¯burna¯mah, or Book of Ba¯bur, written by the founder of
Truth (1927). This work was originally written in Gujarati
that empire.
and published in 1925 in weekly installments in a nationalist
The most famous classical Arabic autobiography is al-
journal. It was soon translated into English and many other
Munquidh min al-dala¯l, by al-Ghaza¯l¯ı (1058–1111 CE [450-
languages and played an important role in the political
505 AH]). This work recounts a spiritual crisis that has in-
movement for Indian independence. In the introduction,
trigued Western readers and is often compared to Augus-
Gandhi discusses his ambivalent relationship to the Western
tine’s Confessions. Literally translated as “What delivers from
idea of autobiography. He quotes a friend’s doubts about
error,” this work is rendered in a 1992 English translation
doing this kind of writing:
as The Confessions of al-Ghaza¯l¯ı. When al-Ghaza¯l¯ı experi-
enced a total breakdown that left him unable to speak, he
“Writing an autobiography is a practice peculiar to the
West. I know of nobody in the East having written one,
undertook a ten-year period of wandering and seclusion. He
except amongst those who have come under Western
found serenity in the S:u¯f¯ı emphasis on the heart and intu-
influence. And what will you write? Supposing you re-
itive knowledge rather than intellectual argument.
ject tomorrow the things you hold as principles today,
Al-Ghaza¯l¯ı correlates his account of his spiritual search with
or supposing you revise in the future your plans of
polemical arguments against other Islamic theologians and
today, is it not likely that the men who shape their con-
philosophers.
duct on the authority of your word, spoken or written,
may be misled?”
In the nineteenth and twentieth centuries, Muslim au-
tobiographers were influenced by traditional forms and
Gandhi responds that it is not his purpose to write “a real
themes and were also shaped by Western literature, especially
autobiography.” Rather, “I simply want to tell the story of
the novel. After the Egyptian scholar Ta¯ha¯ H:usayn’s
my experiments with truth, and as my life consists of nothing
al-Ayya¯m (1929; An Egyptian Childhood [1932]), it was pos-
but these experiments, it is true that the story will take the
sible to explore in an author’s life the uneasy encounters be-
shape of an autobiography.” His narrative recounts the story
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AUTOBIOGRAPHY
701
of a soul’s striving for satya (truth), which was Gandhi’s “sov-
and China, where Buddhism never supplanted ancient tradi-
ereign principle,” equated with God. Gandhi orients his life
tions, Tibet became predominantly Buddhist. Salvation was
story to the truth as he understands it, yet he also presents
always a matter of individual self-transformation and was not
his life as an experiment open to revision and further clarifi-
linked to membership in a clan or group. In this context reli-
cation. The writing of a spiritual text that has “the shape of
gious power and prestige were based on individual accom-
an autobiography” requires the practice of the virtues of
plishments such as celibacy and asceticism, remembering
truthfulness, humility, courage, and discerning moral judg-
prior lives, and esoteric yogic practices and visions. Biogra-
ment. Finally, however, it is a work about satyagraha (the
phy and autobiography flourished in the competition be-
force of truth), not personal virtue: “My purpose is to de-
tween charismatic teachers vying for disciples and patronage.
scribe experiments in the science of Satyagraha, not to say
Tibetan Buddhist autobiography made possible self-assertion
how good I am.”
and cultivation of the individual characteristics of a religious
leader, even as these texts show the unstable, elusive quality
Autobiographers from Hindu tradition have often used
of the states of mind that human beings typically identify
this form of discourse as part of their effort to proselytize in
with selfhood. The paradox of representing a self that alleg-
the West. In addition, dalit literature by members of “un-
edly does not exist challenges modern Western Buddhists to
touchable” castes and conversion stories to other religious
devise new literary strategies to depict their path to awaken-
traditions voice criticisms of traditional Hindu social struc-
ing. Since everything is constantly changing and the origin
ture and raise important questions about what beliefs and
of suffering is the desire to cling to what is unstable, Bud-
practices are central to Hinduism and what may be changed.
dhist autobiography, like postmodernist thought in the
Autobiography thus plays a powerful role in contemporary
West, must depend on the idea of the self even as it shows
ethical critique and reflection on the nature of Hindu identi-
the self to be a projection, illusion, or fiction.
ty and society and their controversial relationship to the na-
tion of India.
CHINA AND JAPAN. Ancient Chinese autobiographies were
modeled after biography and focused on public historical
BUDDHISM. With one significant exception, Buddhist cul-
facts rather than intimate self-knowledge. In the Confucian
tures did not produce autobiographical literature until the
and Daoist traditions the emphasis on self-effacement and
twentieth century. The reason for this absence has been ex-
modesty discouraged revealing accounts of religious experi-
plained in various ways: the concept of the self is viewed by
ence. Chan Buddhist narratives are circumspect in their por-
Buddhists as an illusion; calling attention to oneself is seen
trayal of enlightenment. The doctrine of sudden enlighten-
as egotistical; and the ideal of sudden enlightenment pre-
ment without long years of practice may have been a factor,
cludes interest in what leads up to the moment of awakening.
as was the lack of a literary tradition providing a model for
These simplistic explanations do not probe deeply enough
the personal search for wisdom.
into the cultural contexts that inhibited Buddhist life writing
in India and China and fostered it in Tibet.
According to Pei-Yi Wu in The Confucian’s Progress
(1990), there was a significant group of Confucian autobiog-
Janet Gyatso’s Apparitions of the Self (1998) examines
raphers during the late Ming period, the sixteenth and early
the Tibetan genre of “secret autobiography” (rangnam) as
seventeenth centuries. Models for life writing were found in
composed by such visionary lamas as Jigme Lingpa (1730–
travel literature and in accounts by Buddhist disciples of their
1798). This literary tradition focuses on the way a spiritual
masters’ sermons, which sometimes described incidents in
master attained liberation through visions, yogic practices,
their lives. Writers such as the Confucian apostate and Bud-
and memories of past lives. Such texts do not record all the
dhist monk Deng Huoqu (1498–c. 1570) and the neo-
factual details that the genre of “outer” autobiography would
Confucian Gao Panlong (1562–1626) described quests for
narrate. Like spiritual autobiography in Puritan and Catholic
self-transformation using metaphors of journey and ascent.
traditions, rangnam deals with what is interior and most im-
In addition, a group of penitential texts written at about the
portant: the ways in which the subject understands ultimate
same time confess misdeeds, express self-reproach and re-
reality as a result of personal experience. In Tibet, visionaries
morse, beg forgiveness from a deity, or promise a reformed
discovered so-called Treasures revealed in previous lives that
life.
they retrieve and transmit to disciples. The autobiographical
This flowering of introspective life writing ended with
dimension of these texts consists in the visionary’s demon-
the imposition of Manchu rule in 1644, which brought dis-
stration of his awesome powers, profound meditative experi-
approval and official censorship of the bold literary experi-
ences, and unique insights into the elusive nature of subjec-
mentation associated with the late Ming period. Thereafter,
tivity. Rangnam legitimized a lama’s authority, inspired
autobiographies took the form of annals charting the stages
confidence in disciples, and distinguished among competing
of an official career until, in the twentieth century, Western
interpretations of Buddhist thought.
practices influenced new kinds of life writing. The author’s
According to Gyatso, Buddhism nurtured autobiogra-
girlhood struggle to understand the relevance of Chinese
phy in Tibet because of particular historical factors that were
myths and “talk-stories” to life in the United States is power-
not present in India or China. Tibet’s tradition of self-
fully conveyed in Maxine Hong Kingston’s The Woman
written life stories dates to the eleventh century. Unlike India
Warrior (1976).
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AUTOBIOGRAPHY
Japanese life writing dates to the Heian period (794–
Black Elk’s spiritual visions, important Lakota rituals and
1185), when diaries were written in Chinese, such as the
healing practices, and the Ghost Dance movement. In a
monk Ennin’s account of his travels to China. The native
1979 introduction to this work, Vine Deloria Jr. asserts that
kana script, often deemed suitable for women, was used to
Black Elk Speaks “has become a North American bible of all
render emotional life and spiritual musings. Japan has a rich
tribes.” Yet this text reflects the perspective of “editor” John
tradition of personal, introspective writing that presents the
G. Neihardt as much as Black Elk’s. It ends with a portrayal
author’s perceptions of the transience of the natural world
of Black Elk as a despairing and defeated man lamenting his
and human life. What modern scholars call “recluse litera-
failure to make the Lakota spiritual vision relevant to his peo-
ture” or “grass-hut literature” (so¯an bungaku) records a rural
ple at a time of crisis. The narrative does not reveal that Black
writer’s contemplations of the vicissitudes of life and the
Elk converted to Roman Catholicism in 1904 and acted for
emptiness at the heart of all existence. The most famous is
decades as a catechist and missionary on Indian reservations,
Ho¯jo¯ki (An account of my hut) by Kamo no Cho¯mei
or that Black Elk continued to believe in the value and rele-
(1156?–1216). Another genre is the official diaries kept by
vance of the Lakota worldview. (See Raymond De Mallie’s
the holders of established positions, including leaders of mo-
analysis in The Sixth Grandfather [1984] of the transcripts
nastic institutions. Since the Tokugawa period (1600–1868),
of the collaboration between Black Elk and Neihardt.) A very
neo-Confucian values have shaped autobiographies written
different form of as-told-to autobiography is created when
by the heads of families for their descendents, which describe
the white editor is an anthropologist. For instance, Paul
the duties expected of future generations.
Radin’s The Autobiography of a Winnebago Indian (1920) re-
counts the life of S. B., a convert to the Peyote religion of
Chinese models influence Japanese accounts of travel to
the Native American Church, and Nancy Oestreich Lurie’s
sacred places and to sites made famous in literature. These
Mountain Wolf Woman (1961) tells the story of S. B.’s sister,
works take the author’s journey through space as a metaphor
who also had religious experiences with peyote.
for human existence and construct the self in relation to liter-
ary precedent. The poet Basho¯ (1644–1694) wrote five travel
In addition to these white-edited “Indian autobiogra-
narratives, the most famous of which has been translated as
phies” there are “autobiographies by Indians” (Arnold Kru-
The Narrow Road to the Deep North (1966). Basho¯ combined
pat’s distinction) produced by literate Native Americans.
haiku and prose narration in describing his physical and spir-
The first ones were by Christians, such as Son of the Forest
itual journey through Japan. Basho¯ studied with a Zen Bud-
(1829) by William Apess (Pequot). Important works of life
dhist priest and was also influenced by neo-Confucianism
writing were produced by George Copway (Ojibway) in
and the kami (Shinto¯) cults.
1847, Sarah Winnemucca Hopkins (Paiute) in 1883,
Charles Eastman (Lakota) in 1902, and Luther Standing
NATIVE AMERICAN AUTOBIOGRAPHY. As a written text, au-
Bear (Lakota) in 1928. Subsequently, Native American nov-
tobiography is not found in oral cultures such as those of Na-
elists and poets have created highly complex personal narra-
tive American tribes. Yet oral traditions of life narration have
tives, such as The Way to Rainy Mountain (1969), by N. Scott
influenced the written narratives that American Indians
Momaday (Kiowa and Cherokee); Storyteller (1981), by Les-
began to produce in great number in the nineteenth century.
lie Marmon Silko (Kowa and Cherokee); and the poetry and
In American Indian Autobiography (1988), H. David Brum-
memoirs of Linda Hogan (Chickasaw) and Joy Harjo
ble identifies “preliterate traditions” including coup tales,
(Creek). The dominant religious themes in these works are
self-examinations to account for misfortune, educational
sacred geography and the importance of a sense of place in
narratives, and stories about the acquisition of healing or vi-
human identity; a cyclical view of time as necessary for
sionary powers. The survival and vitality of oral traditions is
human well-being; respect for the wisdom of elders and oral
an important theme in other tribal cultures such as those of
traditions; and the importance of reciprocity and harmony
Australian aboriginal people. The preservation of threatened
with the natural world, in human society, and with the sa-
cultural knowledge is a significant incentive for life writing
cred. Like the members of other threatened indigenous cul-
in many indigenous cultures and also in displaced or refugee
tures (in this regard, too, Australian aboriginal peoples offer
communities such as the Hmong of Laos and other diaspora
significant parallels), many American Indian writers use au-
peoples.
tobiography to explore the conflict of cultural values within
There are more than seven hundred Native American
their own lives and to protest against the racism, injustice,
autobiographical narratives. More than half of these docu-
and spiritual poverty that they see in the dominant culture.
ments are “as-told-to” stories edited by white missionaries,
SPIRITUAL AUTOBIOGRAPHY. In addition to defining reli-
anthropologists, and literary scholars. Many of these collabo-
gious autobiography in relationship to specific historical tra-
rative works raise controversial questions about the extent of
ditions, one can consider certain more ambiguous texts,
the white editor’s contribution. The most famous American
sometimes called spiritual autobiographies. Particularly in
Indian autobiography is Black Elk Speaks (1932). This narra-
the West, spirituality usually means the personal, experiential
tive tells the story of the life of Black Elk (1863–1950), the
aspects of religion in contrast with an organized communi-
Oglala Sioux holy man, from the age of nine until he wit-
ty’s doctrines, institutions, and rituals. Spiritual autobiogra-
nesses the Wounded Knee massacre in 1890. It recounts
phies are shaped by particular religious traditions, but the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AUTOBIOGRAPHY
703
author is usually dissatisfied or looking beyond institutional-
Holocaust memoirs, accounts of struggles in Israel, and nar-
ized forms of worship and belief. For instance, a genre of
ratives about assimilation into American society. Autobiogra-
spiritual autobiography is American nature writing by such
phy seems likely to become even more widely practiced if we
authors as Henry David Thoreau, John Muir, Annie Dillard,
expand our definition to include self-representations that use
Edward Abbey, and Terry Tempest Williams. Another form
technologies such as tape-recorded oral narratives, personal
of spiritual autobiography is writing by contemporary
websites, confessional radio and television programs, and
women who attempt to reconcile their apprehension of what
video and digital formats. The reasons for this prolifera-
is holy with patriarchal religious institutions, and to discrim-
tion of life narratives are many, complex, and religiously
inate within their formative tradition that which is a source
significant.
of oppression and that which is a liberating resource for
One reason for the prevalence of autobiography is anxi-
women. Spiritual autobiographies are usually ambivalent
ety about personal identity as individuals encounter the pos-
about the author’s original religious tradition, sorting out
sibility of a secular orientation, the loosening of communal
those elements that the author rejects and those that personal
loyalties, and the challenge of other faiths and worldviews in
experience helps them to appreciate. Such writers seek an in-
an increasingly mobile and interdependent global culture.
dividual path, a personal approach to what is holy, although
Autobiographers try to reconcile the ways that personal iden-
they also hope to find community.
tity is shaped by membership in communities, including
Contemporary spiritual autobiographers often criticize
those fostered by religious commitments, and the ways in
traditional dualistic contrasts between the sacred and the
which identity is singular, distinctive, or unique. Without re-
profane and try to reclaim areas of life rejected by many reli-
solving the complex issue of whether autobiography is tied
gious believers as this-worldly. They usually do not seek sal-
to the Western concept of the self, one can recognize that
vation from ordinary human existence but rather beauty,
all life writing reveals an interplay between communal norms
meaning, and love within it. Spiritual autobiographers are
for life stories and individual differentiation. In religious au-
primarily concerned to interpret personal experiences; far less
tobiographies the authors believe that both of these pres-
than their predecessors do they advocate particular beliefs,
sures—adherence to communal norms and individual
doctrines, or institutional affiliations to their readers. In con-
searching—bring them closer to what is ultimate. The reli-
trast to most classic religious texts, these writers do not pro-
gious autobiographer finds meaning not only in allegiance
pose to readers a single normative model of belief or affilia-
to tradition, but in an act of personal interpretation and self-
tion. They demonstrate far greater openness to a variety of
evaluation. Relationship to a religious community takes the
legitimate religious options than one would find in most
form of reinterpretation of one’s life story in dialogue, al-
worshiping communities or in the history of religious autobi-
though not necessarily in strict accordance with, a communi-
ography. Spiritual autobiographers tend to be open-minded
ty’s norms. The autobiographer discerns in new ways how
in this pluralistic sense, and their works are open-ended, leav-
a religious tradition’s symbolic resources and mythic narra-
ing the impression that the author’s search is not completed,
tives may illumine personal experience, as well as ways that
but a journey still in progress. Seeking has become more im-
the tradition fails to help in the task of self-understanding
portant than finding, and an author may discover meaning
or needs to be criticized in terms of other values.
even in the process of deconversion, or loss of faith. Scholars
Thus, writing an autobiography is itself a significant re-
disagree about what kinds of writing should be considered
ligious event and experience in the writer’s life. The writing
as spiritual autobiographies. Does it make sense to see a work
of autobiography raises crucial ethical issues, including the
as spiritual when the search for self replaces the desire to
author’s struggle with conscience as part of moral self-
know God, and when the goal of defining a unique personal
assessment (see John D. Barbour, The Conscience of the Auto-
identity becomes more important than otherworldly salva-
biographer [1992]) and the effect of telling one’s story on
tion, adherence to orthodox beliefs, or commitment to a
other persons (see Paul John Eakin, ed., The Ethics of Life
community? Is a book a spiritual autobiography if its author
Writing [2004]). Religious autobiography is best conceived
is more concerned with literary originality than with fidelity
of as a testing of the adequacy of a religious community’s
to a received religious tradition? Readers will differ as to
norms for a life narrative, when not only the communal
whether and how to interpret as spiritual autobiography such
norms but the testing itself—that is, the writing of one’s life
diverse texts as Peter Matthiessen’s The Snow Leopard
story—is believed to be called for by God or that which the
(1978), Paul Auster’s The Invention of Solitude (1982), Patri-
author believes to be worthy of ultimate loyalty and trust.
cia Hampl’s Virgin Time (1992), Kathleen Norris’s Dakota
Religious autobiography attempts to interpret the life of the
(1993), and Nancy Mairs’s Ordinary Time (1993).
writer and reorient the lives of readers in relation to what is
AUTOBIOGRAPHY AS A RELIGIOUS ACT. Even in religious tra-
ultimate.
ditions without a strong legacy of autobiography, first-
person life writing became increasingly common and signifi-
BIBLIOGRAPHY
cant during the twentieth century. An example is Judaism,
Barbour, John D. The Conscience of the Autobiographer: Ethical
which does not have an ancient tradition of autobiography
and Religious Dimensions of Autobiography. London and New
yet in the twentieth century produced many examples of
York, 1992.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
704
AVALOKITES´VARA
Barbour, John D. Versions of Deconversion: Autobiography and the
ure in the pan-Asian Maha¯ya¯na Buddhist pantheon. Wor-
Loss of Faith. Charlottesville, Va., 1994.
shiped and invoked in both male and female forms,
Barbour, John D. The Value of Solitude: The Ethics and Spirituality
Avalokite´svara is considered a potent savior in times of life-
of Aloneness in Autobiography. Charlottesville, Va., 2004.
threatening dangers, who watches over all beings and heeds
Brumble, David. American Indian Autobiography. Berkeley, Calif.,
their cries of suffering and distress. He responds directly to
1988.
the pleas of those in great need, while also serving in symbol-
ic manner as the embodiment of the principle of compassion,
Caldwell, Patricia. The Puritan Conversion Narrative: The Begin-
a fundamental aspect of the Buddhist way of life. In addition
nings of American Expression. Cambridge, U.K., 1983.
to his numerous pan-Asian roles, Avalokite´svara has played
Delaney, Paul. British Autobiography in the Seventeenth Century.
a significant role in distinctive local traditions throughout
New York, 1969.
Buddhist Asia.
De Mallie, Raymond J., ed. The Sixth Grandfather: Black Elk’s
Teachings Given to John G. Neihardt. Lincoln, Neb., 1984.
The meaning of this bodhisattva’s name traditionally has
been understood in several ways, emphasizing his sovereignty
Eakin, Paul John, ed. The Ethics of Life Writing. Ithaca, N.Y.,
over the material world and his responsiveness to the calls of
2004.
suffering humanity. A principal interpretation holds that the
Fleishman, Avrom. Figures of Autobiography: The Language of Self-
name Avalokite´svara is a compound of Sanskrit avalokita and
Writing in Victorian and Modern England. Berkeley, Calif.,
¯ı´svara, translated variously as “the lord of what is seen, the
1983.
lord who is seen” or “the lord who surveys, gazing lord.” The
Gyatso, Janet. Apparitions of the Self: The Secret Autobiographies of
celebrated seventh-century Chinese monk-scholar Xianzang
a Tibetan Visionary. Princeton, N.J., 1998.
upheld this view, translating the bodhisattva’s name as Guan-
Jolly, Margetta, ed. Encyclopedia of Life Writing. 2 vols. Chicago
zizai (“gazing lord”).
and London, 2001. This outstanding two-volume encyclo-
pedia contains articles on specific authors, genres of autobio-
An alternate spelling of this name—Avalokitasvara—
graphical writing, particular religious traditions, and themes
also existed, as seen in some fifth-century Sanskrit manu-
including conversion, confession, repentance, and spiritual
scripts and as noted by learned Chinese exegetes such as
autobiography.
Chengguan (eighth century). This led to the well-known
Krupat, Arnold. For Those Who Come After: A Study of Native
Chinese translation Guanyin (“he who has perceived
American Autobiography. Madison, Wis., 1985.
sound”). The frequently seen Chinese translation Guanshiy-
in (“he who perceives the sounds of the world”) appears to
Lejeune, Philippe. On Autobiography. Edited by Paul John Eakin.
Translated by Katherine Leary. Minneapolis, 1989.
have a dubious etymological basis, but expresses well the
functional quality of the bodhisattva: a savior who hears all
Olney, James. Metaphors of Self: The Meaning of Autobiography.
cries of suffering and responds with potent aid.
Princeton, N.J., 1972.
Peterson, Linda. Victorian Autobiography: The Tradition of Self-
Avalokite´svara has numerous epithets. The most com-
Interpretation. New Haven, Conn., 1986.
mon are Padmapa¯n:i (“lotus bearer”) and Loke´svara (“lord of
the world”), by which he is best known in Southeast Asia.
Reynolds, Dwight. Interpreting the Self: Autobiography and the Ar-
abic Literary Tradition. Berkeley, Calif., 2001.
Many epithets related to his specific saving functions are con-
nected to a dizzying panoply of iconographic forms.
Shea, Daniel. Spiritual Autobiography in Early America. Princeton,
N.J., 1968.
ORIGINS. It generally is agreed that the cult to Avalokite´svara
arose in the northwestern borderlands of India. Much schol-
Smith, Sidonie, and Julia Watson. Reading Autobiography: A
arly energy has been devoted to determining the “origins” of
Guide for Interpreting Life Narratives. Minneapolis, 2001.
the bodhisattva. Many of these efforts presuppose a diffusion-
Watkins, Owen. The Puritan Experience: Studies in Spiritual Auto-
ist model for the formation of the Maha¯ya¯na pantheon; they
biography. New York, 1972.
assume that the pantheon was in some way devised or adapt-
Weintraub, Karl. The Value of the Individual: Self and Circum-
ed from the various deities of neighboring religious move-
stance in Autobiography. Chicago, 1978.
ments. For example, Marie-Thérèse de Mallmann (1948)
Wong, Hertha Dawn. Sending My Heart Back across the Years:
suggested Iranian antecedents based on Avalokite´svara’s
Tradition and Innovation in Native American Autobiography.
name and functions. Others hold that the pantheon came
New York, 1992.
into being as the deification of early Buddhist principles or
Wu, Pei-Yu. The Confucian’s Progress: Autobiographical Writing in
of potent moments in the life of S´a¯kyamuni Buddha; for ex-
Traditional China. Princeton, N.J., 1990.
ample, Giuseppe Tucci (1948) suggested that Avalokite´svara
is the personification of the compassionate gaze of
JOHN D. BARBOUR (2005)
S´a¯kyamuni. Such views are far distant from the notable in-
tensity of belief in the compassionate lifesaving powers of
this deity, as expressed among Buddhist Asians from all levels
AVALOKITES´VARA, a bodhisattva especially associat-
of society. Maha¯ya¯na scriptural traditions simply hold that
ed with the principle of compassion, is the most popular fig-
Avalokite´svara is one among many beings having human 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
AVALOKITES´VARA
705
tory whose dedication and spiritual development has led to
The meditation scripture provides an extended descrip-
successful fruition as a bodhisattva.
tion of Avalokite´svara as the focus for one of the stages of
a multifaceted visualization practice. Successful accomplish-
PRINCIPAL SCRIPTURAL SOURCES. Among the numerous
ment of this practice leads not only to future rebirth in the
scriptural sources on Avalokite´svara, three works are especial-
Western Paradise, but also to continuous invocation of the
ly important: the Saddharmapun:d:ar¯ıka Su¯tra (Lotus scrip-
principal lords of that land, with the accompanying protec-
ture), various versions of the Sukha¯vat¯ıvyu¯ha Su¯tra (Pure
tion and inspiration they afford. Avalokite´svara is described
land scripture), and the so-called Amita¯yurdhya¯na Su¯tra
as a golden-skinned princely being of enormous stature,
(Contemplation on Amita¯yus scripture). The Lotus provides
wearing a great crown made of wondrous gems within each
much information on the bodhisattva’s lifesaving powers,
of which there stands a manifested Buddha. Many-hued rays
while the Pure Land and the meditation scripture reveal his
of light stream forth from his body in a patterned manner;
spiritual kinship to Amita¯bha Buddha and outline his func-
these rays reach into the various realms of existence and send
tions in this context. These aspects both have been essential
forth manifested Buddhas and bodhisattvas, who accomplish
features of the cult.
his works of compassion. Innumerable rays of soft light ex-
The Lotus devotes a full chapter to Avalokite´svara, and
tend from his hands, illumining all things, and he is seen to
this chapter (chapter 25 in Kuma¯raj¯ıva’s eloquent fourth-
be assisting all beings with these hands.
century Chinese translation) not uncommonly has been
PARADISE. Avalokite´svara is believed to dwell on a certain
memorized, recited, and treated as an independent scripture
mountain from which he attentively hears the rising cries of
by East Asian devotees. The chapter includes discussion of
suffering beings and extends his mystic aid. A version of the
the bodhisattva’s name, the dangers that he can dispel, and
Avatam:saka Su¯tra (Flower garland scripture) identifies this
the myriad forms in which he may appear to aid devotees.
site as Potalaka Mountain, a name that became well known
The bodhisattva’s name in this well-known version of
throughout Buddhist Asia. This mountain has been identi-
the Lotus clearly is Avalokitasvara, translated by Kuma¯raj¯ıva
fied with a number of actual geographical sites in Asia. The
as Guanshiyin, or “hearer of the sounds of the world.”
seventh-century monk-traveler Xuanzang noted that Po-
S´a¯kyamuni Buddha explains in the scripture that this name
talaka could be found on the Malaya coast, although few who
arises from the bodhisattva’s pledge to heed the call of any
sought the bodhisattva had been successful in their quest.
suffering being who cries out his name and to appear before
From at least the tenth century it was identified as an island
him in rescue.
off the coast of the southern China seaport of Ningbo, which
was named Putuo Shan (Potalaka Mountain) and remains
The list of dangers and difficulties that the bodhisattva
an important pilgrimage center to the present day. In Japan,
can counter is impressive: fire, drowning in a river, being lost
several sites have been identified as Potalaka: at the Nachi
at sea, murder, demonic attack, fierce beasts and noxious
Falls within the Kumano Shrine complex near the ocean on
snakes or insects, legal punishment, attack by bandits, falling
the Kii Peninsula, in the mountains at Nikko, and at the Ka-
from steep precipices, extremes of weather, internecine civil
suga Shrine in Nara. In Tibet, the seventeenth-century pal-
or military unrest, and others. The bodhisattva also assists
ace of the Dalai Lama, built upon a hill facing Lhasa and
those ensnared by the traditional three poisons of Buddhism:
constituting one of the world’s great architectural treasures,
lust, anger, and delusion. Avalokite´svara also grants chil-
was named the Potala. Thus, the mountain palace was physi-
dren—both male and female—in response to the pleas of
cally made manifest as the residence of the Tibetan ruler, be-
barren women. According to the Lotus, Avalokite´svara is a
lieved to be the physical embodiment of the bodhisattva.
master of skillful means (upa¯ya) who is adept at manifesting
himself in any suitable form (thirty-three are listed) to con-
PRINCIPAL ICONOGRAPHIC FORMS AND CULTIC ACTIVITY.
vey the deliverance of any being.
Numerous forms of Avalokite´svara are seen in art and de-
scribed throughout a wide range of ritual texts, meditation
The Pure Land scriptures, of which several versions are
manuals, and scriptures. These range from the simplicity of
extant in Chinese translation, pair Avalokite´svara with a bo-
the Water-Moon form, with the princely bodhisattva seated
dhisattva named Maha¯stha¯mapra¯pta. Both are principal as-
upon Mount Potalaka gazing at the evanescent reflection of
sistants to the Buddha Amita¯bha, lord of the Western Para-
the full moon upon a still sea, to the complexity of the elev-
dise, a glorious realm free of suffering where diligent questers
en-headed, thousand-armed, thousand-eyed images, the
for enlightenment may be reborn after earthly existence.
multiplicity of features expressing the bodhisattva’s extraordi-
Among his various functions, Avalokite´svara guides devotees
nary abilities to seek out and respond to the distress of all
from earthly deathbed to rebirth in the spirit land. He acts
beings.
as emissary for the Buddha throughout the various realms of
the universe, and he is described as the eventual heir to the
Arya¯valokite´svara (“noble Avalokite´svara”), sometimes
throne of this realm. (The Karun:a¯pun:d:ar¯ıka Su¯tra, translat-
termed “great compassionate one,” is a simple form of the
ed into Chinese in the early fifth century, extends this rela-
bodhisattva bearing in his left hand a lotus flower. Often, es-
tionship by explaining that Avalokite´svara was the first son
pecially from the ninth century onward, this form wears a
of Amita¯bha in an earlier incarnation.)
crown or headpiece in which the image of his spiritual father
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
706
AVALOKITES´VARA
Amita¯bha Buddha is depicted. Closely related to this form
the hardships and dangers of the world, who, as the Lotus
is the White-Robed (Pan:d:arava¯sin¯ı) Avalokite´svara, the
puts it, “confers the gift of fearlessness” in the midst of terror
most frequently seen East Asian type from the tenth or elev-
and trouble. Based on the records of Chinese travelers to
enth century to the present. With special emphasis on the
India, there was some worship of Avalokite´svara in the
motherly compassion of the bodhisattva, this form most
fourth century at Mathura¯, and by the seventh century the
often is depicted as a female seated in meditation or holding
cult was widespread throughout India; by this time, accord-
a lotus blossom. Can:d:¯ı, less commonly seen, is another fe-
ing to Xuanzang, images of the bodhisattva flanked the “dia-
male form, having three eyes and eighteen arms.
mond seat” of S´a¯kyamuni Buddha’s enlightenment at Bodh
Gaya¯, one of the most sacred sites in the Buddhist world.
Paintings and sculptures depict some of the specialized
abilities of the bodhisattva: as savior of those subject to life-
In all the coastal areas of Maha¯ya¯na Buddhist countries,
threatening dangers such as fire, flood, and attack; as benevo-
Avalokite´svara has been especially worshiped and invoked for
lent bestower of sons; as guide of souls, leading them in the
his lifesaving protection of seafarers. This ability, mentioned
journey from deathbed to Amita¯bha’s Western Paradise; as
in the Lotus Scripture, is attested to in numerous travel diaries
a king of healing, in one form holding both a willow branch
and miracle tales from the fourth century to the present.
(as sign of the ability to ward off disease) and a vase of amr:ta
As noted above, in East Asia Avalokite´svara has been the
(the nectar of enlightenment), or in another healing form
most popular of all Buddhist deities, most especially by vir-
seated upon a roaring lion. Other important forms include
tue of the prominence accorded him in the Lotus Scripture
Amoghapa¯´sa (“unfailing rope”), holding out a lasso to assist
traditions. The Lotus traditions of the thirty-three types of
all beings, or the fiercely protective Hayagr¯ıva, horse-headed
manifestations of the bodhisattva led in Japan to several very
with dark flames emanating from his body. Avalokite´svara
important pilgrimage circuits devoted to Kannon
is also shown paired with Maha¯stha¯mapra¯pta in attendance
(Avalokite´svara), each having thirty-three stations dedicated
on Amita¯bha, performing various functions in the Western
to the bodhisattva.
Paradise, and he is seen as one among eight or more bodhi-
sattvas in numerous types of assembly scenes throughout
Avalokite´svara (Spyan ras gzigs) is one of the key protec-
Maha¯ya¯na art. This vast array of iconographic forms, only
tive deities of Tibet, and the recitation of his six-syllable San-
touched upon here, provides a sense of Avalokite´svara’s pre-
skrit mantra, “Om: mani padme hu¯m:,” has been a wide-
¯
eminent popularity throughout the Asian Buddhist popu-
spread practice among Tibetans. Tibetan myths hold that
lace.
Avalokite´svara was the progenitor of the Tibetan people, and
they believe that the founder of the first Tibetan dynasty,
An eleven-headed form of the bodhisattva is seen in the
Srong bstan sgam po (seventh century), was an incarnation
art of numerous Buddhist lands. These eleven heads may
of Avalokite´svara. Similarly, especially since the seventeenth
represent an elaboration of the concept of Avalokite´svara as
century, the Dalai Lamas, successive temporal rulers and
an all-seeing lord, encompassing views of the four cardinal
spiritual leaders of Tibet, have been believed to be human
and the four intermediate directions, as well as the nadir,
incarnations of Avalokite´svara.
center, and zenith. In East Asia, this form was first associated
with special confession and repentance rites undertaken by
SEE ALSO Bodhisattva Path; Buddhas and Bodhisattvas, arti-
lay and monastic practitioners. According to a text translated
cle on Celestial Buddhas and Bodhisattvas.
from Sanskrit into Chinese in the sixth century, the eleven
heads are related to an elevenfold vow made by the bodhisatt-
BIBLIOGRAPHY
va to aid all sentient beings, including pledges to do such
The most comprehensive Western-language study of
things as relieve beings of illness, misfortune, suffering, and
Avalokite´svara is Marie-Thérèse de Mallmann’s Introduction
worries, free them of unwholesome intentions, and turn their
à l’étude d’Avalokiteçvara (Paris, 1948), which surveys the
thoughts toward that which is wholesome. Iconographically,
myriad forms of the bodhisattva seen in Indian art. Mall-
the eleven heads should be depicted in the following manner:
mann’s diffusionist views were rejected by Giuseppe Tucci
three heads in the center with a compassionate expression—
in his “À propos Avalokite´svara,” Mélanges chinois et boudd-
suited to devotees with predominantly good karma (Skt.,
hiques 9 (1948–1951): 173–220. Another diffusionist, Alex-
ander Coburn Soper, has also made a study of the origins and
karman); three heads on the left with an angry expression—
iconography of the bodhisattva, relying on Chinese sources;
directed toward saving beings with unwholesome qualities;
see “The Triad Amita¯yus-Amita¯bha, Avalokite´svara,
three heads on the right with white tusks protruding from
Maha¯stha¯mapra¯pta,” in his Literary Evidence for Early Bud-
the tops of the mouths—to assist people with good karma
dhist Art in China (Ascona, 1959), pp. 141–167. For a valu-
to find enlightenment; a single face in back with an expres-
able study of Chinese perceptions of Avalokite´svara written
sion of violent laughter—to reform evil-doers; and a Buddha
by a learned Buddhist practitioner and devotee of the bodhi-
face on top, preaching the dharma—for those capable of fol-
sattva, see C. N. Tay’s “Guanyin: The Cult of Half Asia,”
lowing the Maha¯ya¯na path.
History of Religions 16 (November 1976): 147–177. For the
so-called Avalokite´svara Su¯tra, chapter 25 of the Lotus, see
The development of this bodhisattva’s cult is closely re-
Scripture of the Lotus Blossom of the Fine Dharma, translated
lated to his function as extender of life and protector from
by Leon Hurvitz (New York, 1976). Also helpful is Henri
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AVATA¯RA
707
Maspero’s discussion in “The Mythology of Modern China,”
been subsumed by established Hinduism under the rubric of
in Daoism and Chinese Religion, translated by Frank A. Kier-
one of Vis:n:u’s many forms. By viewing these regional deities
man, Jr. (Amherst, 1981), pp. 166–171.
as so many varying forms of one transcendent deity, Hindu-
New Sources
ism was able to accommodate itself to a great variety of local
Bdud joms, Jigs bral ye ses rdo rje, and Matthew Kapstein. “The
traditions while maintaining a certain philosophic and reli-
Royal Way to Supreme Compassion.” In Religions of Tibet
gious integrity. This process also obviated unnecessary ten-
in Practice, edited by Donald S. Lopez, Jr., pp. 69–76.
sion and rivalry among differing religious traditions.
Princeton, 1997.
Campany, Robert F. “The Earliest Tales of the Bodhisattva Guan-
Although the number of Vis:n:u’s avata¯ras varies at dif-
shiyin.” In Religions of China in Practice, edited by Donald
ferent periods in the Hindu tradition and in different scrip-
S. Lopez, Jr., pp. 82–96. Princeton, 1996.
tures, the tradition usually affirms ten avata¯ras. While the
Idema, Wilt L. “Guanyin’s Acolytes.” In Linked Faiths, edited by
sequence in which these avata¯ras is mentioned varies, the fol-
Jan A. M. De Meyer and Peter M. Engelfriet, pp. 205–226.
lowing order is common: fish, tortoise, boar, man-lion,
Boston, 2000.
dwarf, Ra¯ma the Ax Wielder, Ra¯ma of the Ra¯ma¯yana, Kr:s:n:a,
MacWilliams, Mark W. “Temple Myths and the Popularization
the Buddha, and Kalki. Traditionally, each avata¯ra appears
of Kannon Pilgrimage in Japan: A Case Study of Oya-ji on
in order to perform a specific cosmic duty that is necessary
the Bando Route.” Japanese Journal of Religious Studies 24
to maintain or restore cosmic order. Having performed that
(1997): 375–411.
task, the avata¯ra then disappears or merges back into Vis:n:u.
Obeyesekere, Gananath. “Avalokitesvara’s Aliases and Guises.”
Vis:n:u assumed the form of a great fish in order to save
History of Religions 32 (1993): 368–373.
Manu Vaivasvata, the progenitor of the human race in this
Thang Stong Rgyal Po, and Janet Gyatso. “An Avalokitesvara Sad-
present cosmic age. A great deluge occurred at the beginning
hana.” In Religions of Tibet in Practice, edited by Donald S.
Lopez, Jr., pp. 266–270. Princeton, 1997.
of the world, but Manu Vaivasvata was rescued when a giant
horned fish appeared in the midst of the waters and bade him
Yu, Chun-fang. Kuan-yin: The Chinese Transformation of Avalo-
tie himself to its great horn. Bearing the seeds of creation for
kitesvara. New York, 2001.
all living species (which the fish had instructed him to col-
RAOUL BIRNBAUM (1987)
lect), the parent of the human race was prevented from
Revised Bibliography
drowning.
Vis:n:u appeared in the form of an immense boar when
AVATA¯RA. The idea of an avata¯ra, a form taken by a
the demon Hiran:ya¯ks:a took possession of the goddess
deity, is central in Hindu mythology, religion, and philoso-
Pr:thiv¯ı (Earth) and carried her away beneath the cosmic wa-
phy. Literally the term means “a descent” and suggests the
ters. Diving into the waters, Vis:n:u battled and defeated
idea of a deity coming down from heaven to earth. The literal
Hiran:ya¯ks:a. Then he placed Pr:thiv¯ı on his tusk and lifted
meaning also implies a certain diminution of the deity when
her above the waters. In both the fish and boar forms Vis:n:u
he or she assumes the form of an avata¯ra. Avata¯ras usually
involves himself dramatically in the cosmic process. He does
are understood to be only partial manifestations of the deity
so in order to preserve an element of order and life in the
who assumes them.
midst of overwhelming chaos represented by a limitless ex-
panse of water.
The avata¯ra idea in Hinduism is associated primarily
with the god Vis:n:u. One of the earliest references to the idea
Vis:n:u assumed the form of a tortoise when the gods and
is found in the Bhagavadg¯ıta¯ (c. 200 BCE), where we find a
demons combined their efforts to churn the ocean of milk
concise statement concerning Vis:n:u’s primary intention in
in order to extract from it the nectar of immortality. Having
assuming different forms:
acquired Mount Meru, the cosmic axis, as a churning stick
Whenever righteousness wanes and unrighteousness in-
and Va¯suki, the cosmic serpent, as a churning rope, the gods
creases I send myself forth.
and demons despaired because they were unable to find a se-
In order to protect the good and punish the wicked,
cure base upon which to set the mighty churning stick. At
In order to make a firm foundation for righteousness,
that point, Vis:n:u assumed the form of a gigantic tortoise on
I come into being age after age. (4.7–8)
whose broad back the gods and demons were able to set the
Theologically an avata¯ra is a specialized form assumed by
churning stick and thus proceed with their task. In this form
Vis:n:u for the purpose of maintaining or restoring cosmic
Vis:n:u assumes the role of cosmic foundation, that upon
order. The form is suited to particular circumstances, which
which all things securely rest and without which the world
vary greatly, and therefore the different avata¯ras that Vis:n:u
would lack stability.
assumes also vary greatly. All the avata¯ras, however, perform
Vis:n:u appeared as a man-lion to uphold the devotion
positive functions vis-à-vis the cosmic order and illustrate
and righteousness of Prahla¯da, who was being persecuted by
Vis:n:u’s nature as a deity who is attentive to worldly stability.
his father, Hiran:yaka´sipu, a demon who was oppressing the
Historically the different avata¯ras of Vis:n:u often appear
world and who violently opposed his son’s devotion to
to represent regional, sectarian, or tribal deities who have
Vis:n:u. Because of a special boon that Hiranyakasipu had 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
708
AVEMPACE
ceived, namely, that he would be invulnerable to man and
The avata¯ra idea also came to be applied to other Hindu
beast, Vis:n:u assumed the form of the man-lion, which was
deities. S´iva and Durga, for example, are said in some later
neither man nor beast, and defeated him.
scriptures to assume appropriate forms in order to preserve
Vis:n:u assumed the form of a dwarf in order to restore
the world or to bless their devotees. Especially in devotional
the world to the gods. The world had been taken over by
contexts, avata¯ras no longer function primarily to restore
Bali, a powerful yet virtuous member of the ordinarily un-
cosmic order. Rather, their raison d’être is to bless devotees
righteous race of the asuras. Appearing as a dwarf, Vis:n:u
with the presence of the divine, to rescue devotees from peril,
asked Bali for a favor, which Bali piously granted. Vis:n:u
or to reward them for heroic devotion or service.
asked for the territory he could encompass in three strides,
SEE ALSO Kr:s:n:a; Ra¯ma; Vis:n:u.
and Bali gladly agreed. Then Vis:n:u assumed his cosmic form
and traversed the entire universe. He thereby restored the
BIBLIOGRAPHY
cosmos to the gods.
A convenient summary of the principal Sanskrit texts in which the
avata¯ra myths are told is found in Classical Hindu Mythology:
As Para´su Ra¯ma (Ra¯ma the Ax Wielder) Vis:n:u chas-
A Reader in the Sanskrit Pura¯n:as, edited and translated by
tened the ks:atriyas, the warrior class, for the haughty, pre-
Cornelia Dimmitt and J. A. B. van Buitenen (Philadelphia,
sumptuous, and overbearing attitudes with which they had
1978), pp. 59–146. An abbreviated account of the avata¯ra
oppressed the brahmans. In several bloody campaigns,
myths may be found in John Dowson’s A Classical Dictionary
Para´su Ra¯ma humbled the ks:atriyas and asserted the priority
of Hindu Mythology and Religion, Geography, History, and Lit-
of the brahmans in the social and theological systems.
erature (London, 1878), pp. 33–38. Jan Gonda’s Aspects of
Early Vis:n:uism (Utrecht, 1954) discusses some of the
As Ra¯ma, the hero of the Ra¯ma¯yana (one of the two
avata¯ras in historical context and shows how the develop-
great Indian epics), Vis:n:u defeated the demon Ra¯van:a, who
ment of the avata¯ra theology developed in the Hindu tra-
had brought the world under his sway. After a long exile and
dition.
a heroic battle Ra¯ma defeated Ra¯van:a and became ruler of
New Sources
India. He then instituted a reign of virtue, order, and pros-
Gupta, Shakti M. Vishnu and His Incarnations. Bombay, 1993.
perity that has come to assume in the Hindu tradition the
Krishna, Nanditha. The Book of Vishnu. New Delhi; New York,
place of a golden age. In this avata¯ra Vis:n:u descended to the
2001.
world to set forth a model of ideal kingship that might serve
Miranda, Prashant. Avatar and Incarnation: A Comparative Analy-
as an inspiration for all rulers at all times.
sis, from Dr. S. Radhakrishnan’s Viewpoint. New Delhi, 1990.
As Kr:s:n:a, Vis:n:u descended to the world in order to de-
Parrinder, Edward Geoffrey. Avatar and Incarnation: The Divine
feat the demon Kam:sa, who was oppressing the earth with
in Human Form in the World’s Religions. Oxford; Rockford,
his wickedness, and to ensure the victory of the Pandava
Mass., 1997.
brothers in their war against their cousins, the Kauravas. The
DAVID KINSLEY (1987)
story of this battle is related in the other great Hindu epic,
Revised Bibliography
the Maha¯bha¯rata.
As the Buddha, Vis:n:u acted to delude those who already
AVEMPACE SEE IBN BA¯JJAH
deserved punishment for their bad deeds. Deceived by the
Buddha’s false teachings, these individuals renounced the
Vedas and traditional Hinduism, thus earning punishment
AVERROËS SEE IBN RUSHD
in hell or in inferior births. In a number of later texts, Vis:n:u’s
Buddha avata¯ra is interpreted positively. He is said to have
assumed this form in order to teach nonviolence and gentle-
AVESTA. Only a small part of the Avesta (MPers.,
ness to the world.
Abasta¯g; the name probably means “the Injunction [of
Kalki is the form that Vis:n:u will assume at the end of
Zarathushtra]”), the collection of sacred books of Zoroastri-
this cosmic age. As Kalki he will appear in human form rid-
anism, has come down to us: about three-quarters of the
ing a white horse; he will bring the world to an end, reward
original texts, whose codification dates to the Sasanid period
the virtuous, and punish the wicked.
(third to seventh centuries CE), have been lost. The oldest ex-
So popular did the avata¯ras Ra¯ma and Kr:s:n:a become
tant manuscript is from the thirteenth century.
in medieval Hindu devotion that they assumed for their re-
The oral tradition that has permitted the transmission
spective devotees the position of supreme deity. For Kr:s:n:a
of the texts is therefore very long, especially since significant
devotees, Kr:s:n:a is the highest expression of the divine and
portions of the Avesta go as far back as the first years of the
as such is understood not as an avata¯ra himself but rather
first millennium BCE. This fact, together with the problems
as the source of all avata¯ras. In this context, Vis:n:u is under-
connected with the writing system employed (derived from
stood to be a lesser manifestation of Kr:s:n:a. Similarly, devo-
the Pahlavi alphabet, of Aramaic origin) and with the manu-
tees of Ra¯ma regard him as the highest expression of the
script tradition, means that the study of the Avesta is philo-
divine.
logically among the most difficult and complex.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AVESTA
709
The selection of texts that has survived—first published
star Sirius (8); to Mithra (10); to the fravashis (13); to
by their discoverer, Abraham Hyacinthe Anquetil du Perron,
Verethraghna (14); to Va¯yu (15); and to Khvarenah (19).
in 1771—was apparently primarily determined by liturgical
The Vendidad (v¯ı-da¯evo-da¯ta, “the law abjuring
interests. For the most part, these are the texts that were used
daivas”), the only section that may be an addition to the text,
for religious services during the period in which the manu-
contains, along with mythological parts like the second chap-
script tradition arose, and they are accompanied by Pahlavi
ter dedicated to Yima, the king of the golden age, a detailed
versions. It should be remembered that their language
body of rules for achieving purity. The Hadho¯kht Nask and
(which, being impossible to locate geographically within the
the Aogemada¯echa¯ are texts dealing with events after death
Iranian world beyond a general characterization as eastern
and funeral rites. The other parts are primarily invocations
Iranian, is simply called Avestan) was no longer understood.
and prayers for the various forms, articulations, and require-
Pahlavi versions were, consequently, necessary for an under-
ments of worship services.
standing of the text, which was thus strongly influenced by
a relatively late exegetical tradition (in any case, not earlier
BIBLIOGRAPHY
than the Sasanid period). The compilation must have had to
Editions and Translations of the Avesta or of Its Sections
meet the requirements of the new Zoroastrian state church
Bartholomae, C. Die Gathas des Avesta: Zarathustra’s Verspredig-
to provide—as did the contemporary and rival religions
ten. Strassburg, 1905. Translated by J. H. Moulton in Early
Christianity, Judaism, and Manichaeism—scriptures that
Zoroastrianism (1913; reprint, London, 1972),
would promote the establishment of a solid and rigid ortho-
pp. 343–390.
doxy. Indeed, the process of selection of the scriptures is
Darmesteter, James. The Zend-Avesta, pt. 2, The Sirozahs, Yashts
mentioned explicitly in the Pahlavi literature.
and Nyayesh. Sacred Books of the East, vol. 23. Oxford,
1883; reprint, Delhi, 1965.
The surviving texts are highly varied, both in content
and in language. Several parts of the Yasna are written in a
Darmesteter, James. The Zend-Avesta, pt. 1, The Vend¯ıda¯d. 2d ed.
Sacred Books of the East, vol. 4. Oxford, 1895; reprint,
dialect known as Gathic: the Ga¯tha¯s, the five compositions
Delhi, 1965.
in verse attributed to Zarathushtra (Zoroaster) himself,
which constitute chapters 28–34, 43–46, 47–50, 51, and 53;
Duchesne-Guillemin, Jacques. Zoroastre: Étude critique avec une
traduction commentée des Gâthâ. Paris, 1948. Translated by
the Yasna Haptanha¯iti, or Yasna of the Seven Chapters (35–
Maria Henning as The Hymns of Zarathushtra (London,
41); the three fundamental prayers of Zoroastrianism, Yenhe¯
1952).
Ha¯tam, Ashem Vohu, and Yatha Ahu¯ Vairyo¯ (chap. 27); and
Humbach, Helmut. Die Gathas des Zarathustra. 2 vols. Heidel-
the prayer Airyema Ishyo¯ (chap. 55). The other parts of the
berg, 1959.
Avesta are written in a linguistically later Avestan, more or
Humbach, Helmut. The Ga¯tha¯s and the Other Old Avestan Texts.
less archaic and also more or less correct. They include the
2 vols. Wiesbaden, 1991.
rest of the Yasna and the Nya¯yishn, the Ga¯h, the Yashts,
S¯ıro¯za, A¯fr¯ınaga¯n, Vendidad, N¯ırangista¯n, Hadho¯kht Nask,
Insler, Stanley. The Gathas of Zarathushtra. Acta Iranica, 3d ser.,
vol. 1. Leiden, 1975.
Aogemada¯echa¯.
Kellens, Jean, and Eric Pirart. Les textes vieil-avestiques. 3 vols.
The Yasna is the most important section, and not just
Wiesbaden, 1988–1991.
because the Ga¯tha¯s are inserted in it: these are the seventy-
Lommel, Herman. Die Yäˇst’s des Awesta. Göttingen, 1927.
two chapters recited by the priest during the ceremony of the
Lommel, Herman. Die Gathas des Zarathustra. Edited by Bern-
same name (Yasna, “sacrifice”). Among these is found the
fried Schlerath. Basel, 1971.
Ho¯m Yasht, the hymn to Haoma (chap. 9–11); the Fravara¯n¯e
Mills, L. H. The Zend-Avesta, pt. 3, The Yasna, Visparad, Afrina-
(“I profess”), a confession of faith (chap. 12); and the so-
gan, Gahs and Miscellaneous Fragments. Sacred Books of the
called Baga¯n Yasht, a commentary on the three fundamental
East, vol. 31. Oxford, 1887; reprint, Delhi, 1965.
prayers (chaps. 19–21). But without doubt the most impor-
Smith, Maria W. Studies in the Syntax of the Gathas of
tant part of the Yasna, and the most beautiful part of the
Zarathushtra, Together with Text, Translation and Notes.
whole Avesta, is the Ga¯tha¯s (“songs”) of Zarathushtra. Diffi-
Philadelphia, 1929; reprint, Millwood, N.Y., 1966.
culties of interpretation do not diminish their value: they are
Taraporevala, Irach J. S. The Divine Songs of Zarathushtra. Bom-
the primary source for a knowledge of the doctrines of the
bay, 1951.
prophet. In their literary genre, they are close to the Vedic
hymns and testify to the presence in Iran, as elsewhere, of
Editions and Translations of the Pahlavi Version
Anklesaria, Behramgore Tahmuras, trans. Pahlavi Vendida¯d. Ed-
a tradition of Indo-European sacred poetry.
ited by Dinshah D. Kapadia. Bombay, 1949.
Among the other sections, the Yashts (hymns to various
Dhabhar, Bamanji Nasarvanji, ed. Zand-i Khu¯rtak Avista¯k. Bom-
divinities) deserve special mention. Several of these hymns
bay, 1927.
or prayers are particularly significant in the history of reli-
Dhabhar, Bamanji Nasarvanji, ed. Pahlavi Yasna and Vispered.
gions, as they are the most direct evidence of the new faith’s
Bombay, 1949.
adaptation of the older religious tradition. Especially note-
Jamasp, Hoshang, ed. Vendidâd. Bombay, 1907. Avestan text
worthy are those dedicated to Ana¯hita¯ (5); to Tishtrya, the
with Pahlavi translation, commentary, and glossary.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
710
AVICENNA
Kanga, Ervad Maneck F., ed. Pahlavi Version of Yaˇsts. Bombay,
purus:a, misidentify themselves with vr:ttis, or the wavering
1941.
flux of forms and properties of materiality, through a convo-
Studies of the Transmission, Transliteration, and Oral
luted mix of three ontological aspects (gun:as): the lightness
Tradition
(sattva), motion (rajas), and denseness (tamas) of matter.
Altheim, Franz. Awestische Textgeschichte. Halle, 1949.
Thus arise certain incongruent life-worlds (self, other, and
Bailey, H. W. Zoroastrian Problems in the Ninth-Century Books
spheres) with their related domains of being, causality, time-
(1943). Reprint, Oxford, 1971.
space, motion, mind, askesis, passions, and ends. Avidya¯,
Henning, W. B. “The Disintegration of the Avestic Studies.”
then, is the epistemic foreclosure of access to true conscious-
Transactions of the Philological Society (1942): 40–56.
ness. Yoga attempts to erase this subreptitious affliction
Morgenstierne, G. “Orthography and Sound System in the Aves-
through rigorous ascetic, contemplative, and meditative
ta.” Norsk tidsskrift for sprogvidenskap 12 (1942): 38–82.
praxis, freeing purus:a from avidya¯’s ontological concealment;
set free, the spirit shines in its own effulgence.
Widengren, Geo. “The Problem of the Sassanid Avesta.” In Holy
Book and Holy Tradition, pp. 36–53. Manchester, 1968.
Veda¯nta, on the other hand, proffers a more stringent
General Studies
metaphysical account derived from its fundamental presup-
Christensen, Arthur. Études sur le zoroastrisme de la Perse antique.
position that brahman, the unitary principle underwriting
Copenhagen, 1928.
the universe, is without any trace of distinction and differen-
Gershevitch, Ilya. “Old Iranian Literature.” In Iranistik-Literatur.
tiation. The challenge is then to account for the heteroge-
Leiden, 1968.
neous recognition of differences among selves and entities.
Hoffmann, Karl. “Das Avesta in der Persis.” In Prolegomena to the
At the cosmic level the explanation is given in terms of ma¯ya¯
Sources on the History of Pre-Islamic Central Asia, edited by
(illusion-making); at the phenomenal level it turns on the
J. Harmatta, pp. 89–93. Budapest, 1979.
facticity of conscious experiences. A¯tman (the innermost es-
Hoffmann, Karl, and Johanna Narten. Der sasanidische Arche-
sence of the individual) is one with brahman, and is in its
typus. Wiesbaden, 1989.
essence pure, impersonal consciousness. But our everyday ex-
Kellens, Jean. Zoroastre et l’Avesta ancien. Paris, 1991.
periences in waking, sleep, dream, and deep-sleep states belie
this fact. This can be explained by the assertion that pure
Kellens, Jean. Essays on Zarathustra and Zoroastrianism. Translated
consciousness remains veiled by various adjuncts (upa¯dhis)
and edited by Prods Oktor Skjærvo⁄. Costa Mesa, Calif.,
2000.
and conditionings. For S´an˙kara (788–820 CE), a philosopher
of the Hindu (advaita or non-dualist school) the process itself
Meillet, Antoine. Trois conférences sur les Gâthâ de l’Avesta. Paris,
is more formal (efficient, nimitta) than it is material (as in
1925.
Sa¯m:khya-Yoga); it is the function of adhya¯sa (superimposi-
Schlerath, Bernfried. Avesta-Wörterbuch. 2 vols. Wiesbaden, 1968.
tion or transference). The “subject,” revealed as the content
Schmidt, Rüdiger, comp. Indogermanische Dichtersprache. Darm-
of the “I-notion” (asmatpratyayagocara), and the “object,” re-
stadt, 1968.
vealed as the content of “you” (yus:mat-) or “that,” are as radi-
Stausbert, Michael. Die Religion Zarathustras. Geschichte-Gegen-
cally opposed to each other in nature as darkness is to light,
wart-Rituale, vol. 1. Stuttgart, 2002.
so that neither they nor their attributes can ever be identified
Wesendonk, O. G. von. Die religionsgeschichtliche Bedeutung des
with or transformed into each other.
Yasna Haptanha¯ti. Bonn, 1931.
In regular veridical cognition (jña¯na), perceptual error
GHERARDO GNOLI (1987)
occurs when the mind, in confusion, projects a residual
Translated from Italian by Roger DeGaris
memory of, say, silver, onto an oblique object, such as a sea-
shell, and thinks it to be mother-of-pearl. This epistemic de-
ception and aligned ignorance (ajña¯na) about the other are
AVICENNA S
analogically extended to the metaphysical context to account
EE IBN S¯INA
¯
for the more pervasive and fundamental illusion inherent in
our existential condition. Hence, owing to the superimposi-
tion of spurious concepts upon pure consciousness, the “I-
AVIDYA¯. Avidya¯ is the conceptual starting point of classi-
awareness” tends toward differentiation and identifies itself
cal Indian thinking about the nature of existence. The San-
with “nonconscious entities”; thus: “I am a princess”; “I
skrit term connotes “ignorance,” “false understanding,” or
adorn jeweled mangalsutras”; “I wear a hat.” S´an˙kara frames
“nescience.” There are, broadly, two schools of thought on
this contradiction in terms of the “real” and “unreal,” respec-
its nature: Sa¯m:khya-Yoga and Veda¯nta. Sa¯m:khya locates
tively. The phenomenological result of this projective trans-
avidya¯’s genesis in the proximate association of purus:a (spirit)
ference afflicts all empirical experiences and is described as
with prakr:ti (nature), which results in a sequential evolution
avidya¯. The Vedanta philosopher and theologian Ra¯ma¯nuja
of qualities and substances, from intelligence, embodiment,
(1017–1137) synthesizes S´an˙kara’s clinical purism with
and senses to elemental traces of matter. The ensuing multi-
Sa¯m:khya monadology and Yoga’s pragmatism. He makes a
plicity of “I”-consciousnesses, forgetting the true identity of
distinction between substantive consciousness (dharm-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AVRAHAM BEN DAVID OF POSQUIÈRES
711
¯ıbhu¯tijña¯na) and qualia-consciousness (dharmabhu¯ta-
the palm branch), H:ibbur harshaDot (A manual on the laws
jña¯na). The false predication of the latter on the former is
of agency), and Perush yadayim, is the Ba Ealei ha-nefesh, a
removed through love, devotion, and surrender (with a
careful presentation of the laws of uncleanness and purity.
touch of alchemy); the individual attains higher stages of self-
The last chapter of his Sha Ear ha-qedushah (Gate of holiness)
realization, and ultimately union in Vis:n:u as ma¯ya¯-embodied
is an ethical-homiletical disquisition that formulates and an-
brahman.
alyzes the moral norms and religious attitudes that enable
Later Veda¯nta scholastics pondered the ontological sta-
one to achieve self-control in sexual matters and attain purity
tus of avidya¯: on the one hand, if it were “real” then it would
of heart and action.
compete with the primeval Word (S´abdabrahman), which is
Avraham ben David is referred to as the ba Eal hassagot
prior even to manifest consciousness, thereby compromising
(“author of the glosses”) because of the critical scholia and
a¯tman/brahman’s singular uniqueness; on the other hand, if
animadversions that he composed toward the end of his life
it were “unreal” it would lack any efficiency and would stand
on the Halakhot of Yitsh:aq ben YaEaqov Alfasi, the Sefer ha-
to be conceptually sublated. This dilemma was resolved by
ma Dor of Zerah:yah ha-Levi, and especially the Mishneh Torah
the argument that a higher, second-order witness-
of Maimonides. These glosses combine criticism and com-
consciousness (´saks:in-dharm¯ıbhu¯ta-cit) persists in and
mentary; they are not exclusively polemical, and their polem-
through all levels of experience, unblemished by avidya¯.
ical emphasis varies in intensity and acuity. Hassagot, a wide-
Hence, avidya¯ is described as anirvacan¯ıya, the inexplicable
ranging form of writing based on a firm premise and finely
remainder of that which is “neither real nor unreal.” Avidya¯
honed polemical skill, are refined by Avraham ben David
then becomes a sui generis ontological category, like that of
and his Provençal contemporaries into an expressive genre
the “Sublime,” as the unexceptional precondition for all phe-
of pointed, precise, and persuasive critique. This genre
nomenal experience.
played an important role in the preservation of the spirit
of criticism and intellectual freedom so central to rabbinic
SEE ALSO Ma¯ya¯; Prakr:ti; Ra¯ma¯nuja; S´an˙kara; Veda¯nta.
literature.
BIBLIOGRAPHY
Beyond his literary creations, Avraham ben David con-
Arapura, J. G. “Ma¯ya¯ and the Discourse about Brahman.” In The
tributed significantly to the development of a critical-
Problem of Two Truths in Buddhism and Veda¯nta, edited by
conceptual approach to Talmudic literature that sought to
Mervyn Sprung, pp. 109–121. Dordrecht, Netherlands,
define with rigor and precision complex concepts discussed
1973.
fragmentarily in numerous, unrelated sections of the Tal-
Ra¯ma¯nuja. S´r¯ıbha¯s:ya. Translated by M. Rangacharya et al. Delhi,
mud. Many of his interpretations and innovations were en-
1988.
dorsed and transmitted by subsequent generations of Tal-
Rao, Srinivasa. Perceptual Error: The Indian Theories. Honolulu,
mudists and incorporated into standard works of Jewish law.
1988.
During the lifetime of Avraham ben David the centers
S´an˙kara. Brahmasu¯trabha¯s:ya, vol. 1. Rev. ed. Madras, India, 1981.
of rabbinic learning in southern France provided a home for
Sarasvati, Madhusu¯dana. Advaitasiddhi. Edited by D. Srinivasa-
the transplanted philosophic-scientific-ethical literature of
char and G. Venkatanaraimha Sastri. Mysore, 1933.
Spanish Jews. At this time, an undercurrent of mystical spec-
PURUSHOTTAMA BILIMORIA (2005)
ulation began to emerge that was to find its expression in me-
dieval qabbalistic literature. Avraham ben David was in-
volved in both these developments. He encouraged and
benefited from this newly translated philosophical literature,
AVRAHAM BEN DAVID OF POSQUIÈRES
and his own writing reflects some traces of philosophy and
(c. 1125–1198), known by the acronym RaDABaD (Rabbi
philology in the use of terms, phrases, and concepts from this
Avraham ben David). Avraham ben David is best known for
new literary phenomenon. He is described by later qabbalists
his original and versatile contributions to the literature of
(e.g., Yitsh:aq of Acre, Shem T:ov ben GaDon, and Menah:em
halakhah. He composed commentaries on various types of
Recanati, and others from the school of Moses Nahmanides
Talmudic literature: on the Mishnah (e.g., EEduyyot and
and Shelomoh ben Avraham Adret) as one of the fathers of
Qinnim); on the Talmud (e.g., EAvodah Zarah and BavaD
qabbalistic literature. This is supported by references in the
Qamma D); and on halakhic midrashim (e.g., SifraD). Further
writings of RaDabad’s son, Yitsh:aq the Blind, and Yitsh:aq’s
works include responsa (Heb., teshuvot, decisions concerning
nephew, Asher. They depicted him as a mystic who was wor-
the interpretation of application of the law), which reveal his
thy of receiving special revelations and who actually did re-
character and method; homiletic discourses (e.g., Derashah
ceive them. In the absence of explicitly qabbalistic statements
le-Ro Dsh ha-Shanah); codes of rabbinic law; and critical anno-
in Avraham ben David’s own works, our knowledge of his
tations or glosses (hassagot) on standard works of rabbinic
use of doctrines and symbolism of Qabbalah depends on pas-
literature.
sages quoted by others in his name. These deal with mystical
The most important and influential of Avraham ben
meditations during prayer (kavvanot) and the doctrine of the
David’s codes, which include Hilkhot lulav (Laws concerning
ten sefirot, and they reveal an acquaintance with early
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
712
AVVAKUM
Heikhalot terminology and its fusion with contemporary
firmed the existence of the Russian church schism, which was
philosophic vocabulary.
to have a decisive influence on the ordering of Russian soci-
ety over the centuries to come. Avvakum was sent to the arc-
BIBLIOGRAPHY
tic outpost of Pustozersk from which he and his companions
Abramson, Sheraga. “Sifrei halakhot shel ha-RaDabad.” Tarbiz 36
issued tracts and letters. More important than these was Av-
(December 1966): 158–179.
vakum’s apologetic autobiography composed in 1672 to
Gross, H. “R. Abraham b. David aus Posquières.” Monatsschrift
1673. It is a masterpiece of Russian literature and one of Eu-
für Geschichte und Wissenschaft des Judenthums 22 (1873):
rope’s great confessional texts.
337–344, 398–407, 446–459; 23 (1874): 19–29, 76–85,
The accession of a new patriarch of Moscow (Joachim)
164–182, 275–276.
was probably a decisive factor in taking the state’s campaign
Twersky, Isadore. Rabad of Posquières: A Twelfth-Century Talmud-
against the Old Believers a stage further, and Avvakum, to-
ist. Rev. ed. Philadelphia, 1980. Includes a complete bibliog-
gether with his three companions, was sent to the stake in
raphy.
April 1682. Avvakum had persuasively presented himself as
New Sources
confessor and prophet in defense of the sacred Orthodox her-
Mutius, Hans-Georg von. “Eine nichtmasoretische Vokalisierung
itage delivered to Moscow, the “third Rome,” and he is re-
im masoretischen Konsonantentext von Jeremia 9,18 bei
membered as a martyr of the old faith.
Abraham Ben David von Posquières (12. Jrh.).” Biblische
Notizen 100 (1999): 22–26.
B
Soloveitchik, Haym. “History of Halakhah—Methodological Is-
IBLIOGRAPHY
Avvakum’s autobiography has been reedited from the manuscript
sues: A Review Essay of I. Twersky’s ‘Rabad of Posquières’
by Andrei N. Robinson, Zhizneopisaniia Avvakuma i Epi-
[1962, rev. ed. 1980].” Jewish History 5 (1991): 75–124.
faniia (Moscow, 1963). The most scholarly edition and
Trigano, Shmuel L. “Intention d’amour—les Maîtres de l’âme, de
translation of the text in a Western European language is by
Rabbi Abraham ben David: un guide matrimonial en Lan-
Pierre Pascal, La vie de l’archiprêtre Avvakum écrite par lui-
guedoc au XIIe siècle.” Pardes 1 (1985): 149–172.
même, 2d ed. (Paris, 1960). Even so, Robinson utters words
I
of caution about the redaction on which the translation is
SADORE TWERSKY (1987)
Revised Bibliography
based. It was also Pascal who provided a magnificent treat-
ment of Avvakum and his times in Avvakum et les débuts du
Raskol: La crise religieuse au dix-septième siècle en Russie, 2d
ed. (Paris, 1963).
AVVAKUM (1620/1–1682), Russian Orthodox arch-
SERGEI HACKEL (1987)
priest; founding father of the Old Believers; martyr. Av-
vakum was ordained to the priesthood at the age of twenty-
two, serving in the area of Nizhni Novgorod; eight years later
he was promoted to be archpriest. By then he had amply
AXIS MUNDI, the “hub” or “axis” of the universe, is
demonstrated his zeal as a reformer. Following in the wake
a technical term used in the study of the history of religions.
of the Muscovite “God-seekers,” an influential group of
It comprises at least three levels of reference: the images
scholarly zealots, he sought to revive liturgical life and public
themselves, their function and meaning, and the experiences
morality. The resentment which this provoked led to his dis-
associated with them.
placement and his first visit to Moscow (1652). There he was
Vivid images of the axis of the universe vary widely,
welcomed by the leading God-seekers and introduced to the
since they depend on the particular worldview entertained
tsar.
by a specific culture. Foremost among the images designated
The election of Nikon as patriarch of Moscow later that
by the term axis mundi is the cosmic mountain, a sacred
year promised to confirm and revitalize the God-seekers’ re-
place deemed to be the highest point of the universe and per-
forms. However, Nikon proceeded arbitrarily to reform li-
haps identified with the center of the world and the place
turgical phraseology and practice, particularly concerning
where creation first began. Well-known examples of the cos-
the sign of the cross. Avvakum vociferously objected to these
mic mountain are Mount Meru of South Asian cosmology,
reforms, which he saw as a challenge to the true faith. For
Haraberazaiti of Iranian tradition, and Himinbjörg of Scan-
if even minor rituals were to change, the whole edifice of re-
dinavian mythology.
lated doctrine would be undermined. He was arrested and
The cosmic tree, at whose top abides the celestial divini-
exiled to Siberia (1653). After many tribulations he was per-
ty, is another frequent image standing for the axis of the
mitted to return to Moscow (1664), but his insistence on the
world. The roots of such a tree may sink into the under-
validity and importance of the pre-Nikonian liturgical norms
worlds, while its branches traverse the multiple world planes.
led to renewed exile.
At the center of the classical Maya vision of the world stood
Avvakum and his companions were brought back to
Yaxche, the “first tree,” the “green tree,” whose place marked
Moscow and anathematized at a church council of 1666–
the center of all meaningful directions and colors of the uni-
1667; he in turn anathematized the council. Thus was con-
verse.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
A¯YURVEDA
713
A cosmic pillar may also serve as an axis mundi. Such
SEE ALSO Architecture; Mountains; Trees.
is the case with the Delaware (Lenape) Indians and other
Eastern Woodland peoples of North America. The center
BIBLIOGRAPHY
post of their ceremonial cult house supports the sky and pass-
For a wide-ranging discussion of the general concept of axis
es into the very hand of the celestial deity. The Milky Way
mundi, see Mircea Eliade’s Patterns in Comparative Religion
is often viewed as another form of cosmic pillar that supports
(New York, 1958), pp. 367–387, which concern the “center
the heavens and connects them with earth.
of the world,” and pp. 265–303, which treat the question of
the axis mundi manifest as cosmic tree. See also Eliade’s The
Many other images fall under the designation axis
Sacred and the Profane: The Nature of Religion (New York,
mundi because they share in the symbolic meaning represent-
1959), pp. 20–67, and Images and Symbols: Studies in Reli-
ed by a cosmic mountain, tree, or pillar that joins heaven,
gious Symbolism (New York, 1961), pp. 27–56, which pro-
earth, and underworld. This category includes cities, espe-
vide bibliographies tracing the history of this concept in
cially imperial capitals deemed “heavenly” sites by virtue of
scholarly study of religion.
proximity to the divine realm; palaces or temples that contin-
For contemporary studies representing investigations of specific
ue the imagery of the cosmic mountain (e.g., the Babylonian
aspects of axis mundi, the following may serve as illustrations:
ziggurat); vines or ropes that pass from heaven to earth; and
for the image of mountain, I. W. Mabbett’s “The Symbolism
sacred ladders such as the seven-rung ladder, described by
of Mount Meru,” History of Religions 23 (August 1983): 64–
Origen, that brings the candidate in the cult of Mithra
83; for cosmic tree, Y. T. Hosoi’s “The Sacred Tree in Japa-
through the seven heavens.
nese Prehistory,” History of Religions 16 (November 1976):
95–119; as a city, Werner Müller’s Die heilige Stadt (Stutt-
None of these images has a static function. They are all
gart, 1961) and Paul Wheatley’s The Pivot of the Four Quar-
places of active passage and transition. As places of dynamic
ters: A Preliminary Enquiry into the Origins and Character of
union where beings of quite different natures come together
the Ancient Chinese City (Chicago, 1971), esp. pp. 411–476.
or pass into one another, the images of axis mundi may be
For an examination of the temple as place of union of beings
associated with the coincidence of opposites—that is, the res-
and manifestation of sacred presence, see David Dean Shul-
olution of contradictions by their progress onto a more spiri-
man’s Tamil Temple Myths (Princeton, 1980).
tual plane.
For a consideration of the liturgical function of sacred geography
and spatial images when seen as expressions of being, see
Because the axis mundi serves as the locus where cosmic
Kees W. Bolle’s “Speaking of a Place,” in Myths and Symbols,
regions intersect and where the universe of being is accessible
edited by Joseph M. Kitagawa and Charles H. Long (Chica-
in all its dimensions, the hub of the universe is held to be
go, 1969), pp. 127–140.
a place sacred above all others. It defines reality, for it marks
New Sources
the place where being is most fully manifest. This connection
Feuerstein, Georg, Subhash Kak, and David Frawley. In Search of
of the axis mundi with the full manifestation of being is often
the Cradle of Civilization. Wheaton, Ill., 1995.
expressed as an association with the supreme being to whom
the axis provides access. This axis mundi is often traversed
Michell, John, and Christine Rhone. Twelve-Tribe Nations and the
Science of Enchanting the Landscape. Grand Rapids, Mich.,
and its heights attained in a state of ecstasy brought about
1991.
by spiritual techniques. Hence the term axis mundi implies
an intersection of planes through which transcendence to
Schama, Simon. Landscape and Memory. New York, 1995.
other kinds of being may be achieved.
LAWRENCE E. SULLIVAN (1987)
Revised Bibliography
There is a tendency to replicate the image of the axis
mundi in multiple forms. Such is the case with the cross—the
cosmic tree of Christianity. Re-creating the image of the axis
mundi in the form of village sites, house plans, ritual furnish-
A¯YURVEDA. The traditional Hindu system of medicine
ings, personal ornaments, and even kitchen items tends to
widely practiced in India, A¯yurveda is based on authoritative
identify the universe as a whole with the fullness of being
treatises written in Sanskrit over approximately the past two
characteristic of action at that sacred place. It ensures that
millennia. Three major classical medical systems have flour-
contact with the fullness of reality is everywhere possible. As
ished on the Indian subcontinent: A¯yurveda among Hindus,
a result, the meaning and function of the axis mundi rest not
Yuna¯n¯ı among Muslims, and Siddha among Tamils in
in abstract and geometrical concepts alone but in everyday
South India. Their reliance on elaborate textual traditions
gestures that can effect the same transcendence.
distinguish these three systems from the assorted medical
All these symbols imply a particular quality of experi-
practices offered by astrologers, exorcists, priests, snakebite
ence. The symbols of axis mundi are ambivalent: on the one
specialists, and kindred healers in the context of diverse folk
hand, they connect realms of being but on the other hand
traditions. In general, folk practices are associated with a
they emphasize the distance between such realms. In short,
magico-religious understanding of illness, whereas A¯yurveda
they point to the need for a rupture of planes of existence,
is associated with an understanding of illness that refers to
for experience of an order quite different from that of the or-
the balance of three physiological principles suggestive of, yet
dinary world.
distinct from, the Galenic humors. Such boundaries delimit-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
714
A¯YURVEDA
ing classical and folk traditions are not absolute, however,
injuries, poisons, and supernatural agencies. Some early
and humoral concepts pervade many folk practices just as
Ayurvedic passages employ references to these supernatural
magico-religious considerations have at times played a signif-
agencies as technical terms in order to develop meaningful
icant role in the practice of A¯yurveda.
diagnostic concepts while explicitly denying a supernatural
conceptual frame of reference (see, for example, Caraka
TEXTS. Major traditions evolving in the context of Hindu-
Sam:hita¯ 2.7.19–23). Other passages refer to demonic posses-
ism frequently trace their roots to one of the four Vedic
sion as it is more popularly understood. Specific classes of
Sam:hita¯s, the earliest canonical texts, and A¯yurveda is associ-
demons and deities, generically referred to as bhu¯tas, serve
ated with the Atharvaveda. While all four Vedas demonstrate
as paradigms for a range of character types and categories of
at least a peripheral concern for medical issues, they do so
mental disorder based on the well-known traits of devas,
in the context of a decidedly supernatural worldview. At this
gandharvas, ra¯ks:asas, pi´sa¯cas, and others.
early stage one finds barely a hint of the later humoral physi-
ology among the charms, prayers, and propitiatory rites sug-
Therapy according to Ayurvedic principles is based on
gested for the relief of specified ailments frequently attribut-
the premise that a humoral imbalance must be corrected by
ed to demons.
either pacifying or eliminating the excited humor. This is ac-
complished with preparations of herbs, animal products, and
The tradition of A¯yurveda holds that the medical doc-
heavy metals; decoctions in clarified butter (gh¯ı); dietary ad-
trine was revealed through a series of deities and sages to
justments; or by other means. One type of treatment de-
human physicians who in turn composed the basic texts. Ac-
scribed in the early texts that became especially popular in
cording to the Su´sruta Sam:hita¯, the doctrine passed from
South India is pañcakarma; it involves emesis, purgation,
Indra, chief among the gods, to Dhanvantari, who has come
sternutation, medicinal enema, and phlebotomy. Surgery is
to be regarded as the Hindu god of medicine, and then to
emphasized in the Su´sruta Sam:hita¯. The texts also specify rit-
Su´sruta himself, who composed this treatise. The Caraka
ual offerings, the recitation of sacred formulas (mantras), and
Sam:hita¯s states that the doctrine passed to the sage A¯treya
other ritual procedures.
Punarvasu, who trained a disciple named Agnive´sa, author
M
of the Agnive´sa Tantra (an Ayurvedic, not a Tantric, text).
EDICAL AND SOTERIOLOGICAL PLURALISM. The humoral
theory of tridos:a appears to have remained dominant
When this text subsequently fell into disrepair, it was partial-
throughout the course of development of the Ayurvedic tra-
ly restored first by Caraka and later by Dr:d:habala. Both the
dition. In contrast, perhaps due in part to the growing influ-
Caraka Sam:hita¯, as revised by Caraka, and the Su´sruta
ence of Tantra—the ritualization of otherwise socially unac-
Sam:hita¯ are believed to have been written during the first
ceptable practices—in the culture at large from the middle
three hundred years CE, and the redaction by Dr:d:habala is
of the first millennium
thought to have been made in approximately 500
CE, later Ayurvedic texts pay in-
CE. It is
creased attention to magico-religious concepts and interven-
widely accepted that these texts are based on a medical doc-
tions that resonated with strains not only of Tantric litera-
trine that was followed for at least several centuries before it
ture but of the mystical aspects of Vedic literature as well.
was committed to writing, and some scholars claim that the
The number of classes of supernatural beings (bhu¯tas) associ-
tradition extends back several millennia, although this asser-
ated with insanity steadily grew from eight in Caraka and
tion is disputed by many Indologists. Other major texts in-
Su´sruta to twenty in the thirteenth-century text S´a¯rn˙gadhara
clude the As:t:a¯n˙gahr:daya Sam:hita¯ of Vagbhata from approxi-
Sam:hita¯ (1.7.38–39).
mately 600 CE, Ma¯dhavanida¯na of Ma¯dhava from
approximately 700 CE, and Bhela Sam:hita¯, which may have
To the extent that this conceptual shift from a secular
been contemporaneous with the Agnive´sa Tantra and hence
humoral theory toward a supernatural orientation is manifest
is the oldest surviving text. The most often cited of these
in the later Ayurvedic compositions, it signifies a reaffirma-
treatises are Caraka, Su´sruta, and Va¯gbhat:a, collectively
tion of certain aspects of the distinctly different worldview
known as “the great three” (br:hat tray¯ı).
of the Atharvaveda, with which the mechanistic physiological
theory of tridos:a had made a definite break at an early stage
THEORY OF DISEASE AND TREATMENT. According to
in the development of A¯yurveda. In the twentieth century,
A¯yurveda, most sickness results from an imbalance of one or
competition with Western-styled cosmopolitan medicine
more of three humors (tridos:a): wind (va¯ta), bile (pitta), and
may have led some advocates of A¯yurveda to ignore magico-
phlegm (kapha). A patient’s illness is determined by the char-
religious aspects persisting in the tradition in favor of the sys-
acter of the particular disease (vya¯dhi), which is dependent
tematic principles of the tridos:a doctrine, and at the same
on both the deranged humor and the body substance (dha¯tu,
time to focus on the issue of clinical efficacy of Ayurvedic
e.g., blood, flesh, fat, bone, etc.) or anatomical part that is
therapies rather than the validity of the underlying humoral
affected. Such factors as dietary imbalance, physical and
theory of other theoretical premises.
emotional stresses, suppression of natural urges, or the effects
of deeds in a previous life (karmavipa¯ka) are said to cause the
Hybrid ideologies that have emerged in the medically
deranged humoral balance in a particular disease or subtype.
pluralistic setting of India presently complicate any analysis
Although this tridos:a theory has been emphasized, a number
of the relationship between A¯yurveda and other therapeutic
of independent external factors are also recognized, including
options, both Western-styled and indigenous, since each sys-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
AZTEC RELIGION
715
tem exerts some influence on the evolving conceptualizations
Secondary Sources
of the others. Historically, A¯yurveda has also stood in a com-
The classic survey by Julius Jolly, Medicin (Strassburg, 1901), has
plex relationship with coexisting traditions in its cultural
been translated by C. G. Kashikar as Indian Medicine, 2d ed.
context. However, it may be stated generally that healing is
(Delhi, 1977), and it remains a useful source for access to a
emphasized in A¯yurveda, whereas other Hindu traditions
range of texts on a given topic. The Ayurvedic tradition with
reference to its context in the Vedic literature and its rela-
such as Tantra, Yoga, and Indian alchemy (rasavidya¯), which
tionship to Greek medicine has been analyzed by Jean Fil-
are primarily concerned with spiritual attainments, have
liozat in La doctrine classique de la médecine indienne: Ses ori-
overlapping objectives. Anatomical and physiological princi-
gines et ses parallèles grecs (Paris, 1949), translated by Dev Raj
ples provide a framework in A¯yurveda for understanding
Chanana as The Classical Doctrine of Indian Medicine: Its Or-
sickness and health in the physical body, but in Tantra and
igins and Its Greek Parallels (Delhi, 1964). Asian Medical Sys-
Yoga provide a framework for understanding the mystical
tems: A Comparative Study, edited by Charles Leslie (Berke-
path leading to the attainment of spiritual objectives. Simi-
ley, 1976), contains several noteworthy articles on various
larly, although Indian alchemy was concerned with the use
aspects of the Ayurvedic tradition, including A. L. Bash-am’s
of preparations of mercury, other heavy metals, and herbs to
survey of the social history of medicine during the classical
restore youth and promote health, such motives were sec-
period, “The Practice of Medicine in Ancient and Medieval
ondary to the primary goal of liberation of the spirit.
India,” pp. 18–43, and Charles Leslie’s essay on the modern-
ization of Ayurvedic institutions through the nineteenth and
A number of philosophical concepts are specified in the
twentieth centuries, “Ambiguities of Revivalism in Modern
Ayurvedic texts, referring to ideas more fully developed in
India,” pp. 356–367. Yoga, Tantra, and Indian alchemy are
the orthodox systems of Hindu philosophy, mainly
discussed in contrast to the objectives of “utilitarian medi-
Sa¯m:khya, but also Nya¯ya-Vai´ses:ika and the rest. Social and
cine” in Mircea Eliade’s Yoga: Immortality and Freedom, 2d
ethical issues are also considered. Medical students are in-
ed. (Princeton, 1969). A comprehensive study of Indian
structed to pledge diligence and purity, in accordance with
chemistry and its roots in alchemy, tracing its development
from pre-Harappan times through Vedic, Ayurvedic, and
the traditional values guiding students of the Veda, as they
Tantric epochs, can be found in History of Chemistry in An-
commence training under a guru after a prescribed initiation
cient and Medieval India, edited by Priyadaranjan Ray (Cal-
ceremony. Professional standards for physicians are advocat-
cutta, 1956).
ed not only in medical treatises but in other Sanskrit treatises
as well, especially in the N¯ıti´sa¯stra and Dharma´sa¯stra texts
New Sources
on polity and Hindu law.
Fields, Gregory P. Religious Therapeutics: Body and Health in Yoga,
Ayurveda, and Tantra. Albany, 2001.
SEE ALSO Healing and Medicine, article on Healing and
Kulkarni, P. H. Ayurveda Therapeutics. Delhi, 2001.
Medicine in A¯yurveda and South Asia.
Zysk, Jenneth G. Asceticism and Healing in Ancient India: Medi-
cine in the Buddhist Monastery. New York, 1991.
BIBLIOGRAPHY
MITCHELL G. WEISS (1987)
Primary Sources
Revised Bibliography
Translations of several Ayurvedic classics are available. The Caraka
Sam:hita, 6 vols., prepared by the Shree Gulabkunverba
Ayurvedic Society (Jamnagar, 1949), contains the Sanskrit
text, translations into English, Hindi, and Gujarati, and an
AZTEC RELIGION developed in the capital city of
introductory volume. Caraka-Sam:hita¯: Agnive´sa’s Treatise
Tenochtitlán in the Valley of Mexico between the fourteenth
Refined and Annotated by Caraka and Redacted by Dr:d:habala,
and sixteenth centuries CE. The Aztec religious tradition
2 vols. (Varanasi, 1981–1983), is a critical edition and trans-
combined and transformed a number of ritual, mythic, and
lation prepared by R. K. Sharma to facilitate further study
cosmic elements from the heterogeneous cultural groups
of the text and its commentaries. The Sushruta Samhita,
who inhabited the central plateau of Mesoamerica. Seldom
translated by Kaviraj Kunjalal Bishagratna (Calcutta, 1907–
has a capital city fit the category of “center of the world”
1916) has been reprinted (Varanasi, 1963), but it appears to
more completely than Tenochtitlán: the high plateau of
be based on a Sanskrit text that varies somewhat from current
Mexico is roughly the center of Mesoamerica; the Valley of
printed editions. While only the first five chapters of
Va¯gbhat:a’s As:t:a¯n˙gahr:dayasam:hita¯ have been translated into
Mexico is the heart of that plateau; interconnected lakes
English from the Tibetan version by Claus Vogel (Weisba-
formed the center of the valley; and Tenochtitlán was con-
den, 1965), printed with the Tibetan and Sanskrit text, there
structed near the center of the lakes.
is a complete translation in German by Luise Hilgenberg and
Mexico’s central highlands had been the dominant cul-
Willibald Kirfel: Va¯gbhat:a’s As:t:a¯n˙gahr:dayasam:hita¯: Ein al-
tural region of central Mesoamerica since the beginning of
tindisches Lehrbuch der Heilkunde (Leiden, 1941). The work
by G. J. Meulenbeld, The Ma¯dhavanida¯na and Its Chief
the common era, when the great imperial capital of Teoti-
Commentary: Chapters 1–10 (Leiden, 1974), is the only En-
huacán (“abode of the gods”) had been established thirty
glish translation to provide both an Ayurvedic text and com-
miles north of where Tenochtitlán would later rise. Like Te-
mentary, and it also contains useful appendices. Sanskrit edi-
nochtitlán, Teotihuacán was organized into four great quar-
tions of all the major texts are available.
ters around a massive ceremonial center. Scholars and ar-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
716
AZTEC RELIGION
chaeologists have theorized that the four-quartered city was
combination of these sources that the complex character of
a massive spatial symbol for the major cosmological concep-
Aztec religion can be discerned.
tions of Aztec religion. In many respects, the cultural and re-
COSMOGONY AND COSMOLOGY. The general attitude to-
ligious patterns of Teotihuacán laid the groundwork for all
ward the Aztec position in the cosmos is made clear in a poet-
later developments in and around the Valley of Mexico. The
ic fragment about the capital that states:
mythologies of successive cultures—the Toltec and the Aztec
most prominent among them—looked back to Teotihuacán
Proud of Itself Is the city of México-Tenochtitlán Here
no one fears to die in war This is our glory This is your
as their symbolic place of origin and as the source for the le-
Command Oh Giver of Life Have this in mind, oh
gitimacy of their political authority.
princes Who would conquer Tenochtitlán? Who could
Between 1300 and 1521 all roads of central Mesoameri-
shake the foundation of heaven? (Miguel León-Portilla,
ca led into the lake region of the valley from which the mag-
Pre-Columbian Literatures of Mexico, 1968, p. 87)
nificent capital of the Aztec arose. When the Aztec’s precur-
The image of the capital city as the foundation of heaven,
sors, the Chichimec (“dog lineage”; lit., “dog rope”)
which the Aztec conceived of as a vertical column of thirteen
migrated into the region in the thirteenth century, the valley
layers extending above the earth, points to the cosmological
was held by warring city-states constantly competing for land
conviction underpinning Aztec religion that there existed a
and tribute. This fragmented world was partly the result of
profound correspondence between the sacred forces in the
the twelfth-century collapse of the northern Toltec empire
universe and the social world of the Aztec empire. This corre-
centered at the illustrious capital of Tollan (“place of reeds”).
spondence between the cosmic structure and the political
The Toltec collapse brought waves of Chichimec and Toltec
state was anchored in the capital of Tenochtitlán.
remnants into the Valley of Mexico, where they interacted
In his important summary of religion in pre-Hispanic
with different city-states and religious traditions.
central Mexico, H. B. Nicholson (1971) outlines the “basic
The basic settlement of central Mexico from Teotihua-
cosmological sequential pattern” of the Aztec cosmogony
cán times was the tlatocayotl, or city-state, which consisted
found in the myths and historical accounts associated with
of a capital city surrounded by dependent communities that
the Méxica. A summary view reveals that Aztec life unfolded
worked the agricultural lands, paid tribute, and performed
in a cosmic setting that was dynamic, unstable, and finally
services for the elite classes in the capital according to various
destructive. Even though the cosmic order fluctuated be-
ritual calendars and cosmological patterns. Occasionally one
tween periods of stability and periods of chaos, the emphasis
city-state would grow to large proportions and establish
in many myths and historical accounts is on the destructive
widespread territorial control and integration into some
forces which repeatedly overcame the ages of the universe,
form of tributary empire. Around 1325, a Chichimec group
divine society, and the cities of the past.
who called themselves Méxica settled Tenochtitlán and with-
This dynamic universe appears in the sixteenth-century
in a hundred years had organized a political unit with the
prose accounts Historia de los Mexicanos por sus pinturas and
power to dominate an expanding number of cities and towns
the Leyenda de los soles. In the former, the universe is arranged
in the central valley.
in a rapid, orderly fashion after the dual creative divinity,
One of the major problems in the study of Aztec reli-
Ometeotl, dwelling in Omeyocan (“place of duality”) at the
gion is the fragmentary nature of the pictorial, written, and
thirteenth level of heaven, generates four children, the Red
archaeological sources associated with Tenochtitlán. The
Tezcatlipoca (“smoking mirror”), the Black Tezcatlipoca,
Spanish military conquest of Mexico was accompanied by a
Quetzalcoatl (“plumed serpent”), and Huitzilopochtli
sustained campaign to eliminate Aztec symbols, images, scr-
(“hummingbird on the left”). They all exist without move-
eenfolds, and ceremonial buildings, as well as members of the
ment for six hundred years, whereupon the four children as-
military and priestly elites. Surprisingly, a counter attitude
semble “to arrange what was to be done and to establish the
developed among certain Spanish officials and priests, who
law to be followed.” Quetzalcoatl and Huitzilopochtli ar-
collected indigenous documents and organized their repro-
range the universe and create fire, half of the sun (“not fully
duction in order to enhance missionary work and inform
lighted but a little”), the human race, and the calendar.
Spanish officials about native religion and life. The result is
Then, the four brothers create water and its divine beings.
a spectrum of sources including art and architecture; pre-
Following this rapid and full arrangement, the sources
Columbian screenfolds depicting the ritual, divinitory, his-
focus on a series of mythic events that constitute a sacred his-
torical, and genealogical traditions of different cities; post-
tory. Throughout this sacred history, the dynamic instability
Conquest codices sometimes accompanied by Spanish com-
of the Aztec universe is revealed. The universe passes through
mentary; prose sources dependent on indigenous pictorial
four eras, called “Suns.” Each age was presided over by one
and oral traditions; histories written by descendants of Aztec
of the great gods, and each was named for the day (day num-
royalty; Spanish eyewitness accounts; and large histories and
ber and day name) within the calendrical cycle on which the
ritual descriptions by Spanish priests such as Diego Durán,
age began (which is also the name of the force that destroys
Toribio Motolinía, and Bernardino de Sahagún, who vigor-
that Sun). The first four Suns were called, respectively, 4 Jag-
ously researched Aztec religion. It is only through a skillful
uar, 4 Wind, 4 Rain (or 4 Rain of Fire), and 4 Water. 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
AZTEC RELIGION
717
name of the fifth (and last) cosmic age, 4 Movement, au-
(“navel of the earth”), stood Tenochtitlán, from which ex-
gured the earthquakes that would inevitably destroy the
tended the four quadrants called nauchampa, meaning “the
world.
four directions of the wind.” The waters surrounding the in-
habited land were called ilhuicatl, the celestial water that ex-
The creation of this final age, the one in which the Aztec
tended upward to merge with the lowest levels of the thirteen
lived, took place around a divine fire in the darkness on the
heavens. Below the earth were nine levels of the underworld,
mythical plain of Teotihuacán (to be distinguished from the
conceived of as “hazard stations” for the souls of the dead,
actual city of that same name). According to the version of
who, aided by magical charms buried with the bodies, were
this story reported in Fray Bernardino de Sahagún’s Historia
assisted in their quests for eternal peace at the lowest level,
general de las cosas de la Nueva España (compiled 1569–1582;
called Mictlan, the land of the dead.
also known as the Florentine Codex), an assembly of gods
chose two of their group, Nanahuatzin and Tecuciztecatl, to
The Mesoamerican pattern of quadrapartition around
cast themselves into the fire in order to create the new cosmic
a center was a pervasive organizing principle of Aztec reli-
age. Following their self-sacrifice, dawn appears in all direc-
gion. It was used in the Aztec conceptions of temporal order
tions, but the Sun does not rise above the horizon. In confu-
as depicted in the famous Calendar Stone, where the four
sion, different deities face in various directions in expectation
past ages of the universe are arranged in orderly fashion
of the sunrise. Quetzalcoatl faces east and from there the Sun
around the fifth or central age. Recent research has shown
blazes forth but sways from side to side without climbing in
that this same spatial model was used to organize the celestial
the sky. In this cosmic crisis, it is decided that all the gods
order of numerous deity clusters, the architectural design of
must die at the sacrificial hand of Ecatl, who dispatches them
palatial structures, the collection of economic tribute in the
by cutting their throats. Even this massive sacrifice does not
empire, and the ordering of major ceremonial precincts.
move the Sun until the wind god literally blows it into mo-
tion. These combined cosmogonic episodes demonstrate the
THE PANTHEON. One of the most striking characteristics of
fundamental Aztec conviction that the world is unstable and
the surviving screenfolds, which present ritual and divinatory
that it draws its energy from massive sacrifices by the gods.
information, is the incredible array of deities who animated
Large-scale sacrifice became a basic pattern in Aztec religion,
the ancient Mesoamerican world. Likewise, the remaining
a ritual means of imposing or maintaining social and cosmo-
sculpture and the sixteenth-century prose accounts of Aztec
logical order.
Mexico present us with a pantheon so crowded that H. B.
Nicholson’s authoritative study of Aztec religion includes a
With the creation of the Fifth Sun, the focus of the sa-
list of more than sixty distinct and interrelated names. Schol-
cred history shifts from heaven to earth, where agriculture
arly analysis of these many deities suggests that virtually all
is discovered and human sacrifice is established as the proper
aspects of existence were considered inherently sacred and
ritual response to the requirements of the gods. In one ac-
that these deities were expressions of a numinous quality that
count, Quetzalcoatl, as a black ant, travels to Sustenance
permeated the “real” world. Aztec references to numinous
Mountain with a red ant where they acquire maize for
forces, expressed in the Nahuatl word teotl, were always
human beings. Other accounts reveal the divine origins of
translated by the Spanish as “god,” “saint,” or “demon.” But
cotton, sweet potatoes, different types of corn, and the intox-
the Aztec teotl signified a sacred power manifested in natural
icating drink called pulque. In still others, we learn that war-
forms (a rainstorm, a tree, a mountain), in persons of high
fare was established so that human beings could be captured
distinction (a king, an ancestor, a warrior), or in mysterious
and sacrificed to nourish the Sun on its heavenly and noctur-
and chaotic places. What the Spanish translated as “god”
nal journey. Typically, a god like Mixcoatl creates four hun-
really referred to a broad spectrum of hierophanies that ani-
dred human beings to fight among themselves in order for
mated the world. While it does not appear that the Aztec
captives to be sacrificed in ceremonial centers to provide the
pantheon or pattern of hierophanies was organized as a
divine food, blood, for the gods who ensure cosmic life.
whole, it is possible to identify clusters of deities organized
Finally, a number of accounts of the cosmic history cul-
around the major cult themes of cosmogonic creativity, fer-
minate with the establishment of the magnificent kingdom
tility and regeneration, and war and sacrificial nourishment
of Tollan where Quetzalcoatl the god and Topiltzin Quetzal-
of the Sun.
coatl the priest-king organize a ceremonial capital divided
Aztec deities were represented pictorially as anthropo-
into five parts with four pyramids and four sacred mountains
morphic beings. Even in cases where the deity took an ani-
surrounding the central temple. This city, Tollan, serves as
mal form, as in the case of Xolotl, the divine dog, or the form
the heart of an empire. Aztec tradition states that “from
of a ritual object, as in the case of Itztli, the knife god, he
Quetzalcoatl flowed all art and knowledge,” representing the
was disguised with human features like arms, torso, legs, face,
paradigmatic importance of the Toltec kingdom and its reli-
and so on. Aztec deities dwelt in the different levels of the
gious founder.
thirteen-layered celestial sphere or the nine-layered under-
The spatial paradigm of the Aztec cosmos was embodied
world. The general structuring principle for the pantheon,
in the term cemanahuac, meaning the “land surrounded by
derived from the cosmic pattern of a center and four quar-
water.” At the center of this terrestrial space, called tlalxico
ters, resulted in the quadruple or quintuple ordering of 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
718
AZTEC RELIGION
For instance in the Codex Borgia’s representation of the
foundation of all things. In some sources he/she appears to
Tlaloques (rain gods), the rain god, Tlaloc, inhabits the cen-
merge with a number of his/her offspring, a sign of his/her
tral region of heaven while four other Tlaloques inhabit the
pervasive power. Ometeotl’s male aspects (Ometecuhtli and
four regions of the sky, each dispensing a different kind of
Tonacatecuhtli) and female aspects (Omecihuatl and Tona-
rain. While deities were invisible to the human eye, the Aztec
cacihuatl) in turn merged with a series of lesser deities associ-
saw them in dreams, visions, and in the “deity imperson-
ated with generative and destructive male and female quali-
ators” (teixiptla) who appeared at the major ceremonies.
ties. The male aspect was associated with fire and the solar
These costumed impersonators, sometimes human, some-
and maize gods. The female aspect merged with earth fertili-
times effigies of stone, wood, or dough, were elaborately dec-
ty goddesses and especially corn goddesses. Ometeotl inhab-
orated with identifying insignia such as conch shells, masks,
ited the thirteenth and highest heaven in the cosmos, which
weapons, jewelry, mantas, feathers, and a myriad of other
was the place from which the souls of infants descended to
items.
be born on earth. Ometeotl was more “being” than “action.”
Most of the creative effort to organize the universe was acom-
As we have seen, Aztec religion was formed by migrating
plished by the divine couple’s four offspring: Tezcatlipoca,
Chichimec who entered the Valley of Mexico and established
Quetzalcoatl, Xiuhtecuhtli, and Tlaloc.
important political and cultural centers there. This process
of migration and urbanization informed and was informed
Tezcatlipoca (“smoking mirror”) was the supreme active
by their concept of deity. An outstanding feature of Aztec
creative force of the pantheon. This powerful, virile numen
religion was the tutelary-patron relations that specific deities
had many appellations and was partially identified with the
had with the particular social groups whom they guided dur-
supreme numinosity of Ometeotl. Tezcatlipoca was also
ing their peregrinations. These patron deities (or abogados,
identified with Itztli, the knife and calendar god, and with
as the Spanish chroniclers called them) were represented in
Tepeyolotl, the jaguar-earth god known as the Heart of the
the tlaquimilolli, or sacred bundles, that the teomamas
Hill, and he was often pictured as the divine antagonist of
(“godbearers,” or shaman-priests) carried on their backs dur-
Quetzalcoatl. On the social level, Tezcatlipoca was the arch-
ing the long journeys. The teomama passed on to the com-
sorcerer whose smoking obsidian mirror revealed the powers
munity the divine commandments communicated to him in
of ultimate transformation associated with darkness, night,
visions and dreams. These sacred specialists were considered
jaguars, and shamanic magic.
hombre-dioses (Span., “man-gods”), whose extraordinary
powers of spiritual transformation, derived from their close-
Another tremendous creative power was Xiuhtecuhtli,
ness with these numinous forces, enabled them to guide,
the ancient fire god, who influenced every level of society and
govern, and organize the tribe during migrations and the set-
cosmology. Xiuhtecuhtli was represented by the perpetual
tlement of new communities. A familiar pattern in the sacred
“fires of existence” that were kept lighted at certain temples
histories of Mesoamerican tribal groups is the erection of a
in the ceremonial center at all times. He was manifested in
shrine to the patron deity as the first act of settlement in a
the drilling of new fires that dedicated new ceremonial build-
new region. This act of founding a settlement around the
ings and ritual stones. Most importantly, Xiuhtecuhtli was
tribal shrine represented the intimate tie between the deity,
the generative force at the New Fire ceremony, also called
the hombre-dios, and the integrity of the people. In reverse
the Binding of the Years, held every fifty-two years on the
fashion, conquest of a community was achieved when the pa-
Hill of the Star outside of Tenochtitlán. At midnight on the
tron deity’s shrine was burned and the tlaquimilolli was car-
day that a fifty-two-year calendar cycle was exhausted, at the
ried off as a captive.
moment when the star cluster we call the Pleiades passed
through the zenith, a heart sacrifice of a war captive took
This pattern of migration, foundation, and conquest as-
place. A new fire was started in the cavity of the victim’s
sociated with the power of a patron diety is clearly exempli-
chest, symbolizing the rebirth of Xiuhtecuhtli. The new fire
fied by the case of Huitzilopochtli, patron of the wandering
was carried to every city, town, and home in the empire, sig-
Méxica. According to Aztec tradition, Huitzilopochtli in-
nalling the regeneration of the universe. On the domestic
spired the Méxica teomama to guide the tribe into the Valley
level, Xiuhtecuhtli inhabited the hearth, structuring the daily
of Mexico, where he appeared to them as an eagle on a cactus
rituals associated with food, nurturance, and thanksgiving.
in the lake. There they constructed a shrine to Huitz-
FERTILITY AND REGENERATION. A pervasive theme in Aztec
ilopochtli and built their city around the shrine. This shrine
religion was fertility and the regeneration of agriculture.
became the Aztec Great Temple, the supreme political and
Aztec society depended on a massive agricultural system of
symbolic center of the Aztec empire. It was destroyed in
chinampas (“floating gardens”) that constituted large sections
1521 by the Spanish, who blew up the temple with cannons
of the city’s geographical space. Also, surrounding city-states
and carried the great image of Huitzilopochtli away. This co-
were required to pay sizable amounts of agricultural goods
lossal image of the Aztec god has never been found.
in tribute to the capital. While many female deities inspired
CREATOR GODS. The Aztec high god, Ometeotl (“lord of
the ritual regeneration of agriculture, the most ancient and
duality”) was the celestial, androgynous, primordial creator
widespread fertility-rain god was Tlaloc, who dwelt on the
of the universe, the omnipotent, omniscient, omnipresent
prominent mountain peaks, where rain clouds were 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
AZTEC RELIGION
719
to emerge from caves to fertilize the land through rain, rivers,
tive warriors were sacrificed in front of the shrine of Huitz-
pools, and storms. The Aztec held Mount Tlaloc to be the
ilopochtli atop the Templo Mayor. Their bodies tumbled
original source of the waters and of vegetation. Tlaloc’s su-
down the steps to rest at the bottom with the colossal stone
preme importance is reflected in the location of his shrine
figure of Coyolxauhqui, Huitzilopochtli’s dismembered sis-
alongside that of Huitzilopochtli in the Templo Mayor. Sur-
ter, symbolically reenacting the legendary slaughter of the
prisingly, the great majority of buried offerings excavated at
four hundred siblings at Huitzilopochtli’s birth.
the temple were dedicated to Tlaloc rather than Huitz-
Cosmology, pantheon, and ritual sacrifice were united
ilopochtli.
and came alive in the exuberant and well-ordered ceremonies
Two other major gods intimately associated with Tlaloc
carried out in the more than eighty buildings situated in the
were Chalchiuhtlicue, the goddess of water, and Ehécatl, the
sacred precinct of the capital and in the hundreds of ceremo-
wind god, an aspect of Quetzalcoatl. Ehécatl was known as
nial centers throughout the Aztec world. Guided by detailed
in tlachpancauh in tlaloques (“road sweeper of the rain gods”),
ritual calendars, Aztec ceremonies varied from town to town
meaning that Ehécatl’s forceful presence announced the
but typically involved three stages: days of ritual preparation,
coming of the fertilizing rains. Other prominent fertility dei-
death sacrifice, and nourishing the gods. The days of ritual
ties included Centeotl, goddess of maize; Xilonen, goddess
preparation included fasting; offerings of food, flowers, and
of the young maize; Ometochtli, goddess of maguy; and
paper; use of incense and purification techniques; embower-
Mayahuel, whose four hundred breasts insured an abundant
ing; songs; and processions of deity-impersonators to various
supply of pulque for ritual drinking.
temples in ceremonial precincts.
The most powerful group of female fertility deities were
Following these elaborate preparations, blood sacrifices
the teteoinnan, a rich array of earth-mother goddesses, who
were carried out by priestly orders specially trained to dis-
were representatives of the usually distinct but sometimes
patch the victims swiftly. The victims were usually captive
combined qualities of terror and beauty, regeneration and
warriors or purchased slaves. Though a variety of methods
destruction. These deities were worshiped in cults concerned
of ritual killing were used, including decapitation, burning,
with the abundant powers of the earth, women, and fertility.
hurling from great heights, strangulation, and arrow sacri-
Among the most prominent were Tlazolteotl, Xochiquetzal,
fice, the typical ritual involved the dramatic heart sacrifice
and Coatlicue. Tlazolteotl was concerned with sexual powers
and the placing of the heart in a ceremonial vessel (cuauhx-
and passions and the pardoning of sexual transgressions.
icalli) in order to nourish the gods. Amid the music of
Xochiquetzal was the goddess of love and sexual desire and
drums, conch shell trumpets, rattles, and other musical in-
was pictured as a nubile maiden associated with flowers,
struments, which created an atmosphere of dramatic intensi-
feasting, and pleasure. A ferocious goddess, Coatlicue
ty, blood was smeared on the face of the deity’s image and
(“serpent skirt”) represented the cosmic mountain that con-
the head of the victim was placed on the giant skull rack
ceived all stellar beings and devoured all beings into her re-
(tzompantli) that held thousands of such trophies.
pulsive, lethal, and fascinating form. Her statue is studded
All of these ceremonies were carried out in relation to
with sacrificed hearts, skulls, hands, ferocious claws, and
two ritual calendars, the 365-day calendar or tonalpohualli
giant snake heads.
(“count of day”) consisting of eighteen twenty-day months
A prominent deity who linked agricultural renewal with
plus a five-day intercalary period and the 260-day calendar
warfare was Xipe Totec, whose gladiatorial sacrifice renewed
consisting of thirteen twenty-day months. More than one-
vegetation in the spring and celebrated success on the battle-
third of these ceremonies were dedicated to Tlaloc and earth
field. Part of his ceremony, called the Feast of the Flaying
fertility goddesses. Beside ceremonies relating to the two cal-
of Men, included the flaying of the sacrificial victim and the
endars, a third type of ceremony related to the many life cycle
ceremonial wearing of the skin by the sacred specialist. Xipe
stages of the individual. In some cases, the entire community
Totec’s insignia, including the pointed cap and rattle staff,
was involved in bloodletting.
was the war costume of the Méxica emperor.
Aztec religion, as we have seen, was formed during the
CEREMONY AND SACRIFICE. Another important facet of
rise to empire of a minority population who inherited urban
Aztec religious practice was human sacrifice, usually carried
traditions and sociopolitical conflicts of great prestige and in-
out for the purpose of nourishing or renewing the Sun or
tensity. This remarkable tradition came to an abrupt end
other deity (or to otherwise appease it), thus ensuring the sta-
during the military conquest of Tenochtitlán by the Spanish
bility of the universe. The mythic model for mass human sac-
and the subsequent destruction of ceremonial life. But it is
rifice was the story of the creation of the fifth age, in which
important to note that one of the last images we have of the
the gods themselves were sacrificed in order to empower the
Templo Mayor of Tenochtitlán before it was blown apart by
Sun. Tonatiuh, the personification of that Sun (whose visage
Spanish cannon is the image of Aztec warriors sacrificing
appears in the center of the Calendar Stone), depended on
captive Spanish soldiers in front of the shrine to Huitz-
continued nourishment from human hearts.
ilopochtli.
Some of the large-scale sacrificial ceremonies re-created
SEE ALSO Coatlicue; Huitzilopochtli; Human Sacrifice;
other sacred stories. For example, women and masses of cap-
Quetzalcoatl; Tezcatlipoca; Tlaloc.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
720
AZTEC RELIGION
BIBLIOGRAPHY
ligious significance. Excellent prose accompanied by magnif-
Broda, Johanna. “El tributo en trajes guerreros y la estructura del
icent photographs.
sistema tributario Mexica.” In Economia, política e ideología
Townsend, Richard. State and Cosmos in the Art of Tenochtitlán.
en el México prehispanico, edited by Pedro Carrasco and Jo-
Washington, D.C., 1979. A concise, brilliant interpretation
hanna Broda. Mexico City, 1978. A valuable study of the
of the monumental art of the Aztec capital of Tenochtitlán
pattern and structure of tributary payments to Tenochtitlán
in the light of a good understanding of religious realities.
during the height of its dominance.
Brundage, Burr C. The Fifth Sun: Aztec Gods, Aztec World. Austin,
New Sources
Tex., 1979. The best English-language monograph introduc-
Almere Read, Kay. Time and Sacrifice in the Aztec Cosmos. Bloom-
tion to Aztec religion; provides an insightful understanding
ington, Ind., 1998.
of the Aztec pantheon and human sacrifice.
Anaya, Rudolfo A., and Francisco A. Lomelí, eds. Aztlán: Essays
Carrasco, David. Quetzalcoatl and the Irony of Empire; Myths and
on the Chicano Homeland. Albuquerque, 1989.
Prophecies in Aztec Tradition. Chicago, 1982. Utilizing the
history of religions approach, the author focuses on the
Bierhorst, John. History and Mythology of the Aztecs: The Codex
Quetzalcoatl paradigm to study the history of Mesoamerican
Chimalpopoca. Tucson, 1992.
religions.
Carrasco, David. Religions of Mesoamerica: Cosmovision and Cere-
López Austin, Alfredo. Hombre-Dios: Religión y política en el
monial Centers. San Francisco, 1990.
mundo Nahuatl. Mexico City, 1973. The best Spanish-
Markman, Robert H., and Peter T. Markman. Flayed God: The
language account of the interweaving of myth, history, poli-
Mesoamerican Mythological Tradition: Sacred Texts and Im-
tics, and religious authority in Mesoamerican history.
ages From Pre-Columbian Mexico and Central America. San
Matox Moctezuma, Eduardo. Una visita al Templo Mayor de Te-
Francisco, 1992.
nochtitlán. Mexico City, 1981. The chief excavator of the
Aztec Great Temple describes the fascinating treasures found
McKeever-Furst, Leslie. Natural History of the Soul in Ancient
at the heart of the Aztec empire.
Mexico. New Haven, 1995.
Nicholson, H. B. “Religion in Pre-Hispanic Central Mexico.” In
Miller, Mary Ellen, and Karl Taube. The Gods and Symbols of An-
Handbook of Middle American Indians, edited by Robert
cient Mexico and the Maya: An Illustrated Dictionary of Me-
Wauchope, vol 10. Austin, Tex., 1971. The classic descrip-
soamerican Religion. London, 1993.
tion of Mesoamerican religion in the central plateau of Mexi-
co during the decades prior to the Conquest.
Pérez Guerrero, Juan Carlos. Religión azteca. Madrid, 2000.
Pasztory, Esther. Aztec Art. New York, 1983. The finest single-
DAVÍD CARRASCO (1987)
volume description and interpretation of Aztec art and its re-
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


B
BAAL. The name Baal (b El) is a common Semitic appellative meaning “lord” that is
used as a proper name for the West Semitic storm god in ancient Near Eastern texts dating
from the late third millennium BCE through the Roman period. Identified as the warrior
Hadd (or Hadad) in the Late Bronze Age texts from Ugarit, Baal is a popular deity in
Syro-Palestinian or “Canaanite” religious traditions as a god of storms and fertility. Asso-
ciated with kingship and oaths, his name appears as a divine witness to international trea-
ties and as a common element in theophoric names. Baal was venerated in West Semitic
religious traditions as a powerful god and patron of humanity for over two thousand years.
The character of Baal is most fully described in the Late Bronze Age archives of the
ancient Syrian city of Ugarit (modern Ras Shamra), where he is the patron of the royal
house and protector of the city. Archaeologists have recovered hundreds of mythological,
epic, and ritual texts written in an alphabetic cuneiform script from this coastal site since
its rediscovery in 1929. The Baal revealed in these texts is an aggressive and powerful war-
rior who vies for kingship among the gods. Frequent epithets for Baal in the Ugaritic texts
include “Almighty Baal” (aliyn b El), “the mightiest of warriors” (aliy qrdm), “the rider of
the clouds” (rkb Erpt), and “the Prince, lord of the earth” (zbl b El ars:). He is the son of
the grain god Dagan and the brother of the violent Maiden Anat. Baal dwells on Mount
Saphon (spn), identified with Jebel el-Aqra (Mons Casius in classical sources), the highest
peak in Syria. From here he also controls the winds and storms at sea and acts as the pro-
tector of mariners.
As a god of the storm, Baal is depicted as both a divine warrior and the provider
of natural fertility in the form of dew and rains. His presence in the heavens is manifested
by dark clouds, roaring winds, peals of thunder, and bolts of lightning. Ugaritic myths
depict Baal as victorious in battle against the primordial forces of Sea (Yamm) and Death
(Mot). He is praised for his defeat of dragons or sea monsters called Litan the Fleeing
Serpent, Tunnan, and the seven-headed Twisting Serpent. Baal’s distinctive iconography
portrays him as a bearded god, wearing a conical hat with two horns, brandishing a mace
or battle-ax in his right hand and grasping lightning and thunderbolts in the left. As king
(mlk) of the gods, Baal rules the cosmos under the authority of El, the grey-bearded patri-
C LOCKWISE FROM TOP LEFT CORNER. Eleventh-century black basalt relief depicting the birth of Kr:s:n:a.
Indian Museum, Calcutta. [©Giraudon/Art Resource, N.Y.]; Female temple figure. Bali,
Indonesia. [©Wolfgang Kaehler/Corbis]; The Great Buddha in Kamakura, Japan. [©Edifice/
Corbis]; Buddha sculpture and stupas at Borobudur in Java, Indonesia. [©Owen Franken/
Corbis]; A mid-nineteenth-century nahen (a house partition screen) depicting a squatting bear,
from Tlingit, Alaska. Denver Art Museum. [©Werner Forman/Art Resource, N.Y.] .
723
724
BAAL
archal leader of the divine assembly. Baal “reigns over the
and resurrection are cultically reenacted within a seasonal
gods,” “issues orders to gods and humans,” and “satisfies the
calendar. Certain West Semitic texts also hint at Baal’s role
multitudes of the earth” with his fertilizing rains in Ugaritic
in the revivification of the dead in a netherworld existence.
poetry. The absence of Baal from the world results in “no
Indeed, some scholars identify Baal as the leader of the Re-
dew, no downpour, no swirling of the deeps, no welcome
phaim, the underworld shades of deceased kings, but no con-
voice of Baal” to break the sweltering heat, according to the
sensus exists among scholars on this issue. The Ugaritic myth
Aqhat epic. Baal is also associated with the fertility of the
of the voracious “Devourers” also narrates Baal’s defeat and
herd, as is mythologically represented in two Ugaritic texts
seven-year absence from the earth. The fragmentary charac-
that describe his sexual intercourse with a cow, who then
ter of the relevant episodes in the Baal Cycle precludes any
bears a son as his heir.
definite conclusion, but perhaps Baal is most accurately de-
scribed as a “disappearing god,” similar to certain Hittite tra-
The myth of Baal’s rise to sovereignty over the gods is
ditions. There is no compelling evidence for the ritual reen-
narrated in the six tablets of the Ugaritic Baal Cycle, which
actment of Baal’s annual death and resurrection in any
encompasses three main sections. The elderly god El presides
ancient Syro-Palestinian source. Mot’s absence for seven
over the divine assembly, while a younger god is enthroned
years in the Baal Cycle further argues against the alleged sea-
as the active king of the cosmos. As the son of Dagan, Baal
sonal pattern of the conflict between Baal’s fructifying rains
has a conflicted relationship with El, who resists Baal’s rise
and Mot’s sterile rule during the heat of summer. Yet the sea-
to power in preference for his own sons’ claims to divine
sonal aspects of the drama between the rain god and Mot
kingship. In the cycle’s first episode, Baal contends with
cannot be denied. With their emphasis on fertility, death,
Yamm (Sea) for dominion among the gods. After defeating
and the politics of divine kingship, the myths of Baal repre-
Yamm with the help of magic war clubs crafted by Kothar-
sent the precarious balance of powerful forces at play in the
wa-Hasis, Baal seeks permission from El to build a palace as
natural, divine, and human realms. In many ways, Baal him-
a symbol of his divine kingship. Kothar, Anat, and El’s own
self symbolizes the fragility of life, fertility, and political sta-
consort, Athirat, eventually support Baal in the political in-
bility in a hostile cosmos.
trigue, and his palace is constructed in the second section of
the Baal Cycle.
In the Hebrew Bible, the Phoenician Baal appears as the
most prominent divine rival to the Israelite god, Yahweh. In-
The third section of the Baal Cycle describes Baal’s con-
deed, the two gods share many of the same qualities and epi-
flict with divine Mot (Death), who challenges Baal’s king-
thets. Like Baal, Yahweh is depicted as a god of the storm
ship. Mot demands that the storm god “enter the maw of
who sounds his voice in thunder and sends lightning
Death” and descend into the underworld. Baal immediately
(Ps.18:10–16). Yahweh is the rider of the clouds (Isa.19:1;
submits to Mot’s authority, but the fragmentary text ob-
Ps. 68:5), who dominates the sea (ym) and vanquishes pri-
scures the sequence of events at this point. It remains unclear
mordial dragons or sea monsters, including Tannin and Le-
if Baal actually dies and enters the dreary land of the dead.
viathan the Twisting Serpent (Ps. 74:13–14; Isa. 27:1; 51:9–
Regardless, the heavenly gods believe that Baal has died. Anat
10; Job 26:12–13). Yahweh is also responsible for human and
discovers a corpse “in the pleasant field of Death’s Realm”
natural fertility, including the “dew of the heavens and the
(ysmt ˇsd ˇsh:lmmt). There is a burial, copious ritual mourning,
fat of the earth, the abundance of new grain and wine”
and funerary offerings by El and Anat in honor of the fallen
(Gen. 27:28).
Baal. After these events, El and the divine council unsuccess-
fully seek a replacement for Baal as the king of the gods.
SEE ALSO Dying and Rising Gods.
Meanwhile, Anat approaches Mot with a pitiful request to
release her brother. When her pleas go unheeded for months,
BIBLIOGRAPHY
Anat violently attacks Mot, chops his body into pieces, and
Parker, Simon B., ed. Ugaritic Narrative Poetry. Atlanta, 1997. Ex-
scatters his remains upon the fields for the birds to consume.
cellent and accessible English translations of the Ugaritic
After more broken text, El has an oracular dream of Baal’s
mythological texts.
return to the earth in which “the heavens rain oil and the
Schwemer, Daniel. Die Wettergottgestalten Mesopotamiens und
wadis run with honey” to relieve the parched furrows of the
Nordsyriens im Zeitalter der Keilschriftkulturen. Weisbaden,
fields. Baal then returns to the divine assembly, defeats his
2001. See pp. 443–588.
enemies, and is again seated upon “the throne of his domin-
Smith, Mark S. The Ugaritic Baal Cycle, I. Leiden, 1994. The first
ion.” Later, “in the seventh year,” Mot returns to challenge
volume of a projected three-volume commentary on the Baal
Baal’s sovereignty, but the sun goddess Shapsh mediates be-
Cycle.
tween the rival gods and resolves their dispute in favor of
Baal. The Baal Cycle concludes with the establishment of
Smith, Mark S. The Early History of God: Yahweh and the Other
Deities in Ancient Israel. 2d ed. Grand Rapids, Mich., 2002.
Baal’s kingship over the heavenly gods, the earth, and hu-
An excellent introduction with comprehensive bibliographic
manity.
references to recent work.
Scholars continue to debate whether Baal is appropriate-
Van der Toorn, Karel, Bob Becking, and Pieter W. van der Horst,
ly described as a “dying and rising god” whose annual death
eds. Dictionary of Deities and Demons in the Bible. 2d ed. Lei-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAAL, JAN VAN
725
den, 1999. See the entries by W. Hermann on “Baal,”
interrelations within the context of the analysis of a specific
pp. 132–139, and J. C. Greenfield on “Hadad,”
culture, religion, or mythology. After this, more general de-
pp. 377–382.
scriptions of processes of symbolization are pointed out by
NEAL H. WALLS (2005)
different kinds of classifications. He characterizes the relation
between the subject and the symbols he uses as being asym-
metrical. The subject is unique and timeless, but the symbols
are temporary and infinitely numerous. Moreover, van Baal
BAAL, JAN VAN. Jan van Baal (1909–1992), a Dutch
holds that systems of symbols do not spring from the interac-
anthropologist of religion, studied Indonesian culture, law,
tion between individuals and their surroundings, but first of
and languages at Leiden University and was influenced by
all from the individual.
J. P. B. de Josselin de Jong’s structural ethnology. Van Baal’s
Ph.D. thesis (1934) about the Marind-anim of New Guinea
The basic model of gift exchange and reciprocity de-
was based on ethnographic material collected by the Swiss
scribed by Marcel Mauss is given great emphasis in van Baal’s
ethnologist Paul Wirtz. Van Baal later became a civil servant
line of thought. But among the distinctive features of offer-
in the Dutch East Indies (1934–1949), a prisoner in Japa-
ing and sacrifice he does not include their sacred nature. For
nese concentration camps (1942–1945), an advisor on native
him, both sacrifice and offering have one characteristic in
affairs to the government of Dutch New Guinea (1946–
common, that of being gifts. The dialectics of the human
1953), and the governor of Dutch New Guinea (1953–
condition make communication an urgent necessity, and the
1958). Van Baal served as professor of cultural anthropology
gift is an attractive and persuasive form for establishing con-
at the University of Utrecht from 1959 to 1973, and he acted
tacts and ameliorating relations. Giving is a symbolic act of
until 1969 as director of the Royal Tropical Institute in Am-
communication; it is the symbol that counts, and the notion
sterdam. He published Dema, a thousand-page volume on
that offering and sacrifice are sacral acts hardly plays a role.
the Marind-anim of New Guinea in 1966, and a number of
Van Baal objects to a reification of the symbolic content by
articles and books, of which Symbols for Communication
interpreting it as a magical act; he also objects to the use of
(1971), Reciprocity and the Position of Women (1975), and
the term sacrifice for rituals in which every element of the gift
Man’s Quest for Partnership (1981) are the most important.
or of atonement is absent. For him, giving is participating,
Van Baal was admired by many anthropologists, Margaret
and it is essential for a meaningful existence. All communica-
Mead and Claude Lévi-Strauss among them.
tion begins with giving.
Van Baal’s theory is based on the view that religion is
Van Baal’s description of religion comes down to the ac-
a system of symbols by which humans communicate with
ceptance of a non-empirical reality that influences the reality
their universe. These symbols enable individuals to overcome
of people’s daily life. Opposing the classical comparative
their inner solitude, which is the inescapable result of their
method in cultural anthropology, he uses a monographic
inability to solve the existential problem of being subjects op-
method that compares only a few religions after a systematic
posed to and separated from their universe, as well as being
description of each separate religion. In doing so, van Baal
part of that same universe and at the same time functioning
wants to exclude ethnocentrism and a priori arguments. He
in it. Religion enables humans to cope with the contradic-
does not make this “overall approach” absolute, and invari-
tions related to human existence itself. The several contradic-
ably asks himself what is the measure of integration between
tions inherent in the phenomenon of religion must be con-
the elements of a religious system, how far does it link up
nected with contradictions in human existence. These
with other social or cultural institutions, and whether or not
contradictions are the result of the idea of being opposed to
its relation with them is strained. When it comes to the ques-
the world one lives in. People express their detachment, as
tion what individual motives underlie the development of re-
well as their feelings of being part of their world, in symbolic
ligious ideas, van Baal thinks that craving for “communion”
activities. The dialectics of “subject to” and “part of” contain
is the fundamental motive. A successful ritual makes the par-
the uncertainty of individuals. The ambition of self-
ticipant feel at ease with his world. In his view, being part
realization can bring the individual into conflict with the
of a community implies the acceptance of authority, which
universe, and it creates a dualism because one’s fellow human
reduces individual freedom.
beings and one’s surroundings are used as instruments for
In van Baal’s work there is no connection between the
self-realization. But, at the same time, the individual wants
development of religions and social stratification, religious
to be recognized and treated as a partner. Problems of doubt
specialists and charismatic leaders, and there is little analysis
and loneliness, which are the result of this dualism, can only
of the dynamics of religion and its social components, as can
be solved, according to van Baal, when humans manage to
be found in the work of Max Weber. Van Baal’s approach
remain subject to, as well as part of, the community.
is ahistorical and structuralistic, and he is highly critical of
Symbols play a crucial role here, since they can save peo-
phenomenologists like Gerardus van der Leeuw and Mircea
ple from existential solitude, and their analysis is therefore
Eliade. Van Baal is interested in the conscious ordering, in
important in van Baal’s work. In his Marind-anim ethnogra-
the role of the participants in the processes of symbolization.
phy he decodes the meanings of specific symbols and their
Unlike Lévi-Strauss, Baal is not concerned with the analysis
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
726
BAEAL SHEM TOV
of the results of human thought or the discovery of the gram-
Born in the small town of Okopy in the southern
mar in them. Instead, he is primarily interested in and look-
Ukraine, YisraDel ben EliEezer is said to have begun preaching
ing for the motives in human thought, and he is searching
around 1738, after a long period of seclusion in the Carpa-
for its message and meaning.
thian Mountains with his wife. According to other accounts,
he served throughout his life as a popular healer, writer of
BIBLIOGRAPHY
amulets, and exorcist of demons from houses and bodies,
Selected Works of van Baal
which were the traditional roles of a ba Eal shem (master of
Over Wegen en Drijfveren der Religie. Amsterdam, 1947.
the name) or ba Eal shem tov (master of the good name)—in
De magie als godsdienstig verschijnsel. Amsterdam 1960.
other words, the master of the name that empowered him
to perform what he wished.
Dema: A Description and Analysis of Marind-anim Culture. The
Hague, 1966.
In his wandering around many Jewish communities, the
“The Political Impact of Prophetic Movements.” In International
Besht came into contact with various circles of pietists. In
Yearbook for the Sociology of Religion 5 (1969): 68–88.
some cases he was criticized by the rabbis, but his powers as
Symbols for Communication: An Introduction to the Anthropological
a preacher and magician attracted disciples, including mas-
Study of Religion. Assen, Netherlands, 1971; 2d ed., 1985.
ters of Jewish law and Qabbalah such as YaEaqov Yosef of
De Boodschap der Drie Illusies: Overdenkingen over religie, kunst en
Polonnoye (d. 1782) and Dov Ber of Mezhirich (1704–
spel. Assen, Netherlands, 1972.
1772). As Gershom Scholem has suggested, the Besht should
Reciprocity and the Position of Women: Anthropological Papers.
be regarded as the founder of the great eastern European Ha-
Assen, Netherlands, 1975.
sidic movement, even though our knowledge of his organiza-
tional work is scanty, and even though the first Hasidic cen-
“Offering, Sacrifice, and Gift.” Numen 23 (1976): 161–178.
ter was established only after his death by Dov Ber, who
“The Role of Truth and Meaning in Changing Religious Sys-
became the leader of the movement.
tems.” In Official and Popular Religion: Analysis of a Theme
for Religious Studies, edited by Pieter Vrijhof and Jacques
Although he was not a scholar in Jewish law, the Besht
Waardenburg, pp. 607–628. The Hague, 1979.
was well versed in Qabbalah and in popular Jewish ethical
Man’s Quest for Partnership: The Anthropological Foundations of
tradition, on which he relied when delivering his sermons
Ethics and Religion. Assen, Netherlands, 1981.
and formulating his theories. He saw the supreme goal of re-
“The Language of Symbols.” In L’ethnologie dans le dialogue inter-
ligious life as devequt (cleaving), or spiritual communion
cultural (Ethnologie im dialog, vol. 5), edited by Gerhard
with God; this state can be achieved not only during prayers
Baer and Pierre Centlivres. Freiburg, Germany, 1980.
but also in the course of everyday activities. In his view, there
“The Dialectics of Sex in Marind-anim Culture.” In Ritualized
is no barrier between the holy and the profane, and worship
Homosexuality in Melanesia, edited by Gilbert H. Herdt,
of God can be the inner content of any deed, even the most
pp. 128–166. Berkeley, 1984.
mundane one. Indeed, the Besht did not insist on following
the complicated qabbalistic system of kavvanot (intentions)
About van Baal’s Work
Droogers, A. F. Boodschap uit het Mysterie: Reacties op de visie van
in prayers and in the performance of the Jewish religious
Jan van Baal. Baarn, Netherlands, 1996.
commandments, but substituted instead the mystical devo-
Kuiper, Y. B. “Religion, Symbols, and the Human Condition: An
tion of devequt as the primary means of uplifting the soul to
Analysis of the Basic Ideas of Jan van Baal.” In On Symbolic
the divine world. His teachings also included the theory that
Representation of Religion: Groninger Contributions to Theories
evil can be transformed into goodness by a mystical process
of Symbols, edited by Hubertus G. Hubbeling and Hans G.
of returning it to its original source in the divine world and
Kippenberg, pp. 57–69. Berlin and New York, 1986.
redirecting it into good spiritual power; this idea was further
Kuiper, Y. B., and A. de Ruijter. De Menselijke Conditie: Speur-
developed by his followers.
tocht naar Partnerschap. Groningen, Netherlands, 1982.
The Besht believed that he was in constant contact with
W. HOFSTEE (2005)
the divine powers and saw his mission as that of correcting
and leading his generation. In a letter preserved by YaEaqov
Yosef (whose voluminous works contain the most important
BAEAL SHEM TOV
material we have concerning the Besht’s teachings), the Besht
(master of the good name), popu-
indicates that he practiced Ealiyyat neshamah, or the uplifting
lar designation for YisraDel ben EliEezer (c. 1700–1760), the
of the soul. In this way, he explained, he communicated with
founder of the Hasidic movement in eastern Europe, who
celestial powers who revealed their secrets to him. According
is also known by the acronym BeSHT (commonly written
to the document, these included the Messiah, who told him
“Besht”). There are few historically authentic sources that de-
that redemption would come when his teachings were spread
scribe the life of the Besht; most information must be
all over the world (which the Besht interpreted as “in a long,
gleaned from nineteenth-century hagiography, especially the
long time”).
collection of more than three hundred stories about him,
known as Shivhei ha-Besht (In Praise of the Besht; first printed
The Besht was convinced that his prayer carried special
in 1815), and the works of later Hasidic writers.
weight in the celestial realm and that it could open heavenly
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BA¯B¯IS
727
gates for the prayers of the people as a whole. His insistence
or stretched from one end of the hut to the other. The fence
that there are righteous people in every generation who, like
around her hut is made of human bones and is topped with
himself, carry special mystical responsibilities for their com-
human skulls, with eyes intact. The gate is fastened with
munities laid the foundations for the later Hasidic theory of
human legs and arms instead of bolts, and a mouth with
the function of the tsaddiq, or leader, a theory that created
sharp teeth serves as a lock. The hut, which is supported on
a new type of charismatic leadership in the Jewish communi-
bird’s legs and which can turn around on its axis like a spin-
ties of eastern Europe.
dle, is, in fact, Baba Yaga herself.
Linguistic analysis of Baba Yaga’s compound name re-
SEE ALSO Hasidism, overview article.
veals prehistoric characteristics. Yaga, from Proto-Slavic
*(y)ega, means “disease,” “fright,” and “wrath” in Old Rus-
BIBLIOGRAPHY
˘
sian, Serbo-Croatian, and Slovene, respectively, and is relat-
Dan Ben-Amos and Jerome R. Mintz have translated and edited
ed to the Lithuanian verb engti (“strangle, press, torture”).
Shivhei ha-Besht as In Praise of the Ba Eal Shem Tov: The Earli-
The early form may be related to Proto-Samoyed *nga,
est Collection of Legends about the Founder of Hasidism
meaning “god,” or “god or goddess of death.” The Slavic ety-
(Bloomington, Ind., 1970). Gershom Scholem has discussed
the Besht in Major Trends in Jewish Mysticism, 3d rev. ed.
mon baba means “grandmother,” “woman,” “cloud woman”
(New York, 1961), pp. 330–334, 348–349. Three papers
(a mythic being who produces rain), and “pelican.” The last
concerning the Besht and Hasidism are included in
points to Baba Yaga’s avian nature, comparable to that of the
Scholem’s The Messianic Idea in Judaism (New York, 1972),
archetypal vulture and owl goddess of European prehistory,
pp. 176–250. Additional bibliographic references accompa-
who represents death and regeneration. In Russian tales,
ny his article “Israel ben Eliezer BaEal Shem Tov” in Encyclo-
Baba Yaga eats humans by pecking like a bird.
paedia Judaica (Jerusalem, 1971).
In East Slavic areas, Baba Yaga has a male counterpart,
Several monographs dealing with the Besht and the beginnings of
Koshchei Bessmertnyi, “Koshchei the Immortal.” His name,
Hasidism were published in the 1990s, some of them con-
from kost’ (“bone”), bears the notion of a dying and rising
centrated around the historical figure and others on his the-
god, that is, a deity who cyclically dies and is reborn. In tales
ology and religious message. Rachel Elior emphasizes the
Besht’s mystical theology of divine immanence and omni-
in which Koshchei appears, Baba Yaga is either his mother
presence in her Herut Eal Ha-luhot (Tel Aviv, 1999), whereas
or his aunt. Another male equivalent of Baba Yaga is Moroz-
Moshe Idel’s Hasidism between Ecstasy and Magic (Albany,
ko (“frost”). Baba Yaga is also the “mother of winds,” analo-
N.Y., 1995) tries to integrate the Besht and his teachings
gous to the German Frau Holle. Other relatives in current
with medieval mystical-magical models; Immanuel Etkas, in
folklore are the Lithuanian goddess Ragana and the Basque
his historical analysis Ba Eal Hashem: The Besht—Magic, Mys-
vulture goddess, the “Lady of Amboto.”
ticism, Leadership (Jerusalem, 2000, in Hebrew), emphasizes
the Besht’s social message and minimizes the magical one.
BIBLIOGRAPHY
Moshe Rosman’s Founder of Hasidism: A Quest for the Histor-
Shapiro, Michael. “Baba-Jaga: A Search for Mythopoeic Origins
ical Ba Eal Shem Tov (Berkeley, Calif., 1996) presents a criti-
and Affinities.” International Journal of Slavic Linguistics and
cal analysis of the historical sources and a detailed study of
Poetics 27 (1983).
contemporary Polish documents.
Toporov, V. N. “Khettskaia SALSU: GI i slavianskaia Baba-Iaga.”
JOSEPH DAN (1987 AND 2005)
Kratkie soobshcheniia Instituta slavianovedeniia (Moscow) 38
(1963): 28–37.
New Sources
BABA YAGA,
Hubbs, Joanna. Mother Russia: The Feminine Myth in Russian Cul-
known in Russian folklore as a witch and
ture. Bloomington, Ind., 1988.
an ogress, is the ancient goddess of death and regeneration
of Slavic mythology, with roots in the pre-Indo-European
MARIJA GIMBUTAS (1987)
matrilinear pantheon. In Slavic folk tales (mainly Russian),
Revised Bibliography
Baba Yaga lives in nocturnal darkness, deep in the woods,
far from the world of men. She is variously depicted as an
evil old hag who eats humans, especially children, and as a
BA¯B¯IS. Ba¯b¯ıs are the followers of the teaching of Sayyid
wise, prophetic old woman. In appearance, she is tall, bony-
EAl¯ı Muh:ammad, known as the “Ba¯b.” Immediately after the
legged, and pestle-headed, with a long nose and disheveled
Ba¯b’s demise, the name Ba¯b¯ıs was applied to these people
hair. At times she appears as a young woman, at other times
for some years; since the 1860s those Ba¯b¯ıs who followed
as two sisters, one young and one old. Her primary therio-
Baha¯D Alla¯h, became known as the “people of Baha¯” or as
morphic image is that of a bird or a snake, but she can turn
Baha¯D¯ı. A minority group that follows S:ubh:-i Azal as a suc-
instantly into a frog, a toad, a turtle, a mouse, a crab, a vixen,
cessor of the Ba¯b is known as Azal¯ıs.
a bee, a mare, a goat, or an inanimate object.
SAYYID EAL¯I MUH:AMMAD, THE BA¯B. Born in Shiraz on Oc-
Baba Yaga never walks; she either flies in a fiery mortar
tober 20, 1819, EAl¯ı Muh:ammad was orphaned as a young
or lies in her hut on top of the oven, on a bench, on the floor,
boy and subsequently raised by a maternal uncle who, as is
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
728
BA¯B¯IS
indicated by the title Sayyid, is believed to have been a de-
The leading Ba¯b¯ıs met in July in Badasht, close to the
scendant of Muh:ammad. EAl¯ı Muh:ammad earned his early
Caspian Sea. The meeting was intended to discuss the conse-
living as a merchant, traveling in Iran and Iraq for his busi-
quences of the Ba¯b’s declaration to be the returned ima¯m and
ness. In 1840–1841 he visited the famous Sh¯ıEah shrines at
to make plans to free him from prison. Qurrat al-EAyn, well
Karbala, Iraq, where he came in contact with Sayyid Ka¯z:im
versed in Sh¯ıE¯ı and Shaykh¯ı thinking and a leader of the
Rast¯ı, the leader of the Shaykh¯ı movement. This movement
meeting, fostered a radical position regarding a total and so-
originated with Shaykh Ah:mad al-Ahsa¯D¯ı (d. 1826), whose
cial break with Islam. In addition to unveiling her own posi-
mystical and philosophical interpretation of Islam was based
tion, she also motivated her fellow believers to separate from
on the theosophical philosophy of Mulla¯ S:adra¯ Sh¯ıra¯z¯ı and
Muslims, if necessary by force. After the death of
other Muslim Gnostics, but which was also a dissent from
Muh:ammad Sha¯h in September 1848, some radical Ba¯b¯ıs
the orthodoxy of the Eulama¯D. After studying Shaykh¯ı doc-
hoped for the opportunity to establish a “sacred Ba¯b¯ı state,”
trines for about eight months, EAl¯ı Muh:ammad returned to
leading to Ba¯b¯ı uprisings and a “Ba¯b¯ı jiha¯d” for the next five
Shiraz. In 1842 he married, and he had one son who died
years. The Ba¯b remained in prison, and in 1850 he was given
as an infant. EAl¯ı Muh:ammad’s relationship with the
a death sentence. He was executed on July 9, 1850.
Shaykh¯ıs during the next two years is not entirely clear, but
FROM THE BA¯B¯IS TO THE BAHA¯D¯IS. The first years after the
he was inclined to some of the Shaykh¯ı teachings and also
Ba¯b’s death can be seen as a period of persecution. The Ba¯b¯ıs
to chiliastic expectations in connection with the hidden
were responsible for some revolts against the Qaja¯r govern-
(twelfth) ima¯m of Sh¯ıE¯ı Islam.
ment that led to an attempt to assassinate Na¯s:ir al-D¯ın Sha¯h
in 1852. As a consequence severe persecution of the Ba¯b¯ıs
After Sayyid Ka¯z:im Rast¯ı’s death in December 1843,
was renewed, and all the H:uru¯f al-H:ayy were put to death,
some of the Shaykh’s disciples were looking for the expected
including Qurrat al-EAyn in 1853. The main centers of these
Mahdi, whose appearance had been predicted for the near
Ba¯b¯ı revolts and Muslim persecutions were Mazandaran,
future. One of these disciples, Mulla¯ H:usayn of Bushru¯yah,
Nayriz, and Zanjan. Based on the Ba¯b’s interpretation of
met with Sayyid EAl¯ı Muh:ammad in Shiraz on May 22,
jiha¯d, Ba¯b¯ıs displayed great heroism, but they were forced
1844. In this encounter Sayyid EAl¯ı Muh:ammad presented
to surrender to the Qaja¯r troops.
himself as the Ba¯b, the “gate” to the hidden ima¯m. Mulla¯
H:usayn accepted this claim and thus was the first to recog-
The Ba¯b¯ı community was then led by M¯ırza¯ Yah:ya¯
nize the Ba¯b as his new spiritual leader. That same night the
Nu¯r¯ı, called S:ubh:-i Azal (Morning of Eternity), the half
Ba¯b started composing his first major literary work, a long
brother of M¯ırza¯ H:usayn EAl¯ı Nu¯r¯ı, called Baha¯D Alla¯h
commentary in Arabic language on the su¯rah of Yu¯suf in the
(BaháDuDlláh according to Baha¯D¯ı orthography). Because
QurDa¯n (Su¯rah 12), the Qayyu¯m al-asma E. Both Ba¯b¯ıs and
S:ubh:-i Azal had stayed at Nur at the time of the attack on
Baha¯D¯ıs consider this commentary the first revealed work of
Na¯s:ir al-D¯ın Sha¯h, he escaped imprisonment, whereas his
the Ba¯b, making it the starting point of a new era. Some of
half brother Baha¯D Alla¯h was jailed in Tehran in the summer
the Shaykh¯ıs and Sh¯ıE¯ı Muslims soon made up an increasing
of 1852. After some months Baha¯D Alla¯h was exiled to Bagh-
number of disciples of the Ba¯b, and he designated the fore-
dad, at that time part of the Ottoman Empire, rather than
most eighteen of them as S:uru¯f al S:ayy (letter of the living),
Qaja¯r, arriving there on April 8, 1853. Some months earlier
among them Mulla¯ H:usayn and Qurrat al-EAyn.
S:ubh:-i Azal had also settled there. During the early period
in Baghdad, in the vicinity of Sh¯ıE¯ı and Shaykh¯ı centers like
In September 1844 the Ba¯b began a pilgrimage to
Nadjaf and Karbala, the Ba¯b¯ıs looked to S:ubh:-i Azal as the
Mecca, and he returned to Shiraz in late spring of the follow-
leader of the community, but tensions between him and his
ing year. During his pilgrimage journey he maintained the
half brother could not be hidden any longer. The main rea-
conviction that other Muslims might join his “reforming”
son for these tensions might have been the quite different
view of Sh¯ıE¯ı Islam, a conviction reflected both in some
characters of the men. S:ubh:-i Azal seemed only partly aware
khut:bah read during his pilgrimage journey and also in letters
of the needs of his community to survive, whereas Baha¯D
to Muh:ammad Sha¯h. Judging from references in the Baya¯n,
Alla¯h reorganized the community and strengthened it in the
the Ba¯b’s central book, the pilgrimage was not a positive ex-
late 1860s. From a sociological point of view, therefore,
perience because he learned that the majority of Muslims did
S:ubh:-i Azal lost his influence on the Ba¯b¯ıs more and more,
not agree with his views. Back in Shiraz, he was imprisoned
whereas Baha¯D Alla¯h gained importance as a community
for four months. After his release he moved to Esfahan, but
leader. Since 1861 the Ottoman government had pressured
in early 1847 he again was put in jail, first at the fortress of
the Ba¯b¯ı movement, which ended with the exiles of Baha¯D
Ma¯khu¯ in Azerbaijan, from where he was transferred to the
Alla¯h and S:ubh:-i Azal via Istanbul to Edirne. Before leaving
castle of Chir¯ıq in April 1848. Shortly before this move to
Baghdad, Baha¯D Alla¯h, in the presence of some close follow-
Chir¯ıq, the Ba¯b sent a letter to Mulla¯ Shaykh EAl¯ı Tursh¯ız¯ı,
ers, proclaimed himself a new prophet made manifest by
presenting himself as the long-awaited twelfth Sh¯ıE¯ı ima¯m.
God, thus theologically ending, according to the Baha¯D¯ı in-
For Ba¯b’s followers, foremost among them the H:uru¯f
terpretation, the Ba¯b¯ı movement as an independent religion.
al-H:ayy, this letter marked the clear decision to dissent from
Even though S:ubh:-i Azal might have known about this, he
the shar¯ı Eah.
was only informed about Baha¯D Alla¯h’s claim to be “the one
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BABYLONIAN RELIGION
729
whom God shall manifest” in the so-called sura¯t al-amr sent
between the Ba¯b¯ıs and the Baha¯D¯ıs to uphold Ba¯b¯ı doctrine
by Baha¯D Alla¯h to his half brother on March 10, 1866. This
as a religious system of its own, thus focusing on eschatology
date marks the definitive break between the Ba¯b¯ı and Baha¯D¯ı
and the question of the future divine prophet.
groups.
SEE ALSO Baha¯D¯ıs.
While the majority sided with Baha¯D¯ı Alla¯h, a minority
followed S:ubh:-i Azal, joining him at his exile in Cyprus,
where he had been since 1868. On April 20, 1912, S:ubh:-i
BIBLIOGRAPHY
Azal died on the island, and he was buried in Famagusta, ac-
Primary Sources
cording to Muslim practice. Thus it is safe to conclude that
EAbduDl-Baha¯. A Traveller’s Narrative Written to Illustrate the Epi-
the Ba¯b¯ı community on Cyprus could not prosper any lon-
sode of the Ba¯b. Translated by Edward G. Browne. Cam-
ger, whereas some followers of the Ba¯b still live in Iran as so-
bridge, U.K., 1891; reprint, Amsterdam, 1975.
called Ba¯b¯ı-Azal¯ıs. During the twentieth century they
Ba¯b, EAl¯ı Muh:ammad Sh¯ıra¯z¯ı. Le Béyân Arabe. Translated by Al-
showed neither further theological development nor large-
phonse L. M. Nicolas. Paris, 1905.
scale organization, but instead turned into a more static com-
Ba¯b, EAl¯ı Muh:ammad Sh¯ıra¯z¯ı. Le Béyân Persan. Translated by Al-
munity, preserving the writings of the Ba¯b and S:ubh:-i Azal.
phonse L. M. Nicolas. 4 vols. Paris, 1911–1914.
Thus they mainly live as a hidden minority, passing on the
Ba¯b, EAl¯ı Muh:ammad. Selections from the Writings of the Ba¯b.
religious heritage through family lines, often not distinguish-
Translated by Habib Taherzadeh. Haifa, Israel, 1976.
able amid their Muslim surroundings. Most probably there
are not more than one or two thousand Ba¯b¯ı-Azal¯ıs residing
Husain, Hamada¯n¯ı. The Ta¯rihk-i-Jad¯ıd; or, New History of M¯ırza
E
in Iran.
Ali Muhammad, the Ba¯b. Translated by Edward G. Browne.
Cambridge, U.K., 1893; reprint, Amsterdam, 1975.
BA¯B¯I DOCTRINES. The main source for Ba¯b¯ı doctrine is the
Baya¯n (Declaration), the holy book of this religion, written
Nab¯ıl-i-AEzam. The Dawn-Breakers: Nab¯ıl’s Narrative of the Early
by the Ba¯b in Persian and Arabic during his imprisonment.
Days of the Baha¯ D¯ı Revelation. Edited and translated by Effen-
di Shoghi. Wilmette, Ill., 1999.
Though based on monotheism like Islam, the eschatological
thought is changed, as “the day to come” is no more a day
Studies
in the far future. Rather, anyone who lives with God can
Amanat, Abbas. Resurrection and Renewal: The Making of the Babi
enjoy the joy of paradise in a spiritual way even in the pres-
Movement in Iran, 1844–1850. Ithaca, N.Y., and London,
ent. The universal eschatology will start with “the one whom
1989. Study of the historical and sociological background of
God will manifest.” According to Ba¯b¯ı teaching, no precise
the early Ba¯b¯ı period.
date is given for this eschatological event, whereas Baha¯D¯ıs
Balyuzi, Hasan M. The Ba¯b. Oxford, 1973. Comprehensive biog-
take it for granted that the Ba¯b indicated that this would
raphy of the Ba¯b.
happen in the near future after his demise. On the other
Hutter, Manfred. “Prozesse der Identitätsfindung in der Früh-
hand, Ba¯b¯ı doctrines maintain their traditional bond to
geschichte der Baha¯D¯ı-Religion: Zwischen kontinuierlichem
Sh¯ıE¯ı Islam, as is the case with taq¯ıya, the possibility of hid-
Bewahren und deutlicher Abgrenzung.” In Kontinuität und
ing one’s religious thoughts or convictions in times of crisis
Brüche in der Religionsgeschichte, edited by Michael
or danger. The idea of martyrdom and warlike jiha¯d as a
Stausberg, pp. 424–435. Berlin, 2001. Study of the split be-
means to reach salvation also remain central in Ba¯b¯ı thought.
tween the Ba¯b¯ı and the Muslim communities in 1848 and
between the Ba¯b¯ı and the Baha¯D¯ı communities in 1863–
The Baya¯n also is the foundation of Ba¯b¯ı religious law,
1866 from the pattern of “identity.”
thus abrogating Islamic shar¯ı Eah. Some of the famous reli-
MacEoin, Denis. “The Babi Concept of Holy War.” Religion 12
gious laws concern the new direction of the qiblah, no longer
(1982): 93–129.
the KaEbah in Mecca but the Ba¯b’s house in Shiraz. Another
change in religious ritual law is in connection with the cultic
MacEoin, Denis. The Sources for Early Ba¯bi Doctrine and History:
A Survey. Leiden, Netherlands, 1992. Important study of
calendar, which divides the solar year into nineteen months
partly unpublished manuscripts for Ba¯b¯ı history.
with nineteen days each, and four additional days. According
to the Iranian solar year, the Ba¯b¯ı year also begins at the
Stümpel, Isabel. “T:a¯hira Qurrat al-EAin.” In Iran im 19. Jahrhun-
spring solstice. Within the new calendar, the month of fast-
dert und die Entstehung der Baha¯ D¯ı Religion, edited by Johann
ing became fixed at the last month of the Ba¯b¯ı year in March.
Christoph Bürgel and Isabel Schayani, pp. 127–143. Hildes-
heim, Germany, 1998. Study of the history and personality
Generally speaking, these doctrines and practices have
of Qurrat al-EAyn, focusing on her role in the shaping of the
been fixed in the various writings of the Ba¯b and, to a minor
Ba¯b¯ı community.
degree, also in the writings of S:ubh:-i Azal, whose
MANFRED HUTTER (2005)
“MuDtammim-i Baya¯n” features as the conclusion of the
Baya¯n, thus focusing on S:ubh:-i Azal’s claim (against Baha¯D
Alla¯h) that he is the real successor of the Ba¯b. Further writ-
ings by S:ubh:-i Azal can be seen as interpretations and elabo-
BABYLONIAN RELIGION SEE
rations of the Ba¯b’s teachings, mainly written after the split
MESOPOTAMIAN RELIGIONS
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
730
BACCHIC GOLD TABLETS
BACCHIC GOLD TABLETS SEE ORPHIC
cially while visiting Roman archaeological museums and an-
GOLD TABLETS
cient tombs, he found inspiration for his works on prehistor-
ic, oriental, and pre- or early Roman Italy, and he came to
understand the importance of funerary evidence (the Gräber-
wesen) for the study of antiquity. Other archaeological trips
BACHOFEN, J. J. (1815–1887) was a Swiss scholar of
reinforced this direct approach to the ancient world: Greece
mythology and Roman law and history. Through his most
(1851–1852); the British Museum in London (1847 and
famous books, Gräbersymbolik (1859) and Mutterrecht
1852); the Louvre in Paris (1852, 1860, 1864, and 1865);
(Mother right, 1861), Bachofen had a great influence on
and Spain and southern France (1861).
twentieth-century culture, even in fields not closely related
to the history of religions.
After leaving behind his studies on Roman law, which
had made him a respected scholar, Bachofen abandoned
LIFE. Johann Jakob Bachofen was born to a patrician family
mainstream classical philology, first in his Geschichte der
in Basel, Switzerland, on December 22, 1815. His father, Jo-
Römer (1851), in which he led a direct attack on the princi-
hann Jacob Bachofen, owned a highly successful silk ribbon
ples of the eminent scholars Barthold Niebuhr and Theodor
business that had belonged to the family since 1720. The
Mommsen, then in the Gräbersymbolik and the Mutterrecht.
wealth accumulated by the Bachofens was visible in their im-
The latter two books, which are inextricably linked, were the
mense real-estate holdings, as well as in their rich art collec-
result of seventeen years of collecting and organizing a huge
tion. Bachofen’s mother, Valeria Merian, came from one of
amount of literary and archaeological data, most of which re-
Basel’s most distinguished families of important business-
mains unpublished.
men, politicians, and university professors.
Bachofen was brought up to be a pious churchgoing
By the late 1860s Bachofen had started studying the
member of the French reformed Christian community. In
writings of the most important ethnologists and anthropolo-
1831 he became a student at the Pädagogium, the preparato-
gists of his time: John Ferguson McLennan, Werner Munz-
ry college of Basel University, which he entered in 1834.
inger, John Lubbock, Edward Burnett Tylor, Adolf Bastian,
Here his most important teacher was Franz Dorotheus Ger-
and Lewis Henry Morgan, among others (he read altogether
lach in Latin, and the two became lifelong friends. From
more than six hundred different authors). In these years he
1835 to 1837 Bachofen studied at Berlin University, attend-
planned a revised edition of the Mutterrecht, which would
ing lectures of the outstanding representative of the historical
have taken into account “the remains of the maternal system
school of law, Friedrich Karl von Savigny (who influenced
surviving in all the peoples of the world,” as he stated in a
him deeply); the romantic geographer Karl Ritter, whose les-
letter to Heinrich Meyer-Ochsner (November 10, 1870). He
sons on ancient geography were to be of great importance
never managed to fulfill this task, but published these exten-
for Bachofen’s conception of matriarchy; the philologists Au-
sive ethnological data in the Antiquarische Briefe (1880 and
gust Böckh and Karl Wilhelm Lachmann; and the historian
1886). Bachofen died on November 25, 1887; he was sur-
Leopold von Ranke. In order to deepen his knowledge of
vived by his wife, Louise Elisabeth Burckhardt, whom he had
Roman law, Bachofen spent the winter semester of 1837–
married in 1865, and their twenty-one-year-old son.
1838 at the University of Göttingen, where he took courses
OEUVRE. Bachofen’s dissertation on Roman law was written
with Gustav Hugo (the founder of the historical school of
in Latin: De romanorum iudiciis, de legis actionibus, de for-
law and a friend of Savigny) and the classicist Karl Otfried
mulis et de condicione (1840). His inaugural lecture, “Das
Müller. In 1838, after having achieved his doctoral degree
Naturrecht und das geschichtliche Recht in ihren Gegensät-
in Basel with a study on Roman law, Bachofen spent a year
zen,” held on the occasion of his appointment to a professor-
in Paris taking courses at the École de Droit and the Collège
ship at Basel University on May 7, 1841, is important for
de France under Pellegrino Rossi, as well as one year in Lon-
understanding his Savigny-influenced view of Roman law.
don and Cambridge. By 1840 he had returned to Basel,
Other major works on this topic are Die lex Voconia und die
where he became ordinary professor of Roman law in 1841,
mit ihr zusammenhängenden Rechtsinstitute (1843) and Das
appellate judge at the criminal court in 1842 (a post he filled
römische Pfandrecht (1847). Bachofen’s main treatises on
for twenty-five years), and a member of the Basel Senate in
Roman history are the Politische Betrachtungen über das
1844. He resigned his university position in 1844 because
Staatsleben des römischen Volkes (published posthumously in
of a political campaign directed against him by the local
1848) and Die Geschichte der Römer, edited with Gerlach
press, and in 1845 he gave up his seat in the Senate. He also
(1851).
served briefly on the university governing board (1855–
Bachofen’s eventual rejection of scholarly philology and
1858), but resigned because of conflict with a colleague.
his conversion to a symbolic approach to antiquity is most
Thereafter Bachofen withdrew completely from academic
evident in a letter to Savigny dated September 24–27, 1854
life.
(published as “Eine Selbstbiographie” in Zeitschrift für ver-
The turning point in Bachofen’s life came during his
gleichende Rechtswissenschaft 34, 1916, pp. 337–380). In this
first journey to Italy in 1842 (a journey followed by others
context the strong impression exercised on Bachofen by the
in 1848–1849, 1851–1852, 1863, and 1865). Here, espe-
ancient sites of Italy and Greece is of utmost importance (see
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BACHOFEN, J. J.
731
Griechische Reise, written in 1851 and edited 1927 by Georg
This second stage, gynecocracy, was thus characterized by
Schmidt). Other major writings leading to his works on fu-
the nonviolent power of the materfamilias, who endorsed
nerary symbolism and gynecocracy are the unpublished Das
piety, communal peacefulness, and the prosperity of the peo-
alte Italien (especially the incomplete manuscript 104, writ-
ple and life. This new stage took place within an agricultural
ten in 1855) and the lecture “Über das Weiberrecht” given
milieu, where the worship of chthonic and lunar deities pre-
in Stuttgart on September 9, 1856 (Verhandlungen der 16,
vailed over that of heavenly and solar ones. The most impor-
Versammlung deutscher Philologen, Schulmänner und Orien-
tant divinity was the mother goddess Demeter, who was
talisten, 1857, pp. 40–64). Bachofen’s two chief books are
closely linked to the fertility of earth and women. Towards
Versuch über die Gräbersymbolik der Alten (1859) and Das
its end however, this stage degenerated into amazonism, that
Mutterrecht: Eine Untersuchung über die Gynaikokratie der
is, the military predominance of women over men. The reac-
Alten Welt nach ihrer religiösen und rechtlichen Natur (1861),
tion to the female principle was fulfilled by Dionysian reli-
the latter of which he dedicated to his mother, Valeria
gion, which determined the decline of gynecocracy and gave
Merian.
way to the third and last Kulturstufe, that of patriarchy.
Strongly inspired by Georg Friedrich Creuzer’s Sym-
In patriarchy, the Dionysian principle was soon re-
bolik und Mythologie der alten Völker (1819–1822),
placed by the Apollonian, then by Roman law, and finally
Bachofen’s Gräbersymbolik conceives myth as “the exegesis
by Christianity. Humankind organized society in patrilinear
of the symbol” (Gesammelte Werke, 1943–1967, vol. 4,
families, grouped in cities, kingdoms, and empires. In
p. 61). Myth narrates through a series of connected actions
Bachofen’s view, the patriarchal order represented the victory
what the symbol embodies and unifies. Similar to a discur-
of spirit over matter, of culture over nature, of reason over
sive philosophical treatise, myth unfolds the profound, im-
instinct, but also of arbitrary power over freedom, of social
penetrable muteness of the symbol, though respecting and
hierarchy over communal unity, of violence over peace. Be-
not violating its intrinsic mystery: “to expound the mystery
neath Apollo, the main divinity of this stage was Zeus, father
doctrine in words would be a sacrilege against the supreme
and king of the Olympian gods, who embodied the spiritual,
law; it can only be represented in the terms of myth” (Gesam-
uranic, and male principle.
melte Werke, 1943–1967, vol. 4, p. 61). The symbols of fu-
nerary art (Bachofen takes into account Greek, Roman,
The assumption of a gynecocratic, oriental root for
Egyptian, and Microasiatic evidence) are thus capable of re-
Roman history inspired the main work of Bachofen’s maturi-
vealing the true essence of antiquity, as well as of religion
ty, Die Sage von Tanaquil: Eine Untersuchung über den Orien-
throughout. In the Gräbersymbolik, the most significant sym-
talismus in Rom und Italien (1870), a book juxtaposed with
bols analyzed are those of the three mysteric eggs and of the
Theodor Mommen’s popular Römische Geschichte (1854–
rope-weaver Ocnus. The myths arising from them explain
1856). The Antiquarische Briefe vornehmlich zur Kenntnis der
the relationships between the cosmic powers of life and
ältesten Verwandtschaftsbegriffe (1880/1886), which are dedi-
death, light and obscurity, spirit and matter, masculine and
cated to Morgan, shed light on the great influence the Ameri-
feminine, and right and left, as well as the duality of Roman
can scholar had on Bachofen starting from 1874 onwards,
power as exemplified by Romulus and Remus (and consul
inspiring his vast studies on the institution of the avunculate
and magistrate).
in matrilinear societies (still partly unpublished). The post-
humously edited Römische Grablampen (1890) shows how in
The symbolic context of the Gräbersymbolik also occurs
the last weeks of his life Bachofen had returned to study fu-
in Bachofen’s best-known work, the Mutterrecht. Here he
nerary symbolism.
presents his theory of the evolution of human society from
its beginning to modernity as it develops through three stages
RECEPTION AND INFLUENCE. During Bachofen’s lifetime
of civilization (Kulturstufen). According to this scheme, be-
only his writings on Roman law were appreciated. His works
fore the stage of patriarchal society, which extends from Ho-
on Roman history and on mythology were criticized or even
meric antiquity to the present, in prehistoric times there were
ignored by most of the scholars of his time. The only special-
two earlier and universal stages. The first was that of haeter-
ists who admired Bachofen’s work were Meyer-Ochsner, a
ism (or aphroditism), a stage of sexual promiscuity and social
wealthy private scholar like himself, and Alexis Giraud-
anarchy very close to the original state of nature. During this
Teulon, a French honorary professor at the University of Ge-
stage, humans lived in swamps without any legal and ethical
neva; Bachofen corresponded with both of them for years.
obligation, and women suffered complete domination by
Giraud-Teulon was profoundly influenced by the Mutter-
every male component of the horde. Since descent could be
recht, whose theories he reformulated in La mère chez certains
reckoned only through the mother, women rebelled against
peuples de l’antiquité (1867) and Les origines du mariage et de
this condition of disorderly life and instituted the mother
la famille (1884). These works presented Bachofen’s ethno-
right, at once a juridical system, a social order, and a religious
sociological conceptions from a scholarly though simplified
view founded on the principle of matrilinearity (in
point of view, making them accessible to anthropologists,
Bachofen’s view this matrilinear aspect is particularly evident
ethnologists, and sociologists of the time. Lubbock (The Ori-
within the ancient Lycians: see his Das lykische Volk und seine
gin of Civilization, 1870) and McLennan (Studies in Ancient
Bedeutung für die Entwicklung des Alterthums, 1862).
History, 1876) took great interest in Giraud-Teulon’s inter-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
732
BACHOFEN, J. J.
pretations of Bachofen’s ideas; Morgan even considered the
lying in the Basel University archive are thoroughly described
Swiss scholar to be the predecessor of his own theories (An-
by Johannes Dörmann in his Archiv J. J. Bachofen auf der
cient Society, 1877). From the end of the nineteenth century
Grundlage des Nachlasses J. J. Bachofen (Basel, 1987; appen-
until the late 1920s, Bachofen was considered a forerunner
dix to the Gesammelte Werke, vol. 5). Further insight into the
of family-evolutionism; most discussed were his conceptions
Bachofen-Archiv is supplied by Emanuel Kienzle, “Nach-
of haeterism and matrilinear gynecocracy. Although these
wort,” in Gesammelte Werke, vol. 6, pp. 459–477 (1951);
Ernst Howald, “Nachwort,” in Gesammelte Werke, vol. 4,
topics were progressively abandoned by scholars, Bachofen’s
pp. 507–560 (1954); and Philippe Borgeaud, La mythologie
theory of the Kulturstufen, closely related to that of the Kul-
du matriarcat: L’atelier de J. J. Bachofen (Geneva, 1999). A
turkreise, survived within the ethnology and sociology of the
selection of Bachofen’s major work in English translation,
first half of the twentieth century (e.g., that of Leo Frobeni-
with notes, glossary, and bibliography, is Myth, Religion, and
us, Oswald Spengler, Adolf Ellegard Jensen, and Wilhelm
Mother Right: Selected Writings of J. J. Bachofen, translated by
Schmidt).
Ralph Mannheim with a preface by George Boas and an in-
troduction by Joseph Campbell (Princeton, 1967; 2d ed.,
Morgan’s works and Giraud-Teulon’s Bachofen-
1992).
influenced idea of an original communism influenced Karl
Marx (see The Ethnological Notebooks, edited by Lawrence
The most complete sketch of Bachofen’s life and work until 1861
Krader, 1972) and Friedrich Engels (Der Ursprung der Fami-
is Karl Meuli’s “Nachwort,” in Gesammelte Werke, vol. 3,
lie, des Privateigenthums und des Staates, 1884; in the fourth
pp. 1011–1128 (1948). The years leading to the Sage von
Tanaquil are covered by Emanuel Kienzle, “Nachwort,” in
edition of this book in 1891 Bachofen’s influence is even
Gesammelte Werke, vol. 6, pp. 447–451 (1951), whereas the
stronger). Later this topic was studied also by Paul Lafargue,
period after 1870 is examined by Johannes Dörmann’s
Heinrich Cunow, Wilhelm Reich, Erich Fromm, Max
“Bachofens ‘Antiquarische Briefe’ und die zweite Bearbei-
Horkheimer, and Ernst Bloch.
tung des Mutterrechts,” in Gesammelte Werke, vol. 8,
The work of Bachofen reached its greatest popularity
pp. 523–602 (1966). The peculiarity of Bachofen’s personal-
during the 1920s, when it was rediscovered by the Münchner
ity within German scholarship has been outlined by Jona-
than D. Fishbane, Mother-right, Myth, and Renewal: The
Kosmiker Karl Wolfskehl, Alfred Schuler, and Ludwig
Thought of J. J. Bachofen and Its Relationship to the Perception
Klages. Klages’s Vom Kosmogonischen Eros (1922) introduced
of Cultural Decadence in the Nineteenth Century (Ann Arbor,
a true Bachofen-Renaissance, which expanded in a variety of
Mich., 1982), and Lionel Gossman, Basel in the Age of Burck-
fields, reaching from mythical symbolism (Carl Albrecht
hardt (Chicago and London, 2000), pp. 111–200, the latter
Bernoulli, J. J. Bachofen und das Natursymbol [1924] and
focusing on Bachofen’s relationship to Mommsen (“Orpheus
J. J. Bachofen als Religionsforscher [1924]; Alfred Bäumler,
Philologus: Bachofen versus Mommsen on the Study of An-
“Bachofen, der Mythologe der Romantik,” an introduction
tiquity,” Transactions of the American Philosophical Society 73
to the renowned anthology of Bachofen’s work, Der Mythus
[1983]: 1–89). Bachofen’s studies in the history of Roman
von Orient und Occident, edited by Bäumler and Manfred
law have been examined by Roy Garré, Fra diritto romano e
Schröter [1926]; and Karl Kerényi, Bachofen und die Zukunft
giustizia popolare: Il ruolo dell’attività giudiziaria nella vita e
des Humanismus [1945]), to psychology (Carl Gustav Jung,
nell’opera di J. J. Bachofen (Frankfurt am Main, 1999), and
Annamaria Rufino, Diritto e storia: J. J. Bachofen e la cultura
who suggested translating Bachofen’s work into English in
giuridica romantica, 2d ed. (Naples, 2002). His conception
1967, and Erich Neumann), to literature (Hugo von Hof-
of history was examined by Georg Schmidt, J. J. Bachofens
mannsthal, Gerhard Hauptmann, Walter Benjamin, and
Geschichtsphilosophie (Munich, 1929); Johannes Dörmann,
Thomas Mann), to ancient history (George Thomson), to
“War J. J. Bachofen Evolutionist?” Anthropos 60 (1695):
city planning (Lewis Mumford), and to feminism (August
1–48; and Andreas Cesana, J. J. Bachofens Geschichtsdeutung
Bebel, Robert Briffault, Ernest Bornemann, Evelyn Reed,
(Basel, 1983); his relationship to politics by Max Burckhardt,
Ida Magli, Marie Louise Janssen-Jurreit, Richard Fester, and
J. J. Bachofen und die Politik (Basel, 1942).
Heide Göttner-Abendroth).
In Germany, Bachofen’s success in the second half of the twenti-
eth century owes much to Marxism and feminism (see Uwe
SEE ALSO Creuzer, G. F.; Evola, Julius; Family; Feminine
Wesel, Der Mythos vom Matriarchat [Frankfurt am Main,
Sacrality; Feminist Theology, overview article; Frobenius,
1980] and Hartmut Zinser, Der Mythos des Mutterrechts
Leo; Goddess Worship, overview article; Gynocentrism;
[Frankfurt am Main, 1981]); to literature (Walter Muschg,
Kulturkreiselehre; Patriarchy and Matriarchy.
Bachofen als Schriftsteller [Basel, 1949]); and to psychology
(Adrien Turel, Bachofen-Freud: Zur Emanzipation des Man-
BIBLIOGRAPHY
nes vom Reich der Mütter [Bern, 1939]). A comprehensive re-
A detailed bibliography of Bachofen’s printed writings and the lit-
construction of the Bachofen-Renaissance can be found in Das
erature on his life and works is available in Hans-Jürgen
Mutterrecht von J. J. Bachofen in der Diskussion, edited by
Hildebrandt, J. J. Bachofen: A Bibliography of the Primary and
Hans-Jürgen Heinrichs, 2d ed. (Frankfurt am Main, 1987).
Secondary Literature (in English and German; Aachen, Ger-
Other collections include J. J. Bachofen (1815–1887): Eine
many, 1988). Most of Bachofen’s published and previously
Begleitpublikation zur Ausstellung im Historischen Museum
unpublished work has been collected in his Gesammelte
Basel, edited by Barbara Huber-Greub (Basel, 1987) and
Werke, 8 vols., edited by Karl Meuli and others (Basel, 1943–
Matriarchatstheorien der Altertumswissenschaft, edited by
1967). The remaining (10,000) unedited handwritten pages
Beate Wagner-Hasel (Darmstadt, Germany, 1992).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BACON, FRANCIS
733
In France, where the Mutterrecht had been translated already in
Learning (1605); book 1 of this work contains a defense of
1903 by the Group of Feminist Studies in Paris (a new trans-
learning, and book 2 a catalog of the branches of knowledge,
lation by Étienne Barilier appeared 1996 in Lausanne), the
with a commentary showing where each is deficient. An ex-
strong criticism of Émile Durkheim prevented Bachofen’s
panded version, in Latin, was published in 1623 as De aug-
work from having any influence within the École So-
mentis scientarum. Bacon thought of this version as the first
ciologique. In Italy, on the contrary, where most of
section of his “great instauration” of the sciences, of which
Bachofen’s works have been translated (starting with the an-
thology Le madri e la virilità olimpica, edited by Julius Evola
the second part, Novum organum (The new organon), had
[Milan, 1949]), many scholars have produced important
already appeared (1620). Posthumously published, though
writings on various aspects of the Swiss mythologist (Arnaldo
written in 1610, was New Atlantis; here, in the guise of a
Momigliano, Giampiera Arrigoni, Giulio Schiavoni, Eva
traveler’s tale, Bacon depicts his ideal scientific community.
Cantarella, and Giampiero Moretti). International confer-
The science he proposed was to be both experimental and
ences on Bachofen took place in 1987 and 1988 (Pisa:
systematic: “The men of experiment are like the ant, they
“Seminario su J. J. Bachofen,” Annali della Scuola Normale
only collect and use; the reasoners resemble spiders, who
di Pisa 18 [1988]: 599–887; Rome: “J. J. Bachofen e la dis-
make cobwebs out of their own substance. But the bee takes
cussione sull’origine dello Stato,” Quaderni di Storia 28
a middle course: it gathers its material from the flowers of
[1988]: 7–139).
the garden and of the field, but transforms and digests it by
ALESSANDRO STAVRU (2005)
a power of its own” (Novum organum 95). Similarly, adher-
ence to proper principles of induction would yield scientific
knowledge from experimental findings.
BACON, FRANCIS (1561–1626), Lord Verulam, Vis-
Bacon’s methodology of science has been criticized for
count St. Albans; English statesman, essayist, and philoso-
its rejection of those speculative hypotheses that contribute
pher of science. A major political figure in early Stuart En-
essentially to progress; he is also faulted for his dismissal of
gland, Bacon drew a visionary picture of the role and
the use of mathematics in science. But these criticisms are
practices of the science of the future. This science was to be
made with hindsight: when, in 1662, the Royal Society was
experimental, and Bacon advocated setting up public institu-
founded along Baconian lines, its early members, including
tions for its pursuit. Written in the conviction that science,
speculative natural philosophers like Robert Boyle, were lav-
properly conducted, would lead to the improvement of the
ish in their praise of him.
material conditions of life, his major works are at the same
In his lifetime, however, the works most widely read
time philosophical discourses and recommendations for pub-
were De sapientia veterum (Of the wisdom of the ancients,
lic policy.
1610), which puts forward rational reinterpretations of clas-
Bacon was born of distinguished parents. His father was
sical fables and mythology, and his Essays. The essays, appear-
lord keeper of the great seal to Elizabeth I, and his mother
ing in several editions between 1597 and 1625, are aphoristic
was the niece of Lord Burghley, Elizabeth’s lord treasurer. In
in style and worldly in content; like Machiavelli, whom he
1573 he entered Trinity College, Cambridge, and two years
admired, Bacon sought to describe the political world as it
later was enrolled briefly as a law student at Gray’s Inn. His
is rather than as it should be. He described the essays as “rec-
father’s death in 1579 left Francis, the youngest son, compar-
reations of my other studies,” but they may also be regarded
atively poor, and he embarked on a career in law and politics.
as supplying material for “civil knowledge,” a branch of
In 1584 he became a member of the House of Commons,
“human philosophy” in Bacon’s scheme.
where he sat until his elevation to the House of Lords in
Bacon’s views on religion are problematic. Although the
1618. Despite wide knowledge, great ability, and influential
first edition of the Essays included his Meditationes sacrae (Sa-
friends, Bacon never achieved high office under Elizabeth,
cred meditations), in the essays themselves religion is viewed
but after the accession of James I in 1603 he became succes-
merely as a useful social cement, contributing to the stability
sively king’s counsel, solicitor general, attorney general, lord
of the state. And, along with Aristotelian philosophy, Bacon
keeper, and lord chancellor. Then, in 1620, he was found
rejected the scholastic tradition within theology. Repeatedly
guilty of taking a bribe and was removed from public office.
he emphasized the necessity of a divorce between the study
He spent the remainder of his life working on a vast project:
of science and of religion: the truths of science are revealed
to provide both a new foundation for knowledge and a pro-
in God’s works, the truths of morality and religion by God’s
gram for its acquisition.
word, that is, in sacred scripture. Fact and value become ap-
This project had occupied him since he first entered
parently dissociated. But those commentators who claim that
Parliament. An essay written in 1584 has not survived, but
Bacon’s frequent protestations of faith were either politic or
from 1594 we have Discourse in Praise of Knowledge, a contri-
ironical must deal with the recurrence of theological ele-
bution to an entertainment devised for Elizabeth. Its themes,
ments within his thought. For example, his inductive system
the sterility of traditional Aristotelian philosophy on the one
rests on a belief that the surface of nature can be made trans-
hand and the lack of progress in empirical endeavors like al-
parent to us, provided we rid ourselves of the misconceptions
chemy on the other, reappeared in The Advancement of
(“idols,” Bacon calls them) that are the product of our fallen
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
734
BACON, ROGER
state; proper inductive procedures will, at least partially, re-
Bacon’s intellectual universe was peopled with heroes
store the “commerce between the mind of man and the na-
and villains. Aristotle was a particularly great ancient hero,
ture of things” to its original condition, that is, to its condi-
while among the few contemporaries admitted to the pan-
tion before the Fall. Again, Bacon’s New Atlantis is suffused
theon were Robert Grosseteste and Adam Marsh. Grosseteste
with a mystical Christianity, which, it has been persuasively
(whom Bacon may not have known personally) had been a
argued, owes much to the Rosicrucian movement. Of course,
lecturer to the Franciscans at Oxford, and Marsh was a Fran-
such religious elements are open to reinterpretation, as
ciscan himself. These men must have been very important
Bacon’s own reinterpretation of the myths of antiquity
in influencing Bacon’s somewhat surprising decision to join
shows. And although certain eighteenth-century religious
the Franciscan order, for he was no model of simple humili-
ideas, like the “argument from design” for God’s existence,
ty. Indeed Bacon could be almost as rude about fellow Fran-
are prefigured in Bacon’s writings, it was his insistence on
ciscan intellectuals as about rival Dominicans, such as Alber-
the autonomy of science, as well as his systematic ordering
tus Magnus. His relations with his superiors were probably
of its various components, that earned him the admiration
never easy, and it seems certain that he was at least once put
of Enlightenment thinkers like Voltaire and d’Alembert.
under some form of confinement, although the reasons re-
They rightly saw him as among those who made the Enlight-
main obscure. It has been suggested, notably by Stewart C.
enment possible. For good or ill, he was also a herald, not
Easton, that one of the principal reasons for strained rela-
only of the technological age that succeeded it, but also of
tions was his sympathy for the spirituals, the more austere
the compartmentalization of experience characteristic of our
wing of the order, but this view has not been universally ac-
culture.
cepted.
BIBLIOGRAPHY
Both before and after becoming a Franciscan Bacon de-
The standard edition of Bacon’s Works (London, 1857–1874) was
veloped his new approach to philosophy, and in the 1260s
edited by James Spedding, R. L. Ellis, and D. D. Heath; vol-
his big chance came. His schemes were brought to the atten-
umes 1–7 contain the works, together with translations of all
tion of Cardinal Guy de Foulques, who in 1265 became
the major Latin works into English; volumes 8–14 contain
Pope Clement IV. Bacon was ordered to produce his writ-
a life, letters, and miscellanea. All important works appear in
ings, but unfortunately there were as yet none fit for dis-
English in Philosophical Works, edited by J. M. Robertson
patch. Bacon, therefore, began to write in a flurry; the results
(London, 1905). Noteworthy among editions of individual
were not only the famous Opus majus but also the Opus
works is a scrupulously annotated edition of The Advance-
ment of Learning and New Atlantis, 3d ed., edited by Arthur
minus and Opus tertium, both of which supplemented and
Johnston (Oxford, 1974). Three interesting and previously
summarized the Opus majus. Some if not all of these works
untranslated minor works appear in Benjamin Farrington’s
reached Rome, but there is no evidence of their having pro-
The Philosophy of Francis Bacon (Liverpool, 1964), together
voked any reaction there, and Clement died in 1268. For the
with a valuable monograph on Bacon’s thought. A useful, al-
rest of his intellectual life Bacon may not unfairly be de-
beit adulatory, account of Bacon’s philosophy is Fulton H.
scribed as rewriting the same major work, often with great
Anderson’s The Philosophy of Francis Bacon (1948; reprint,
vehemence at what he saw as the increasing ignorance and
Chicago, 1971); more critical is Anthony Quinton’s Francis
corruption of his times. Although he never completed a new
Bacon (Oxford, 1980). Paulo Rossi’s Francis Bacon: From
grand synthesis, he was still at work in 1292. Tradition places
Magic to Science (Chicago, 1968) offers an intriguing study
his death in the same year.
linking Bacon’s thought with the hermetic tradition. Other
aspects of Bacon scholarship are covered in Essential Articles
A cornerstone of Bacon’s mature thought is the postu-
for the Study of Francis Bacon, edited by Brian Vickers (Ham-
late that all wisdom is included in the scriptures but is in
den, Conn., 1968).
need of explication by means of canon law and philosophy.
R. I. G. HUGHES (1987)
Thus, while subordinating philosophy to theology Bacon
also accorded it immense importance. Moreover, he did not
conceive philosophy narrowly but included in its domain—
BACON, ROGER (c. 1214–c. 1292), philosopher and
besides its crowning glory, moral philosophy—the study of
Franciscan friar. Born in the west of England of a wealthy
languages, mathematics, geography, astrology, optics, and al-
family, for most of his life Bacon alternated between England
chemy. His emphasis was often empirical, and this, together
and France. His first, if not his only, university education
with the fact that one part of the Opus majus is devoted to
was at Oxford, and soon thereafter he pioneered in lecturing
“experimental science,” has led many to portray Bacon as a
on Aristotle’s metaphysics and on natural philosophy at
harbinger of modern experimental science. There is some
Paris. Several Artistotelian commentaries survive from this
truth in this, but it is a view that can all too easily lead to
period, but Bacon was soon to undergo a profound intellec-
anachronism. For instance, it must be remembered that
tual reorientation, inspired at least partly by another work
Bacon emphasized that experience was accessible through
that he believed to be by Aristotle, the Secretum secretorum,
both external senses and interior illumination, and that reve-
a long letter of advice on kingship supposedly written to Al-
lation was necessary even for philosophical knowledge. In-
exander the Great.
deed, in his view the plenitude of philosophy had first 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
BA¯DARA¯YAN:A
735
revealed to the ancient patriarchs and prophets. It was then
Bacon, and La synthèse doctrinale de Roger Bacon (all, Paris,
transmitted to posterity, with an inevitable decline in quality
1924). Roger Bacon: Essays, edited by Andrew G. Little
accompanying the process, the decline only occasionally
(1914; reprint, New York, 1972), remains of considerable
being arrested by special illuminations to such men as Py-
value. A good, up-to-date account of Bacon and his attitude
thagoras, Socrates, Plato, and Aristotle. Among other means
to non-Christians is provided in E. R. Daniel’s The Francis-
of reversing the decline, according to Bacon, was the study
can Concept of Mission in the High Middle Ages (Lexington,
Ky., 1975).
of languages, which would allow ancient texts to be read in
the orignal.
A. GEORGE MOLLAND (1987)
Bacon believed that there were six (although at times he
appears to allow seven) principal religions, which were astro-
logically linked to six of the seven planets. The rise and de-
BA¯DARA¯YAN:A, reputed author of the Veda¯nta Su¯tra
cline of the religions were also correlated with the heavenly
(Brahma Su¯tra), the source text for all subsequent philosoph-
motions, so that, for instance, astrology could indicate that
ical Veda¯nta. No biographical information is available; the
the time of the last religion, that of the antichrist, was near
name may be a convenient surrogate for the process of redac-
at hand. Christianity was one of the principal religions, but
tion that eventuated in the present text. Indeed, a recent tra-
was unique in that philosophy could provide conviction of
dition identifies Ba¯dara¯yan:a with Vya¯sa, the eponymous
its truth.
“compiler” of much late Vedic and epic material, including
Bacon saw preaching to the unconverted as a bounden,
the Maha¯bha¯rata.
but in fact neglected, duty of Christians, and he strongly dis-
The name Ba¯dara¯yan:a occurs in the M¯ıma¯ms:a¯ Su¯tra
approved of the Crusades, which, he held, shed Christian
(1.5) of Jaimini, there referring to a r:s:i to whose opinion on
blood unnecessarily while actually hindering the conversion
an important point Jaimini seems to defer. If the Veda¯nta
of Muslims. But even with effective preaching there would
Su¯tra is indeed Ba¯dara¯yan:a’s, then he also refers to himself
still be those who obstinately resisted conversion and would
in the context of other teachers whose disputations evidently
need to be physically repulsed. Here again philosophy came
formed the beginnings of early Veda¯nta speculation (Veda¯nta
into play, for Bacon was a firm advocate of what in modern
Su¯tra 4.4.5–7).
terms would be called the application of technology in war-
Modern discussion of Ba¯dara¯yan:a is focused chiefly on
fare. Among his proposals was the use of huge burning mir-
the date of the su¯tra text, on Ba¯dara¯yan:a’s “relations” to
rors to destroy enemy encampments and the use of “fascina-
other post-Upanis:adic teachers, notably Jaimini, and on the
tion” (psychic influence), a phenomenon Bacon believed
question of which of his many commentators has been most
could be explained naturalistically. The antichrist would be
faithful to his thought. Paul Deussen in general prefers
well armed with such weapons, and so it was imperative that
S´an˙kara’s monistic version, the oldest extant commentary,
Christendom defend itself in similar fashion.
but others (George Thibaut, Vinayaka S. Ghate, and Louis
Bacon could often seem suspiciously close to advocating
Renou) have suggested important reservations in this view
the use of magic. He was very conscious of this, and made
and have often concluded that Ra¯ma¯nuja’s bheda¯bheda
strenuous efforts to distinguish philosophy sharply from
(“difference within unity”) more accurately reflects
magic and its appeals to demons. Nevertheless, although
Ba¯dara¯yan:a’s original thesis. The discussion is made extreme-
some of his “pure scientific” writings had considerable influ-
ly difficult by the fact, universally admitted, that
ence (notably those on optics), it is not surprising that he
Ba¯dara¯yan:a’s su¯tras, of an extreme brevity and terseness, are
went down to posterity as part of the magical tradition. By
often unintelligible without an explanatory commentary.
the learned he was cited as a defender of what in the Renais-
Ba¯dara¯yan:a’s relation to the r:s:i of the other (Pu¯rva)
sance was called natural magic, but to the public at large he
M¯ıma¯m:sa¯, Jaimini, is again not easy to decipher. The names
was himself a full-blooded magician who had no compunc-
appear in the collections attributed to the other teacher,
tion about trafficking with spirits. Later this image was trans-
which has led many to suspect that the two may have been
formed into that of a hero of experimental science born cen-
close contemporaries. But the doctrines that they espouse in
turies before his time; more recent critical scholarship, in its
these stray passages do not seem clearly related to the perhaps
urge to demythologize, has often unjustly muted the individ-
later massive schism implied by the existence of the separate
uality and originality of this intellectually turbulent figure.
text collections to which their names were attached. What
is clear is that they were preeminent among the many teach-
BIBLIOGRAPHY
ers whose names alone survive. The date of Ba¯dara¯yan:a is
The best general introduction to Bacon is Stewart C. Easton’s
also closely tied to that of Jaimini but, like all such early Indi-
Roger Bacon and His Search for a Universal Science (New
York, 1952), although Easton perhaps exaggerates Bacon’s
an dating, is highly speculative and often circularly argued.
sympathies for the teachings of Joachim of Fiore. A very use-
If, as Renou concludes, Ba¯dara¯yan:a does directly confront
ful trilogy for probing the basic structure of Bacon’s thought
the Buddhist Maha¯ya¯na in several su¯tras (see 2.2.28–32),
is by Raoul Carton: L’expérience physique chez Roger Bacon,
then his date cannot be much earlier than the third century
L’expérience mystique de l’illumination intérieure chez Roger
of our era. But Jaimini’s date is sometimes put back as far
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
736
BAECK, LEO
as the third century BCE (see, e.g., Jacobi, 1911).
Hochschule für die Wissenschaft des Judentums, a leading
Ba¯dara¯yan:a’s name had of course become associated with the
institution of Liberal Judaism. Baeck then held pulpits in
su¯tra text by the time of S´an˙kara (early eighth century).
Oppeln (Silesia) and Düsseldorf, and in 1912 he was called
The text itself is composed of 555 su¯tras, grouped in
to Berlin where, with the exception of a stint as chaplain dur-
four major chapters (adhya¯yas), each with four subdivisions
ing World War I, he remained until his deportation to a con-
(pa¯das). Commentators have further identified various “top-
centration camp by the Nazis. During his years in Berlin,
ics” within each pa¯da, but the number and boundaries of
Baeck assumed a number of increasingly influential posi-
these differ markedly from one commentator to another. In
tions. In 1913 he joined the faculty of the Hochschule as a
general, the first chapter is fundamental, treating brahman
docent of Midrash and homiletics. In 1922 he became chair-
as the one source of the world. It argues that the various
man of the national association of German rabbis, and in
Upanis:adic teachings concerning brahman present one doc-
1925 he assumed the presidency of the BDnai BDrith, a frater-
trine. Much of the discussion in the fourth pa¯da appears di-
nal network, in Germany.
rected against the Sa¯m:khya. The second chapter refutes spec-
When Hitler ascended to the German chancellorship,
ulative objections to the Veda¯nta theses from the Sa¯m:khya,
it was Baeck who had the prescience to declare that “the
Nya¯ya, and Bauddha schools and discusses certain problems
thousand-year” history of German Jewry had come to an
of “realism,” notably whether the world is “caused” or not.
end. Baeck was instrumental in founding the Reichsvertre-
The third chapter treats the individual soul (j¯ıva) and how
tung der deutschen Juden, an organization that made the
it “knows” brahman. The final chapter, on “fruits,” discusses
most successful attempt in German-Jewish history to unify
meditation and the condition of the liberated soul before and
Jewish defense, welfare, and cultural activities on a nation-
after death.
wide scale. As president of this body, he devoted himself to
defending the rights of Jews in Germany, facilitating their
SEE ALSO M¯ıma¯m:sa¯; Veda¯nta.
emigration, and raising the morale of those still left in Hit-
ler’s Reich. A noteworthy example of the last effort was a spe-
BIBLIOGRAPHY
cial prayer composed by Baeck for public recitation on the
The Veda¯nta Su¯tra has been translated by George Thibaut as The
Day of Atonement (Yom Kippur) in 1935, which included
Veda¯nta Su¯tras of Ba¯dara¯yan:a in “Sacred Books of the East,”
a defiant rejection of Nazi slanders: “In indignation and ab-
vols. 34, 38, and 48 (Oxford, 1890–1904). Thibaut’s work
horrence, we express our contempt for the lies concerning
contains an extensive introduction to the text. Important sec-
us and the defamation of our religion and its testimonies”
ondary sources include Paul Deussen’s Das System des
(Out of the Whirlwind: A Reader of Holocaust Literature, ed.
Veda¯nta (Leipzig, 1883), translated by Charles Johnston as
Albert Friedlander, New York, 1968, p. 132). Arrested re-
The System of the Veda¯nta (Chicago, 1912); Hermann Jaco-
bi’s Zur Frühgeschichte der indischen Philosophie (Berlin,
peatedly by the Nazis for his outspokenness, Baeck persisted
1911); Vinayaka S. Ghate’s Le Veda¯nta: Études sur les
in his refusal to flee Germany until every Jew had been res-
Brahma-Su¯tras et leurs cinq commentaires (Paris, 1918); and
cued. He continued to head the national body of German
Louis Renou and Jean Filliozat’s L’Inde classique, vol. 2
Jews after it was forcibly reorganized by the government into
(Hanoi, 1953).
a council that was accountable to the Nazis. In January 1943
New Sources
Baeck was deported along with other elderly German Jews
Adams, George C. The Structure and Meaning of Badarayana’s
to the concentration camp of Theresienstadt. In that “model
Brahma Sutras: A Translation and Analysis of Adhyaya. Delhi,
camp” he served as honorary president of the ruling Jewish
1993.
council and devoted his time to comforting and teaching his
Badarayana. The Vedantasutras of Badarayana: Wth the Commen-
fellow inmates. When the camp was liberated, he still refused
tary of Baladeva Translated by Srisa Chandra Vasu. New
to leave his flock until he had been assured of their safety.
Delhi, 2002.
Baeck immigrated to London after the war. His last
EDWN GEROW (1987)
years were devoted to work on behalf of the World Union
Revised Bibliography
for Progressive Judaism, teaching at the Hebrew Union Col-
lege (the Reform rabbinical school in Cincinnati), and orga-
nizing the surviving remnants of German Jewry. In England,
he served as president of the Council of Jews from Germany.
BAECK, LEO (1873–1956), rabbi and theologian, rep-
And shortly before his death, Baeck helped found an interna-
resentative spokesman of German Jewry during the Nazi era.
tional research institute for the study of central European
Born in Lissa, Posen (at that time part of Prussian Germany),
Jewry that bears his name (the Leo Baeck Institute).
a son of the local rabbi, Baeck first pursued his higher educa-
tion at the university in Breslau and the moderately liberal
Baeck’s writings reflect his lifelong efforts to defend his
Jewish Theological Seminary. In order to study with the dis-
people and faith. He achieved early fame by rebutting the
tinguished scholar of religion Wilhelm Dilthey, Baeck trans-
anti-Jewish claims of Adolf von Harnack, a liberal Protestant
ferred to the university in Berlin, where he earned a doctorate
theologian who denigrated Judaism in his book Das Wesen
in 1895. Two years later, he was ordained as a rabbi at the
des Christentums (The Essence of Christianity). Baeck’s 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
BAHA¯D¯IS
737
book, a polemical work entitled Vorlesungen über das Wesen
the shar¯ı Eah but did not share her other radical views. Dur-
des Judentums (Lectures on the Essence of Judaism; 1905),
ing the following year S:ubh:-i Azal was designated as the lead-
continued this defense and boldly proclaimed Judaism supe-
er of the Ba¯b¯ıs because the Ba¯b appreciated his knowledge
rior to Christianity, a claim that won Baeck considerable at-
and thought him an able leader to succeed him. During the
tention as a champion of German Jewry. Employing the ap-
persecution of the Ba¯b¯ıs following the attempt to assassinate
proach to religion developed by his mentor, Dilthey, Baeck
Na¯s:ir al-D¯ın Sha¯h in 1852, Baha¯D Alla¯h was imprisoned in
attempted to penetrate the underlying psychology of Juda-
Tehran in a jail known as Siya¯h Cha¯l, the “Black Hole.”
ism and understand the Jewish religion in its totality
There for the first time Baha¯D Alla¯h became aware of his fu-
(Gestalt).
ture mission as a divine messenger. In 1853 Baha¯D Alla¯h was
In subsequent essays and reworkings of his first book,
exiled to Baghdad, where other Ba¯b¯ıs, including S:ubh:-i Azal,
Baeck sharpened the contrast between Judaism and Chris-
already resided.
tianity: the latter, he claimed, was a “romantic religion” that
Although Baha¯D Alla¯h accepted the leading position of
exalted feeling, self-indulgence, dogma, and passivity; Juda-
his half brother, in Baghdad the first tensions between the
ism, by contrast, was a “classical religion” imbued with ethi-
two became evident, partly fostered by differences in inter-
cal concerns. In Judaism, Baeck saw a religion in which
preting the baya¯n, which Baha¯D Alla¯h saw in a more mystical
God’s mystery and commandment exist as polarities. Dieses
or ethical light. As a result he left Baghdad on April 10, 1854,
Volk (This People Israel), a book written in Nazi Berlin and
to live as a dervish in Kurdistan near Sulayma¯n¯ıyah for two
the concentration camp of Theresienstadt, explores the
years. After his return to Baghdad, his influence on the Ba¯b¯ı
meaning of Jewish existence. Written during the bleakest era
exiles increased. Famous works authored by Baha¯D Alla¯h in
of Jewish history, it is a work of optimism that expresses Leo
those years include mystical books, like the Seven Valleys, the
Baeck’s belief in the eternity of the Jewish people and their
Four Valleys, and the Hidden Words (1858). Theological ar-
ongoing mission. In defiant rejection of Nazi barbarism,
guments that the Ba¯b saw himself as a prophet announced
Baeck affirmed the messianic role of the people Israel to heed
in the QurDa¯n are the main contents of the Book of Certitude
God’s ethical command.
(1862; Kita¯b-i ¯Iqa¯n). These writings foreshadowed Baha¯D
Alla¯h as the divine messenger whom the Ba¯b had foretold.
BIBLIOGRAPHY
Two of Baeck’s most important books have been translated into
Shortly before the Ottoman authorities removed him
English: The Essence of Judaism, rev. ed. (New York, 1961),
from Baghdad to Istanbul, Baha¯D Alla¯h declared himself to
and This People Israel: The Meaning of Jewish Existence, trans-
be this promised figure on April 8, 1863, in a garden called
lated by Albert H. Friedlander (New York, 1965). Several of
Ba¯gh-i Riz:va¯n (Garden of Paradise) in the precincts of Bagh-
his major essays appear in Judaism and Christianity: Essays by
dad. After some months in Istanbul, Baha¯D Alla¯h and the
Leo Baeck, translated by Walter Kaufmann (Philadelphia,
other exiles were sent to Edirne, where they stayed for about
1958). There are two book-length studies of Leo Baeck:
five years. In the Sura¯t al-Amr, Baha¯D Alla¯h informed his half
Friedlander’s Leo Baeck: Teacher of Theresienstadt (New York,
brother officially about his claim to be “the one whom God
1968) primarily analyzes Baeck’s writings; Leonard Baker’s
shall manifest” (man yuz:h:iruhu Alla¯h). The writings of Baha¯D
Days of Sorrow and Pain: Leo Baeck and the Berlin Jews (New
York, 1978), a more popular account, describes, on the basis
Alla¯h that originated from the time spent in Edirne make it
of extensive interviews, Baeck’s communal and wartime ac-
clear that he was the promised prophet. One of the impor-
tivities.
tant writings is the Kita¯b-i Bad¯ı D (Wondrous book), but he
also wrote letters (alwa¯h:, tablets) to political leaders during
JACK WERTHEIMER (1987)
these years. Conflicts arose among the Ba¯b¯ıs, who had to de-
cide whether to side with him or with S:ubh:-i Azal. Therefore
the Ottoman authorities banished the Baha¯D¯ıs, as the follow-
BAHA¯D¯IS follow the teaching of the Ba¯b and M¯ırza¯
ers of Baha¯D Alla¯h were called, to Acre in Palestine, whereas
H:usayn EAl¯ı Nu¯r¯ı, later known as Baha¯D Alla¯h (BaháDuDlláh,
the followers of S:ubh:-i Azal, the Azal¯ıs, were banished to
according to Baha¯D¯ı orthography), the Ba¯b’s successor and
Cyprus.
“the one whom God shall manifest” (man yuz:hiruhu Alla¯h).
In August 1868 Baha¯D Alla¯h and his family arrived at
The religion spread from Iran and the Middle East all over
Acre, where Baha¯D Alla¯h was imprisoned for the next nine
the world starting at the end of the nineteenth century.
years before he was allowed to move to a country house at
M¯IRZA¯ H:USAYN EAL¯I NU¯R¯I, BAHA¯D ALLA¯H. Born into a noble
MazraEah. In 1880 he moved to Bahj¯ı near Haifa. During
Tehran family, M¯ırza¯ H:usayn EAl¯ı Nu¯r¯ı (1817–1892) and
more than two decades in Palestine, Baha¯D Alla¯h was revered
his younger half brother M¯ırza¯ Yah:ya¯ Nu¯r¯ı (1830–1912),
by his followers, who came from as far away as Persia to catch
known as S:ubh:-i Azal, came in touch with the Ba¯b soon after
sight of him for a moment. He finished the most holy text
his revelation in 1844. But during the first years neither
of the Baha¯D¯ıs, the Kita¯b-i Aqdas, in 1873. This book primar-
brother took a dominant position among the Ba¯b¯ıs. At the
ily relates to sacred and civil laws for the Baha¯D¯ıs, thus abro-
meeting at Badasht in the summer of 1848, Baha¯D Alla¯h sup-
gating the Ba¯b’s baya¯n for the legal aspects of the religion.
ported Qurrat al-EAyn’s position regarding the abrogation of
The Arabic texts of the Kita¯b-i Aqdas are meant to be stylisti-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
738
BAHA¯D¯IS
cally close to the classical style of the QurDa¯n. Further letters
continued to send tablets to America after his departure. The
to individual Baha¯D¯ıs and political leaders as well as other
Baha¯D¯ı faith had started in the United States in 1894, when
writings also originated in these years. Close to the end of
Ibrahim George Kheiralla (1849–1929), a native of Leba-
his life, Baha¯D Alla¯h wrote Epistle to the Son of the Wolf
non, converted the first Americans to the faith. Several
(Lawh:-i Ibn DhiDb), which reflects the main topics of Baha¯D¯ı
American converts spread the religion during the first decade
teachings and aspects of its history once more. The Kita¯b-i
of the twentieth century, helping establish the communities
EAhd, Baha¯D Alla¯h’s will, set out that his son Abbas Effendi,
in India, Burma, and Tehran and introducing the religion
better known as EAbd al-Baha¯D (Servant of the Glory [of
to Paris and London. Therefore EAbd al-Baha¯D was impressed
God]), would be his only legitimate successor and the infalli-
by the efforts of the still small American community during
ble interpreter of his father’s books. On May 29, 1892, Baha¯D
his visit. In his “Tablets of the Divine Plan” (1914–1916),
Alla¯h died at Bahj¯ı.
he advised the American community regarding how to
spread the new religion throughout America. EAbd al-Baha¯D
FURTHER HISTORICAL DEVELOPMENTS. According to
admonished the American Baha¯D¯ıs to arrange interracial or
Baha¯D¯ı tradition, EAbd al-Baha¯D (EAbduDl-Baha¯ according to
multiethnic marriages as an expression of the Baha¯D¯ı doctrine
Baha¯D¯ı orthography) was born in the same night when Say-
of the unity of humans.
yed EAl¯ı Muh:ammad declared himself in Shiraz to be the Ba¯b
to the hidden Ima¯m on May 23, 1844. He was close to his
The Baha¯D¯ı religion broadened and developed on a so-
father from the days of his childhood, and at least since the
cial level, which led to the humanitarian involvement of EAbd
period of Baha¯D Alla¯h’s imprisonment in Acre, he was the
al-Baha¯D and other Baha¯D¯ıs during World War I. In apprecia-
person who maintained contact between Baha¯D Alla¯h and
tion EAbd al-Baha¯D was knighted by the British government
the community. In the Kita¯b-i EAhd he was bestowed the
in 1920. EAbd al-Baha¯D died on November 28, 1921, in
title markaz-i Eahd (the center of the covenant), thus mark-
Haifa and is buried in the Ba¯b’s shrine.
ing his elevated position within the Baha¯D¯ı faith. But EAbd
E
al-Baha¯D never was considered a prophet, only the interpreter
Abd al-Baha¯D was succeeded by his grandson Shoghi Ef-
of Baha¯D Alla¯h’s revelation. During the first years of EAbd
fendi Rabbani, born in 1897. Under Shoghi Effendi’s leader-
al-Baha¯D’s leadership, the Baha¯D¯ıs faced another crisis as an-
ship Baha¯D¯ı communities existed in about twenty-two coun-
other son of Baha¯D Alla¯h, Muh:ammad EAl¯ı, contested EAbd
tries, from the Middle East to Europe, the United States,
al-Baha¯D’s position. It took about one decade to settle this
India, and Burma. Shoghi Effendi was educated at Oxford
dispute.
University, and in 1936 he married Mary Maxwell, also
known as Ru¯h¯ıyah Kha¯num (d. 2000). Shoghi Effendi is the
During these years EAbd al-Baha¯D’s activities to further
infallible interpreter of Baha¯D Alla¯h’s and EAbd al-Baha¯D’s
the religion were restricted to the area of Acre. But Baha¯D¯ıs
writings and the “guardian of the cause of God” (wal¯ı-yi amr
from the Middle Eastern countries went to Acre, thus
Alla¯h). His main achievements included establishing the ad-
strengthening the bonds between the “center of the cove-
ministrative and institutional structure of the Baha¯D¯ı reli-
nant” and his followers. In 1898 the first American Baha¯D¯ı
gion. Whereas most of the Baha¯D¯ı organizations are only in-
pilgrims arrived in Acre; the Baha¯D¯ı faith had been known
dicated in short and general terms in Baha¯D Alla¯h’s Kita¯b-i
in the United States since 1894. EAbd al-Baha¯D was impris-
Aqdas, Shoghi Effendi laid out the details. During his period
oned for participating in the revolt of the Young Turks
as guardian, the number of National Spiritual Assemblies in-
against the Ottoman government, but with his formal release
creased, thus creating a firm and uniform basis for the Baha¯D¯ı
from prison in 1908, the situation changed. In 1909 the
communities in different countries. These assemblies, later
Ba¯b’s corpse was buried in his shrine on Mount Carmel, thus
renamed National Houses of Justice, are headed by the Uni-
making this shrine, in addition to Baha¯D Alla¯h’s grave at
versal House of Justice, the governing body of all the Baha¯D¯ıs
Bahj¯ı, a center for Baha¯D¯ı pilgrimage. In 1910 EAbd al-Baha¯D
worldwide, which was planned by Shoghi Effendi. The Uni-
set out for his first missionary journey to Egypt. During the
versal House of Justice is a body of nine men elected to five-
following year he visited Europe, and in 1912–1913 he trav-
year terms by representatives from the National Spiritual As-
eled on missions to Europe and the United States. In 1912
semblies. No elections took place during Shoghi Effendi’s
the foundation stone for the “house of worship,” the first
lifetime. In 1951 he named the first twelve Baha¯D¯ıs to the
building of its kind in the West, was laid at Wilmette,
Hand of the Cause, assigning them special tasks in teaching
Illinois.
and missionary activities. Until his untimely death on No-
vember 4, 1957, Shoghi Effendi appointed further “Hands,”
With these missionary journeys, the Baha¯D¯ı faith be-
raising the total number to twenty-seven.
came an international religion, and EAbd al-Baha¯D’s encoun-
ters with Westerners also brought new topics into his writ-
As Shoghi Effendi did not leave any will at his death,
ings interpreting the revelations of his father. At least in his
the Hands of the Cause assumed management of the religion
speeches delivered in the West, EAbd al-Baha¯D increased refer-
and arranged the first election of the Universal House of Jus-
ences to Christianity and reduced references to Islam. EAbd
tice during the Riz:va¯n festival in April 1963, one hundred
al-Baha¯D’s presence in the United States stimulated the first
years after Baha¯D Alla¯h proclaimed himself the man
wave of growth of the American Baha¯D¯ı community, and he
yuz:h:iruhu Alla¯h in the Riz:va¯n garden in Baghdad. The 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
BAHA¯D¯IS
739
versal House of Justice has subsequently led the religion with
As the one God is unchangeable but society changes, di-
both legislative and executive powers and also with the task
vine messengers appear, but they are also thought to be one
of commenting on the writings of the Ba¯b, Baha¯D Alla¯h, EAbd
at a spiritual level. They “seal” the period of every earlier reli-
al-Baha¯D, and Shoghi Effendi. However, the Universal House
gion, thus keeping up the Muslim idea of Muh:ammad as
of Justice does not interpret Baha¯D Alla¯h’s scripture because
“seal of the prophets” (kha¯tam al-nab¯ıy¯ın) but reducing it
EAbd al-Baha¯D and Shoghi Effendi were the definitive inter-
only to the period of Islam as religion in its worldly (or social
preters of those writings. Therefore, the Universal House of
or materialistic) form. An absolute “seal” exists for every kind
Justice’s infallibility is restricted to the juridical level and
of revelation that brings (the unchangeable) divine knowl-
does not include the theological level, where only the writ-
edge anew.
ings from the Ba¯b to Shoghi Effendi are definitive.
The third aspect of “oneness” relates to humankind. All
In the early twenty-first century the Baha¯D¯ıs number
people, men and women as well as different races, are consid-
close to six million in more than two hundred countries all
ered one. Therefore Baha¯D¯ıs not only proclaim their religion
over the world. The number of adherents rose significantly
but also take actions to reduce differences among societies
in the late twentieth century from a little more than one mil-
or disadvantages among people based on their race or sex.
lion at the end of the 1960s to six million by end of the cen-
The Baha¯D¯ı the theological idea of the unity of humankind
tury. But the growth of the religion is not equally distributed.
encourages social engagement to improve living conditions,
In Europe and North America the number is relatively stag-
for example, in less-developed countries or to give equal
nant, whereas in India, South America, and sub-Saharan Af-
chances for education both to women and men, and they
rica the Baha¯D¯ıs attract large numbers of new converts. In
participate in projects for global peace or global ethics. Such
Iran the situation of the Baha¯D¯ıs has been critical through the
attempts to reach unity among humans by preserving cultur-
ages, as they have faced increasing persecutions. Baha¯D¯ıs
al values and differences as a kind of “unity within pluralism”
sometimes face persecution in other Muslim countries as
make the Baha¯D¯ı religion attractive to a growing number of
well, as the Ba¯b’s and Baha¯D Alla¯h’s claims to bring revelation
people.
even after the prophet Muh:ammad are considered apostasy
by Muslims.
For the individual believer, the prophet is the appointed
The number of Baha¯D¯ıs in the United States in the early
representative of God in the created world. Whoever knows
twenty-first century is about 142,000 members with about
this has obtained all good in the world, as is stated at the be-
1,200 Local Spiritual Assemblies. About fifteen thousand
ginning of the Kita¯b-i Aqdas. Thus living as a Baha¯D¯ı is a con-
Baha¯D¯ıs live in Canada. A rough estimate is about one-third
tinuous journey toward God, and heaven and hell are sym-
of these members were raised as Baha¯D¯ıs, whereas approxi-
bols for coming close to God or being separated from him.
mately half of them may have been raised in a Christian con-
As already indicated by the Ba¯b’s teachings and taken up by
fession or denomination. The Baha¯D¯ı faith experienced a
Baha¯D Alla¯h, eschatology is no longer something of the fu-
major influx between 1969 and 1972, when about fifteen
ture, but with the appearance of God’s new prophet on earth,
thousand rural African Americans joined the religion, moti-
eschatology, as predicted in earlier religions, has been real-
vated by the Baha¯D¯ı doctrine of racial equality. Also several
ized. To behave according to this eschatological closeness to
hundred Native Americans in the Lakota and Navajo reser-
God, in ethical as well as cultic terms, is one of the main tasks
vations embraced the faith in the late twentieth century.
for each Baha¯D¯ı.
BELIEFS AND PRACTICES. The central focus of Baha¯D¯ı theolo-
Though elaborate rituals are not known within the
gy is the idea of a threefold unity—there is only one God,
Baha¯D¯ı community, some religious practices are noteworthy.
all the divine messengers are one, and humankind is one.
Every believer is obliged to pray daily and to take part in the
The strict monotheism of the Baha¯D¯ıs brings them in line
Nineteen-Day Feast that marks the beginning of every
with older Jewish and Christian monotheism but most close-
Baha¯D¯ı month according to the cultic calendar, made up of
ly to Islam. This monotheistic trait clearly reflects the idea
nineteen months with nineteen days each and four intercal-
that there is only one religion, which develops according to
culary days, a practice adopted from the Ba¯b¯ıs. The main fes-
human evolution. Therefore it is necessary that divine mes-
tivals, the nine holy days of the Baha¯D¯ı faith, commemorate
sengers and prophets appear in the course of time, but every
central events of the history of the religion: the Riz:va¯n festi-
prophet or divine manifestation brings the eternal religion,
val (April 21 to May 2), the day of the Ba¯b’s declaration
clothed in new garb. This evolutionary idea within Baha¯D¯ı
(May 22), the birthdays of the Ba¯b (October 20) and Baha¯D
faith is not totally new, as Manichaeism in Iran and Muslim
Alla¯h (November 12) and the days of their deaths (July 9 and
groups have held similar views. But Baha¯D Alla¯h’s contribu-
May 29, respectively), the New Year festival (March 21) at
tion lies in the concept that the Baha¯D¯ı religion is part of this
the spring equinox according to the solar calendar, the Day
cyclical evolution. Thus for Baha¯D¯ıs in the future, but accord-
of the Covenant (November 26), and the day of EAbd
ing to the Kita¯b-i Aqdas not before “a thousand years,” a new
al-Baha¯D’s death (November 28). The Houses of Worship are
divine manifestation will appear to bring new knowledge
buildings dedicated only for devotions and readings from the
from the one God, revealed in a way that is more suitable
Baha¯D¯ı Scripture. The month of fasting (EAla) in March and
for the spiritual state of development of humankind then.
the qiblah, the direction during individual prayer to Baha¯D
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
740
BAH:YE IBN PAQUDA
Alla¯h’s shrine in Bahj¯ı, retain phenomenologically some
Schaefer, Udo. Beyond the Clash of Religions: The Emergence of a
links to practices in Sh¯ıE¯ı Islam. But on the whole the Baha¯D¯ı
New Paradigm. Prague, Czech Republic, 1995. Survey of
faith, though evolving with the Ba¯b¯ıs from a Muslim back-
Baha¯D¯ı relations to other religions and an outline of Baha¯D¯ı
ground, clearly defined its own doctrines and practices.
theology.
Smith, Peter. A Short History of the Baha¯ D¯ı Faith. Oxford, 1996.
SEE ALSO Ba¯b¯ıs.
Well-balanced introduction to history and doctrine.
Smith, Peter, and Moojan Momen. “The Baha¯D¯ı Faith 1957–
BIBLIOGRAPHY
1988: A Survey of Contemporary Developments.” Religion
Primary Sources
19 (1989): 63–91. Detailed study of the growth of the
EAbd al-Baha¯D. Some Answered Questions. Wilmette, Ill., 1982.
Baha¯D¯ı religion from a sociological perspective.
EAbd al-Baha¯D. Paris Talks. London, 1995.
MANFRED HUTTER (2005)
Baha¯D Alla¯h. Kita¯b-i-¯Iqa¯n (The book of certitude). Wilmette, Ill.,
1950.
Baha¯D Alla¯h. Gleanings from the Writings of Baha¯ DuDlla¯h. Translated
by Shoghi Effendi. Wilmette, Ill., 1951.
BAH:YE IBN PAQUDA (second half of the eleventh
Baha¯D Alla¯h. The Hidden Words of Baha¯ DuDlla¯h. Wilmette, Ill.,
century), also known as Bah:ya; Jewish moral philosopher.
1954.
Virtually nothing is known of Bah:ye’s life, except that he
Baha¯D Alla¯h. The Seven Valleys and the Four Valleys. Wilmette, Ill.,
probably lived in Saragossa and served as a dayyan, a judge
1978.
of a Jewish court. His Hebrew poems, only a few examples
Baha¯D Alla¯h. Tablets of Baha¯uDlla¯h, Revealed after the
of which are extant, were highly regarded by at least one me-
Kita¯b-i-Aqdas. Wilmette, Ill., 1988.
dieval critic. All are on religious themes, and most were com-
Baha¯D Alla¯h. The Kita¯b-i-Aqdas: The Most Holy Book. Haifa, Israel,
posed to serve in the liturgy. His two best-known poems, in-
1992.
tended for private devotion, are both appended to his
Shoghi Effendi. God Passes By. Wilmette, Ill., 1944.
magnum opus, a treatise on the inner life of religion written
Shoghi Effendi. The World Order of Baha¯ DuDlláh: Selected Letters.
in Arabic and titled Al-hida¯yah ila fara¯ Did al-qulu¯b (Right
Wilmette, Ill., 1991.
guidance to the precepts of the hearts). Composed sometime
between 1050 and 1090, this work, in the Hebrew transla-
Secondary Sources
A˚kerdahl, Per-Olof. Baha¯ D¯ı Identity and the Concept of Martyrdom.
tion by Yehudah ibn Tibbon titled H:ovot ha-levavot (The
Uppsala, Sweden, 2002. A Study on the shaping of Baha¯D¯ı
duties of the hearts, 1161), became one of the most influen-
identity and theology.
tial religious treatises in Judaism.
Balyuzi, Hasan M. Baha¯ DuDlla¯h: The King of Glory. Oxford, 1980.
Bah:ye was heir to a Judeo-Arabic religious tradition in
Biography of Baha¯D Alla¯h that is partly hagiographical.
which the rabbinic Judaism of the Talmud and the Geonim
Buck, Christopher. Symbol and Secret: Qur Dan Commentary in
had been synthesized with Islamic rationalistic theology
Baha¯ DuDlla¯h’s Kita¯b-i ¯Iqa¯n. Los Angeles, 1995. Excellent
(kala¯m). This synthesis had received its definitive formula-
study in the Kita¯b-i ¯Iqa¯n.
tion in the writings of SaEadyah Gaon (882–942), which had
Bushrui, Suheil. The Style of the Kita¯b-i-Aqdas: Aspects of the Sub-
become authoritative for the educated elite class of Jews in
lime. Bethesda, Md., 1995. Excellent study of the literacy
Arabic-speaking countries such as Spain. To this synthesis,
and theology of the central book of the Baha¯D¯ıs.
Bah:ye contributed a new element: the traditions of Islamic
Cole, Juan R. I. Modernity and the Millennium: The Genesis of the
asceticism and mysticism. His work is replete with sayings,
Baha Di Faith in the Nineteenth-Century Middle East. New
exempla, and technical terminology derived from the writ-
York, 1998. Analysis of the historical situation leading to the
ings of earlier Muslim mystics, ascetics, and moralizers; the
rise of the Baha¯D¯ı religion.
very structure of his book has Islamic antecedents. Some of
Hollinger, Richard, ed. Community Histories. Los Angeles, 1994.
his materials have been traced to specific Islamic authors such
Collection of articles on the history of the religion in
as al-Muh:a¯sib¯ı, and parallels to passages in his work are
America.
found in the writings of Abu¯ H:a¯mid al-Ghaza¯l¯ı (d. 1111).
Hutter, Manfred. Die Baha¯ D¯ı: Geschichte und Lehre einer nachis-
Although Bah:ye cites many passages from the Bible, rabbinic
lamischen Weltreligion. Marburg, Germany, 1994. Concise
literature, and the writings of the Geonim in support of the
presentation of the history and doctrine.
thesis that the true function of religious practice is to enable
McMullen, Michael, The Baha¯ D¯ı: The Religious Construction of a
humanity to develop its inner life toward spiritual perfection
Global Identity. New Brunswick, N.J., 2000. Focuses on the
and love of God, he was the first Jewish writer to develop
Baha¯D¯ı community of Atlanta in relation to the general situa-
these principles into a complete spiritual program.
tion of the Baha¯D¯ı faith in the United States.
Momen, Moojan, ed. Scripture and Revelation. Oxford, 1997.
Bah:ye’s treatise begins with an introduction in which
Collection of essays on Baha¯D¯ı literature.
he defines and explains the distinction between “duties of the
Saiedi, Nader. Logos and Civilization: Spirit, History, and Order in
limbs” and “duties of the heart,” between outward (z:a¯hir)
the Writings of Baha¯ DuDlla¯h. Bethesda, Md., 2000. In-depth
and inward (ba¯t:in) piety, derived ultimately from the disci-
study of the theology of the main writings of Baha¯D Alla¯h.
ples of the early Muslim mystic H:asan al-Bas:r¯ı (d. 728). 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
BAKHTIN, M. M.
741
body of the book consists of ten chapters, each on a different
abnegation and mortification, and it has no intrinsic value.
inward virtue. Reason, the Torah, and the rabbinic tradition
The closest to “the moderation of the law” are those who are
all teach that the true worship of God is through the inten-
not outwardly distinguishable from others.
tion that accompanies the observances dictated by religious
Finally, there is no conception in Bah:ye’s thought of
law. Yet most people feel secure that they fulfill God’s will
mystical union with God. The love of God results from the
through formal obedience to religious law, while neglecting
soul’s natural yearning to rejoin its source, but while the soul
the spiritual development that is the purpose of the system.
can perfect and purify itself, it cannot fulfill its desire while
Thus, most Jews believe that they fulfill the obligation
attached to the body. The “lover” keeps a respectful distance
to acknowledge God’s existence and unity by passive assent
from the “beloved.” Bah:ye’s mysticism is thus fully compati-
and by ritual recitation of the ShemaE in their daily prayers.
ble with rabbinic Judaism.
This sort of formal compliance with a religious duty (taql¯ıd)
is, in Bah:ye’s opinion, adequate only for children, the uned-
SEE ALSO Jewish Thought and Philosophy, article on Pre-
ucated, and the feebleminded. An adult of normal intellectu-
modern Philosophy.
al capacity is obliged, first, to grasp the meaning of God’s
unity in its logical and philosophical essence, as far as the
BIBLIOGRAPHY
human mind is able to grasp it. Accordingly, Bah:ye devotes
Bah:ya ben Yosef ibn Pakuda. The Book of Direction to the Duties
of the Heart. Edited and translated by Menahem Mansoor
his first chapter to a restatement of the definitions and proofs
with Sara Arenson and Shoshana Dannhauser. London,
of God’s existence and unity that had been advanced by
1973.
SaEadyah and other kala¯m writers.
Goldrich, Amos. “Hameqorot haDarviim haDefshariim shel hahav-
Second, one must grasp the meaning God’s existence
hana bein h:ovot haeivarim vehovot halevavot.” Teuda 6
and unity has for one’s relations both to God and to one’s
(1987–1988): 179–208.
fellow humans. Since God is not accessible to direct observa-
Safran, Bezalel. “Bah:ya ibn Paquda’s Attitude toward the Courtier
tion, humanity can learn about God’s relationship to the
Class.” In Studies in Medieval Jewish History and Literature,
world only by studying nature, in which God’s actions are
edited by Isadore Twersky, pp. 154–197. Cambridge, Mass.,
evident, and by studying humans, the microcosm. The study
1979.
of nature makes humans aware of God’s work in the world
Sifroni, A. Sefer h:ovot ha-levavot be-targumo shel R. Yehudah ibn
and brings them closer to knowledge of God. It further has
Tibbon. Jerusalem, 1927–1928.
the effect of instilling in individuals a profound gratitude, the
Vajda, Georges. La théologie ascétique de Bah:ya ibn Paquda. Paris,
attitude that makes for the perfect fulfillment of the duties
1947.
of the heart.
Yahuda, A. S., ed. Al-hida¯ya Eila faraDid al-qulu¯b des Bachja ibn
The constituent elements of humans are the body and
Jo¯s¯ef ibn Paqu¯da, aus Andalusien. Leiden, 1912.
the soul; as taught by the Neoplatonists, the soul is foreign
RAYMOND P. SCHEINDLIN (1987 AND 2005)
to the body, being celestial in origin. It was placed in the
body by God’s will, both as a trial for it and to help the body.
For all its yearning to return to its source, the soul is in cons-
tant danger of being diverted from its mission because of love
BAKHTIN, M. M. Mikhail Mikhailovich Bakhtin
of pleasure and love of power. With the help of reason and
(1895–1975) was a literary critic, philosopher, and leading
revelation, however, the soul can purify itself and, after the
Russian humanist. He was banished in 1929 to Kazakhstan,
death of a body, complete its journey.
but his work was rediscovered after World War II and intro-
duced to Europeans by Julia Kristeva and others. To Bakh-
In order to achieve the soul’s desired end, it is necessary
tin, perhaps more than anyone, is owed the current attention
to practice certain virtues, to each of which Bah:ye devotes
to intertextuality, the otherness of others’ voices, insistence
a chapter: worship, trust, sincerity, humility, repentance,
on the moral and epistemological significance of differences,
self-examination, asceticism, and love of God. These virtues
and “dialogism.”
flow spontaneously from the gratitude to the creator felt by
the thoughtful believer. While the organization of these vir-
A classically trained linguist, Bakhtin challenged Rus-
tues as a series of degrees of perfection is derived from the
sian formalist followers of Ferdinand de Saussure, insisting
writings of such Muslim mystics as Abu¯ T:a¯lib al-Makk¯ı
that basic speech units are not phonemes or words but specif-
(d. 996), Bah:ye does not accept their concept of progressive
ic, often “double-voiced,” utterances instantiating historical
mystic ascension toward illumination. In fact, Bah:ye’s de-
matrices. Apprised of developments in the arts, sciences, and
mands and expectations are quite moderate. Thus, “trust”
philosophy by fellow members of “the Bakhtin circle,” he an-
does not mean that people should neglect their work and ex-
ticipated Ludwig Wittgenstein on “private language,” dis-
pect God to provide them a living, but that they should pur-
missed as “monological” all religious and secular ideological
sue their livelihood modestly and conscientiously, knowing
systems, and rejected formulaic dialectics.
that it is not their work that provides their living but God’s
Bakhtin made his name with a 1929 study of Fyodor
will. Likewise, “asceticism” does not mean extreme self-
Dostoevsky. According to Bakhtin, Dostoevsky, unlike Leo
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
742
BAKHTIN, M. M.
Tolstoy, did not direct readers to a single moralizing conclu-
Most Christian commentators agree that Bakhtin’s
sion but initiated open-ended conversations among his char-
sense of overlapping meanings and contrasting, simultaneous
acters concerning bourgeois crises of faith, love, crime, and
perspectives was influenced by Orthodox iconography based
punishment. Dostoevsky’s journalistic/Christian authorial
on a kenotic two-natures Christology and paradoxical space–
voice allowed them their conflicting (often inner) voices, giv-
time conceptions of quantum physicists. Not logocentric,
ing his novels a “polyphonic” form, avoiding psychologism
Bakhtin insisted that the world is in our words and words
and capturing the rich realism of everyday discourse.
are of the world. Living languages are “unfinalizable” philos-
ophies of life. Because human operative judgments realize
Adapting Henri Bergson on organic temporal processes
some freedom in weighing alternatives, people are without
and Hermann Cohen’s neo-Kantian ethico-aesthetic holistic
alibi for their lives, answerable to themselves, others, and
judgments, Bakhtin found the same dialogical imagination
their environment, which address them on many levels.
exercised in age-old folkloric critiques of establishment pre-
Bakhtinian answerability is a richer notion than Heideggeri-
tensions in Miguel de Cervantes, William Shakespeare,
an authenticity, affirming both individual responsibility and
Charles Dickens, and Dostoevsky. Unconstrained by classi-
corporate accountability.
cal literary canons, Bakhtin believed that the prose of mod-
ern novelists, not poetry, best communicates orientational
Despite his circumstances, Bakhtin de-emphasized the
pluralism.
dark side of human nature. He agreed with Thomas Mann
that hell is lack of being heard. Wisely, he generally let Dos-
According to Bakhtin, François Rabelais first textualized
toevsky and Rabelais speak for him on Christianity, denying
oral satirical traditions, embodying Renaissance resistance to
that individuals own ideas. In all discourse, Bakhtin came to
the hegemony of medieval Christendom. Rabelais used ac-
regard God as the “Super-Addressee,” the basis for the
cepted, grotesque medieval tropes and bawdy carnivalesque
human drive for perfect understanding, a third or fourth
humor to ridicule inquisitors who pretended to eternal veri-
voice on the dialogical edge of consciousness, impersonally
ties while pursuing mundane goals. His countercultural
called “the voice of conscience” but not just a regulative idea.
apocalypticism undermined homogenizing dogmatism. Ra-
Bakhtin dismissed talk of absolute values and “the collective
belais worked prototypically, honoring the specifics of his
unconscious” as abstractions. Actual consummating re-
historical locale (his “chronotope”), working through nation-
sponses must be concretely personal. He remarked that Lud-
al and international conflicts to a global conception of lib-
wig Feuerbach misread the double-voiced import of incarna-
erating truth.
tion, while the church drained the blood out of history.
Bakhtin’s study covertly critiqued Stalinism, expecting
Ethico-aesthetically, in the artistry of making a life, what I
the dissonance of social injustices and insights prompted by
must be for the other, God (however named) is for me.
multilingual encounters to foster public, not just private, re-
Bakhtinian dialogism is opposed to any dichotomizing
forms. Gods and tyrants are dethroned by laughter.
between the sciences and the humanities in the study of reli-
In his earliest, more phenomenological studies, Bakhtin
gion and to treating religion in isolation from the texture of,
examined the complexity of authorial artistry and asymme-
or reducing it to, either its ideal or its material aspects.
tries of self–other relations. People theorize about their back-
SEE ALSO Literature, articles on Critical Theory and Reli-
ground, but they never see it, nor others theirs. Recognizing
gious Studies, Literature and Religion.
“transgredience” (not transcendence) in one’s experience
breaks with both classical and modern single-consciousness
B
models of knowing (God’s or the individual ego’s) and
IBLIOGRAPHY
Bakhtin, Mikhail. Problems of Dostoevsky’s Poetics (Russian, 1929,
mind–body dualism. No theories are final, all boundaries in
1963). Edited and translated by Caryl Emerson. Minneapo-
“threshold” situations are permeable. Inside–outside dichot-
lis, 1984.
omies miss the “outsideness” of every thought, and one’s dia-
Bakhtin, Mikhail. Rabelais and His World (Russian, 1940). Trans-
logical dependence on others for true wholes. Actual texts
lated by Hélène Iswolsky. Bloomington, Ind., 1984.
embody simultaneously many contexts. Both sciences and
humanities interweave descriptions and evaluations. Neither
Bakhtin, Mikhail. The Dialogic Imagination: Four Essays. Edited
by Michael Holquist; translated by Caryl Emerson and Mi-
authorial intention nor reader responses alone determine dia-
chael Holquist. Austin, Tex., 1981.
logically realized meanings.
Bakhtin, Mikhail. Speech Genres and Other Late Essays. Edited by
Such conclusions, reworked in many notes on form,
Caryl Emerson and Michael Holquist; translated by Vern W.
content, material, style, genre, and representational dis-
McGee. Austin, Tex., 1986.
course, constitute an independent Russian contribution to
Bakhtin, Mikhail. Art and Answerability: Early Philosophical Essays.
postmodernism. Bakhtin’s influence on religious studies re-
Edited by Michael Holquist and Vadim Liapunov; translated
mains mostly indirect. In the 1970s Robert Polzin pioneered
by Vadim Liapunov. Austin, Tex., 1990.
in applying Bakhtinian ideas to the Deuteronomic histories,
Bakhtin, Mikhail (and/or Voloshinov, V. N.). Marxism and the
and later Gavin Flood followed Bakhtin “beyond phenome-
Philosophy of Language. Translated by Ladislav Matejka and
nology.”
I. R. Titunik. London, 1986. Influential 1929 book by 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
BALDR
743
member of the Bakhtin circle, sometimes attributed to Bakh-
could not be wed to a mortal, took her to the world of
tin, but more Marxist than his other writings.
Brahma¯ to seek advice. Brahma¯ advised the king that
Coates, Ruth. Christianity in Bakhtin: God and the Exiled Author.
Balara¯ma was the most suitable bridegroom for her. The visit
Cambridge, UK, 1998. Discusses Bakhtin’s relation to
with Brahma¯ took many aeons, and by the time they re-
Marxism.
turned, mankind had grown smaller. Balara¯ma found Revati
Felch, Susan M., and Paul J. Contino, eds. Bakhtin and Religion:
so tall that he shortened her with his plowshare before marry-
A Feeling for Faith. Evanston, Ill., 2001. Mostly theological.
ing her.
Gardiner, Michael, ed. Mikhail Bakhtin. 4 vols. London, 2003.
Balara¯ma was an expert of three weapons: the plow, the
To date, four volumes of many important articles have been
mace, and the club. He taught the use of the mace to Dur-
published on Bakhtin’s context and relation to such authors
yodhana. Balara¯ma disapproved of Kr:s:n:a’s role in the
as Cassirer and Buber.
Maha¯bha¯rata war and wanted the cousins, the Kauravas and
Green, Barbara. Mikhail Bakhtin and Biblical Scholarship: An In-
the Pan:d:avas, to make peace. When the cousins were fight-
troduction. Atlanta, 2000. Includes a bibliography.
ing, Balara¯ma refused to take sides and went on a pilgrimage.
Haynes, Deborah J. Bakhtin and the Visual Arts. Cambridge,
He was indignant when in the final mace battle Bh¯ıma hit
U.K., 1995. Gives Russian nuances.
Duryodhana on his thighs, against all propriety. Balara¯ma
vowed to kill Bh¯ıma and could only be pacified by Kr:s:n:a.
PETER SLATER (2005)
Although addicted to liquor himself, Balara¯ma prohibit-
ed intoxicants in the holy city of Dva¯raka¯. After the battle
BAKONGO
of Kuruks:etra the Ya¯davas of Dva¯raka¯ were involved in a
SEE KONGO RELIGION
drunken brawl and killed each other. Balara¯ma sat in deep
meditation and the serpent S´es:a, of whom Balara¯ma was an
incarnation, came from his mouth and entered the ocean.
BALARA¯MA is a Hindu god, the elder brother of the god
Kr:s:n:a. He is sometimes considered as the third of the three
According to the Jain Harivam´sa Pura¯n:a, Balara¯ma
Ra¯mas, and thus the eighth avata¯ra of Vis:n:u; at other times
watched over Kr:s:n:a, and also helped his brother, who was
he appears as an incarnation of the serpent S´es:a or Ananta.
raised by Ya´soda:, to visit his real mother, Devak¯ı. When
He is also known by the names Baladeva, Balabhadra, Bala,
Devak¯ı saw Kr:s:n:a, her breasts spontaneously flowed with
and Hala¯yudha. Legends of Balara¯ma are found in the Brah-
milk. In order to protect her identity, Balara¯ma poured a jar
manical and Jain literature. He is mentioned along with
of milk over her.
Kr:s:n:a in the Maha¯bha¯rata, especially in its sequel
SEE ALSO Avata¯ra; Kr:s:n:a.
Harivam´sa, in the Bha¯gavata Pura¯n:a, and other Vais:nava
Pura¯n:as.
BIBLIOGRAPHY
The birth of Balara¯ma was extraordinary. When a dis-
Further information on Balara¯ma can be found in Srimad Bha-
embodied voice predicted that the demon Kamsa would be
gavatam, 2 vols., translated by N. Raghunathan (Madras,
l976).
killed by the eighth child of his sister Devak¯ı, Kamsa vowed
to kill her male children. Balara¯ma was conceived as the sev-
New Sources
enth child of Devak¯ı and was saved from Kamsa when he
Bigger, Andreas. Balarama im Mahabharata: seine Darstellung im
was transferred to Rohin:¯ı’s womb by the yogama¯ya¯ (magical
Rahmen des Textes und seiner Entwicklung Beiträge zur Indolo-
gie Bd. 30. Wiesbaden, 1998.
power) of Vis:n:u. Balara¯ma was thus born of Rohin:¯ı. Anoth-
er story narrated in the Maha¯bha¯rata accounts for his white
VELCHERU NARAYANA RAO (1987)
color. Vis:n:u, extracted one of his white hairs and sent it to
Revised Bibliography
Devak¯ı’s womb; the hair then was born as Balara¯ma.
Balara¯ma and Kr:s:n:a are always together and are in per-
BALDR is an important god in Scandinavian mythology.
fect contrast with each other: Balara¯ma is white, whereas
Evidence for the worship of Baldr is limited to a few place-
Kr:s:n:a is black; Balara¯ma is the all-masculine figure with the
names; the name was not used as a personal name during the
powerful plowshare as his weapon, whereas Kr:s:n:a’s beauty
Middle Ages. Baldr’s story has several parts: his death; an at-
is described as graceful and feminine, dark in color, and at-
tempt to reverse his death; his funeral; vengeance for his
tractive to women.
death; and his return after Ragnaro˛k (the final battle between
Once, while intoxicated, Balara¯ma called the river
the gods and the giants). Of these, only the funeral is re-
Yamuna¯ (personified as a goddess) to come to him so that
counted in skaldic poetry, although a detail of the vengeance
he could bathe. When she did not comply with his wish, he
occurs there. In Eddic poetry, Snorri Sturluson’s Edda, and
plunged his plowshare into the river, pulling the waters until
the Gesta Danorum of Saxo Grammaticus the full story
Yamuna¯ surrended.
emerges, often with quite varying forms.
Balara¯ma married the daughter of King Raivata. The
From the Húsdrápa of Úlfr Uggason, a skaldic ekphrasis
king, who thought that his daughter was so beautiful that she
of carvings inside a building in western Iceland from circa
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
744
BALDR
985, five stanzas survive dealing with Baldr’s funeral. A stan-
of a series of battles, Ho⁄therus finally kills Balderus with an
za of Kormákr O
˛ gmundarson (Icelandic, tenth century) says
ordinary weapon. Othinus learns through prophecy that he
that Óðinn used magic on Rindr, a reference to his siring of
can sire an avenger with Rinda, a Rostaphian princess. After
the avenger Váli.
failing to win the girl in various guises, he returns dressed
In Eddic poetry, Baldrs draumar (Baldr’s dreams) is
as a woman, and when she falls ill he is to treat her. He binds
wholly about the Baldr story, and the story is important in
her to her bed and rapes her. The avenger, Bous, kills
the Codex Regius version of the poem Vo˛luspá, although it is
Ho⁄therus and himself dies a day later. For his shameful acts
lacking in the Hauksbók version of the poem. Two stanzas
the gods exile Othinus from Byzantium for almost ten years.
of Lokasenna (Loki’s quarrel) also refer to the story: Loki, a
giant who often helped the gods, takes credit for Baldr’s ab-
All the sources stress that Baldr is Óðinn’s son, that he
sence.
dies, and that he is avenged. Baldr’s return is found only in
Vo˛luspá and Snorri’s Edda. These facts subvert the older in-
Baldrs draumar is set in motion by Baldr’s bad dreams.
terpretations, such as those of James Frazer or Gustav Neck-
Óðinn rides Sleipnir to the realm of Hel and poses four ques-
el, of Baldr as a dying god like Baal or Tammuz, one whose
tions to a dead seeress: Who is to die? Answer: Baldr. Who
regular resurrection is associated with annual cycles of fertili-
will kill him? Answer: Ho˛ðr. Who will avenge him? Answer:
ty. The emphasis on vengeance makes it clear that Baldr is
Óðinn will sire an avenger. The name is missing in the
far more than a Nordic adaptation of Christ (Bugge), and
manuscript, but the alliteration requires one in initial V-,
it also weakens Georges Dumézil’s proposed parallel from
presumably Váli. The fourth question is obscure. The seeress
the Maha¯bha¯rata, the circumstances surrounding the war be-
does not answer it but states that she now knows her interloc-
tween the Pan:d:ava and Duryodhana. Jan de Vries argued
utor to be Óðinn. He in turn says that she is the mother of
that the story has to do with initiation into the cult of Óðinn,
seven monsters.
and he was certainly correct in locating the myth in the realm
The Codex Regius version of Vo˛luspá tells of Baldr’s “hid-
of Óðinn, although his reading does not take into account
den fate,” and of the deadly weapon, mistletoe (a motif that
all the aspects of the myth. Nor does Margaret Clunies Ross
has never been satisfactorily explained). Ho˛ðr kills Baldr and
do so in her emphasis on the issue of dynastic succession.
an avenger is soon born. Further stanzas discuss vengeance
taken on a figure much like Loki. Much later in the poem,
In Vo˛luspá and Snorri’s Edda, the death of Baldr leads
in the description of the aftermath of Ragnaro˛k, Baldr and
directly to Ragnaro˛k, and even in Saxo there is a sea battle
Ho˛ðr return.
in which Ho⁄therus defeats all the gods, although it occurs
Snorri Sturluson knew Vo˛luspá, and his version of the
before Baldr’s death. Given the emphasis in Vo˛luspá’s de-
story, though much fuller, also agrees with the bare outline
scription of Ragnaro˛k as a time when brother kills brother,
as set forth in Baldrs draumar. Baldr’s bad dreams lead Frigg,
murderers are about, and oaths are broken, Baldr’s death can
his mother and Óðinn’s consort, to extract oaths from all
easily be read in that poem as the beginning of Ragnaro˛k.
creatures and matter not to harm him. Thereafter, the gods
Baldr’s is the first death of a god, and since the cosmos was
honor Baldr by casting weapons at his invulnerable body.
created with the body of a murdered giant, this killing upsets
Loki cannot bearthis, and disguised as a woman he learns
the usual order of the mythology. The hierarchical superiori-
from Frigg that mistletoe has not sworn the oath. Loki makes
ty of the gods over the giants ends, and the two groups de-
a dart out of mistletoe and helps Ho˛ðr, here presented as
stroy each other. The ensuing world order brings peace, and
Baldr’s blind brother, to throw it at Baldr. Baldr falls dead,
Baldr and Ho˛ðr are reunited.
and the gods are struck silent. Frigg thereafter dispatches
Hermóðr, another son of Óðinn, to Hel to try to get Baldr
In the Scandinavian context, the accounts that make
back. The funeral is held. Hermóðr returns from Hel with-
Baldr and Ho˛ðr brothers indicate a flaw in the system of
out Baldr, but with gifts and with a deal: if everything will
blood feud (Lindow, 1997), for when Óðinn sires an aveng-
weep for Baldr, Hel will release him. Everything does weep,
er, the vengeance he takes still leaves Óðinn with an una-
except an old giantess in a cave, thought to be Loki. Baldr
venged son, now Ho˛ðr. A killing within a family poses an
stays dead until after Ragnaro˛k. Loki flees to a mountaintop
insurmountable problem in such a system, and since the gods
fastness, where he invents the fishing net. This he burns
created the cosmos by killing a maternal relative, this prob-
when he sees the gods approaching, for his plan is to change
lem was present from the beginning. The gods’ solution was
himself into a salmon. Kvasir recognizes the form of the net
to deny maternal kinship relations, but that denial ultimately
in the ashes, and the gods make one and capture Loki. They
fails. So too does Óðinn’s attempt to counter Loki’s giant
bind him in a cave, where he will remain bound until
patrimony by swearing blood brotherhood with him. Only
Ragnaro˛k.
myth can resolve this problem, and it does so by reuniting
Saxo’s version is set in Danish prehistory. Ho⁄therus and
Baldr and Ho˛ðr in a new world order after Ragnaro˛k.
Balderus, son of Odin and a demigod, vie to rule Denmark
and to marry Nanna, the foster-sister of Ho⁄therus. In the last
SEE ALSO Eddas; Germanic Religion; Loki.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALINESE RELIGION
745
BIBLIOGRAPHY
the complaints of the first European ambassadors to Bali,
Bugge, Sophus. Studien über die Entstehung der nordischen Götter-
who frequently could not even obtain an audience with a Ba-
und Heldensagen. Translated by Oscar Brenner. Munich,
linese prince—the Balinese were simply too preoccupied
1889. Argues influence of the Christ story.
with their own affairs!
Clunies Ross, Margaret. Prolonged Echoes: Old Norse Myths in Me-
S
dieval Icelandic Society, vol. 1, The Myths. Odense, Denmark,
OURCES OF BALINESE RELIGION. Evidence for the nature
1994. Discusses the problem of the slaying within a family;
of prehistoric Balinese religion comes from three sources: ar-
the dynastic implications.
chaeology, historical linguistics, and comparative ethnogra-
phy. Linguistically, Balinese belongs to the Malayo-
Dumézil, Georges. Gods of the Ancient Northmen. Berkeley,
Polynesian language family, itself derived from Proto-
Calif.,1973. Adduces Indo-European analogues.
Austronesian, which is thought to have been spoken by
Frazer, James George. The Golden Bough: A Study in Magic and
Southeast Asian peoples around six thousand years ago.
Religion, part 7, Balder the Beautiful. 2 vols. 3d ed. New
Proto-Austronesian-speakers on Bali had words for many re-
York, 1990. Famous study seeking association with annual
ligious concepts: nature gods, such as a sky god; ancestral
rituals of invigoration.
spirits (who were probably thought to inhabit mountain-
Lindow, John. Murder and Vengeance among the Gods: Baldr in
tops); a human soul, or perhaps multiple souls; and shaman-
Scandinavian Mythology. Helsinki, 1997. Analyzes the prob-
istic trance. Such beliefs and practices remain widespread in
lem of slaying within a family in the context of a society that
Indonesia, reflecting the influence of Malayo-Polynesian cul-
uses blood feud to resolve disputes.
ture. The vocabulary of Proto-Austronesian reflects a Neo-
Neckel, Gustav. Die Überlieferungen vom Gotte Balder. Dort-
lithic culture; the advent of the Metal Age in Bali is marked
mund, Germany, 1920. Argues connection with the Middle
by a magnificent bronze kettledrum, the “Moon of Pejeng.”
Eastern dying gods.
Stylistically related to similar “Dong-son” drums found over
Vries, Jan de. “Der Mythos von Balders Tod.” Arkiv för nordisk
much of eastern Indonesia and Vietnam, the Balinese drum
filologi 70 (1955): 41–60. Argues a ritual association with the
is distinguished by its large size (186 x 150 cm) and splendid
cult of Óðinn and a mythological association with the intro-
ornamentation. The discovery of a casting mold used to
duction of death.
make the drum in a nearby village proved that the drum was
JOHN LINDOW (2005)
created by indigenous Balinese metalsmiths, some time be-
tween the second century BCE and the second century CE.
Fifty-three stone sarcophagi, tentatively dated to the
BALINESE RELIGION. Eight degrees south of the
same era as the “Moon of Pejeng,” provide additional evi-
equator, toward the middle of the belt of islands that form
dence for a sophisticated Metal Age culture in Bali with well-
the southern arc of the Indonesian archipelago, lies the island
developed social ranking and elaborate funerary rituals.
of Bali, home of the last surviving Hindu-Buddhist civiliza-
Hewn from stone with bronze tools and ornamented with
tion of Indonesia. A few kilometers to the west of Bali is the
protruding knobs decorated with stylized human heads, they
island of Java, where major Hindu-Buddhist kingdoms
contain human skeletons of both sexes along with bronze
flourished from the time of Borobudur (eighth century) until
arm and foot rings, carnelian beads, and miniature socketed
the end of the sixteenth century, when the last Javanese
bronze shovels. Even more impressive are the stepped stone
Hindu kingdom fell to Islam. Just to the east of Bali is the
pyramids of this era, reminiscent of Polynesian marae, which
Wallace Line, a deep ocean channel marking the biogeo-
apparently served as temples to the ancestors and nature
graphical frontier between Asia and the Pacific. The Wallace
gods, and perhaps also as monuments for important chiefs.
Line is also a cultural frontier: journeying eastward from Bali,
Thus, by the first millennium CE Balinese society was orga-
one leaves the zone of historical Asian civilizations and enters
nized into sedentary villages ruled by chiefs. The major eco-
a region of tribal peoples. Bali is the last stepping-stone from
nomic occupation was wet-rice agriculture, supported by
Asia to the Pacific.
small-scale irrigation. The economy supported craft special-
ists, such as metalworkers and builders of megaliths.
The preservation of Hindu-Buddhist kingdoms on Bali
centuries after their disappearance elsewhere in the region is
Sometime in the early first millennium of the common
largely the result of geography. The island is not only remote
era, Bali came into contact with Indian civilization and thus
but quite small—172 kilometers east-west by 102 kilometers
with the Hindu and Buddhist religions. The nature of this
north-south. The fertile valleys that form the heartland of
contact and the ensuing process of “indianization” has long
Balinese civilization face southward, toward a largely untrav-
been a subject of scholarly debate. At one extreme, J. C. van
eled sea. Behind them lies an arc of steep jungle-covered
Leur maintained that “hinduization” was wholly initiated by
mountains, a natural barrier to Java and the busy seas to the
Southeast Asian rulers who summoned Indian brahmans to
north. Balinese kingdoms nestled along the south coast, each
their courts, creating merely a “thin and flaking glaze” of
of them so tiny that a man could easily ride across an entire
Indic culture among the elite (van Leur, 1955). At the other
“kingdom” in half a day on horseback. The Balinese attitude
extreme, R. C. Majumdar postulated wholesale colonization
toward the world beyond their shores is nicely illustrated by
of Southeast Asia by Indian exiles. Between these two poles,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
746
BALINESE RELIGION
nearly every conceivable intermediate position has been
CE, a royal inscription describes the population as divided
staked out, and there is as yet no consensus as to which is
into the four castes of the Indian varn:a system (bra¯hman:a,
most likely, although there is no persuasive evidence for
ks:atriya, vai´sya, and ´su¯dra). The inscription is significant not
large-scale colonization by Indian exiles (Majumdar, 1963).
as proof that the Balinese had managed to magically recreate
the Hindu caste system, but as evidence of the ruler’s desire
In Bali, the first clear indication of “indianization” is en-
to impose the Indian ideal of caste on his kingdom.
tirely of a religious nature, consisting of several sorts of physi-
cal evidence: stone sculptures, clay seals and ritual apparatus,
In time, the Balinese came to identify their own sacred
and a series of stone and copperplate inscriptions. The sculp-
mountain, Gunung Agung, with the mythical Mount Meru,
tures closely resemble Central Javanese sculptures of the
center of the “Middle World” of Indic cosmology. The old
same era (both Hindu and Buddhist), while the clay seals
Balinese nature gods were perhaps not so much nudged aside
contain Maha¯ya¯na formulas duplicated in the eighth-century
as reincorporated intothe new Indic pantheon. The great
Javanese temple Candi Kalasan. However, it is important to
earth serpent Anantaboga was symbolically buried in the Ba-
note that these objects show no evidence of Javanese influ-
linese earth, his head beneath the crater lake of Batur near
ence (whether conceptual or stylistic); they are obviously In-
the island’s center, his tail just touching the sea at Keramas.
dian and seem to have appeared in both Java and Bali at
But the old gods were not entirely eclipsed. The most popu-
about the same time.
lar character of contemporary Balinese epics, and star of the
shadow play (wayang), is the ancient buffoon Twalen, who
The first inscriptions appear in the ninth century CE and
usually plays the servant of the Hindu gods. Like the Balinese
are the earliest written texts discovered in Bali. They were
themselves, he is pleased to serve the splendid Hindu gods.
written by court scribes in two languages, Sanskrit and Old
But in reality, as everyone knows, Twalen is older and more
Balinese, using an Indian alphabet. Inscriptions in Sanskrit
powerful than all the Hindu gods. From time to time in the
proclaim the military triumphs of Balinese rulers, and were
stories, when the gods have gone too far astray, he ceases to
addressed to the (Indic) world at large. They are not unique
play the aging buffoon and reveals his true powers as “elder
to Bali, for similar inscriptions are found throughout the
brother” to Siwa (Skt., S´iva), the supreme Hindu god.
western archipelago—monuments intended to validate the
L
authority of rulers in the idiom of Indian theories of king-
IVING TRADITIONS. At some time between the fourteenth
and nineteenth centuries, the monastic tradition of Bali came
ship. Such validation was essential because of the cosmologi-
to an end, and the various competing sects of Hinduism and
cal significance of kings, according to the Hindu and Bud-
Buddhism fused into what is now perceived as a single reli-
dhist medieval traditions. Inscriptions in Old Balinese, by
gion, called Bali Hindu or, more accurately, A¯gama T¯ırtha,
contrast, were addressed very specifically to particular villages
the Religion of Holy Water. The vast majority of the Bali-
or monasteries, and they document the interest of the rulers
nese adhere to this religion. Bali Hindu is officially sanc-
in supporting a variety of Hindu and Buddhist sects. To ex-
tioned by the Indonesian government, which insists that all
plain the process of indianization in Bali, it is tempting to
of its citizens belong to some recognized religion. Conse-
postulate the conversion of a powerful Balinese chief to some
quently, in recent years there has been some attempt to in-
Hindu or Buddhist sect, who then zealously promoted the
clude tribal religions from other islands such as Sulawesi (Ce-
new faith among his subjects—except that the inscriptions
lebes) under the Bali-Hindu umbrella.
clearly reveal patronage for a multitude of sects. No single
group was given precedence; all were encouraged, suggesting
The ultimate source of religious knowledge for the Bali-
that a ruler’s enthusiasm for Indian ideas went deeper than
nese remains ancient Hindu and Buddhist texts, some still
the doctrinal differences that divide sect from sect. The texts
written in Sanskrit, the majority in Kawi (Old Javanese) and
specifically mention Tantric and Maha¯ya¯na Buddhism, the
Balinese. As in India, high priests are invariably brahmans
major schools of S´aiva Siddha¯nta and Vais:n:ava Hinduism,
who have studied this literature extensively. Various types of
and the cults of Su¯rya and Gan:e´sa. Early sculptures include
lesser priests are also recognized, belonging to the other
dhya¯ni
Buddhas, Padmapa¯n:i (Avalokite´svara) and
castes, most of whom have made at least some study of the
Amoghapa¯´sa, Vis:n:u on Garud:a, Vis:n:u as Narasim:ha, and
written sources for their religion. Some priests and healers
S´iva in many forms including Ardhana¯ri, quadruplicated as
do not go through a course of study but are instead “chosen
the catuh:ka¯yas, and accompanied by Durga¯, Gan:e´sa, and
by the gods” directly in trance rituals. Even these priests re-
Guru.
vere the palm leaf lontar manuscripts. All books, and the
written word itself, are consecrated to the goddess of wis-
Most of the 250 known inscriptions, which date from
dom, Sarasvat¯ı. She alone among the gods has no special
the ninth through the fourteenth century, direct the inhabi-
shrines. Instead, on her festival day all books and libraries are
tants of particular villages to provide various kinds of assis-
given offerings for her, because they are her temples.
tance to the monks and monasteries, including taxes, hospi-
tality, labor, and military defense against sea raiders.
No one knows, as yet, how many manuscripts exist in
Through the inscriptions we can trace the development of
Balinese libraries, but the number is certainly in the thou-
an intricate web of ties linking indianized courts and Hindu
sands. The entire literature of Classical Javanese, which even-
and Buddhist monasteries to the villages. As early as 1073
tually boasted over two hundred distinct metrical patterns
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALINESE RELIGION
747
and which flourished for a millennium, would have been lost
gation” or “water temples.” Each link in an irrigation system,
to the world but for the painstaking efforts of generations of
from the small canal feeding one farmer’s fields to the head-
Balinese literati, who had to recopy the entire corpus onto
waters of a river, has a shrine or temple. The festivals held
fragile palm-leaf manuscripts about once each century. West-
in these temples determine the schedule of “water openings”
ern scholars have only begun to examine this vast and rich
(flooding of the fields) for fields downstream. Later festivals
literary tradition.
mark the major events of the farmer’s calendar: planting,
transplanting, appearance of the milky grain (panicle), pest
In considering the significance of these texts for Balinese
control, and so forth. The rituals of water temples synchro-
religion, it is important to pay attention to the ways in which
nize farming activities for farmers using the same irrigation
they are read and used. The Balinese approach to the activity
canals, and perhaps more important, allow higher-level tem-
of reading, and the “life of texts in the world,” is quite differ-
ples to stagger cropping cycles to maximize production and
ent from that of the modern West. Balinese “reading groups”
minimize pest damage.
(sekehe bebaosan), for example, gather to read the ancient
texts, either informally or to “embellish” a worthy gathering
In similar ways, the Balinese version of a Hindu caste
of people preparing for a ritual or temple festival. A reader
system was organized through temple networks—to belong
intones a line from the text in its original language; if he
to a caste translated into participating in the festivals of “caste
strays from the correct metrical pattern, the line may have
temples,” from the family shrine for the ancestors, through
to be repeated. Then another reader will propose a spontane-
regional caste “branch temples,” to the “origin temples” for
ous translation into modern colloquial Balinese. He pauses,
whole castes or subcastes. Each Balinese temple has a specific
in case anyone cares to suggest a better translation or a differ-
purpose—it is part of an institutional system—and draws its
ent interpretation. Once the meaning has been agreed upon,
membership exclusively from members of that institution. A
the first reader will recite the next line. The Balinese words
Balinese worships only in the temples of the institutions he
for these “readings” are perhaps best rendered into English
belongs to, which usually amount to half a dozen or more,
as “sounding” the texts, in both senses of turning letters into
including village temples, kinship or caste temples, water
sounds, and searching for their meaning. “Sounding the
temples, and perhaps others as well.
texts” brings written order into the world, displaying the
Logos that lies behind mundane reality. Words themselves
Physically, Balinese temples consist of open rectangular
may have intrinsic power, as is hinted in the poem that be-
walled courtyards with a row of shrines at one end. This ar-
gins “Homage to the god . . . who is the essence of written
chitectural plan owes more to ancient Malayo-Polynesian
letters . . . concealed in the dust of the poet’s pencil.”
megalithic shrines than to Indian temple design, and within
R
the temple, space is ordered along a continuum, also Malayo-
ITUAL LIFE. It is possible to participate fully in Balinese re-
ligion all one’s life without reading a single line from a lontar
Polynesian in origin.
manuscript. Moreover, one is never called upon to make a
The gods are not believed to be continuously present in
public declaration of faith, either in a particular god or the
the temples but to arrive for only a few days each year as in-
efficacy of a particular ritual. Religion, for the Balinese, con-
vited guests to temple festivities.
sists in the performance of five related ritual cycles, called
yajña. Broadly speaking, the five yajña are sacrifices, and thus
Members of the congregation prepare the temple and
founded on ancient brahmanic theology. However, the de-
bring offerings for the gods, “not merely a fruit and a flower,”
tails of the yajña are unique to Bali. The five yajña are
as Margaret Mead observed, “but hundreds of finely wrought
and elaborately conceived offerings made of palm leaf and
1. déwa yajña (sacrifices to the gods)
flowers, twisted, folded, stitched, embroidered, brocaded
2. bu¯ta yajña (sacrifices to the chthonic powers or “ele-
into myriad traditional forms and fancies” (Belo, 1970,
ments”)
p. 335). Priests invite the gods to descend into their shrines
with incense, bells, and prayers in Sanskrit. Worshipers kneel
3. manus:ia yajña (rites of passage)
and pray for a few seconds, flicking flower petals toward the
4. pitr: yajña (offerings to the dead)
shrines of the gods, and are rewarded with a blessing of holy
water from a temple priest. The remainder of the festival,
5. r:s:i yajña (consecration of priests)
which may last for days, is occupied with artistic perfor-
Déwa yajña. Offerings to the gods (déwa yajña) are
mances for the amusement both of the gods and the human
made in temples. The importance of these temples goes far
congregation. It was these performances that led Noël Cow-
beyond what we usually think of as religion, for temples pro-
ard to complain that “It seems that each Balinese native /
vide the basic framework of Balinese economic and social or-
From the womb to the tomb is creative.” Temple festivals
ganization. Classical Bali was a civilization without cities, in
adhere to rigid schedules, based on the extremely complex
which important institutions such as irrigation networks,
Balinese permutational calendar. The gods must appear on
kinship groups, or periodic markets were organized by spe-
a particular day, and at a given moment they must depart.
cialized temple networks. Most of these temple networks
Since the gods partake only of the essence of their offerings,
continue to function today. For example, consider the “irri-
the end of a temple festival is the beginning of a feast, 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
748
BALINESE RELIGION
each family retrieves its offerings and shares the edible por-
or more generations. The rituals of preparing the corpse, pre-
tions with friends and clients.
liminary burial, cremation, and purification of the soul en-
sure that the spirits of one’s parents are freed from earthly
Bu¯ta yajña. Bu¯ta, usually translated into English as
attachments, are able to enter heaven, and eventually are able
“demon,” actually is the Balinese version of the Sanskrit
to seek rebirth. Cremation is regarded as a major responsibil-
word for “element of nature” (bhu¯ta). It is therefore an over-
ity, costly and emotionally charged since the cremation bier
simplification to describe the rituals of bu¯ta yajña as “demon
proclaims both the wealth and the caste status of the family
offerings.” Every important ritual, such as a temple festival,
of the deceased. After these rituals are completed, the souls
begins with bu¯ta yajña offerings as a purification or cleans-
of the departed are believed to begin to visit their family
ing. Usually, these offerings require some form of blood sac-
shrines, where they must receive regular offerings, so the pitr:
rifice to satisfy the raw appetites of the elemental powers. All
yajña ritual cycle is never really finished.
Balinese “demons” may take form either in the outer worlds
(buana agung) or the inner world of the self (buana alit). A
R:s:i yajña. While the other four yajña involve everyone,
strong Tantric element in Balinese religion suggests that de-
the ceremonies of the consecration of priests (r:s:i yajña) are
mons are essentially psychological projections but differs
the exclusive and esoteric provenance of the various priest-
from Western psychology in insisting that “demonic” forces
hoods. In general, each “caste” has its own priests, although
are part of the intrinsic constitution of both inner and outer
“high priests” (pedanda) are invariably brahmans. Buddhist
reality.
traditions are kept alive by a special sect of high priests called
pedanda bodha. The greatest of the r:s:i yajña is the ceremony
Demons (bu¯ta) are the raw elements from which the
of consecration for a new pedanda, during which he must
higher realities of consciousness and the world are created.
symbolically undergo his own funeral as a human being, to
If their energy is not contained, they quickly become de-
reemerge as a very special kind of being, a Balinese high
structive. The purpose of bu¯ta yajña may be made clearer by
priest.
considering the supreme bu¯ta yajña ceremony, called Eka
Dasa Rudra, last held in 1979. The year 1979 marked the
SEE ALSO Megalithic Religion, article on Historical Cul-
beginning of a new century acccording to the Balinese Icaka
tures; Music, article on Music and Religion in Southeast
calendar. In order for the new century to begin auspiciously,
Asia; Southeast Asian Religions, article on Insular Cultures.
it was felt necessary to complete all unfinished bu¯ta rituals,
such as cremations, and then hold a gigantic ceremony at
BIBLIOGRAPHY
Bali’s supreme temple, Besakih, to transform all of the accu-
The most influential modern scholar of Balinese religion is Clif-
mulated demonic energies of the prior century into divine
ford Geertz. Several of his important essays are collected in
energies, to begin a new cycle of civilization in a phase of
The Interpretation of Cultures (New York, 1973), and his
growth rather than decline. Nearly all Balinese participated
analysis of cosmology and kingship is presented in Negara:
in the yearlong preparations for Eka Dasa Rudra, which cli-
The Theatre State in Nineteenth-Century Bali (Princeton,
maxed at the moment the old century ended, in a ceremony
1980). Translations of Balinese texts on religions are provid-
at Besakih temple involving over 100,000 people.
ed in the many publications of Christiaan Hooykaas, includ-
ing Cosmogony and Creation in Balinese Tradition (The
Manus:ia yajña. Manus:ia yajña are rites of passage, fit-
Hague, 1974) and Surya-Sevana: The Way to God of a Bali-
ted to the Balinese belief in reincarnation. Twelve days after
nese Siva Priest (Amsterdam, 1966). Many important essays
birth, an infant is given a name, and offerings are made to
from the 1930s by scholars such as Margaret Mead and
the four birth spirits (kanda empat) who have accompanied
Gregory Bateson are collected in Traditional Balinese Cul-
him. After three 35-day months, the child and his spirits are
ture, edited by Jane Belo (New York, 1970). Belo also pro-
given new names, and the child’s feet are allowed to touch
vides excellent descriptive accounts in Bali: Temple Festival
(Locust Valley, N.Y., 1953) and Trance in Bali (New York,
the earth for the first time, since before this time he is consid-
1960). Opposing theories on the “indianization” of Bali are
ered still too close to the world of the gods. More offerings
presented in J. C. van Leur’s Indonesian Trade and Society:
are made for the child’s 210-day “birthday,” at puberty, and
Essays in Asian Social and Economic History (The Hague,
finally in the climactic ceremony of tooth filing, which pre-
1955) and in R. C. Majumdar’s Ancient Indian Colonization
pares the child for adulthood. The six upper canine teeth and
in South-East Asia (Calcutta, 1963). Rites of passage are nice-
incisors are filed slightly to make them more even, symboli-
ly evoked in Katherine Edson Mershon’s Seven Plus Seven:
cally reducing the six human vices of lust (ka¯ma), anger
Mysterious Life-Rituals in Bali (New York, 1971). Many im-
(krodha), greed (lobha), error (moha), intoxication (mada),
portant articles by Dutch scholars of the colonial era have
and jealousy (matsarya). The manus:ia yajña cycle ends with
been translated into English in Bali: Studies in Life, Thought,
the performance of the marriage ceremony.
and Ritual (The Hague, 1960) and a second volume entitled
Bali: Further Studies in Life, Thought, and Ritual (The
Pitr: yajña. These rituals are the inverse of manus:ia
Hague, 1969), both edited by J. L. Swellengrebel.
yajña: they are the rituals of death and return to the world
One of the most delightful books describing the relationship of
of the gods, performed by children for their parents. The Ba-
the performing arts to religion is Beryl de Zoete and Walter
linese believe that people are usually reincarnated into their
Spies’s Dance and Drama in Bali (1938; reprint, Oxford,
own families—in effect, as their own descendants—after five
1973). A worthy successor is I. M. Bandem and Frederick
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALLGAMES: MESOAMERICAN BALLGAMES
749
De Boer’s Kaja and Kelod: Balinese Dance in Transition (Ox-
tions in popularity, to regionally specific and other develop-
ford, 1981). Urs Ramseyer’s survey of The Art and Culture
ments, and to the particular socio-political and religious
of Bali (Oxford, 1977) is a beautifully illustrated encyclope-
context and significance attributed to the game. Regional
dia of Balinese religious art by a Swiss anthropologist. My
distinctions may also, in some cases, have had some relation-
Three Worlds of Bali (New York, 1983) provides an introduc-
ship with ethnicity and identity. Scholars generally concur
tion to the role of religion and art in shaping the evolution
(with differences in interpretation on the specific points) that
of Balinese society.
from their inception, which occurred at least as early as the
New Sources
Early Formative period (1200–900 BCE), all forms of the Me-
Barth, Fredrik. Balinese Worlds. Chicago, 1993.
soamerican ballgame shared fundamental ideological associa-
Hauser-Schäublin, Brigitta. Traces of Gods and Men: Temples and
tions with creation mythology and with beliefs about the cy-
Rituals as Landmarks of Social Events and Processes in a South
cles of life and death, rain and fertility, and the cosmos.
Bali Village. Berlin, 1997.
Of all known Mesoamerican ballgames, the historic, ar-
Howe, Leo. Hinduism & Hierarchy in Bali. Oxford, 2001.
tistic, and archaeological record has provided the most de-
Lansing, J. Stephen. Priests and Programmers: Technologies of
tailed information about the hipball game, and it is thus this
Power in the Engineered Landscape of Bali. Princeton, 1991.
form of the game that is most popularly thought of as “the”
Ottino, Arlette. The Universe Within: A Balinese Village through
Mesoamerican ballgame. However, the hipball game also
Its Ritual Practices. Paris, 2000
had numerous forms, dependent upon period, cultural and
Rubinstein, Raechelle. Beyond the Realm of the Senses: The Balinese
architectural context, costuming, equipment, and modes of
Ritual of Kakawin Composition. Leiden, 2000.
play, across time and space in Mesoamerica. The hipball
game was fully developed by the Early Formative period in
Stuart-Fox, David. Pura Besakih: Temple, Religion and Society in
Bali. Leiden, 2002.
the Socomusco region (the southern coastal plain and pied-
mont of the Isthmus of Tehuantepec and northern Guate-
Suryani, Luh Ketut and Gordon D. Jensen. Trance and Possession
mala, respectively), and the Veracruz-Tabasco Gulf Coast re-
in Bali: A Window on Western Multiple Personality, Possession
gion associated with the Olmec civilization. In Nahuatl, the
Disorder, and Suicide. New York, 1993.
language of the Mexica (Aztec) people of the later Postclassic
J. STEPHEN LANSING (1987)
period (thirteenth to early sixteenth centuries CE), the hipball
Revised Bibliography
game was known as ollama or ullama (from olli, the word for
rubber, which is related to the term ollin, meaning “move-
ment”). The hipball game is still played today in Sinaloa
BALLGAMES
state, in northwestern Mexico, although without the protec-
This entry consists of the following articles:
tive equipment of antiquity, and in an open field, rather than
MESOAMERICAN BALLGAMES
a court. Of the other relatively well-known forms of ball-
NORTH AMERICAN INDIAN BALLGAMES
game, the stick-ball game is particularly associated with the
Teotihuacan culture of Central Mexico, and the handball
BALLGAMES: MESOAMERICAN BALLGAMES
game is best known at the site of Dainzu, Oaxaca state,
Mexico.
Scholars employ the phrase “Mesoamerican ballgame” to
refer to a diverse number of sport or ritual activities involving
EQUIPMENT. Different forms of the ballgame employed dif-
the use of a ball. All Mesoamerican peoples practiced “the
ferent types of paraphernalia. Common to all pre-
ballgame” in one form or another. The three best-known
Columbian hipball games was the use of padding around the
forms of the game are the hipball, handball, and stickball
waist and hips. This padding was used to propel the ball with
variants.
greater force than was possible with an unpadded hip, while
TEMPORAL AND REGIONAL DIVERSITY. Mesoamerica is an
offering protection to the body during the course of this
ethnically, linguistically, and geographically varied region
physically intensive game. Hip and waist protectors were
that is identifiable by shared cultural traits and religious be-
probably made of padded cotton, leather, wicker, or wood.
liefs which date to the pre-Columbian era (i.e., prior to the
The only surviving pre-Columbian hip pads are the well-
sixteenth century, which brought European contact). This
known, often elaborately carved, stone “yokes” (misnamed
culturally distinctive area encompasses the contemporary po-
because of their physical appearance). These are particularly
litical boundaries of Mexico (excluding the northern, desert
associated with the cultures of the Gulf Coast of Veracruz
region), Belize, Guatemala, Honduras, and El Salvador. Me-
and Tabasco states, from the Formative through the Termi-
soamerican ballgames reflect the diversity of the cultural and
nal Classic periods (c. 900 BCE to c. 900 CE), although exam-
geographic environment in which they originated. The Me-
ples are known elsewhere in Mesoamerica. Some stone yokes
soamerican ballgame also had strong ties with the ballgames
were functional, but a larger number were evidently ceremo-
of peoples of the North American Southwest and Caribbean.
nial and symbolic.
Mesoamerican ballgames varied both temporally and re-
Other stone hipball game paraphernalia survive from
gionally. Temporal variations appear to be related to fluctua-
the Gulf Coast region. Carved stone hachas, so called because
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
750
BALLGAMES: MESOAMERICAN BALLGAMES
of the axe-like shape of many of these objects, were inserted
dals. Such full-body covering suggests a particularly energetic
into the yokes as chest protectors, or to project the ball. John
and perhaps dangerous form of ballgame. The contemporary
Scott has suggested that those carved with twisted human
Mixtec ballgame (Juego de Pelota Mixteca), known principal-
faces were worn by victorious players of ritual games to repre-
ly in Oaxaca, may descend from the Dainzu handball game.
sent the severed heads of players they had defeated. The stone
B
palmas (referring to their palm-frond shape) were also carved
ALLS. The hipball game used a rubber ball that was as much
as a foot or more in diameter and which may have weighed
with elaborate iconography related to religious or ritual com-
seven or more pounds when solid. However, proportionately
ponents of the game, including references to the supernatural
much larger balls are represented in Maya art of the Classic
world and human sacrifice. Palmas were also inserted into
period (300 to 900
the hip-pad for the same purposes as hachas. Mary Ellen Mil-
CE). The Terminal Classic (c. 800 to
1200
ler and Karl Taube also suggest that palmas were displayed
CE) carved stone panels lining the Great Ballcourt at
Chichén Itza depict very large balls with skulls at the center.
in ballcourts as architectural decoration. Stone manoplas
Some scholars propose that both sets of images might be
(handstones), often referred to in the literature as “knuck-
taken literally: overly large, hollow-core balls might have
ledusters,” are more generally found throughout Mesoameri-
been used in some Maya hipball games, whereas the skulls
ca. These were employed to project the ball in some forms
of sacrificed individuals may have been used to form ball
of the hipball game, might have also been used in a ritual
cores in ritual games (although no known examples survive).
variant of the handball game and, according to Karl Taube
The earliest known surviving rubber balls were excavated
and other researchers, were evidently employed as actual
from the offerings of El Manati, Veracruz, at a spring site sa-
knuckledusters (“brass knuckles”) in ritualized one-on-one
cred to the Formative Olmec civilization of the Gulf Coast.
boxing combats. Hipball players also wore loin coverings and
The largest and most spherical of these are ten inches in di-
knee pads on one knee, to protect their bodies when they slid
ameter, and have been dated by the excavators to around
onto their upper thighs or when they dropped to one knee
1600
to check the ball during the course of the game.
BCE.
Stickball and handball games probably used small, solid
Ritualized versions of the hipball game are are distinc-
rubber balls. However, some researchers have suggested that
tive in their use of ceremonial costuming, including elaborate
for ritualized handball games, the rubber balls may have been
headdresses, jewelry, and ornate forms of equipment. Cere-
replaced with stone spheroids. The rubber used to make the
monial costuming often referenced the underlying beliefs as-
various balls came from any of the several rubber-producing
sociated with the ballgame; however, it is important to note
plants and trees found throughout Mesoamerica and the
that these are very specific and not recoverable though gener-
North American Southwest. In Mesoamerica, rubber was
alizations. For example, Classic Maya nobles, at sites such as
used not only for the ballgame, but in offerings, particularly
Yaxchilan, Chiapas state, Mexico, are shown in some ritual
to rain deities, and for medicinal purposes.
games sporting the net kilt and other costume elements asso-
ciated with the Maya Maize God, whose actions were emu-
BALLCOURTS. Ballgame courts, fields, and the structures on
lated by Maya rulers to retain and underscore their socio-
which ritual ballgames were enacted, reflect some of the di-
political and spiritual success.
versity of Mesoamerican ballgames, although these features
tend to share general characteristics.
Stickball games were also known in Mesoamerica. Play-
ers are depicted with bat-like or field hockey-like sticks, strik-
The best-known form of Mesoamerican ballcourt is the
ing a soft-ball-sized ball in a defined, open field. Stickball
masonry court designed for hipball games. The earliest ver-
players are represented in pre-Columbian art wearing loin
sions of these structures date to approximately 1400 BCE and
cloths, head coverings, bands around the knees, and—in
are found in the Socomusco and Gulf Coast regions, al-
elaborated forms of the game—with fancy dress elements.
though there may be examples dating as early as the fifth cen-
Although the stickball game was particular to Central Mexi-
tury BCE. Early Soconusco and Gulf Coast Olmec heartland
co, especially the great city and culture of Teotihuacan, The-
courts were formed by two parallel earthen mounds flanking
odore Stern has documented this ballgame variant elsewhere
and delineating a central playing court.
in Mesoamerican and the Caribbean. A modern form of the
stickball game is played in Michoacán state, Mexico, using
In general, Late Formative and Classic period hipball
simple wooden bats. This game is played at night, with the
courts have playing alleys and end zones laid out in a shape
ball set on fire at the beginning of the game as a symbolic
similar to the capital letter “I.” The court’s boundaries are
reference to the sun.
defined by two parallel platform mound structures. The alley
walls are sloped and typically have benches along the sides.
Handball games are known throughout Mesoamerica
Three markers are commonly located down the axial center
from the Formative through the Classic periods. At the Late
of the alley. Specialized superstructures containing steam-
Formative site (c. 200 BCE to c. 200 CE) of Dainzu, in Oaxa-
baths and other preparatory facilities were built atop the plat-
ca, carved stone slabs represent handball players wearing
form mounds. In most cases, spectators were probably seated
grilled helmets, gauntlet-like gloves, padded clothing over
along platforms and structures located around, and outside
the torso and legs, thick knee pads on both knees, and san-
of, each end zone. Postclassic (c. 900 to 1521 CE) ballcourts
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALLGAMES: MESOAMERICAN BALLGAMES
751
generally have perpendicular side walls with stone ring
provides a metaphor for the life cycle of birth, death, and re-
markers.
generation as it is dramatically experienced by agrarian socie-
ties in this geographic region, with its distinctive rainy and
Mary Ellen Miller and Stephen Houston, and others in-
dry seasons. Certain ballgames were thus directly associated
cluding David Friedel, Linda Schele, and Joy Parker, have
with rain deities, and with the coming of the rains and subse-
identified symbolic courts used for ritualized ballgames.
quent fertility of the earth.
These ritual courts comprise temple stairways such as that
of the war monument Temple 33, at the Maya site of Yaxchi-
Very early on, Mesoamerican ballgames were linked to
lan, and patios such as the Classic period East and West
political authority and the fundamental role of rulers as pro-
Courts of Copan, Honduras. They may also include the
viders for their communities. If there were natural disasters
Formative period sunken court of Teopantecuanitlan, Guer-
such as drought and famine, or political and military defeats,
rero state, Mexico.
the legitimacy of an individual’s rule could seriously be called
into question. At such times, some ballgames came to serve
Stickball and handball games employed defined, open
as public spectacles, full of courtly pomp and circumstance,
playing fields. Eric Taladoire has suggested that one form of
for the ritual reenactment of warfare and success on the bat-
formal court may have been used for the handball game as
tlefield. Captives were made to play staged, fixed, “games”
played in Oaxaca during the Formative period.
that were essentially mock combats with predetermined out-
THE RULES. The rules of Mesoamerican ballgames were spe-
comes. The end result of these events was the sacrifice and,
cific to each particular game, and, although broadly under-
frequently, decapitation and dismemberment of defeated
stood by researchers, have not been recovered in detail. Most
players. In some cases, severed heads, taken as trophies in
ballgames were played with two competing teams facing each
these ritualized ballgames, were displayed on nearby skull
other at either end of the playing field or court. In hipball,
racks, known by the Nahuatl term tzompantlis.
points were scored by hitting the ball toward the alley mark-
Since the earliest scholarship in Mesoamerica, research-
ers, the end zones, or the rings on the alley walls. The ball
ers have noticed that, in certain ballgames, the movement of
typically was hit with the thighs, buttocks, and upper arms.
the ball was associated with the movement of cosmic bodies,
Bare hands or manoplas were employed only to set the ball
particularly the sun. It is clear, however, that these associa-
into motion, since the use of the hands to strike the ball was
tions were very particular and were framed in specific cultur-
not permitted, except in the case of handball games. Athletic
al ways, dependent upon the time and location of the game.
vigor, physical intensity, and a high degree of competition
Popularized misconceptions of the Mesoamerican Ball-
seem to characterize all Mesoamerican ballgames. In addi-
game suggest that the winners of ritualized games were the
tion, it is evident that both men and women played the ball-
ones to be sacrificed. No substantiated or credible academic
game.
evidence supports this belief, nor does the idea conform in
SOCIAL, POLITICAL, AND RELIGIOUS SIGNIFICANCE. Me-
any way to the scholarly and indigenous understanding of
soamerican ballgames were generally conducted within one
pre-Columbian cultures in Mesoamerica.
of two broad contexts: sport and ritual. As pure sport, pre-
The Mesoamerican ballgame was a central component
Columbian ballgames were not unlike football, soccer, and
of Mesoamerican society and culture. Indeed, ballcourts,
baseball as they are known today. Outstanding athletes were
which could be strategically located on community bounda-
highly regarded, and could even achieve star-like status.
ries or on the periphery of major centers, often functioned
Communities competed with one another through their
as the loci for ritual and interaction between social and politi-
teams. Betting on the games is known to have been popular
cal entities, including alliance building, trade, and exchange.
at the time of Spanish contact, with desirable items, such as
fine cotton shirts, being wagered on favorite teams or players.
SEE ALSO Sports and Religion.
pre-Columbian ballgames are distinctive from contemporary
occidental ball sports, however, in the complexity of mean-
BIBLIOGRAPHY
ing attached to them, and their symbolic connection to the
Bernal, Ignacio, and Andy Seuffert. The Ball Players of Dainzú.
events of creation and universal cycles.
Graz, Austria 1979.
Borhegyi, Stephan F. de. The Pre-Columbian Ballgames: A Pan-
Surviving Mesoamerican creation stories tell of primor-
Mesoamerican Tradition. Contributions in Anthropology
dial beings playing life-and-death ballgames in mythical
and History, vol. 1. Milwaukee, 1980.
time. For example, the sixteenth-century Quiché Maya com-
Coe, Michael. “The Hero Twins: Myth and Image.” In The Maya
munity book, The Popol Vuh, and Classic period Maya hiero-
Vase Book, edited by Justin Kerr. New York, 1990.
glyphic texts, recount how the legendary Hero Twins were
Filloy, Laura. “Rubber and Rubber Balls in Mesoamerica.” In The
summoned to the Underworld to play a deadly ballgame
Sport of Life and Death: The Mesoamerican Ballgame, edited
with the Underworld deities. The Twins survived several tri-
by E. Michael Whittington. New York, 2001.
als, defeated the Underworld gods, and resurrected their fa-
Friedel, David, Linda Schele, and Joy Parker. Maya Cosmos: Three
ther, the Maize God, in the ballcourt, which is named as the
Thousand Years on the Shaman’s Path. New York, 1993.
place of sacrifice (and the locus of rebirth or renewal). This
Leyenaar, Ted, and Lee Parsons. Ulama: The Ballgame of the
tradition explains how corn was brought into the world and
Mayas and Aztecs, 2000 B.C.–A.D. 2000. Leiden, 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
752
BALLGAMES: NORTH AMERICAN INDIAN BALLGAMES
Miller, Mary Ellen, and Stephen D. Houston. “Stairways and Bal-
members themselves may not isolate and identify particular
lcourt Glyphs: New Perspectives on the Classic Maya Ball-
activities as “religious,” it is necessary to assert here that cer-
game.” Res 14 (1987): 47–66.
tain of the “games” discussed in this article should be under-
Miller, Mary Ellen, and Karl Taube. The Gods and Symbols of An-
stood as “religious,” based upon commonly held definitions
cient Mexico and the Maya. London and New York, 1993.
in the academic study of religion. Thus supernatural beings
Orr, Heather. “Stone Balls and Masked Men: Ballgame as Com-
or “other-than-human persons,” to use A. Irving Hallowell’s
bat Ritual, Dainzu, Oaxaca.” Ancient America 5 (2003):
term (1975) can be explicitly honored or referenced by the
73–104.
playing of certain games as well as beseeched for assistance
Scarborough, Vernon L., and David R. Wilcox, eds. The Me-
in preparation for and during the contests (Hallowell, 1975,
soamerican Ballgame. Tucson, 1991.
p. 145). Religious and medicinal specialists can be employed
to prepare teams and influence the outcome, while certain
Scott, John. “Dressed to Kill: Stone Regalia of the Mesoamerican
games themselves are said to be ceremonial activities or
Ballgame.” In The Sport of Life and Death: The Mesoamerican
Ballgame, edited by E. Michael Whittington. New York,
rituals.
2001.
SHINNY, BALL THROWING, AND BALL RACING. Though
Stern, Theodore. The Rubber-Ball Game of the Americas. New
there are a variety of ballgames, mention will be made here
York, 1949.
only of those that contain some religious referent. Shinny is
a team game in which a ball is raked or propelled toward a
Taladoire, Eric. “Could We Speak of the Super Bowl at Flushing
goal with a stick not unlike that used in hockey. Although
Meadows? La Pelota Mixteca: A Third Prehispanic Ballgame
and Its Possible Architectural Context.” Ancient Mesoamerica
the hands may not be used, the ball may be kicked. Accord-
14, no. 2 (July 2003): 319–342.
ing to Stewart Culin, author of the encyclopedic Games of
the North American Indians (1975), the game was the most
Taube, Karl. “American Gladiators.” Paper presented at the 8th
widespread of the ballgames and “frequently referred to in
Annual Maya Weekend, U.C.L.A., 2001.
the myths” yet was “commonly played without any particu-
Tedlock, Dennis, trans. and comm. Popul Vuh: The Definitive
lar ceremony” (Culin, 1975, pp. 562, 617). Culin recorded
Edition of the Mayan Book of the Dawn of Life and the Glories
the names of more than fifty groups that once played the
of Gods and Kings. New York, 1996.
game. Though most often played by women, it also has been
Uriarte, Maria Teresa. “Unity in Duality: The Practice and Sym-
played by men as well as by men and women together and
bols of the Mesoamerican Ballgame.” In The Sport of Life and
against one another.
Death: The Mesoamerican Ballgame, edited by E. Michael
Whittington. New York, 2001.
Shinny is known as tabegasi in the Ponca language, the
root word tabe, or ball, being the same in the Osage and
HEATHER S. ORR (2005)
Omaha languages (Howard, 1971, pp. 10, 14). According
to an account from the early 1970s, the Ponca version pitting
teams of men against one another still retained some amount
BALLGAMES: NORTH AMERICAN INDIAN
of ceremony having to do with the balls and the choosing
BALLGAMES
of teams. The keeper of the game was an individual from the
Throughout what is now the United States and Canada,
Nikapashna clan, members of which also supervised hunting
First Nations historically have engaged in a variety of games
and warfare activities at one time (Fletcher and La Flesche
that incorporate a ball. Such activities often appear in narra-
in Howard, 1971, p. 14). In some instances, for example,
tive traditions, and many communities continue such games
among California peoples such as the Yurok, Hupa, Karuk,
in the early twenty-first century. These include shinny, rack-
and Tolowa, this game is said to have been played by the first
et or lacrosse-type games, double ball, and ball racing and
beings on earth and taught to humans (Gendar, 1995,
feature both single-gender and mixed-gender participation.
pp. 19–20).
Given that for many people the term game carries with
The Lakota ballgame tapa wankayeyapi (“throwing the
it associations with frivolity and leisure—both “not work”
ball upward”) was one of the Wicoh’an Wakan Sˇakowin
and “not serious”—the nature of these activities must be
(Seven Sacred Rites) given to the people by Ptehincalaskawin
stressed. Native American games can be quite serious endeav-
(White Buffalo Calf Woman). A young girl tossed a ball to
ors, in certain cases requiring a great deal of preparation, and
participants standing at the four directions, with the ball
the outcomes can have economic, political, and social ramifi-
symbolizing knowledge and the attempts of the participants
cations beyond the playing field. Games can provide oppor-
symbolizing the struggle against ignorance (Powers, 1977,
tunities for expressions of cultural values and ideals and may
p. 103; St. Pierre and Long Soldier, 1995, p. 28). It is not
incorporate other traditional activities, and thus they can
currently performed.
radiate potent symbolic meanings for participants and
Ball races were run by communities in the present-day
observers.
southwestern United States and in adjacent areas of Califor-
Because the activities of many cultures do not fit easily
nia and Mexico. Groups such as the Keres people of the
within the rubric of “religion” and because community
Acoma community, the Zunis, and the Hopi people engaged
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALLGAMES: NORTH AMERICAN INDIAN BALLGAMES
753
in spring kick-ball or kick-stick races to secure rain (Culin,
(Creek) Confederacy. The rackets used in this game are usu-
1975, p. 668). These races pitted two individuals or teams
ally two to three feet long and are formed from single pieces
against one another; the first to kick a ball or stick around
of wood bent and dried to form oval shapes at one end,
a course and return to the starting point was the winner.
which are then webbed with rawhide or other materials to
RACKET GAMES. In North America ballgames that employ
form pockets. Despite individual particularities, broad re-
a racket and ball are the most prevalent of those that refer-
gional similarities historically have resulted in ballgames be-
ence supernatural beings, employ religious and medicinal
tween First Nations, such as those between Cherokee and
specialists, are part of ceremonies, are linked to other ritual
Muskogee (Creek) communities or between confederated
activities, or are self-contained rituals. Many communities
nations, for example, the Mohawk and Seneca (Mooney,
along the eastern seaboard of North America, across the in-
1890, p. 107; Culin, 1975, p. 591).
land southeast, in the Great Lakes region, and to the imme-
In both the single- and the double-racket versions, the
diate west in what is now the United States once played the
object of the game is to score goals, which can be achieved
game along with certain communities in present-day Califor-
by players crossing a threshold while in possession of the ball.
nia, Mexico, and the Pacific Northwest region of North
This can be a goal line between two posts, some other goal
America. Generally speaking, racket games are considered
marking, or a single goal post that must be circled complete-
the precursors of the sport of lacrosse; versions played by peo-
ly. The rules of a particular contest dictate what actions are
ples in the present-day northeastern United States and in
allowable; in some cases goals can be scored by throwing the
southeastern Canada are routinely cited as the specific fore-
ball over the goal line.
runners of that sport.
In all versions the rackets must be used to propel the
Historically, lacrosse-type activities commonly termed
ball, and players cannot pick the ball up off the ground with
“ballgames” have been integral cultural elements for many
their hands; in certain versions, players can use their hands
Native American peoples, though they have functioned dif-
to carry or throw the ball once they have retrieved it. Games
ferently from community to community. Rituals in and of
can feature rough play, including wrestling and body block-
themselves for some groups, a part of religious festivals for
ing. In the games between teams of men, players usually wear
others, and at the center of ceremonial complexes in still
little or no protective equipment, and often, especially in the
other communities, the ballgames almost always have been
Southeast, players wear only short pants—no shirts or shoes.
major social events. In some cases they have been instru-
A distinguishing aspect of many versions of this contest, both
ments of healing, and in other cases they have been primarily
single- and double-racket, is that the object is to bring the
social events.
ball back to one’s own goal, not penetrate the goal of the
There are two major categories of lacrosse-type activity:
opponent, as is the case in other goal-oriented physical
single- and double-racket games. These categories corre-
activities.
spond broadly to regional areas, with the single-racket game
While for the most part this is a male activity, in some
being played throughout what is now the northeastern Unit-
communities women’s teams compete against each other. Se-
ed States and to an area west of the Great Lakes. Nations in
lected versions of the game, such as those on Cherokee Na-
the Haudenosaunee (Iroquois) Confederacy continue to play
tion dance grounds in Oklahoma, are played around a cen-
the single-racket version, as do surrounding nations such as
tral pole, the object being to hit a target at the top to score
the Huron and Passamaquody. The racket used is typically
points. Single-pole contests routinely feature teams of men
over a yard in length and is crooked at one end; webbing is
wielding rackets against women who are allowed to use their
fitted from here to the straight portion of the stick to form
hands.
a large triangular pocket. It is the model for the stick used
in the popularized sport of field lacrosse. Groups in the Great
Wagering on the men’s games once was widespread. In
Lakes region, such as the Ojibwas, Santee Dakotas, Menomi-
the nineteenth century and early twentieth century religious
nees, Potowatomis, and Winnebagos (among others), also
and governmental authorities discouraged certain Southeast-
used one racket; however these were shorter, straight pieces
ern communities’ ballgames (particularly those of the Chero-
of wood curved at the end to form a small circle, which was
kees and Choctaws). They objected to the wagering, the in-
webbed to create a pocket. Though information is somewhat
herent violence of the contests, and the unruly crowd
limited on the Dakota version of the game, there are several
behavior that became more frequent with the influx of spec-
accounts of Yankton and Santee games as well as paintings
tators from outside the participating communities. Wagering
and drawings of players that support the conclusion that the
has been eliminated or much reduced in most contemporary
game was a regular feature of life at least throughout the
contests.
nineteenth century.
Single-racket games. In 1636 the Jesuit father Jean de
The double-racket game was and is prevalent in what
Brébeuf wrote about the Huron game in the area then
is now the southeastern United States. It has long been stan-
known as New France. This account of a ballgame is the ear-
dard among nations such as the Cherokee, Choctaw, Chicka-
liest written by a European yet located and appears in the Re-
saw, Yuchi, and Seminole and among those of the Muskogee
lations of the Jesuit fathers. Brébeuf noted that a Huron 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
754
BALLGAMES: NORTH AMERICAN INDIAN BALLGAMES
ico-religious specialist (“sorcerer”) might prescribe a game of
it is considered a “rite sacred to the Thunders” and is said
“crosse” for the benefit of the entire nation or for a sick indi-
to have been played for Hayewat-ha, “to console him for the
vidual, and that sometimes a person would dream that a
loss of his children” during the founding of the confederacy
game was necessary for their recovery (Brébeuf in Culin,
(“Lacrosse: An Iroquois Tradition”). The Mohawks consider
1975, p. 589).
it pleasing to the Creator, a means of thanksgiving, and a way
“to call the Creator’s attention to the efforts of the medicine
The Six Nations of the Haudenosaunee (Iroquois) Con-
people” (North American Indian Travelling College in Fish-
federacy have maintained their specific ballgame traditions
er, 2002, p. 23).
while participating in other forms of the game. Scholars gen-
erally agree that the sport of lacrosse derived from their
According to one source from the early twentieth centu-
games, and many of the early stick makers were members of
ry, the Menominee ballgame and warfare are related activities
confederacy nations. Haudenosaunee teams in the early
that came from the thunders; thus the “game was supposed
twenty-first century participate both in field and box lacrosse
to resemble a battle” (Densmore, 1932, p. 35). Traditional
as well as in the classic version.
narratives detail the origin of the game and the implements,
including the racket, which is shaped like a war club (Dens-
The Onondaga term for the single-racket lacrosse-type
more, 1932, pp. 36–37). A 1925 account reported that a
ballgame is dehuntshigwa’es, meaning “they (men) hit a
Menominee man who dreamed of the thunders held a la-
rounded object” (Vennum, 1994, p. 72). Onondaga games
crosse game to receive help promised by them, a process
between clan groupings or teams of older and younger play-
termed “playing out a dream”; such dreams promised health
ers last until a predetermined number of goals have been won
or success, and medicinal specialists could prescribe games
and feature uneven teams; the number of players determines
(Densmore, 1932, p. 27). In these games, one of which Fran-
the length of the field (Vennum, 1994, pp. 6–7). They have
ces Densmore witnessed in 1925, the dreamer did not play
been employed to heal sickness and comfort the sick and
and the outcome did not affect the dreamer’s chances of
dying. This was the case in 1815, when Onondaga people
achieving what he sought. One source noted that to “cure
held a ballgame for the dying Seneca prophet Handsome
illness, the Menominee still play the game in the spring, be-
Lake, and accounts from the late twentieth century suggest
fore the first thunder” (Vennum, 1994, p. 33). There also
the same use (Vennum, 1994, pp. 6–7, 222; Oxendine,
are accounts of Ojibwe and Potawatami games played to
1988, p. 10). The game is played in the afterworld, and play-
achieve similar results (Vennum, 1994, p. 33; Oxendine,
ers make arrangements to bring sticks with them for those
1988, p. 8).
future contests (Vennum, 1994, p. 7).
Double-racket games. The Cherokee double-racket
A mid-twentieth-century account stated that the ball-
ballgame anetso (a:ne:tso) is known also as “da·na·wah?
game called gatci·´’kwae (“beating the mush”) was the central
u·sdi´” (as rendered by the anthropologist Raymond D. Fo-
element of the Cayuga Nation’s Thunder Rite, a one-day
gelson), or “little war” (Fogelson, 1962, p. 2). There is a sim-
ceremony in the middle of the summer (Speck, 1949,
ilar term for the game among towns of the Muskogee or
p. 117). Games were played to honor the Seven Thunders,
Creek Confederacy, rendered by the anthropologist Mary R.
called “Grandfathers,” for “continuation of the service which
Haas as “hółłi icósi” (“younger brother to war”) (Haas, 1940,
they render mankind as agents of the Great Spirit,” and
p. 483). In the Cherokee language, the phrase “to play a ball
which team won or lost was not important (Speck, 1949,
game” has a figurative meaning of engaging in battle (Moo-
pp. 117, 118). At the conclusion of the game players sang
ney, [1900] 1982, p. 384)
the War Dance or Thunder Song and went into the long-
house, where they gave thanks to the Seven Thunders and
Anetso once was the occasion for a great deal of wager-
other forces in the universe in a manner similar to the way
ing, and the community at large participated in pregame ac-
in which the Thanksgiving Address was made during the
tivities, such as night dances. Currently members of the East-
Midwinter Ceremony (Speck, 1949, pp. 117, 118). Accord-
ern Band of Cherokee Indians continue their ballgame
ing to one 1960s source, the players “personify the seven
tradition with a series of annual games during the Cherokee
thunder gods”; on rare occasions when a sick person had
Fall Fair. The Cherokee games match townships against one
dreamed of the game, Cayuga teams played it during the
another or are scrimmage exhibitions between squads from
Midwinter Ceremony (Eyman, 1964, pp. 18–19).
the same township. The ballgame is a rough contest, with
frequent wrestling and body blocking. The games are to
Writing at the turn of the twentieth century, the anthro-
twelve points, and teams usually consist of ten to twelve play-
pologist Lewis Henry Morgan rendered the name of the sin-
ers who have undergone several weeks of training and prepa-
gle-racket game as O-tä-dä-jish´-quä-äge and recounted a tra-
ration for the week’s series of games.
dition stating that the war that resulted in the Eries being
expelled from New York around 1654 originated in “a
In addition to a rigorous practice schedule, the training
breach of faith or treachery” during a ballgame against the
regimen typically includes amó:hi atsv?:sdi (“going to water,”
Senecas (Morgan, 1901, pp. 280, 282). Other terms used by
ritual bathing or laving) and interaction with a medico-
individual members of the Six Nations include Ga-lahs
religious specialist. Though not always employed, the follow-
(Oneida) and Tewaarathon (Mohawk). Among the Oneidas
ing actions can and have been performed: scarification, 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
BALLGAMES: NORTH AMERICAN INDIAN BALLGAMES
755
gestion or application of medicinal substances, dancing, fast-
BIBLIOGRAPHY
ing, avoidance of certain foods, and for men, avoidance of
Blanchard, Kendall. The Mississippi Choctaws at Play: The Serious
contact with women and children for specified periods of
Side of Leisure. Urbana, Ill., 1981.
time. Movements to and from the field are ritualized as well.
Culin, Stewart. Games of the North American Indians. New York,
Finally, medico-religious specialists can perform a variety of
1975. Originally published as part of the Twenty-Fourth An-
activities, including some of a divinatory nature, before and
nual Report of the Bureau of American Ethnology, 1902–1903,
during the match.
Washington, D.C., 1907.
Densmore, Frances. Menominee Music. Smithsonian Institution
Teams of women have begun competing during the
Bureau of American Ethnology Bulletin 102. Washington,
Cherokee Fair, and there are differing opinions as to whether
D.C., 1932.
this is a new innovation or a revival of a custom as old, or
Eyman, Frances. “Lacrosse and the Cayuga Thunder Rite.” Expe-
possibly even older, than the men’s contest. The women’s
dition 6, no. 4 (1964): 15–19.
games follow the same rules as the men’s; only their ward-
Fisher, Donald M. Lacrosse: A History of the Game. Baltimore and
robe differs, as they wear shirts. Many other communities
London, 2002.
have reinvigorated the men’s ballgame as well; for example,
Fogelson, Raymond D. “The Cherokee Ball Game: A Study in
members of the Mississippi Band of Choctaw Indians play
Southeastern Ethnology.” Ph.D. diss., University of Pennsyl-
their version of the game, kapucha toli, during annual fairs.
vania, Philadelphia, 1962.
GENERAL OBSERVATIONS. Some commentators have sug-
Gendar, Jeannine. Grass Games and Moon Races: California Indian
gested that there once was a formal link between ballgames
Games and Toys. Berkeley, Calif., 1995.
and warfare for both southeastern and northeastern nations,
Haas, Mary R. “Creek Inter-Town Relations.” American Anthro-
and as noted above, there are several accounts of intertribal
pologist 42, no. 3 (July–September 1940): 479–489.
matches in both oral traditions and historical texts. While
Hallowell, A. Irving. “Ojibwa Ontology, Behavior, and World
some evidence suggests that ballgames have been used to set-
View.” In Teachings from the American Earth: Indian Religion
tle disputes, there is no definitive evidence to support the
and Philosophy, edited by Dennis Tedlock and Barbara
conclusion that such games once were surrogates for war.
Tedlock, pp. 141–178. New York, 1975. First published in
There is evidence that these activities once were training for
Culture in History: Essays in Honor of Paul Radin, edited by
warfare, and there are historical accounts of games being used
Stanley Diamond (New York, 1960).
to lure an enemy into a trap. One well-known example is a
Howard, James H. “The Ponca Shinny Game.” Indian Historian
1763 game of bagga’adowe between Ojibwa and Ottawa vil-
4, no. 3 (Fall 1971): 10–15.
lages outside the British Fort Michilimackinac in present-day
Iroquois Nationals Lacrosse team website. Available from http://
Michigan. The soldiers guarding the fort were drawn outside
www.iroquoisnationals.com.
to view the contest, when suddenly the Ojibwa players at-
“Lacrosse: An Iroquois Tradition.” Available from www.oneida-
tacked and captured the fort. On the whole, research suggests
nation.net.
that ballgames have expressed a range of social, political, reli-
Mooney, James. “The Cherokee Ball Play.” American Anthropolo-
gious, and economic meanings dependent on cultural and
gist o.s. 3 (1890): 105–132.
historical contexts.
Mooney, James. Myths of the Cherokee and Sacred Formulas of the
There are many Native American cultural narratives fea-
Cherokees. Nashville, Tenn., 1982. “Myths of the Cherokee”
turing games of ball between nonhuman beings and humans
was originally published as the Nineteenth Annual Report of
the Bureau of American Ethnology, 1897–1898, pp. 3–576,
or in some cases between nonhuman beings in a time before
Washington, D.C., 1900; “Sacred Formulas of the Chero-
humans inhabited the earth. For example, in the Cherokee
kees” was originally published in the Seventh Annual Report
narrative tradition there are accounts of ballgames played by
of the Bureau of American Ethnology, 1885–1886,
supernatural beings (the Sons of Thunder) and games be-
pp. 301–397, Washington, D.C., 1891.
tween teams of birds and four-legged animals as well as fa-
Morgan, Lewis Henry. League of the Ho-dé-no-sau-nee or Iroquois,
mous games between Cherokee teams and teams from other
vol. 1. Edited by Herbert M. Lloyd. Rev. and enlarged ed.
nations. There also are Choctaw, Muskogee, Seminole, Mo-
New York, 1901.
hawk, and Onondaga narratives of similar games between
North American Indian Travelling College. Tewaarathon (La
birds and animals. In all of them the pivotal character, the
Crosse) Akwesasne’s Story of Our National Game. Cornwall Is-
bat, was rejected by one or both of the teams before being
land, Ontario, 1978.
allowed to play. The narratives differ regarding such details
Oxendine, Joseph B. American Indian Sports Heritage. Cham-
as which team finally accepted the bat and why, but the team
paign, Ill., 1988; reprint, with a new afterword by the au-
that did so always won in the end.
thor, Lincoln, Neb., 1995.
Though not as widespread as they once were, ballgames
Powers, William K. Oglala Religion. Lincoln, Neb., 1977; reprint,
continue to be viable cultural traditions in many First Na-
1982.
tions communities and are undergoing some amount of revi-
Salter, Michael A. “Meteorological Play-Forms of the Eastern
talization in others.
Woodlands.” In Studies in the Anthropology of Play: Papers in
Memory of B. Allan Tindall, edited by Phillips Stevens Jr.,
SEE ALSO Sports and Religion.
pp. 6–28. Cornwall, N.Y., 1978.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
756
BALTIC RELIGION: AN OVERVIEW
Salter, Michael A. “Play in Ritual: An Ethnohistorical Overview
were especially interested in the Vedic language and litera-
of Native North America.” In Play and Culture, 1978 Pro-
ture of ancient India. In their attempt to build a bridge to
ceedings of the Association for the Anthropological Study of
the living European languages, they discovered that the clos-
Play, edited by Helen B. Schwartzman, pp. 70–91. West
est European affinity to the Vedic language—both etymo-
Point, N.Y., 1980.
logically and, to some extent, lexically—existed with the Bal-
Speck, Frank G., in collaboration with Alexander General (De-
tic language group, especially Lithuanian. (Comparative
skáheh). Midwinter Rites of the Cayuga Long House. Philadel-
linguists of the twentieth century, such as Alois Walde, Julius
phia, 1949; reprint, with an introduction by William N.
Pokorny, Antoine Meillet, and Hans Krahe, have devoted
Fenton, Lincoln, Neb., and London, 1995.
particular attention to Baltic languages.) Interest in the lan-
St. Pierre, Mark, and Tilda Long Soldier. Walking in the Sacred
guages generated interest in the ethnogenesis of the Baltic
Manner: Healers, Dreamers, and Pipe Carriers: Medicine
peoples. This subject fascinated scholars as late as the nine-
Women of the Plains Indians. New York, 1995.
teenth century. It became apparent that the geographic isola-
Vennum, Thomas, Jr. American Indian Lacrosse: Little Brother of
tion of these peoples had not only allowed, but had fur-
War. Washington, D.C., 1994.
thered, an unhindered and uninterrupted development free
MICHAEL J. ZOGRY (2005)
from external influence. But their rather late appearance in
the European arena and their previous isolation have fostered
a great deal of guesswork about their linguistic and ethnic
origins and kinships. Until recent times there has been great
BALTIC RELIGION
This entry consists of the following articles:
confusion on this subject. The Baltic languages were often
erroneously classified as Slavic, although linguists (e.g., Ja¯nis
AN OVERVIEW
NEW RELIGIOUS MOVEMENTS
Endzel¯ıns, Wolfgang Schmid, and Vladimir Toporov) had
HISTORY OF STUDY
long known that they are no more closely related to the Slav-
ic language group than to the Germanic or any other Indo-
European language group originating from their common
BALTIC RELIGION: AN OVERVIEW
Indo-European base, whereas the Estonian language belongs
Latvians, Lithuanians, and Old Prussians constitute the Bal-
to the Finno-Ugrian language group and has a completely
tic language and cultural unit. The Old Prussians, who lived
different history behind it.
in the territory of the present-day Kaliningrad district and
eastern Germany, were conquered during the period of east-
Any investigation of the Baltic religion must touch
ward German expansionism from the ninth to the fourteenth
upon the central problem of sources, of which there are three
century. They were assimilated progressively and disappeared
types: archaeological evidence, folklore, and historical docu-
completely in the seventeenth century. Latvians and Lithua-
ments. The archaeological evidence can easily be surveyed
nians have preserved their national identities to this day. At
since these peoples have always lived in the same region. Ex-
one time or another since the Crusades of the eleventh centu-
cavations have unearthed artifacts from the second millenni-
ry, all these peoples have been subject to German, Polish,
um BCE that present a clear picture of material culture,
Russian, and Swedish colonization. This fact is of special sig-
though not of religious life. (On the territory of Latvia, ar-
nificance since it has affected our understanding of the ele-
chaeologists Ja¯nis Graudonis, E¯valda Mugure¯vicˇs, Juris
ments of the ancient religious systems that have been pre-
Urta¯ns, Raisa Den¸isova, Ilga Zagorska, Eg¯ıls Sˇn¸ore, and
served. As colonies, the three national groups were subject
Anna Zarin¸a discovered important artifacts during the
to extensive political and economic exploitation. Although
1990s). There is no evidence of gods and their cults. The
formally Christianized, they continued their traditional ways
burial rites and belief systems connected with these rites have
of religious life despite colonial restrictions.
been carefully researched by such scholars as Marija Gim-
The Baltic peoples have inhabited their present territory
butas and Francis Balodis, but evidence from historical docu-
from the middle of the second millennium
ments is meager. The earliest documents are from the tenth
BCE. At that time,
however, their territory extended farther east, to Moscow,
century, when Germans and Danes attacked the eastern
and southwest, across the banks of the Vistula. Living on the
shore of the Baltic Sea. There is mention of contact with the
fringe of eastern Europe, they were virtually unknown to the
Balts but little further information. The situation remained
West, and thus were able to remain relatively untouched by
almost unchanged up to the beginning of the seventeenth
the influence of Christianity up to the seventeenth century.
century, when more elaborate descriptions were written by
As early as the first millennium BCE, these isolated peoples,
leading clergymen, including, for example, Paul Einhorn and
untouched by foreign developments, had developed from a
certain Jesuit priests.
hunting and fishing culture to an agrarian one. The structure
Despite the dearth of archaeological evidence and his-
of agrarian society and its routine determined the develop-
torical documentation, the folklore materials of these peoples
ment of the belief system and the structure of cultic life.
is one of the richest in all of Europe. Songs (dainas), stories,
The Baltic peoples came to the attention of European
tales, proverbs, and beliefs have been recorded. The diversity
linguists at the end of the eighteenth century. These linguists
of these sources has, however, proved to be a stumbling
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BALTIC RELIGION: AN OVERVIEW
757
block, because each type of source has required a particular
is clad in a silver overcoat, gray jacket, and hat; he is girded
investigatory method. As a result, objective investigation of
with a decorated belt and wears mittens; and in certain situa-
Baltic religion was slow to come. At first, there was a tenden-
tions he also has a sword, though this is probably a later de-
cy to approach the topic ideologically, from both Christian
velopment. His dress resembles that of a prosperous farmer.
and Marxist points of view. Then, during the period of na-
That Dievs has his abode in the heavens is self-evident
tional awakening in the latter half of the nineteenth century,
from his name. The heavens resemble a mountain, and this
came a tendency to create pseudo-gods and figments of
mountain is his farm. Herein lies one of the peculiarities of
imagination, as well as an attempt to raise the national con-
Baltic religion. The gods are closely associated with horses,
sciousness of the former colonial nations by finding “prece-
and horses have a special significance in the activities of
dents” in the primary ethnic tradition. Scholarship since the
Dievs: he appears as a horseman and often rides in a chariot
1960s (e.g., that of Jonas Balys, Marija Gimbutas, Lena Neu-
down the mountain. It appears that in this association with
land, and Haralds Biezais) has become more scientifically ac-
horses the motifs of very ancient Indo-European myths have
curate.
been preserved.
SKY GODS. Of all the Baltic gods in heaven, the most promi-
nent is Dievs. Linguists agree that etymologically the Latvian
The homestead of Dievs consists of several buildings. In
name Dievs (Lithuanian, Dievas; Old Prussian, Deivas) has
addition to the house there are stalls and barns for horses and
common origin with the names of such gods as the ancient
cows, a threshing barn for drying grain, a storage room, and
Indian Dyaus and the Greek Zeus, which are in turn derived
a sauna. The sources make no mention of castles, which are
from the Indo-European root *dyeu- and its derivatives. The
very common in other religions. From the configuration of
meaning of words derived from this root is “the heavens.”
the homestead one can conclude that Dievs oversees a large
Older scholarship sought to establish a semantic connection
farmstead: the buildings are encircled by large fields, mead-
between this root and the daytime sky or light, but this con-
ows, and forests. Dievs needs the help of the members of his
tention lacks proof, and one must therefore assume that the
own family, especially his sons, the number of whom varies,
meaning “the heavens” is more precise, as Grace Hopkins
to work this farm, but others participate in the labors as well,
(1932) has argued. The original identity of Dievs then be-
plowing, harrowing, planting, and reaping the grain and hay.
comes clearer from his name. The nature of, and the psycho-
Special attention is devoted to the cultivation of hops and
logical motives behind, the god’s development from a phe-
barley, from which beer is brewed. (Beer, the “drink of the
nomenon of nature to a personification and, later, to a
gods,” is the traditional drink of Baltic sacral feasts.) The in-
personal god is, however, a source of contention. Despite
habitants of the heavenly mountain not only work together,
these uncertainties, it is clear that Dievs is closely connected
they celebrate feasts together, especially marriages, and they
with the heavens.
gather together in the sauna.
The first written evidence of the Baltic gods comes from
Indo-European creator gods are usually so mighty and
“Germania” by the Roman historian Tacitus (55–120
distant that they retreat to a realm removed from humans
CE)
where he mentions that “aists” (Balts) worship the Mother
and turn into a type of god referred to as deus otiosus (god
of gods (mater deorum). In “Rhymed Chronicles” (Liv-
at leisure). Other gods, whose function is to monitor the
laendische Reimchronik, 1290) the god of thunder Perkun
daily lives of humans, take their place. This is not, however,
is mentioned as being of highest authority.
the case in the religion of the Balts. Instead, the Baltic gods
follow an agricultural way of life that corresponds to that of
Cardinal Valenti in his chronicles written in 1604 and
the Baltic farmer. This is not only a formal analogy. Dievs,
based greatly on “Statuta provincialia consilii Rigensis”
who dwells in heaven, is a neighbor of the farmer on earth.
(1428) provided the evidence that the Balts worshiped a god
At times of the most important decisions, the farmer meets
of heaven: “Credono un Dio Supremo, che chiamano Tebo
and consults with Dievs, just as farmers meet and consult
Deves” (“They believe in a high god, called Tebo Deves”).
among themselves. Dievs rides down on a horse or, more fre-
Tebo Deves is a corrupted form of debess dievs (“sky god”).
quently, in his chariot. These visitations coincide with key
That same year the Jesuit Janis Stribins, in his discussion of
events in the agricultural calendar and represent cyclic time
ancient Latvian religion, noted that the Balts claim “Habe-
perception.
mus Deum q[ui] habetet [sic] curam coeli” (“We have a god,
Dievs usually appears in the spring, at the beginning of
who in the sky takes care”). The pantheon of ancient Baltic
the agricultural year. His participation in planting is de-
gods is also described by Einhorn in his “History of Latvia”
scribed in beautiful myths. He accompanies the farmer and
(Historia Lettica, 1649). Though these documents offer only
advises him so that the field will be evenly sown. When the
fragmentary evidence, they do show that the Balts worshiped
horses are led out to the first night watch, he accompanies
a god of heaven (Dievs). Folklore materials, which allow one
the farmer, accepts his due in the sacral feast, and spends the
to delve deeper into the essence, function, and attributes of
entire night with the farmer, tending the fire and protecting
this god, support the claim.
the horses. In many of the planting myths, Dievs leaves the
The anthropomorphic character of Dievs has been care-
night watchers after sunrise but forgets his mittens. Dievs has
fully described and compared to that of other divinities. He
an even more significant role in the fall, after the harvest and
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758
BALTIC RELIGION: AN OVERVIEW
threshing. Once again a sacral meal is shared and Dievs par-
Descriptions of Saule’s appearance are incomplete. A
ticipates in ecstatic song and dance. At these times the
white shawl and one or more silver brooches, which secure
boundary between the transcendental god and the earth-
the shawl, are mentioned in the sources. Occasionally she
bound farmer becomes blurred.
wears a wreath. Otherwise she appears in peasant dress. If the
texts are vague about Saule’s appearance, they do provide in-
From time to time, Indo-European gods display univer-
sight into her life both on the mount of heaven and in the
sal qualities, which are revealed in creation stories and in
midst of the farmers during their labors and festivals. She is
myths describing the establishment of the world order, in-
the personification of gaiety, especially at the betrothal of her
cluding individual and societal norms of morality. The role
daughters, when all the gods of heaven join in her rejoicing.
of Dievs as creator is expressed in the words laist (to give
But there are also times of discord. Conflicts with the farmer
birth to), likt (to determine fate), and dot (to provide for),
arise as a result of harm done by the Dieva de¯li (sons of god)
all of which are words that describe his function. Everything
to the Saules meitas (daughters of the sun) during play. The
is the creation of Dievs and corresponds to this threefold ac-
most frequent cause of this discord is the destruction of the
tivity. The act of creation is final and unalterable, and the
latter’s playthings. More serious conflicts arise between Saule
same is true of the world order. Human beings are subject
and Dievs when the Dieva de¯li remove the rings of the Saules
to the laws of nature as they were ordained in the act of cre-
meitas. This is part of an ancient betrothal tradition, during
ation. Dievs, therefore, in his function as creator, is almighty.
which the girl is abducted. Then for three days Saule and
Humans are subject to fate, especially in the realm of morali-
Dievs accuse one another of wrongdoing. Saule also has con-
ty, but this does not lead to resignation and quietism, al-
flicts with other gods of heaven, especially Pe¯rkons (thun-
though such moods exist as undeniable undercurrents in Bal-
der). She lives the life of an ordinary landlady and oversees
tic religion. Humans accept the moral laws of the universe
her daughters’ spinning and weaving, but after her linen has
as set down by Dievs as a framework for his life. Within this
been put in the sun to dry, Pe¯rkons comes and ruins the
framework, however, human beings are free to determine
work with rain, and so Saule has good reason to be angry.
and order their lives in concordance with their moral outlook
Apart from these minor conflicts, harmony reigns on the
and practical needs; therefore, they experience freedom of
mount of heaven. Saule provides sunlight and brightness for
choice and assume responsibility for their actions. Human
the others. The gods’ harmony in the common labors, in
morality is practically determined: human beings must do all
love, and in gaiety can easily be compared to that of the
to further their well-being, and “the good” is whatever aids
Olympian gods.
them in achieving this goal.
Saule and Dievs are neighbors, and both oversee their
The cult of Dievs is not so formalized as are the cults
farmsteads. Saule also has her own horses; in this she is simi-
of gods of heaven in other religions. As we have seen, Dievs
lar to Apollo, who is depicted in frescoes with his chariot and
actively participates at the most important junctures in the
four horses. Sometimes she rides across the sky in her chariot;
life of the farmer. He even shares in the sacrificial feasts, but
she also crosses the sea in a boat. The steersman and oarsmen
there is no evidence that goods were sacrificed to him in
are her servants. Saule begins her ride at dawn and finishes
order to ensure his benevolence. That can be concluded only
at sundown, when the oars are thrown into the boat and the
indirectly. One can best describe the nature and function of
passengers disembark. At times, however, Saule begins her
Dievs metaphorically: he is the neighbor of the farmer, the
boat ride in the evening, and rides in the night unseen. This
grand farmer living on the mount of heaven.
latter myth gives rise to the question of the Baltic conception
of the form of the universe. As we have seen, the heavens
A second important god of heaven is Saule, the personi-
have the form of a mountain. They are subject to the same
fication of the sun. This name is also derived from an Indo-
laws of nature as the earth is, but only gods may dwell there.
European root (sauel-, and variants). Unlike personifications
The belief that Saule travels by boat as well as by chariot indi-
of the sun in other traditions, Saule is a female deity. Saule
cates some kind of connection between the sea and the
is close to Su¯rya of the Vedic tradition, where Su¯rya is the
heavens.
feminine counterpart to the masculine sun god, although
proof for this contention is not conclusive. There could be
The Balts do not appear to be overly concerned about
other explanations for the feminine gender of Saule, such as
the composition of the world, or at least no trustworthy re-
the fact that the sun is usually a female deity for people living
cord of such speculation has been found. The universe, how-
in the north, where the climate is mild and nourishing, while
ever, is assigned two levels: the heavens and the earth. This
further to the south, where the climate is more harsh, the sun
becomes evident when one looks closely at several word
god takes on a neutral gender (as in Russian), and becomes
forms. The word for “world” is pasaule (Latvian), a com-
masculine even farther south. In Latvian tradition Saule
pound form consisting of pa and saule. Saule, the substantive,
dwells with the moon god Me¯ness, who is masculine and
means “the sun”; with the prefix pa it means “below the sun.”
who requires a feminine counterpart. In certain situations
Thus pasaule means “everything that is under the sun.” The
Saule is also referred to as Saules ma¯te (mother sun) and as
adjectival form is pasaul¯ıgs, meaning “profane” or “not sa-
Saules meita (daughter of the sun).
cred.” A synonym for pasaule is ˇs¯ısaule, a compound that is
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BALTIC RELIGION: AN OVERVIEW
759
formed with the demonstrative pronoun ˇs¯ı and means “all
The authors of Christian chronicles were especially critical
that can be seen in sunlight.” The antithesis of ˇs¯ısaule is
of it, accusing celebrants of sexual excesses. Indeed, promis-
vin¸asaule, a compound that is formed with the demonstrative
cuity is allowed during the festival and at times even encour-
pronoun vin¸a and implies all that is still in the realm of the
aged. A sexual act performed in a field was believed to im-
sun but cannot be seen.
prove the field’s fertility.
This dualistic worldview is at the base of Baltic religion.
Me¯ness, the moon god, is also among the gods of heav-
The tradition concerning Saule’s traveling developed further
en. The Latvian word for “moon,” m¯eness (Lithuanian,
and is crucial to the Baltic understanding of death. Saule
menulis; Old Prussian, menins), derives from the Indo-
travels by chariot or by boat in the visible world during the
European root *me-, meaning “a measure of time.” The mea-
day, but in the invisible one at night. Similarly, the dead con-
sure of time was an apt designation for Me¯ness, who periodi-
tinue to live a life in the invisible world, just as the sun does
cally disappears from the sky and then reappears in it once
at night. The land of the dead is located just beyond the hori-
again. No substantial evidence in Baltic sources proves that
zon, in the place where the sun sets.
Me¯ness was originally a feminine deity. As a full-standing
member of the mount of heaven, he, too, has his own farm-
In addition to the concepts of the mountain of heaven
stead there, along with his family, sons, servants, and horses.
and the dualistic cosmos there is in the Baltic myths a saules
His horses are represented by the morning and evening stars.
koks (tree of the sun). It grows on the mount of heaven and
Like Saule, Me¯ness travels through the sky by boat, and at
is often referred to as an oak, a linden, or an apple tree. The
times he even accompanies her. He has close ties to Saule:
difference between this tree and common trees on earth is
he is her untiring suitor.
symbolized by its gold or silver color. No mortal has ever
seen this tree, although many youths have set out to search
In other religions the moon has a special connection
for it, only to return unsuccessfully in old age. A magical
with water and fertility, but this is not true in Baltic religion.
round object, often compared to a pea or an apple, rolls
Instead, Me¯ness is the god of war, and the stars are his troops,
down its branches. The saules koks on the mount of heaven
which, like a true general, he counts and leads. These meta-
is one of the oldest elements of Baltic religion. It seems that
phors reveal Me¯ness’s true function: he is worshiped before
this tree is the “center of the world,” as Mircea Eliade has
battle, and his symbol appears in insignia of war. Although
pointed out, but it is also the “tree of life.” Whether the latter
Me¯ness is frequently mentioned in the sources, his cult, like
idea developed under the influence of Christianity is hard to
that of the other gods, is not fully described. Only sparse evi-
determine. It certainly could stem from an older tradition in
dence of it remains, and none proves that offerings were
which Saule is the mother and source of life.
made to him. The cult disappeared completely during the
period of Christianization.
A cult surrounding Saule is not fully described in the
sources. A few strands of tradition suggest her begetting and
The two groups identified in Latvian as Dieva de¯li (sons
nurturing role. Similar to Dievs, she too comes down from
of god) and Saules meitas (daughters of the sun) are among
the mountain to aid the farmer: she raises her skirt and in-
the most interesting of the Baltic gods of heaven. As early
spects his fields. This tradition has caused some scholars to
as 1875, Wilhelm Mannhardt observed:
speculate about the existence of a belief that the baring of
Already Welcker and Preller have pointed to the close
sexual organs improved fertility. The texts, however, provide
similarity between the Greek Dioscuri and the Indian
inconclusive evidence. Saule could also have raised her skirt
A´svins. The analogy is even closer with the Latvian
to avoid breaking or flattening the stalks. She does, at any
Dieva D¯eli found in the sun songs. The A´svins are sons
rate, promote fertility. The result of her walk across the field
of Dyaus, heaven, divo na¯pata. . .One can easily con-
is wholesome grain and a plentiful harvest.
clude from the Vedic texts that they are personifications
of the morning and evening stars, which never appear
The most significant element of the cult of Saule is the
at the same time. (Mannhardt, 1875; trans. Biezais)
celebration of the summer solstice, in which everyone on the
farmstead takes part. After the setting of the sun a fire is lit
Although this contention was based on scanty evidence in
in a bucket and raised on top of a pole. A feast and dancing
Mannhardt’s time, additional evidence has since been gath-
around the fire follow, and special songs of praise are sung.
ered and analyzed. As a result, it can be shown that the Vedic
The major components of the feast are cheese and newly
Divo Napa¯ta (i.e., the A´svins), the Greek Dioskouroi (i.e.,
brewed beer. At this time shepherds become the center of at-
the Dioscuri), and the Baltic Dieva de¯li are not only typolog-
tention. This has led August Bielenstein, a prominent lin-
ically parallel but are also historically connected. They differ
guist and ethnologist, to conclude that the summer solstice
only inasmuch as they developed in different cultural
festival began as a celebration commemorating the breeding
settings.
of livestock. The origin of this festival is obscure, but today
A closer comparison reveals some more unusual paral-
it is a celebration of the sun. The feast continues through the
lels. Although the discussion about the nature and function
entire night, lasting until dawn. Those who retire early are
of the Vedic and Greek “sons of god” continues, the Baltic
believed to be subject to evils and to encounter failure in the
materials provide a clear answer: the Dieva de¯li are the morn-
next year. This celebration of the sun is a fertility rite of sorts.
ing and evening stars. Whereas the Vedic and Greek gods
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760
BALTIC RELIGION: AN OVERVIEW
represent hypostases of the differentiated functions or traits
antee her benevolence at the time of birthing. After the visit
of the primary gods, this is not true of the Baltic gods. Rath-
to the sauna, members of the farmstead left a whisk and a
er, their social background is stressed, and their functions are
vessel with clean water so that Pirts ma¯te could also bathe.
expressed in terms of family relationships. Like the A´svins,
the Baltic “sons of god” or “sons of heaven,” the Dieva de¯li
The gods of heaven described above correspond roughly
are the suitors of the Saules meitas, and they are their active
to other Indo-European gods. They are especially similar to
marriage partners. There is no evidence, however, to prove
the Vedic and Greek gods, but they also have some unique
that the Dieva de¯li are twins, as are the A´svins.
qualities and functions that developed in the Baltic social
structure. The primitive world of Baltic farmers is reflected
Just as the function of Dievs is transferred to his sons,
in the conceptions and functions of their gods.
so is the function of Saule transferred to her daughters. The
G
Vedic Divo Duhita¯ (daughter of heaven), Su¯ryasya Duhita¯
ODS OF PROSPERITY AND WELFARE. As one can see from
an analysis of the essence and function of the Baltic gods, it
(daughter of the sun), and the goddess Su¯rya (the feminine
is clear that they were an integral part of the daily life cycle.
aspect of the sun), like the Greek Helen (a daughter of Zeus),
This is especially true of a particular group of gods whose
and Phoebe and Hilaeria (the Leucippides, daughters of Leu-
special function was to protect and guarantee the welfare of
cippus), correspond to the Baltic Saules meitas, although
humans. These gods can be subdivided into two groups: fer-
scholars disagree about their original connection. The desig-
tility gods and determiners of fate. The most prominent of
nation Saules meitas is not original, since meita is a rather late
the second group is Laima, whose name means “fortune.”
loanword from German. The most ancient designation,
She occupies a central place among the Baltic gods, but un-
meaning “daughter of heaven,” has been preserved in Lithua-
like the gods of heaven, she is not removed from the realm
nian, dieva dukryte. This designation might refer to dawn,
of human activity; she lives on earth and is involved in the
as do the names of the Vedic goddess Uˇsas and the Greek
minutest details of everyday life. Ka¯rta, another goddess of
goddess E¯o¯s.
fate, fulfills similar functions and has evolved into an inde-
Heavenly nuptials are central to Baltic myths about
pendent hypostasis. Her name, derived from the verb ka¯rt
heaven. Dievs, Me¯ness, or Pe¯rkons may be the bridegroom,
(to hang), is proof of this. Laima’s most basic function is to
and Saule is the bride. For linguistic reasons, in some con-
determine and fix the birth of a child, which involved hang-
texts it is hard to determine who participates in the marriage,
ing a cradle, as ethnographic traditions show. From this
Saule or her daughter, for Saule is regarded as a maiden and
function developed an independent goddess, Ka¯rta, and with
is sometimes referred to as Saules meita. However, this cir-
her an entire cult. Under the influence of the Christian
cumstance does not alter the marriage procedure. A peculiar-
church her function was assumed by Saint Thecla (Latvian,
ity of the event is that all the gods take part, each performing
De¯kla).
his or her specific role, which can be traced to ancient Baltic
marriage traditions. The abduction and auctioning of the
The major fertility goddess is Zeme (Lithuanian,
bride is an integral part of the ritual. The ceremony con-
Zˇemy´na), a very different type of goddess. Her name means
cludes with a feast of song and dance on the mount of heav-
“earth,” and she is commonly referred to as Zemes ma¯te
en. Scholars have observed that these elements establish a
(earth mother, mother of the earth). She plays a variety of
connection with an old stratum of Indo-European marriage
roles that, over time, have developed into independent hy-
traditions.
postases; tradition has it that she has seventy sisters. Some
of them have very special functions, indicated by their de-
The most unusual part of the marriage ceremony is the
scriptive names: Da¯rzu ma¯te (mother of the garden), Lauku
gathering of the gods in the sauna, which, as mentioned
ma¯te (mother of the fields), Mezˇa ma¯te (mother of the for-
above, is a part of the heavenly farmstead. (Baltic ethno-
est), and Linu ma¯te (mother of flax). These descriptive
graphic traditions reveal that the sauna was a place not only
names point to a specific place or plant that is under each
for washing but also for birthing and for sacral feasting. The
mother’s protection. The same is true of Lazdu ma¯te (mother
Baltic sauna had the same status as a holy place or precinct,
of the hazel), Se¯n¸u ma¯te (mother of mushrooms), and Briezˇu
like a church in the Christian tradition.) Folklore materials
ma¯te (mother of elk). The role of each particular mother is
reveal the procedure by which gods prepare the sauna: a fire
expanded: they are transformed from purely fertility god-
is lit, special birch whisks are brought in, and water is drawn.
desses to protectors in general, as indicated by such names
The gods split up these chores, with lesser gods performing
as Pirts ma¯te (mother of the sauna), Uguns ma¯te (mother of
special tasks. The gathering of gods has special significance,
fire), and Piegu¸las ma¯te (mother of the night watch). Mor-
since this is not just an occasion for bathing but also the
phologically related are the goddesses designated as Na¯ves
preparation for a wedding. Special attention is paid to the
ma¯te (mother of death), Kapu ma¯te (mother of the grave),
Saules meitas, who await the Dieva de¯li, their suitors. In
Smilˇsu ma¯te (mother of sand), and Ve¸lu ma¯te (mother of
the sauna the most fitting partner is chosen. All the gods are
the dead). In many names the word ma¯te is used to mean
guests in the sauna, not owners of it. The matron of the
not only “mother” but also “goddess,” as in, for example, the
sauna, Pirts ma¯te (sauna mother), is the hostess. Latvian
names Saules ma¯te and Laimas ma¯te, designating the mother
peasants have traditionally prepared offerings to her to guar-
goddess of the sun and the mother goddess of fortune.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALTIC RELIGION: AN OVERVIEW
761
The question of the character and role of these mothers
life of the farmer. The farmer acquires the foundation for all
has not been adequately investigated. Two schools of
of his life from the sky god Dievs. The other concept is close-
thought are current. One maintains that the development of
ly connected with the life cycle and welfare of the individual.
the mothers is a thoroughly Baltic phenomenon; the other
The gods associated with this concept determine the fate of
(upheld by Jonas Balys) maintains that it occurred under the
humans from birth to death. This aspect is very practically
influence of the cult of the Virgin Mary. If the mothers are
determined: humans regard the gods as their equals, as beings
judged by their functions, it must be concluded that they are
with whom they can discuss problems but whom they can
closely connected with the annual agricultural cycle and that,
also censure. Nevertheless a total equality is never developed,
as guarantors of fertility in the fields and for livestock, they
since humans remain dependent on the gods. The gods do
are an outgrowth of the Christian church. It must be noted,
what humans cannot. For this reason the gods become uni-
however, that many of the mothers—among them, those
versalized, and moral qualities are attributed to them. At the
designated as Ve¯ja ma¯te (mother of the wind), Ziedu ma¯te
center of this religious moral system is the idea of the good,
(mother of blossoms), and Dz¯ıparu ma¯te (mother of colored
described in terms of the social context on a cosmic level.
wool)—are the products of poetic fantasy. These lack any
cult and are the products of mythopoetic processes.
BIBLIOGRAPHY
Adamovicˇs, Ludvigs. “Senlatvieˇsu relig‘ija.” In V¯estures atzin¸as un
The annual reports of the Society of Jesus contain many
t¯elojumi, pp. 45–115. Riga, Latvia, 1937. A concise survey
references to pagan traditions among the Balts against which
of the main traits of Baltic gods but without an analysis of
the Jesuits waged war. One such report from the beginning
sources.
of the seventeenth century mentions Ceroklis, a god whose
Akmentin¸ˇs, Roberts, et al. Mitolog‘ijas enciklop¯edija. 2 vols. Riga,
name is derived from the verb cerot, meaning “to sprout sev-
Latvia, 1994. Encyclopedia of mythology.
eral stalks [ceri] from one seed or root.” This name, sugges-
Ankrava, Sigma. Vai La¯ˇcpl¯esis bija karalis Artu¯rs? Riga, Latvia,
tive of grains such as rye and wheat, implies a bountiful har-
2000. Was Bearslayer the King Arthur?—a study in compar-
vest. One must assume that from this natural process the god
ative mythology.
Ceroklis, a fertility god, developed.
Bauer, Gerhard. Gessellschaft und Weltbild im baltischen Tradition-
A special fertility god is Jumis. The etymological con-
smilieu. Heidelberg, Germany, 1972.
nection between his name and the Vedic stem is not clear.
Beresnevecˇius, Gintaras. Baltu religines reformos. Vilnius, 1995.
The name could be related to yama (pair, or twins) or to yuti
Bertuleit, Hans. “Das Religionswesen der alten Preussen mit li-
(conjunction, or connection). But the differences overshad-
tauisch-lettischen Parallen.” Prussia 25 (1924).
ow the connections between these terms. In Baltic religion
Biezais, Haralds. Die Religionsquellen der baltischen Völker und die
the meaning of the word jumis is clear: two ears of grain,
Ergebnisse der bisherigen Forschungen. Uppsala, Sweden,
stalks of flax, or vines or branches bearing fruit that have
1954. An annotated bibliography of sources and studies
grown together. Therefore the god with this name is the one
through 1953.
who brings a double dose of fertility. After reaping, the final
Biezais, Haralds. Die Hauptgöttinnen der alten Letten. Uppsala,
sheaf is completed and designated as Jumis, the god of fertili-
Sweden, 1955.
ty of the field. If the final sheaf is not reaped, the uncut ears
Biezais, Haralds. Die Gottesgestalt der lettischen Volksreligion. Upp-
of grain are bound or weighed down by a rock. Whether the
sala, Sweden, 1961.
sheaf is cut or not, the basic rationale is the same: the sign
Biezais, Haralds. “Baltische Religion.” In Germanische und baltis-
of fertility is left intact in the field. With this sign, thanks
che Religion, edited by A˚ke Ström and Haralds Biezais,
are expressed and the next year’s grain harvest is guaranteed.
pp. 307–391. Stuttgart, Germany, 1965.
Jumis is believed to remain in the field and to hibernate
Biezais, Haralds. Die himmlische Götterfamilie der alten Letten.
below the sod or underneath a rock. Around him an entire
Uppsala, Sweden, 1972.
cultic ritual has developed. The abandoning of Jumis in the
field is accompanied by song and dance, a cultic feast, and
Biezais, Haralds. Lichtgott der alten Letten. Uppsala, Sweden,
1976. The works listed in this volume are surveys of Baltic
offerings, which continue inside the house when the reapers
religion based on critical analyses of the sources.
return home. The final sheaf may also be brought home, and
Jumis can be put to rest either in the granary or in the form
Brastin¸ˇs, Ernests. Latvju dievadziesmas. 2d ed. Würzburg, Germa-
ny, 1947. A selected collection of dainas (songs) concerning
of a wreath in a central place within the living quarters. The
the sky god Dievs.
grain of this wreath is mixed with the grain to be planted in
the spring. Jumis has many of the same functions as the fer-
Clemen, Carl C., ed. Fontes historiae religionum primitivarum,
praeindogermanicum, indogermanicum minus notarum. Bonn,
tility gods of other religions, and his rituals resemble theirs.
Germany, 1936. A collection of selected Greek and Roman
It can be concluded that Baltic religion has two major
sources.
conceptions of gods. One concerns the gods of heaven and
Dunbavin, Paul. Picts and Ancient Britons: An Exploration of Pict-
their various functions. They are personifications and deifi-
ish Origins. Long Eaton, U.K., 1998.
cations of certain processes of nature, but they are also deter-
Gaizˇutis, Algirdas, ed. Senoves baltu simboliai. Vilnius, 1992. Sym-
mined by the social structure of the farmstead and the daily
bols of ancient Balts.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
762
BALTIC RELIGION: NEW RELIGIOUS MOVEMENTS
Gimbutas, Marija. The Balts. London, 1963. See pages 179–204
BALTIC RELIGION: NEW RELIGIOUS
for a short, popular survey of Baltic religion.
MOVEMENTS
Hopkins, Grace Sturtevant. Indo-European *Deiwos and Related
In the context of Baltic religion, the designation “modern
Words. Philadelphia, 1932. A valuable etymological and se-
movements” refers to different movements in the Baltic
mantic study of names of Indo-European sky gods.
lands, organized or unorganized, aiming at a revival or resto-
Ivinskis, Zenonas. Senoves lietuviuh religijos bibliografija. Kaunas,
ration of the autochthonous pre-Christian religions, as well
Lithuania, 1938. The best complete bibliography of Baltic
as at a fusion of these religions with esoteric, metaphysical,
religion up to 1938.
theosophical, astrological, or environmentalist teachings and
Johansons, Andrejs. Der Schirmherr des Hofes im Volksglauben der
practices. The polysemantic term Baltic is used here as an
Letten. Stockholm, 1964. Valuable as a collection of material,
ethnic denominator, with the modern Balts—Lithuanians
but the speculative construction of “house god” is false.
and Latvians—as the primary focus, but with some attention
Kokare, Elza. Latvieˇsu galvenie mitolog‘iskie t¯eli folkloras atveid¯e.
paid also to Prussians and other Baltic-related groups.
Riga, Latvia, 1996. Major Latvian mythological figures as de-
picted in folklore.
LITERARY AND SYMBOLIC CONSTRUCTIONS OF BALTIC PA-
Kurs¯ıte, Jan¯ına. Latvieˇsu folklora m¯ıtu spogul¯ı. Riga, Latvia, 1996.
GANISM. Among Baltic peoples, ideas about “genuine, inher-
Latvian folklore as reflected by myth.
ited, local, natural” religion as opposed to “borrowed, super-
Kurs¯ıte, Jan¯ına. M¯ıtiskais folklora¯, literatu¯ra¯, ma¯ksla¯. Riga, Latvia,
imposed, alien, artificial” Christianity were formulated in the
1999. The mythical in folklore, literature, and art.
second half of the nineteenth century, during the period of
Mackova, Jolanta. Atrakta¯ debess. Riga, Latvia, 1995. Latvian
gradual transition from patriarchal to modern society soon
symbols.
after the abolishment of serfdom. This concept of natural,
Mannhardt, Wilhelm. “Die lettischen Sonnenmythen.” Zeitschrift
local religion was reinforced in public discourse by different
für Ethnologie 7 (1875): 73–330. Out of date but still impor-
means, among them the Latvian epic La¯ˇcpl¯esis (Bear-slayer)
tant as a standard study of solar mythology.
by Andrejs Pumpurs (1841–1902), with its national hero
Mannhardt, Wilhelm. Letto-preussische Götterlehre. Riga, Latvia,
La¯cˇple¯sis opposed to the Black Knight, symbolizing the cru-
1936. The best sourcebook on Baltic religion.
saders and, henceforth, the forceful Christianization of Lat-
Neuland, Lena. Jumis die Fruchtbarkeitsgottheit der alten Letten.
via. At that time, some remnants of pagan practices still exist-
Stockholm, 1977. A basic study of the fertility cult with ex-
ed in remote rural areas, and this served as a conceptual
tensive analyses of sources and bibliography.
permit to treat the revived religions as a continuation of a
Pisani, Vittore. Le religioni dei Celti e dei Balto-Slavi nell’Europa
tradition.
precristiana. Milan, Italy, 1950. A brief comparative survey
marred by linguistic shortcomings.
The quest for a national identity created a demand for
proof that the Baltic peoples were as developed culturally as
Rudz¯ıte, Anta, ed. Latvieˇsu tautas dz¯ıveszin¸a. 4 vols. Riga, Latvia,
1990. Latvian world perception.
other Europeans, especially the older nations. That was one
of the reasons why certain efforts were taken to construct
Skr¯ıvele, Krist¯ıne, ed. Latvian Tales of Magic. Riga, Latvia, 2001.
mythological pantheons as impressive as those of the ancient
Sˇmits, Pe¯teris. Latvieˇsu tautas tic¯ejumi. Riga, Latvia, 1941. Latvian
Greeks. By the end of the nineteenth century, a significant
folk beliefs.
amount of research on Baltic mythology was published, and
Straubergs, Ka¯rlis. Latvieˇsu buramie va¯rdi. 2 vols. Riga, Latvia,
many facts about the ancient worldview and religion became
1939–1941. Latvian magic formulae.
broadly known. Still, most of the essential topics were stud-
Straubergs, Ka¯rlis. Latvieˇsu tautas parazˇas. Riga, Latvia, 1944. Lat-
ied insufficiently, and some of the analyses of these topics
vian customs.
were quite controversial; for that reason, the missing ele-
Toporov, Vladimir. Baltu mitologijos ir ritualo tyrimai: Rinktine/
ments, not necessarily documented in historical or ethno-
Toporov. Vilnius, 2000.
graphical sources, were re-created in literature. Those new
Velius, Norbertas. Senoves baltu pasaulezˇiu¯ra. Vilnius, 1983. The
creations at times permeated serious studies, as with Teo-
world perception of ancient Balts.
doras Narbutas’s Lithuanian Mythology, the first volume of
Velius, Norbertas. Suzeistas vejas. Vilnius, 1987. Lithuanian
his fundamental historical work Dzieje staroz´ytne narodu
symbols.
litewskiego (1835–1841).
Velius, Norbertas, ed. Lietuviu mitologija. Vilnius, 1997. Lithua-
nian mythology.
Such a process took another direction in Latvia, where
Velius, Norbertas, ed. Baltu religijos ir mitologijos ˇsaltinai (Dictio-
writers, poets, and publicists created new gods and goddesses
nary of Baltic religion and mythology), 4 vols. Vilnius,
in their literary works. In the opening part of his epic, Pum-
1996–2001.
purs created a pantheon in which well-known Latvian gods
Zica¯ns, Eduards. “Die Hochzeit der Sonne und des Mondes in der
were featured along with deities from Prussian sources (and
lettischen Mythologie.” Studia Theologica 1 (1935): 171–
some invented deities as well). More or less invented panthe-
200. Important as a supplement to Wilhelm Mannhardt’s
ons are found in the publications of Juris Aluna¯ns (1832–
solar mythology.
1864), but especially in the works of Mik¸elis Krogzemis-
HARALDS BIEZAIS (1987)
Auseklis (1850–1879) and Je¯kabs Lautenbahs-Ju¯smin¸ˇs
SIGMA ANKRAVA (2005)
(1847–1928). Thus, in the poetry of Auseklis one finds 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
BALTIC RELIGION: NEW RELIGIOUS MOVEMENTS
763
names of almost sixty deities and spirits, of which only
gregation in 1937, but was not much noticed by the public.
five—De¯kla, Laima, Lauma, Pe¯rkons, and U
¯ sin¸ˇs—are taken
The writer Eduards Mekle¯rs (1884–1973) planned to estab-
from Latvian folklore texts. Two are from Lithuanian and
lish a new, syncretic religion, comprised of elements of all
seven are from Prussian sources, while the rest are invented
world religions but with a sanctuary in Latvia and with Latvi-
by Auseklis or taken from uncertain sources and transformed
an forms of worship. Considerable were the efforts of the
to suit the stylistics of his romantic works.
Lithuanian writer and publisher Domas Sˇidlauskas-Visuomis
(1878–1944), who tried to revive the Romuva or Visuoma
Those mythologies, like the fundamental folklore col-
faith and religion, inspired by the ideas and writings of
lections published at the end of the nineteenth century, be-
Vydu¯nas. During the second decade of the twentieth century
came one of the cornerstones of the new constructed national
he formulated the doctrinal basis for this religion, later partly
identity. As such, they did not promote ritual practice, but
published in the United States. But his repeated efforts to
rather served as a symbolic marker of ethnicity. Those few
register Visuoma as a religion in 1926 were stymied. In spite
practical activities that did occur still preserved their symbol-
of good publicity, his sermons were not permitted after
ic nature. Thus, for instance, the Lithuanian publicist Jonas
1927, and his lectures at the public university were banned
Gediminas Berzˇanskis-Klausutis (1862–1936) tried to ob-
in 1930. During the first half of the 1930s he organized
tain written acknowledgment from the Russian imperial ad-
Rasos celebrations in the vicinity of Sartai Lake in northeast-
ministration that he was Kriviu˛ Krivaitis—the successor of
ern Lithuania. Not incidentally, he referred to the place of
pagan Baltic priestly tradition. (Unconfirmed sources report
celebration as Romuva—a name meaning “natural sanctu-
that Berzˇanskis-Klausutis succeeded in getting such recogni-
ary” for him—thus hoping to make it the central location
tion shortly before the First World War.)
of the revived religion.
RELIGIOUS MOVEMENTS IN THE FIRST HALF OF THE TWEN-
DIEVTURI. Latvian Dievtur¯ıba could be considered the most
TIETH CENTURY. The Prussian Lithuanian writer, mystic,
successful effort to put the revived religion into organized
and philosopher Wilhelm Storosta-Vydu¯nas (1868–1953)
and legally recognized forms. Dievtur¯ıba was founded by Er-
tried to synthesize theosophy with the Lithuanian pantheist
nests Brastin¸ˇs (1892–1942), an artist, publicist, and re-
tradition. Vydu¯nas was attracted by theosophy because he
searcher, together with Karlis Bregzˇis-Marovskis (1895–
perceived it as a form of nonorthodox philosophical religiosi-
1958?). They initiated the development of the doctrine,
ty. For him, theosophy was a doctrine that declared none of
coined the terms Dievtur¯ıba (Latvian religion) and Dievturi
the religions to be superior, claiming instead that all ex-
(adepts of Dievtur¯ıba—literally, “those who keep their
pressed the same esoteric truth through different languages.
God”), and published the first manifesto in the brochure The
This was a crucial discovery for Vydu¯nas, opening up the
Restoration of Latvian Religion in 1925. The new religious or-
possibility of honoring the old Lithuanian religion. He con-
ganization was registered under the name Latvju Dievtu¸ru
tributed to the justification of Lithuanian paganism through
Draudze (Community of Latvian Dievturi) in 1926. Follow-
his dramatic works (the trilogy Amzˇina ugnis [“eternal fire”]),
ing disagreements between the two leaders, Brastin¸ˇs in 1929
and through historical and philosophical writings. Particu-
founded and registered a new organization, Latvijas
larly important in his writings has been the concept of Romu-
Dievtu¸ru Sadraudze (Congregation of Latvian Dievturi),
va—the pagan Baltic (originally, Prussian) sanctuary.
which kept its status as a religious organization until 1935,
Among the activities initiated by Vydu¯nas was the celebra-
after that time continuing as a public organization. Latvju
tion of Rasos—the pagan Lithuanian midsummer solstice—
Dievtu¸ru Draudze, which had become Bregzˇis-Marovskis’s
by the Rambynas hill. The Tilsit Lithuanian singing society,
organization, ceased to exist at the beginning of the 1930s.
led by Vydu¯nas from 1895, was at the core of those celebra-
tions, and performed more or less regularly until 1935, when
In the following years Brastin¸ˇs did the basic work to es-
the society was closed by the Nazis.
tablish doctrines based on the ancient mythology, and to
shape rituals and social practices. He published selections of
Soon after the First World War and the subsequent for-
Latvian folk-song texts, which were intended to serve as ca-
mation of the Baltic nation-states, ideas began to circulate
nonical texts revealing different aspects of the religion. The
concerning the form that the revived or renewed religions
church’s doctrine was published in the form of a catechism
should take, and about how to organize them, but these pro-
in Dievtu¸ru cerokslis (1932), in which questions related to
posals did not meet with much success and were not realized.
theology, religious life, ethics, and ritual were discussed. Ac-
Juris Lecs wrote a book on ancient Latvian religion and ethics
cording to this publication, Latvians have worshiped only
and tried to organize a non-Christian congregation. The
one God, Dievs; their religion has been monotheistic, or,
theologian Ja¯nis Sanders (1858–1951) attempted to reform
more exactly, henotheistic. Dievs is progenitor of everything,
Christianity: he sought to abandon the Old Testament, to
and He is omnipotent. Dievs is one, but dual—He is spirit
check and correct the Gospels by comparing them to the
and matter, Father and Mother, the good and the bad simul-
Greek originals, to view the teaching of Jesus in the light of
taneously. Ma¯ra is a goddess representing the material aspect
Vedanta, and to shape Christian ritual in a way he supposed
of Dievs, while Laima is the aspect of Dievs connected with
to be specifically Latvian. In 1930 he founded the Latvian
causality, fate, and fortune. Brastin¸ˇs described humans as
Christian Society, which became the Latvian Christian Con-
being threefold—they consist of augums (body), velis (astral
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
764
BALTIC RELIGION: NEW RELIGIOUS MOVEMENTS
body), and dv¯esele (soul). The body is composed of rough
The first initiatives to revive the Dievturi movement in
matter and is subject to destruction; the astral body is formed
exile were started in Germany by 1944, and in Sweden by
of thin, subtle matter and enters Ve¸lu valsts (the world of
the beginning of the 1950s. The most vigorous development
shades) after death, staying there until it gradually disap-
of the movement occurred in the United States starting at
pears; the soul is imperishable, eternal, and reaches Dievs’s
the end of 1940s, under the leadership of Ernests Brastin¸ˇs’s
abode after death. The moral norms of Dievtur¯ıba were ex-
brother Arv¯ıds. Arv¯ıds Brastin¸ˇs became the Grand Leader in
pressed as imperatives, the most important of which is “Be
1947, and he kept this position until his death in 1984. The
good!” Humans were presumed to be naturally good, because
religion has been registered as the Latvian Church Dievturi
that was Dievs’s intention, and any deviation from that was
in Illinois. To meet congregational needs, a church complex
considered to be a mistake.
named Dievse¯ta was built in Wisconsin. The magazine La-
bietis was relaunched in 1955, and has been published con-
Dievturi propagated the use of vernacular names for cal-
tinuously since then. Smaller groups of Dievturi emerged at
endar months (these are still are in use in Lithuania). Addi-
different periods in Canada, Australia, and Great Britain.
tionally, they used their own method of reckoning time: for
The exile Dievturi church was by led by Ja¯nis Palieps from
the adepts of Dievtur¯ıba the starting point was “the period
1985 until 1990; by Marg‘ers Gr¯ıns, the son-in-law of Arv¯ıds
of the formation of Aryans (meaning Indo-Europeans),”
Brastin¸ˇs, until 1995; by Juris K¸lavin¸ˇs until 2000; and, since
which was assumed to be some 10,000 years ago. To mark
2000, by Palieps again.
this, a 1 was added to the year of the Christian era, so that,
for example, 11926 corresponds to 1926 CE.
NEW RELIGIOUS MOVEMENTS IN THE SECOND HALF OF
According to the statute of the Congregation of Latvian
THE TWENTIETH CENTURY. A resurgence of ethnically based
religiosity in the Baltics emerged at the end of the 1960s, a
Dievturi, membership in the church was open to Latvian na-
development that should be viewed in the context of global
tionals of both sexes. There was an elected Dizˇvadonis
cultural changes. The new religious movements were less
(Grand Leader) at the head of the organization, while the re-
uniform, less dogmatic; they displayed much more interest
gional sections were permitted their own leaders. Also, no or-
in the preservation of nature and of cultural heritage. At the
dained priests were intended; instead, there could be only the
same time, these movements were much more open to other
performers of ritual actions. The movement gained ground
traditions and influences; they were essentially pantheistic.
during the 1930s, its members and supporters being mostly
Most of the neopagans displayed marked interest in folk tra-
intellectuals—students, artists, academics, and teachers. The
dition and folklore in general; therefore they can often be
congregational activities included meetings, holy services,
viewed as the extremist wing of folklore movements.
calendar celebrations, and life-cycle celebrations such as wed-
dings and funerals. The Congregation of Latvian Dievturi
One of the characteristics of most Lithuanian and Latvi-
published their magazine Labietis (The good, noble man),
an religious movements in the modern period is the presence
from 1933 until 1940. Before that, Bregzˇis-Marovskis also
of pan-Baltism. This encompasses the study of the traditions
published a magazine, Dievtu¸ru V¯estnesis, from 1928 until
of kindred peoples—Lithuanians, Latvians, Curonians,
1929, as well as his version of Dievtur¯ıba’s doctrine, The
Prussians, Yatvings—with the goal of finding a quintessential
Teaching of Latvian Religion (1931).
primitive spirit, which would embody the ancient heritage
RELIGIOUS MOVEMENTS DURING THE SOVIET AND NAZI
when followed consciously. Feelings of ethnic kinship have
OCCUPATIONS. The devotees of Baltic paganism can be char-
led to closer cooperation between modern Balts, as well as
acterized as the modelers of a new, national faith that was
between Balts and neighboring peoples—Poles, Belarussians,
intended to support national statehood and lay a new, firm
German Prussians—who are presumed to have inherited cer-
spiritual foundation for it. After the occupation of the Baltic
tain aspects of ancient Baltic religion.
countries by the U.S.S.R., pagan movements were claimed
ROMUVA. Lithuanian Ramuva (Romuva) was revived in
to be of a chauvinistic character, and thus inherently inimical
1967 as the Association for the Study of Local Culture. Its
to the ideas of communism and internationalism. They were
first and most important activity was the organization of
destroyed and their members persecuted. Brastin¸ˇs was de-
Rasos celebrations, which involved an ever-increasing num-
ported and shot dead in a Russian prison in 1942.
ber of participants. A strong impulse for the movement’s de-
These movements partly survived in exile and in secret
velopment was provided by Professor Marija Gimbutas
during the whole occupation period, but the story of this re-
(1921–1994), who visited Lithuania in 1968 and delivered
quires a special study, as only a few facts are known concern-
one or (most likely) two lectures on Baltic history and my-
ing their status during the Soviet period. Stasys Jameikis, the
thology at Vilnius University. The association was dissolved
follower of Sˇidlauskas-Visuomis, tried to organize some reli-
and the Rasos celebrations stopped in 1971 after the group
gious activities even under the extreme conditions of life in
was accused of becoming increasingly nationalistic and of
a Soviet forced labor camp. Certain elements of Dievturi’s
being involved in religious activity, but the organization was
rituals, or at least some outward signs, were present at
reborn in 1988 as the Association for Lithuanian Ethnic Cul-
weddings and funerals when nonconformist pagans were
ture. To distinguish between cultural and religious activities,
participants.
a new organization—the Community of Baltic Faith Romu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALTIC RELIGION: NEW RELIGIOUS MOVEMENTS
765
va—was officially registered in 1992. Additionally, a termi-
Romuva has initiated the organization of the World
nological distinction was agreed upon: Romuva would refer
Congress of Ethnic Religions (WCER)—an institution con-
to the religion, and Ramuva to the much broader movement
sisting of “ethnical and/or traditional and/or native religious
of preservation, study, practice, and dissemination of ethnic
groups.” It is primarily concerned with the protection and
culture. As of 2001, twelve regional Romuva organizations
development of ethnic cultures, religions, and identities, and
had emerged in Lithuania, with a collective membership of
the “ethnic religions” are defined as “surviving ancient reli-
about two thousand members and numerous supporters.
gions, such as Hinduism, or animism of various other cul-
There are Romuva organizations in Canada, Russia, and the
tures, as well as religions in the process of restoration, such
United States. Vilija Witte, a member of the Canadian Ro-
as the Icelandic Asatru, Latvian Dievturi, Lithuanian Romuva
muva, published six issues of the magazine Sacred Serpent in
and others.” The objectives of the WCER, as stated in its reg-
Canada in 1994–1995, with a focus on traditional Baltic cul-
ulations, are to:
ture, old beliefs, and indigenous Lithuanian religion.
1. Spread educational knowledge about ethnic cultures
The Romuva faith emphasizes the sacredness of nature
and their religions, while propagating mutual trust and
and of humans first and foremost. The contact of adepts with
tolerance for the peoples of Europe and the entire world.
the divine is based on tradition and personal experience. Tra-
2. Through education, propagation and the organization
ditional Lithuanian gods—Dievas, Laima, Perku¯nas,
of support for the appropriate projects . . . preserve
Zˇemyna—are preferred, but not mandatory. One of the core
ethnic cultures and religions, safeguard them from ex-
concepts of the faith is Darna (harmony); believers aspire to
tinction and propagate such ideas.
inner harmony, endeavor to create harmony at home and in
the community, pursue harmony with ancestors, and seek
3. Unify people and organizations engaged in ethno-
harmony with the universe—with life and with the divini-
cultural and ethno-religious activities within Lithuania
ties. The essential moral concept is Dora. This encompasses
and outside its borders.
respect for Nature, for all expressions of life. It asks for a con-
4. Fight against religious discrimination.
fident and loving attitude towards the world, refusing vio-
lence and vengeance. On account of its doctrine of Dora and
5. Undertake other kinds of activities concerning ethnic
the traditional toleration of other faiths in the Grand Duchy
culture and ethnic religions.
of Lithuania, Romuva claims it does not negate other reli-
The first Congress was held in Vilnius, Lithuania, in 1998,
gions. This claim is perhaps best understood in light of its
and several countries were represented there: Belarus, Bel-
very flexible doctrinal formulations, with their emphasis on
gium, the Czech Republic, Denmark, France, Germany,
the experience of the divine. Humans (male zˇmogus, female
Greece, India, Latvia, Lithuania, Norway, Poland, Russia,
zˇmona) are children of the Earth (Zˇem˙e), and therefore are
Sweden, Ukraine, and the United States. Six congresses were
responsible for other life forms. There is no essential differ-
arranged by the fall of 2003, all in Lithuania. A newsletter,
ence between the status of men and women, and the domi-
the Oaks, has been published since 1999.
nant view is that both can participate in all rituals and on
DIEVTURI: CONTEMPORARY DEVELOPMENTS. The Dievturi
all hierarchical levels.
organization was restored officially in 1990, shortly before
The three biggest Romuva communities joined to make
the regaining of Latvian national independence. A few years
the Union of the Religion of Ancient Balts in 2001. Restor-
later, in 1995, the Latvian parliament recognized it as one
ing the priestly class, a circle of ritual elders (Vaidilu˛ Ratas)
of the traditional religions of Latvia.
was established, and the highest priest (Krivis) was chosen
The Congregation of Latvian Dievturi has sections and
and ordained in 2002. The new Krivis, Jonas Trinku¯nas (b.
regional organizations: according to the 2001 census, their
1939), was given the name Jaunius after an elaborate ritual
number is twelve, with the total number of members exceed-
on the Gediminas hill, which is believed to be the burial
ing six hundred. There have been significant changes in the
place of Grand Duke Gediminas of the fourteenth century,
approach to leadership questions within the community.
one of the last pagan rulers of the Grand Duchy.
The first Grand Leader after the restoration was Eduards De-
tlavs (1919–1992); it was his initiative to drop this title.
Following these developments, a public discussion has
From 1992 to 1995, Dievturi in Latvia accepted the leader-
been sparked concerning the validity of the Krivis institution.
ship of Marg‘ers Gr¯ıns, who was the head of the Dievturi
Arguments in favor of it cite the continuation of pagan prac-
church in exile. He was followed by Ja¯nis Brikmanis and,
tices up until the twentieth century, and claim that “native
since 1998, by Roma¯ns Pussars (b. 1932). Simultaneously,
or ethnic religiosity” is a significant constituent part of mod-
Gr¯ıns has been regarded as the Dievturi’s highest authority
ern Lithuanianness. Additionally, a discussion was initiated
globally.
in Parliament in 2001 on the question of whether or not the
Religion of Ancient Balts should be recognized as a tradition-
The main forms of Dievturi’s religious activities are con-
al religion, alongside Catholicism, Russian Orthodoxy, Juda-
gregational meetings, celebration of calendar holidays, and
ism, and others. As of 2003 there has been no resolution to
life-cycle celebrations—weddings, funerals, and so on. The
this issue.
Dievturi church has the right to register marriage, 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
766
BALTIC RELIGION: NEW RELIGIOUS MOVEMENTS
2001 four couples availed themselves of this possibility.
tion in 1991, the center has been led by the painter Lilita
Members of the Dievturi church organize summer camps
Postazˇa (b. 1941). Aiming at the promotion of personal free-
and lecture courses, and have effectively tried to introduce
dom and spiritual development, they practice Hindu, Agni
Latvian folklore, mythology, and ethics teaching into the
Yoga rituals, combining them with Baltic religious and
curriculum of general education schools. The magazine
magic ceremonies—solstice celebrations and offerings to
Dievtu¸ru V¯estnesis was published from 1989 until 1996.
deities.
Two opinions of what Dievtur¯ıba is have emerged re-
Certain aspects of Baltic religion are present in several
cently in public discourse. According to the first, it is a reli-
groups having no official status or institutionalized form—
gion, practiced by members of the Dievturi church. The
practitioners of different energy and healing arts, paleoastro-
other position tends, in reaction to the decreasing signifi-
nomers, and environmentalists and the green movement.
cance of the Dievturi church, to treat a much broader spec-
Particularly interesting is the Pokain¸i phenomenon in Latvia.
trum of modern folkloric expression as part of Dievtur¯ıba
Pokain¸i Forest, located close to the town of Dobele in south-
practice.
ern Latvia, received public attention in the second half of
1990s due to the efforts of publicist and paleoastronomer
MOVEMENTS AND GROUPS WITH MARGINAL RELIGIOUS IN-
Ivars V¯ıks (1933–2002), and of Rasma Roz¯ıte, follower of
VOLVEMENT. The Latvian folklore movement was started in
the teaching of Babaji and an active member of Baltais Aplis.
the second half of the 1970s as a grassroots effort seeking the
Pokain¸i was claimed to be an ancient healing and ritual place,
preservation, study, practice, and dissemination of ethnic
a doorway to Shambhala, providing intense radiation of cos-
culture. While concentrating on songs, dances, and calendar
mic energy. This hilly, forested spot with numerous stone
and life-cycle celebrations, folklorists occasionally performed
piles, scattered in an area of about four hundred hectares, has
rituals, incantations, and offerings to deities, claiming to do
become a place of healing, worship, and pilgrimage not only
these things “as they used to be done in the olden days.”
for Latvians but for visitors from other countries as well,
This approach to religion, as well as the doctrine of
more than a thousand of whom visit weekly in season.
Dievturi giving higher status to nation than to God, has been
SEE ALSO Saule.
criticized by Modris Slava (b. 1946), the leader of the Latvi-
jas Viedas Sadraudz¯ıba (Latvian Fellowship for Spiritual
BIBLIOGRAPHY
Knowledge)—a theosophical circle with the aim of interpret-
Biezais, Haralds. “Dievturi—naciona¯lie romantik¸i—senlatvieˇsi.”
ing Latvian (and more generally, Baltic) religion from a theo-
Ce¸lˇs 1, no. 44 (1992): 43–59.
sophical viewpoint. According to Slava, the spiritual life of
Brastin¸ˇs, Ernests. Dievtu¸ru cerokslis jeb teoforu katk¸isms. Riga, Lat-
a society has three hierarchical levels: spiritual knowledge
via, 1932.
(Vieda) on the top, spiritual practice or religion (L¯ıga) there-
Brastin¸ˇs, Ernests. Tautai, Dievam, T¯evzemei. Riga, Latvia, 1993.
after, and paganism or remnants of previously existing reli-
Da¯rdedzis, Ja¯nis. Latvju dievest¯ıba: ¯Iss pa¯rskats./ Latvian Religion:
gious systems on the bottom. Through the adaptation of su-
An Outline. New York, 1968.
pranational spiritual knowledge to specific national
Glodenis, Donatas. “New and Non-Traditional Religious Move-
conditions, a national religion emerges. Slava concludes,
ments in Lithuania.” A paper presented at the fourteenth in-
however, that Dievtur¯ıba does not possess the requisite spiri-
ternational CESNUR conference “New Religiosity in the
tual knowledge and is therefore on the level of paganism. Be-
21st Century,” August 29–31, 2000, Riga. Available from
cause of this statement and later frictions, the two organiza-
http://www.cesnur.org/conferences/riga2000/glodenis.htm.
tions—Dievturi and Latvijas Viedas Sadraudz¯ıba—have,
Klotin¸ˇs, Arnolds. “The Latvian Neo-Folklore Movement and the
despite initial intentions to cooperate in the field of re-
Political Changes of the Late Twentieth Century.” World of
creating Latvian/Baltic religion, distanced themselves from
Music 44, no. 3 (2002): 107–130.
each other more and more.
Krumina-Konkova, Solveiga. “Maybe Shambhala Is Here: Esoter-
ic Quests in Latvia Today.” A paper presented at the CES-
The fellowship of Lithuanian pagan faiths Senasis Zˇynys
NUR 2003 international conference “Religion and Democ-
(The Old Sorcerer) has emerged in the 1990s as a circle cen-
racy: An Exchange of Experiences between East and West,”
tered around Andzˇelika Tamaˇs—a controversial person
April 9–12, 2003, Vilnius. Available from http://
claiming to be a successor of Baltic Selonian sorcerers. Some
www.cesnur.org/2003/vil2003_krumina.htm.
issues of the newsletter Senasis Zˇynys have been published in
Muktupa¯vels, Valdis. “Baltu mitolog‘ija.” Sarunas IV (2003): 142–
Lithuania, presenting the fellowship’s vision of a Baltic wor-
155.
ldview, religion, symbolism, and healing (Gaiva). The group
Pumpurs, Andrejs. La¯ˇcpl¯esis. Introduction and comments (in Lat-
has tried to register as a religious community at the Ministry
vian) by Ja¯zeps Rudz¯ıtis. Riga, Latvia, 1988.
of Justice, but so far with little success. Tamaˇs has a group
Ramoˇskaite˙-Sverdioliene˙, Zˇivile˙. “Archaic Folklore Elements in
of followers in Latvia, too, led by Uldis Zandbergs and close-
Contemporary Everyday Life.” In Contemporary Folklore:
ly related to another spiritual community.
Changing World View and Tradition, edited by Mare Ko˜iva,
pp. 79–85. Tartu, Estonia, 1996.
This related community is the center of spiritual culture
Saivars, Juris. “Ka¯ atbilde¯t dievturiem.” Mantojums 1 (1997): 49–
known as Baltais Aplis (The White Circle). Since its founda-
90.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALTIC RELIGION: HISTORY OF STUDY
767
Slava, Modris. “The Situation of Spiritual Culture and Problems
of Prussia, 1326), as well as Preussische Chronik (Prussian
in Latvia” (in Latvian). Viedas V¯estis 3 (1991): 1–2.
chronicles, published only in the nineteenth century) by
Sˇorys, Juozas. “Continuation of the Krivis Institution” (in Lithua-
Simon Grunau (d. 1530). Chronicles and other historical
nian). Liaudies kultu¯ra 1 (2003): 12–20.
sources name the major Prussian deities: Swa¯ikstiks (the sun
god), Perku¯ns (the god of thunder), Puska¯ıtis (the god of the
Trinku¯nas, Jonas. Baltu˛ tik˙ejimas: Lietuviu˛ pasaul˙ejauta, paproˇciai,
apeigos, zˇenklai. Vilnius, 2000.
forests), and Pekols (the god of the netherworld and ani-
mals). Petrus de Dusburg’s Chronicon mentions romow, the
Wiench, Piotr. “Neopaganism in Central-Eastern Europe.” Avail-
principal Prussian sanctuary, which was also worshiped and
able from http://vinland.org/heathen/pagancee/.
recognized as the most important in Lithuania and Latvia,
VALDIS MUKTUPA¯VELS (2005)
part of Livonia. From these chronicles we learn that the oak-
encircled sanctuary was ruled over by the Prussian high
priest, called Krive krivaitis, and that the Prussians burned
one-third of their spoils of war there as a sacrifice to their
BALTIC RELIGION: HISTORY OF STUDY
gods. Located in the center was an evergreen oak, in whose
Although the concepts of pre-Christian Baltic religion have
branches were located images of the three main deities.
not been systematized, they can be reconstructed using sever-
al sources that contain pre-Christian elements. These sources
The traveler Ghillebert de Lannoy (1385–1414) was in
include: artifacts found in archaeological digs; folklore texts,
Livonia from 1413 to 1414 and wrote in his travel accounts,
in particular Latvian and Lithuanian formulaic folk songs,
among other things, about the burial traditions of the Latvi-
riddles, and magic incantations; written texts, such as medi-
an Curonian tribe, specifically that the dead were burned in
eval chronicles; records of witch trials from the sixteenth cen-
a bonfire built of oak. If smoke climbed directly to heaven,
tury to the first half of the eighteenth century; church visita-
the dead soul was said to travel directly to the gods, but if
tion records; written accounts of travelers; geographical
the smoke blew sideways, then the dead soul was lost.
descriptions of the Baltic territories; and archaic elements re-
Information about the ways the Balts and the Finno-
tained in language, in particular in toponyms and hy-
Ugrian tribe prophesized the future and discerned future
dronyms.
events before critical moments in life is to be found in the
The earliest written records that provide information
Henrici chronicon Livonia. Using these same methods the
about the Baltic pre-Christian religion are found in Germa-
Latgallians (a Latvian tribe) made their decision to become
nia 45, written during the first century
Christians according to the Russian or Latin precepts, and
CE by the Roman his-
torian Publius Cornelius Tacitus, who mentions that the
in a similar fashion the Zemgallians, also known as the Semi-
Aestii, a term coined by him to refer to the “people of the
gallians, and Curonians of Latvia, sought answers from their
East,” worshiped the mother of God (Lat., matrem deum
pagan gods about the outcome of their battles. Another an-
venerantur). The Anglo-Saxon traveler Wulfstan visited the
cient form of fortune-telling is described in the Reimchronik
Prussian seashore between the years 887 and 901, and his de-
(Rhymed chronicles; c.1250–1300), where a Lithuanian mil-
scription of that journey offers various items of information
itary leader, finding himself captive, discovers the fate of his
about the Prussian concepts of death and burial. There are
soldiers in the field by gazing at an animal’s shoulder blade
several chronicles that also provide significant, although not
as if at some sort of film screen.
systematically recorded, material about the early religious
In his history of Poland, the Polish chronicler Ioannes
concepts. For instance, Adam of Bremen (d. 1081) in his
Długoszius (or Johannes Długosz, 1415–1480) provides ma-
chronicles has supplied testimony of the existence of fortune-
terial about Lithuanian pagan rituals and deities. Following
tellers and prophets among the Baltic peoples. Relatively
the style that was popular at that time in Europe, Długosz
substantive information about Baltic religious concepts may
does not call the Lithuanian deities by their Lithuanian
also be found in Henrici chronicon Livonia (Chronicle of
names, but, depending on their function, assigns to them
Henricus de Lettis), written during the first quarter of the
their respective Greek and Roman names—Vulcanus, Jupi-
thirteenth century, which describe various historic events in
ter, Diana, Silvanus, and Aesculapius.
the Baltics occurring from 1180 to 1227.
In 1589, Salomon Henning (1528–1589), the duke of
At the end of the twelfth century, German merchants
Courland and Gotthard Ketler’s advisor in spiritual matters,
together with Christian missionaries settled in Latvia. In
wrote that the Latvians of Courland (Kurzeme) and Semigal-
1201, Bishop Albert built a fortified castle in the city of Riga,
lia (Zemgale) worshiped as deities the sun, the stars, and such
and a year later he founded the Order of the Livonian
animals as the toad. Henning also wrote that the people
Knights to combat the pagan religion practiced by the Balt
themselves had the ability to turn into werewolves. He de-
and Finno-Ugrian peoples. At about the same time, Chris-
scribes an incident that he himself witnessed in which the
tianization by sword of another Baltic population, the Prus-
country folk fed milk to toads and snakes until they grew fat
sians, began and lasted for several centuries. A significant in-
and swollen; when they were chopped in two, milk flowed
formation source for Prussian religious concepts is Petrus de
from their bodies. Old women then came running, wailing
Dusburg’s Chronicon terrae Prussiae (Chronicle of the land
and screaming that their “mother of milk” had been killed.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
768
BALTIC RELIGION: HISTORY OF STUDY
The sixteenth-century German historian and cosmogra-
the worship of chthonic deities, among them the female dei-
pher Sebastian Münster (1489–1552) in his book Cosmo-
ties Ma¯ra, Laima, and De¯kla.
graphia (1544; supplemented in 1550) claims that even
though the Latvian and Estonian peasants of Livonia had
The Catholic Jesuit priest Johannes Stribing, during his
Christian names, they were ignorant and did not understand
1606 visit to inspect the operations of the Catholic Church
Christ’s teachings. According to Münster these same people
among Latvians (Latgallians), wrote that Latvians continued
worshiped not only heavenly bodies as deities but also special
to believe not only in one God the Lord, but also in their
own heavenly and earthly deities. They made offerings and
trees and stones. Münster also describes marriage and burial
sacrifices to their gods at holy trees. The most valuable offer-
practices of the time, claiming that food and drink, as well
ings were to U
¯ sin¸ˇs (the god of horses) and Ma¯rˇsa (the god-
as money, were buried with the dead in a grave.
dess of cows). Stribing also wrote that Latvians (Latgallians
In 1581 a Polish chronicler of Italian origin, Alexander
particularly) made a distinction between a masculine holy
Guagnini (1534–1614), described celebration customs and
tree (oak) and a feminine holy tree (linden). Accordingly,
Lithuanian and Latvian folk songs, both in terms of their
men made their offerings under the oak tree, while women
content and how they were sung. Similar accounts of Lithua-
did so under the linden. Even such pagan rites as the feeding
nian and Latvian folk beliefs, celebrations, and rituals can be
of dead souls took place at a special dead souls celebration
found in the chronicles of Maciej Stryjkowsky (1547–c.
in November. Stribing reports that Latvians believed in gods
1590), published in 1582. An important source of informa-
of fate, and he describes how they tried through various ma-
tion about religious beliefs, specifically regarding the deities
neuvers to determine their own fate. As an example, he de-
and sanctuaries of the Zhemaitian tribe of Lithuania and Lat-
scribes how a young Latvian woman who, trying to forecast
via during the first half of the seventeenth century, is a book
what lies in her future and how long she will live, poured
written in 1615 by the historian Jan Lasicki (or Joannes Lasi-
melted beeswax into cold water.
cius, 1534–1599). In this book Lithuanians are depicted as
The information about the deities and religion of the
not wanting to hew down trees that their fathers and forefa-
Baltic peoples that is found in chronicles and travel records
thers considered to be holy. Lasicki also describes in this
written by foreigners contains errors and imprecise facts as
work Lithuanian and Latvian marriage and burial practices.
a result of a lack of understanding of local languages, as well
The Catholic priest Fabricius Dionysius, who died dur-
as distortion due to a Christian perspective from which ev-
ing the first half of the seventeenth century, wrote of the
erything associated with pre-Christian beliefs is seen as ab-
snake being perceived as divine and of the worship and feed-
normal or strange. Taking into account the imprecision and,
ing of milk to dead souls (called gari in Latvian) in his series
in some cases, fabrications, these chronicles, as well as later
of books Livonicae historiae compendiosa, published posthu-
records, remain valuable sources of information about the
mously in 1795. He also suggests that abstract concepts asso-
deities and religious concepts of the Balts. In most cases,
ciated with Christianity and morality could not be expressed
these sources can be verified by comparison with information
in the Latvian language, thus such words as virtue (Lat. vir-
drawn from Lithuanian or Latvian folklore texts describing
tutem), integrity (Lat. probitatem), and piety (Lat. devotionem)
mythical folk songs, folk beliefs, magic incantations, and so
could not be communicated. The Latvian language is, in
on.
fact, characterized by forceful and well-developed concrete
Since Christian religious precepts were introduced in
concepts, while the abstract philosophical and generalized re-
Latvia through force and disseminated in foreign languages
ligious terminology developed only during the nineteenth
(Latin, German, or Polish), for a long time they did not
century in conjunction with the Latvian national awakening
make a meaningful impression but remained at the level of
and cultural renaissance period. A significant source of infor-
a formal religion. Perhaps because of this, even as late as the
mation on Latvian folk beliefs of the first half of the seven-
seventeenth and eighteenth centuries one can find in written
teenth century is to be found in the works of Courland’s gov-
sources, especially visitation records and Jesuit reports about
ernor Paul Einhorn’s (d. 1655) Wiederlegung der Abgotterey
the state of religious belief among the peasants, condemna-
und nichtigen Aberglaubens (Refutation of idolatry and erro-
tion of certain pagan practices and rituals, such as paying
neous superstition, 1627) and Historia Lettica (Latvian histo-
homage to trees or feeding milk to toads or snakes.
ry, 1649), in which he describes Latvians as “semi-christiani
oder ethnico-christiani” (semi-Christian or ethno-Christian)
In the seventeenth and eighteenth centuries a relatively
and as stubbornly resisting the observance of Christian
large number of people wrote about Baltic pre-Christian reli-
church rituals while practicing semipagan family rituals and
gious concepts, but for the most part these works reflect col-
traditions at weddings, burials, and christenings. He also re-
lected eyewitness accounts or information compiled in the
ports that at Christmas they performed a rite involving the
preceding centuries. The most noteworthy author of that
pulling of an oak log and celebrated a special bluk¸a (log)
time was Matthäus Prätorius (1636–1704), who wrote about
night prior to Christmas. Also popular among Latvians is the
Prussian religion and culture, and the linguist and writer
summer solstice, known as Ja¯n¸i or the midsummer’s eve cele-
Gotthard Friedrich Stender (1714–1796), who, in a special
bration, the paying of homage to dead souls in autumn, and
supplement to a Latvian grammar text published in 1783,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALTIC RELIGION: HISTORY OF STUDY
769
tried to determine which deities were worshiped by the an-
searchers, specifically Lautenbahs. It should be noted that
cient Latvians.
Lautenbahs was not only on the teaching staff of the Univer-
Until the nineteenth century, Baltic religious concepts
sity of Tartu (then called Dorpat) but he was also a poet who
were studied primarily by Baltic writers, cultural scholars,
wrote a series of epic poems with mythological themes based
historians, and theologians of German or Polish origin, but
on Lithuanian and Latvian folk songs, legends, and fairy
in the nineteenth century scholars of Latvian and Lithuanian
tales, with the intent of reconstructing epics lost in distant
origin, fluent in the local languages, became involved in this
antiquity. During the second half of the nineteenth century,
research. They had the advantage of being able to dialogue
Latvian writers and folklore researchers searched for and tried
freely with Latvian and Lithuanian peasants who, to a large
to piece together and restore seemingly lost fragments of
extent, were the people who transmitted the living oral tradi-
grand epics. They also sought the deities and ancient reli-
tion, as well as various taboos linked to this or that sacred
gious concepts that were forgotten under conditions of cap-
item or activity.
tivity and violence during the Latvian peoples’ seven hun-
dred years of subjugation beginning in the thirteenth
In the second half of the nineteenth century, two areas
century.
of Baltic religion were explored simultaneously. One was as-
sociated with Baltic mythology and consisted of the extensive
Intensive restoration or reconstruction work on the an-
collection, interpretation, and publishing of Baltic folk
cient pagan deities was begun in the mid-nineteenth century,
songs, fairy tales, and legends. The second dealt with the col-
coincident with the start of a strong Latvian nationalistic
lection of oral folk texts, as well as artifacts gathered in ar-
movement and the Romantic movement in literature and
chaeological digs. The most significant nineteenth-century
art. Latvian folklore texts of the time contained references to
research into Baltic mythology was done by the Latvian
a relatively long and seemingly adequate list of pre-Christian
scholar Je¯kabs Lautenbahs (1847–1928), who published a
deities. This list included Dievs (the god of heaven); Velns
study on the Laimas, the three Baltic goddesses of fate, basing
(the chthonic god of the underworld); Saule (the sun god-
his research on the rich source material of Latvian and Lithu-
dess); the daughters of Saule; the sons of Dievs, including
anian folk songs and fairy tales. In 1896 Lautenbahs also
U
¯ sin¸ˇs; Me¯ness (the lunar deity); Pe¯rkons (the god of thun-
published the first comprehensive comparative study on
der); Ma¯ra (the goddess of the earth), who incorporated fea-
Lithuanian and Latvian mythological concepts, which he ar-
tures of the great archetypal mother linked to death and re-
rived at through an analysis of folk songs. In 1901 his exten-
birth; Laima, De¯kla, and Ka¯rta, the three deities of fate;
sive research on Latvian religion and pagan deities appeared
Jumis, a twin deity linked to fertility; and many spirits, in-
in German in the journal Magazin. Drawing on Latvian and
cluding more than one hundred archaic female maternal
Lithuanian mythological folk songs and the available, though
spirits, each with its own significant sphere of influence in
limited, material on Prussian deities, Lautenbahs tried to pull
nature, such as Ve¯ja ma¯te (mother of the winds), Mezˇa ma¯te
together a comprehensive compilation of the pantheon of de-
(mother of the forests), and Lauka ma¯te (mother of the
ities of the three Baltic peoples.
fields). The scholars of the second half of the nineteenth cen-
Also published in Magazin were a series of essays by the
tury thought this long list of deities found in folklore sources
Latvian minister and mythology scholar Roberts Ka¯rlis
was inadequate and proceeded to reinstate deities they con-
Aunin¸ˇs (Robert Karl Auning, 1834–1914). These essays
sidered forgotten over the passage of time. Thus, writers of
dealt with the hitherto little researched Using (German) or
the Romantic period, along with folklore enthusiasts, intro-
U
¯ sin¸ˇs (Latvian), the god of light whose responsibilities in-
duced many new deity names into the field. Later, in the first
cluded guardianship of men and their horses and who was
half of the twentieth century, this nineteenth-century folk-
associated with the spring equinox. Another subject appear-
lore and mythology research came under criticism and was
ing for the first time in published research was the pu¯k¸is, lit-
called the “creation of the Olympus of pseudo gods.”
erally “dragon,” which in Latvian mythology is linked to
How were these new deities created? The first and most
wealth and well-being and not to evil, as in many foreign my-
common approach was to take deities from the neighboring
thologies. These essays aroused much interest and a great
peoples, especially the ones appearing in Lithuanian and
wave of discussion about the Latvian deities of light.
Prussian folklore, and to conclude that Latvians must have
Of note in the field of Latvian and Prussian mythology
had the same deities, but that they had been lost with the
is the work of the German scholar Johann Wilhelm Emanuel
passage of time. Thus, in the nineteenth century the follow-
Mannhardt (1831–1880) on the sun myths of the Baltic peo-
ing appeared on the list of Latvian deities: Anˇslavs (the god
ples (published in 1875) and the Latvian and Prussian deities
of light, phonetically adapted from the Prussian Auˇsauts),
(published only in 1936). Mannhardt’s research, following
Antrimps (the god of health, from the Prussian Autr¯ımps,
mythological or solar-research school practices, was the most
god of the sea), Potrimps (from the Prussian Patr¯ımps, god
extensive in Europe at the time. It included Latvian and
of the rebirth of spring and fertility), and a series of other
Prussian mythology interpreted within the context of Indo-
deities borrowed from Prussian mythological sources. The
European religious and mythological concepts. Mannhardt’s
second source for the creation of new deity names and func-
studies greatly influenced some of the early broader-based re-
tions was ancient Greek and Roman mythology. Totally 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
770
BALTIC RELIGION: HISTORY OF STUDY
deities with new functions were invented in response to areas
myths. This pertains as well to his approach to religious ter-
of importance to nineteenth-century Latvian peasants. Most
minology. Upon finding a related root form in the Russian
were modeled after ancient Greek or Roman deities. In the
or German language, Sˇmits almost automatically assumed
Olympus of newly invented Latvian deities appeared Kru¯g‘is
that Latvians had borrowed the word—for example, bazn¯ıca
(the god of fire and blacksmiths, drawn from the Roman god
(church) or krusts (cross). However, despite his several exag-
Vulcanus and the Greek god Hephaistos). Just as quickly as
gerations about deity names and assumed foreign sources for
this process of inventing new deities started in the middle of
religious terms, as well as his view on the Christian influence
the nineteenth century, it ended at the end of the century
on Latvian mythology, Sˇmits did provide in his research a
when realism replaced romanticism in literature.
generally coherent overview of the Latvian mythological sys-
tem, which included a comprehensive description of the cult
The next wave in broader-based research into Latvian
of the dead and related customs of the period, such as offer-
and Baltic religion began just before the proclamation of Lat-
ings and sacrifices.
via’s independence as a nation in 1918. This wave is associat-
ed with the linguist, cultural historian, and folklorist Pe¯teris
At the turn of the twentieth century, researcher Ma¯rtin¸ˇs
Sˇmits (1869–1938). In 1918 he became the first to publish
Brun¸enieks (1866–1950) published several essays about Lat-
a comprehensive and systematic study into Latvian mytholo-
vian deities based on the animism theory. In his opinion, all
gy, with a second edition in 1926. In this study Sˇmits exam-
or almost all gods and spirits in Latvian folklore were animat-
ines Latvian deities as they were revealed in various folklore
ed from dead souls and from the worship of departed ances-
and historical sources. Whereas nineteenth-century research-
tors. Another extensive treatise, Senlatvieˇsu relig‘ija (The reli-
ers had looked for ways to expand the list of Latvian deities,
gion of ancient Latvians, 1937) was published by the
inventing them if they did not exist, Sˇmits’s approach to Lat-
Lutheran theologian and folklore researcher Ludvigs
vian folklore material was characterized by great scrupulous-
Adamovicˇs (1884–1941), who was exiled in Russia. Citing
ness and perhaps too excessive a skepticism. Sˇmits was
folklore as well as historical sources, Adamovicˇs’s study ex-
knowledgeable about Latvian fairy tales and legends, having
plores in depth various topics, including Latvian cults and
served as editor of the fifteen-volume Latvieˇsu pasakas un
rituals in ancient times, in particular the fertility cult prac-
teikas (Latvian fairy tales and legends), published between
ticed during the summer solstice and the autumnal cult of
1925 and 1937, complete with commentaries and compiled
dead souls; the Latvian concept of soul (dv¯esele, from the verb
according to the Finnish folklorist Antti Aarnes’s system.
dvest, literally translated as “to breathe”); the world of the
Sˇmits was also an expert in folk songs and folk beliefs. Under
dead and its inhabitants and patrons; sanctuaries and ritual
his editorship, four volumes of Latvian folk songs and four
celebrations; and communal festivities of ancient times. In
volumes of Latvian folk beliefs were published in the 1930s.
his work, Adamovicˇs focuses on the ancient belief in spirits,
attempting to list by function the many “mothers” to be
In his writing, Sˇmits attempts to find a credible explana-
found in Latvian folklore—the ambivalent female guardian
tion and basis for Latvian mythological deities. However, the
spirits who determined success or failure in various spheres
research method he used, while applicable for the natural sci-
of human activity and nature. These spirits included the
ences, often restricted the parameters of Sˇmits’s field of
mother of berries, the mother of mushrooms, the mother of
study. Influenced by the Finnish school, which focused on
bees, the mother of the sea, and the mother of night.
geographic elements in the comparative study of folklore,
Adamovicˇs categorizes deities into deities of heaven and light
Sˇmits tried to determine the initial place of origin for both
(Dievs, Pe¯rkons, Me¯ness, Saule, Auseklis), deities of fate
deities and folksong motifs. He thus arrived at some curious
(Laima, De¯kla, Ka¯rta), and agricultural deities (U
¯ sin¸ˇs,
conclusions, proposing that the chthonic deity Ma¯ra was not
Ma¯rˇsala, Jumis). Even though, like Sˇmits, Adamovicˇs traces
a genuine Latvian deity, but rather derived from Germans
without substantiation Ma¯ra and some other deities and reli-
or Russians, who themselves had lost traces of the goddess
gious concepts back to Christianity, his study continues to
in antiquity. The result was a paradox. On the one hand,
be the most comprehensive research to date on the ancient
Russians of that period seemingly knew nothing about the
Latvian religious system.
paranormal being zmeja Marina (snake Marina), uncovered
by Sˇmits in some obscure Russian sources. On the other
Several other significant studies of the 1920s and 1930s
hand, following Sˇmits’s hypothesis, zmeja Marina became
deserve mention, specifically a study of Baltic sanctuaries by
popular among Latvians for some reason. There is no docu-
Ka¯rlis Straubergs (1890–1962), research into possible totem-
mented proof that Latvians had previously ever mentioned
ism traces in Latvian folklore by Arveds Sˇva¯be (1888–1959),
or known a deity by this name. It is likely that the adopted
and a study of Latvian masks used in connection with beliefs
zmeja Marina subsequently fused with the Virgin Mary wor-
in magic by Ja¯nis Alberts Jansons (1892–1971).
shiped in the Catholic Church, to become the deity Ma¯ra
of later times.
After 1940, during the Soviet occupation of Latvia, in-
depth research into mythology, and religious concepts in
Sˇmits, like the majority of the religion researchers of the
particular, was not feasible. However, such research contin-
1920s and 1930s, was guilty of an overzealous search for for-
ued with Latvians in exile. Of note is research done in Swe-
eign models for Ma¯ra, as well as for other Latvian deities and
den by Andrejs Johansons (1922–1983) into Latvian water
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BALTIC RELIGION: HISTORY OF STUDY
771
spirits and the ancient snake cult, and a study of the cult of
of analysis to explore links with the religious concepts of
the dead by Ka¯rlis Straubergs. Research into Latvian religious
other Indo-European peoples. While the majority of his
concepts was taken to a new level by the theologian and his-
many studies were published in Lithuanian, the quintessence
torian Haralds Biezais (1909–1995). Living in exile in Swe-
of Ve˙lius’s research can be found in his book The World Out-
den beginning in 1944, Biezais published a series of studies
look of the Ancient Balts (1989). Ve˙lius’s goal in Baltu˛ religijos
in German, including systematic comparative studies of Lat-
ir mitologijos ˇsaltiniai (Baltic religious and mythological
vian female goddesses (1955), gods of light (1976), and the
sources, 1996/2001) was to consolidate source data on Baltic
gods of heaven viewed as prototypes of the ancient family
religion and mythology both in the original language and in
(1972). Biezais’s scientific reconstruction of mythological
translation into Lithuanian. Several scholars have continued
beings and deities is immaculately done and includes com-
the comparative research in Balt mythology and religion
parative foreign material. To date, his research is considered
begun by Ve˙lius. Nijole˙ Laurinkiene˙ has published mono-
to be the most comprehensive overview of the Latvian reli-
graphs about the Lithuanian god of thunder, and Gintaras
gious system in terms of factual content and documented tes-
Beresnevicˇius has published a series of monographs about
timony. However, his research is perhaps not as comprehen-
Lithuanian and Prussian religious concepts, as well as broad-
sive as it might have been had he also explored the much
er-based research on Baltic religious concepts. The method-
broader oral folklore tradition, instead of taking the some-
ology, both structural and comparative, used by these schol-
what pedantic approach by which only that which is re-
ars is similar to the one used in the monographs Latvieˇsu
corded in writing has research value.
folklora m¯ıtu spogul¯ı (Latvian folklore in the mirror of my-
thology, 1996) and M¯ıtiskais folklora¯, literatu¯ra¯ un ma¯ksla¯
Vaira V¯ık¸e-Freiberga, an eminent folklorist and scholar,
(The mythical in folklore, literature, and art, 1999) by the
lived and worked in exile in Canada until the end of 1990,
Latvian mythology researcher and scholar Jan¯ına Kurs¯ıte,
when she returned to live in Latvia. Her work on Latvian
wherein the author reexamines Latvian deities within a
concepts of magic as expressed in oral incantations and her
broader context and deals with subjects previously ignored
study of ancient Latvian religion, including extensive com-
or minimally researched, such as amulets and talismans, the
parative analysis of Latvian deities vis-à-vis the hypotheses of
symbolism of dreams, and the concept of a sacral landscape.
Robert Graves, Georges Dumézil, and Algirdas Greimas,
have been published in Latvian, English, and French.
In both Lithuania and Latvia at the turn of the twenty-
V¯ık¸e-Freiberga has published the most comprehensive re-
first century, research in Baltic mythology started to show a
search into the Latvian (Balt) sun cult and the various as-
marked tendency to focus on comparative aspects, to critical-
pects––cosmological, chronological, and meteorological—of
ly reevaluate the role of chronicles from the Middle Ages, and
the sun in Latvian folklore.
to incorporate oral materials into the reconstruction of Prus-
Lithuanian folklorist and ethnologist Jonas Balys, work-
sian, Lithuanian, and Latvian mythology within the global
ing in exile in Germany and later in the United States, con-
context. Thus, new themes have appeared in research on Bal-
tinued research into mythology, publishing systematic
tic religion, themes that were previously ignored or only con-
studies of Lithuanian and Latvian folklore in encyclopedias
sidered from one point of view, such as the view that the
in German and English, as well as specific research about the
Christian beliefs of the Latvian people are a (new) symbiotic
Baltic god of thunder and his adversary, the chthonic devil
religious structure formed from a fusion of Christian and
god (Latvian, Velns; Lithuanian, Velnias). A fellow Lithua-
pagan religious concepts.
nian, Marija Gimbutas, also working in exile in the United
States, published an overview of Balt religious beliefs based
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JAN¯INA KURS¯ITE (2005)
end to the onslaught by the crusaders). Lithuania was offi-
Translated by Margita Gail¯ıtis and Vija Kostoff
cially Christianized in 1387, in line with the tenets of the
Catholic faith. On a practical level, however, Lithuanians
maintained strong pagan beliefs, particularly the pagan wor-
BALTIC SANCTUARIES. There are two types of
ship of sacred places, as evidenced by the survival to the pres-
Baltic sanctuaries. The first and most important type is the
ent day of a good number of place-names that pertain to an-
pagan sanctuary, which no longer exists but which has sur-
cient Balt sanctuaries.
vived in countless legends, documented accounts, and evi-
During the thirteenth century, Prussians also engaged
dence of sacrifice rituals from archaeological digs. In
in ongoing and merciless struggles with the Teutonic Order.
addition, records of seventeenth- and eighteenth-century
Because their territory extended the farthest west, the Prus-
Catholic Church visitations and some toponyms that have
sians suffered the most on the battlefield against the order.
survived to this day suggest that sacrifice to pagan gods and
However, on the religious front, which included the worship
spirits was still being practiced in certain places at that time.
The second type is the Catholic sanctuary. This type pertains
of pagan sanctuaries, they were able to maintain their beliefs
to present-day Lithuania, which is entirely Catholic, and to
and practices well into the beginning of the eighteenth cen-
Latgale, the eastern region of Latvia, which is also Catholic,
tury, when a massive epidemic of the plague struck their en-
in contrast to the rest of Protestant Latvia. Christian sanctu-
tire territory and wiped out many of the Prussians who had
aries were frequently superimposed in the Baltic Catholic re-
remained faithful to their pagan and linguistic identity.
gion in places where pre-Christian sanctuaries had already
The vocabulary of Prussians, Lithuanians, and Latvians
existed; in some cases these pre-Christian sanctuaries were
has common root forms that pertain to pre-Christian sanctu-
simply reactivated as Christian ones during Christian times.
aries. One of them is the root *elk-/*alk-, which means sanc-
Although German missionaries, merchants, and crusaders
tuary. Traditionally, such a sanctuary was a designated decid-
brought Christianity into Latvian territory as early as the
uous tree forest, but it could also be a hill, river, lake, cliff,
thirteenth century, Latvians remained fundamentally pagan
or cave. Until World War II one could find in East Prussia,
well into the seventeenth century.
and even today in Latvia and Lithuania, toponyms and hy-
Latvia’s inhabited territory in the thirteenth century in-
dronyms relating to sanctuaries, which indicate that sanctu-
cluded Livonia. At that time the Prussian peoples had not
aries once existed in those locations. Examples include Al-
succeeded in joining together to create a strong and indepen-
kayne, Alkeynen, and Alkebirge in East Prussia (the
dent nation and had thus come under the power of the Teu-
Kaliningrad region of modern Russia and northeastern Po-
tonic Order—a religious military order, also known as Teu-
land); Elkupis and Elkus in Lithuania; and Elka, Elkasgals,
tonic Knights, established in the southeastern Baltic lands
Elkas Grava, Elkas Purvs, Elkezers, Elkleja, and Elkazeme in
from the thirteenth century until the mid-sixteenth century.
Latvia. With the advent of Christianity into the Baltic terri-
As a consequence, the Prussian peoples had been Christian-
tory, the root form *elk-/*alk- was used in words designating
ized. The fate of another Baltic group, the Lithuanians, was
pagan worship symbols in the form of wood or stone sculp-
different in that Mindaugas, a Lithuanian prince, established
tures, pre-Christian faith in general, and pre-Christian divin-
an independent Lithuanian nation in 1240. Unable to main-
ities, such as the Latvian elka dievi. From an etymological
tain the upper hand in ongoing battles with Lithuania’s
point of view the root form *elk-/*alk is related to the concept
neighbors, however, Mindaugas was forced to seek the help
of curve, bend, or turn. We see this root in the Prussian word
of the Teutonic Order. In gratitude for the order’s support,
alkunis (elbow) and in elkonis, the Latvian counterpart. For
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774
BALTIC SANCTUARIES
the ancient Baltic peoples the concept of curving and bend-
peaceful), as in the folk song “Ra¯mi, ra¯mi Dievin¸ˇs brauca /
ing was linked to foretelling of the future; it was the ability,
No kalnin¸a lejin¸a¯” (“Calmly, calmly Dievs [dim.] rode /
through the language of symbols and intuition, to see around
From the hill down to the valley”), and in Lithuanian as
corners. In other words, by looking straight ahead a person
ramus or romus (peaceful, silent). Peace and calm in romow’s
could see only objects linked to the profane material world,
sacred grove, described in a mythical Latvian folksong as
but by looking in an indirect manner (as through fortune-
“when no leaf stirred” (ne lapin¸a neˇcab¯eja), was seen as a uni-
telling) one could see that which was hidden in both people
versal manifestation of a cosmic order. A special ritual of cos-
and things. The pre-Christian meaning of elks, alke, or alkas
mic order was conducted by the Krive krivaitis. Typically, or-
for the Baltic peoples was that of the sanctuary where they
dinary mortals were not allowed to enter the romow
worshiped gods and brought gifts to the images of those
sanctuary, and those who were allowed in were not permitted
gods. The Lithuanian term alkas designated a hill overgrown
to touch anything. In this sense the romow sanctuary was per-
with trees or, in a historic context, a hill where sacrifice with
ceived in the way paradise is by Christians; that is, the sanc-
its accompanying rituals has taken place.
tuary knew no chaos and was in total harmony with the cos-
mos. It is interesting to note that the Latvian language has
Another important sanctuary concept for the Baltic peo-
a related root verb, ram¯ıt, which means “to grieve” or “to
ples is contained in the root form *rom-. For Lithuanians,
mourn the dead” in the sense of allowing the spirit to leave
it was romuva/romove; for Latvians, ramava; and for Prus-
this world: aizlaist no ˇs¯ıs saules vin¸saul¯e (literally, “to leave
sians, romow/romowe. There are few documented records,
this sun to go to the nether sun”) and “be at peace.”
other than legends, about this type of sacrifice ritual in Latvi-
an and Lithuanian sanctuaries. However, the term romow is
A variety of romow source materials also indicate that
mentioned in many and varied sources, starting with Petrus
the oak trees that typically populated the sanctuary were ev-
de Dusburg’s Chronicon terrae Prussiae (Chronicle of the
ergreen. However, the climate in Prussia, Lithuania, and Lat-
land of Prussia, 1326), as the principal sanctuary for Prus-
via is such that there is usually snow in winter. Therefore,
sians, and it is recognized as such also in Lithuania and Lat-
deciduous trees, including oak trees, would lose their leaves
via. It was in this sanctuary that the Prussians burnt a third
in autumn. One school of thought suggests that on the sanc-
of the spoils of war as a sacrifice to their gods. During special
tuary’s sacred oak trees grew the evergreen mistletoe, which
celebrations the sacrifice consisted of various animals, with
is considered by the Baltic people, as well as by Romans, Ger-
a white horse and a goat singled out as favorites. The romow
mans, Scandinavians, and others, to be linked to immortality
sanctuary was encircled by large oak trees with an evergreen
and fertility. It is mistletoe that guarantees one’s resurrection
oak bearing the image of three of the principal gods at its
after death. Mistletoe is the “golden bough” mentioned in
center. The three Prussian gods represented three cosmic
Scandinavian and German source material and also by Ver-
zones—the heavens (Perku¯ns, the god of thunder), earth
gil, who describes the blossoming of the miraculous “golden
(Patr¯ımps, god of fertility), and the underworld (Patuls, god
bough” upon Aeneas’s entry into the underworld.
of the underworld). Typically, one romow is mentioned in
Many toponyms include *kriv/*kreiv-, a prolific root
regard to the Prussians. However, toponymy shows that in
form in all Baltic languages. Examples include the word Kry-
the territories inhabited by Prussians, in addition to the main
wyen in Prussian, mentioned in written sources dating back
and most important romow, there were smaller less signifi-
to 1419; Krivonys, Kriviˇciai, Krivai and Kreivup˙e in Lithua-
cant romows in each neighborhood. According to an ancient
nian; and Kr¯ıvi, Kr¯ıvin¸a, Krivaˇsi, Krievain¸i, Krievace¸lˇs, and
legend, before the attack by the German Teutonic Order on
Krievapurvs in Latvian. As with the root *elk-/*alk-, the
western Prussia’s Heiligenbeil (the town of Mamonovo in
meaning of these words is linked to the concept of indirect,
today’s Kaliningrad region of Russia), there existed in the
not straight, crooked. The Latvian archaic krievs and the
sanctuary an oak, which was supposedly always green, both
Lithuanian kreivas both mean “crooked,” and kryvuoti means
in summer and winter. The leaves of the tree were considered
“to stumble” or “to walk in a crooked fashion.” Similarly,
medicinal, and people applied them to ailing parts of the bo-
kreivakis refers to someone who is cross-eyed. This root word
dies of humans and animals alike. The tree’s canopy was so
can be found as well in Krive krivaitis, whose symbol of spiri-
dense that no snow or rain could penetrate it. Even in Latvia
tual power was a crooked staff. He was also considered the
and Lithuania you can still find toponyms with the root form
priest of fire, who along with his disciples maintained the
*rom-, which shows that similar sanctuaries existed through-
eternal flame.
out the inhabited Baltic territory.
A relatively large number of pre-Christian sanctuary
Dusburg’s Chronicon terrae Prussiae makes a connection
names have as their root *svent-, which can be traced back
between the word romow and the city of Rome by comparing
to the Indo-European *kuen-. In Prussian the comparative
the power of the romow’s high priest (Krive krivaitis) to that
form is swints, in Lithuanian ˇsventas, and in Latvian sv¯ets.
of the pope. However, romow does not derive from the city
Many Baltic hydronyms are also formed from the same root.
name Rome. The origin is rather in the Indo-European root
Examples in Prussian are the names Swent (a river), Swentyn
form *rem-, meaning “to be at peace” or “to be peaceful.”
(a lake mentioned in literary sources dating back to 1297),
In Latvian this concept is expressed by the word ra¯ms (calm,
Swyntheynen (another lake mentioned in a 1340 source), 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
BALTIC SANCTUARIES
775
Swentegarben (mentioned in 1351). Lithuanian language ex-
The symbiosis of pre-Christian and Christian sanctu-
amples pertain both to the names of bodies of water and hills,
aries in Catholic Lithuania is most evident, from the six-
as in Sˇventas, Sˇvent˙elis, Sˇvent˙e, Sˇvenˇcius, Sˇvenˇciukas, Sˇventa¯,
teenth century on, in the affixing of images of Christ or other
Sˇventup˙e, Sˇventezˇeris, Sˇventa¯kalnis, and Sˇventra¯gis. In Latvi-
sacred symbols on vertical posts with crosses called kryzˇius
an, the root form can be found primarily in the names of riv-
in Lithuanian. At first these crosses were made exclusively
ers and lakes, but in some isolated cases it also appears in the
from wood, and in later times from both metal and wood,
names of inhabited regions. Examples include the rivers
at an initial height of 1.5 to 2 meters, and eventually extend-
Sv¯ete, Sv¯etupe, Sventa, and Sventa¯ja/Sˇventoji (a river on the
ing to several meters high. Frequently, a special fence encir-
Latvian and Lithuanian border); the lakes Sventes and
cled the crosses, and colorful flowers were either planted at
Sv¯etavas; and the inhabited regions of Svente and Svenˇci. One
the base of the cross or cut flowers were placed below the
can conclude that for the Baltic peoples the epithet sv¯ets (sa-
cross. In May, people still gather at these crosses to sing songs
cred, holy) was closely tied to the idea of certain rivers, lakes,
in honor of the Virgin Mary. Since the nineteenth century,
and springs that had been specifically identified as sacred.
people who have survived some serious illness or disability,
The root form’s association with the names of hills or moun-
or who hope to guard against one, flock to the Hill of the
tains is less frequent, and it is even less common in names
Crosses (Kryzˇiu˛ kalnas) near the Lithuanian town of Sˇiauliai,
of forests or groves. One can therefore hypothesize that the
bringing with them homemade crosses of various shapes,
Latvian sv¯ets and the Lithuanian ˇsventas, in their various
sizes, and materials. Several attempts were made during the
forms in hydronyms, symbolized for the Balts a certain bril-
Soviet period to remove these crosses. For example, in 1961,
liance, shininess, or brightness, and ultimately a supernatural
following an edict from the Communist Party’s Central
light.
Committee, more than two thousand such crosses were re-
Throughout Latvia certain hills were considered sanctu-
moved from the hill, but people secretly replaced them with
aries known as the zilie kalni (blue hills). Records have sur-
new crosses. Since Lithuania regained its independence in
vived that show nine such blue hills were or still are in exis-
the early 1990s, more than 100,000 new crosses have been
tence on Latvian soil. The most important of these is the blue
placed on the hill. Today, the Hill of the Crosses is one of
hill located not far from the city of Valmiera. In ancient
the most popular sanctuaries and it is visited by a large num-
times, this hill was considered sacred and was widely known
ber of people from Lithuania and other countries, who come
for its spring waters, to which were ascribed countless mirac-
to pray and place their own homemade crosses. The location
ulous healing powers. It was forbidden to break off even the
has also become a major tourist attraction.
smallest branch of a tree in the hill’s grove. A severe punish-
Findings from archaeological digs indicate that in the
ment awaited anyone who disobeyed this edict. People from
pre-Christian period a place called Aglona, in the western
near and far flocked to the sacred hill on June 23, midsum-
part of Latvia, was a pagan sanctuary. Vague records and leg-
mer’s eve. Seventeenth-century literary sources describe sev-
ends point to the existence of a nearby spring with healing
eral trials of witches who held secret meetings on the blue
powers. In the seventeenth century a Catholic Dominican
hill outside Valmiera. For instance, during a 1636 trial in
cloister and cathedral were built on this site. In the eigh-
Riga a woman confessed that she and her mother had attend-
teenth century the cathedral inherited a painting of the Vir-
ed a secret gathering on the blue hill. Both were found to
gin Mary by an anonymous artist. In time, Catholics started
be witches by the court and were burned to death. The fol-
to attribute miraculous powers to this painting, including the
lowing year, a trial took place in Riga regarding five individu-
power to answer prayers and grant good health and protec-
als from the village of Liepupe who had met on the blue hill
tion during crises. Even during the Soviet occupation of Lat-
in order to cast a curse on their neighbors’ flax and barley.
via (1940–1941 and 1945–1991), when the practice of
Even in the twentieth century certain stories about Valmi-
Christian faith and church attendance were considered major
era’s blue hill lend this particular sanctuary special status
crimes against the state, Aglona Cathedral was the secret des-
among all the blue hill sanctuaries. In the 1970s, during the
tination of many pilgrims. The biggest pilgrimage (approxi-
Soviet period, a widely known healer nicknamed Blue Hill
mately 100,000 people) takes place annually on August 15
Marta (Marta Ra¯cene, 1908–1992) lived near the blue hill
sanctuary. Many eyewitness accounts have been recorded
(the Feast of the Assumption of the Virgin Mary to heaven)
about her supernatural healing powers. A common denomi-
when Catholics from Latvia and neighboring Lithuania and
nator among all the blue hill sanctuaries is the existence of
Poland, as well as people of other faiths, descend on Aglona.
a spring of healing waters and the profusion of rare and pro-
To this day, visitors to Aglona make sure they also seek out
tected plants. Today, Valmiera’s sanctuary is more of a tour-
the nearby spring.
ist attraction than a sacred place. But when, towards the end
of 1990, a proposal was put forth to build a gigantic garbage
SEE ALSO Sacred Space; Sanctuary; Shrines.
dump at the base of Valmiera’s blue hill, protests were heard
throughout the country objecting to the defiling of ancient
BIBLIOGRAPHY
sacred places. Obviously, the principle of protecting sacred
Dunduliene˙, Prane˙. Medzˇiai senov˙es lietuviu˛ tik˙ejimuose. Vilnius,
sites has survived to the present day.
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
776
BALUBA
Kurs¯ıte, Jan¯ına. “Naciona¯la¯ ainava 19. gadsimta latvieˇsu literatu¯ra¯
correspond to the four elements—air, fire, water, and earth.
un ma¯ksla¯.” In M¯ıtiskais folklora¯, literatu¯ra¯, ma¯ksla¯,
Before the creation Bemba was named Koni and was, in a
pp. 358–379. Riga, Latvia, 1999.
sense, “thought” (miri) dwelling in a void; he is also the
Macˇiulis, Dainius. “Kryzˇiu˛ kalno ir ji supancˇio krastovaizdzˇio
“void” itself (lankolo). Accordingly, he cannot be perceived
istorine˙ raida.” In Kryzˇiu˛ kalno istorin˙e raida ir jo iˇslikimo
by humans using their usual senses. His existence is mani-
problemos, pp. 41–53. Sˇiauliai, Lithuania, 2000.
fested as a force: a whirlwind, thought, or vibration that con-
Sˇirmulis, Alfre˙das. Lietuviu˛ liaudies memorialiniai paminklai. Vil-
tains the signs of all uncreated things.
nius, 1999.
Bemba realized the creation of the world in three stages,
Straubergs, Ka¯rlis. Latvju sakra¯la¯ pasaule. Ludwigsburg, Germany,
each corresponding to one of the three other divine beings.
1948.
In the first stage, called dali folo (“creation of the begin-
Straubergs, Ka¯rlis. “Latvieˇsu kultavietu va¯rdi.” In In honorem End-
ning”), the naked earth is created. God is known as Pemba
zelini, pp. 138–149. Chicago, 1960.
in this stage, and he manifests himself in the form of a grain,
Sˇturms, Eduards. Elka kalni un pilskalni Kursa¯: Paga¯tne un tagad-
from which grows an acacia (Balanza). This tree soon with-
ne. Riga, Latvia, 1936.
ers, falls to the ground, and decays. One oblong beam, how-
Sˇturms, Eduards. “Baltische Alkhügel: Conventus primus histori-
ever, called Pembélé, survives. An avatar of God, Pembélé
corum Balticorum.” Acta et relata 8 (1937): 16–18.
kneads the rotten wood with his saliva and forms Mousso
Sˇturms, Eduards. “Die Alkstätten in Litauen.” Contributions of the
Koroni Koundyé (“little old woman with a white head”),
Baltic University, Hamburg 3 (1946): 82–102.
who becomes the first woman and his wife. Although she is
Urboniene˙, Skaidre˙. “Mazˇosios architektu¯ros paminklu˛ gelezˇine˙s
associated with air, wind, and fire, Mousso Koroni Koundyé
virˇsu¯ne˙s: Antkapiniai gelezˇiniai kryzˇiai.” Etnografija 12
engenders plants, animals, and human beings. But because
(2002): 23–27.
her person is unbalanced, her creations are produced in
Urta¯ns, Juris. Latvijas sena¯s sv¯etn¯ıcas. Riga, Latvia, 1993.
haste, disorder, and confusion.
Urta¯ns, Juris. “Velna va¯rds Latvijas vieta¯s un vietva¯rdos.” Latvijas
The second stage, called dali flana (“second creation”),
V¯esture 11 (1993/1994): 55–61.
brings order and equilibrium to the previous creation. It is
Vaitkevicˇius, Vykintas. Senosios Lietuvos ˇsventaviet˙es. Vilnius,
conducted under the authority of the deity Faro, an androgy-
1998.
nous being issued from the breath of Bemba and identified
Vaitkevicˇius, Vykintas. Alkai: baltu˛ ˇsventvieˇcu˛ studija. Vilnius,
with water, light, speech, and life. Faro gives every creature
2003.
and thing a place in the world, a physical space, as well as
a position in relation to other beings and things. He stops
Vaitkunskene, Laima. Kul’tovye mesta–“alkvetes” v mogil’nike Pa-
gribis Sˇilal’skogo rajona Drevnosti Litvy i Belorussii. Vilnius,
short of differentiating between things, however.
1988.
Differentiation of creation belongs to Ndomadyiri, the
JAN¯INA KURS¯ITE (2005)
heavenly blacksmith, who is the eponymous ancestor of all
Translated by Margita Gail¯ıtis and Vija Kostoff
blacksmiths. His principal task is to separate and distinguish
things from each other, to make, in a sense, a comprehensible
“speech” from the thought of creation. He is associated with
BALUBA S
the earth (from which food originates) and with trees (which
EE LUBA RELIGION
produce remedies for ill health).
Thus the supreme being of the Bambara exists first as
BAMBARA RELIGION.
a sort of repository of energy and then manifests itself as four
The Bambara, the most im-
“persons” who generate the creation by each performing a
portant Mande group, number about 1.5 million people.
different phase of activity. In this way the creation proceeds
They are agriculturists who live in the Republic of Mali on
from confusion to clarity, from the unintelligible to the intel-
both sides of the Niger River, from the capital city of Bama-
ligible.
ko northeast to Mopti. Bambara agriculture and religion are
closely intertwined. For example, the Bambara high god is
ANCESTOR WORSHIP AND THE DASIRI CULT. Only those
conceived of as a grain from which three other divine “per-
who led exemplary lives and died in a “natural” way (not due
sons,” and finally, the whole of creation, are born. Bambara
to any sorcery) can become ancestors. An ancestor must have
theology and religion are complex. Deep religious specula-
reached an advanced age upon death and lived a life that is
tions exist among the Bambara sages and are transmitted
beyond reproach ethically, religiously, socially, and intellec-
orally without codification.
tually. One generation must separate the living and the dead
before the rites of ancestor worship can be celebrated.
THE SUPREME BEING AND THE CREATION. The Bambara
believe in one god, Bemba, or Ngala, who is the creator of
Nonfermented foodstuffs (e.g., fresh water, saliva, kola
all things and has, in a way, created himself as a quaternity.
nuts, and mixtures of millet flour and water) are offered to
This quaternity consists of Bemba himself, Mousso Koroni
appease the ancestor. These often precede more sophisticated
Koundyé (or Nyale), Faro, and Ndomadyiri; the last three
offerings such as sorgo beer and blood. The beer is meant
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAMBARA RELIGION
777
to “excite” the ancestor and to make him shake off his indo-
The Nama teaches its adepts about the union of spirit
lence toward living persons. The blood, usually obtained
and body, of male and female, and of good and evil. Initia-
from sacrificed chickens or goats, represents the communion
tion ceremonies are particularly concerned with the union
of the living and the dead. The place of worship differs ac-
of a man and woman in matrimony and with the duality of
cording to the ancestor, but both sides of the entrance door
good and evil (evil is symbolized by sorcery). The third soci-
to the hut are a preferred spot.
ety, the Kono, deals with the problems of human duality in
greater depth. It examines the union of thought and body,
The founding ancestor is held in higher esteem than all
a union that gives birth to the conscience.
other ancestors. His preeminence appears in the cult of the
dasiri, a group of genius loci, or spiritual places, chosen by
The Tyiwara, the fourth society, is meant to teach its
the founding ancestor when he created the village. One finds
adepts about agriculture and work in the fields. It confers
in each agglomeration two sorts of dasiri: a fixed one (e.g.,
special significance on the relationship between the sun and
tree, rock), which functions as the axis mundi of the village;
the nurturing earth. At its annual festival, the growth of edi-
and a mobile one, embodied in a wild or domestic animal
ble plants, and of vegetation in general, is ritually mimed by
(except birds). Offerings are made to the dasiri each time a
two dancers in a performance invested with cosmic sym-
community member encounters difficulties or a significant
bolism.
household event takes place. Sacrificial victims are always
The Korè is the last of the initiation societies. It bestows
white, a color that symbolizes calmness and peace.
knowledge of man’s spiritualization and divinization; an ini-
INITIATORY SOCIETIES AND SPIRITUAL LIFE. Bambara reli-
tiate learns how to resemble God, that is, how to become
gious life is mostly fulfilled during the epiphanies, or ritualis-
“immortal.” Its vast program of initiation is conducted over
tic manifestations, of the six initiatory societies: the N’domo,
several weeks for two consecutive years. The society marks
Komo, Nama, Kono, Tyiwara, and Korè. Together they give
the final attainment of the knowledge that assures salvation.
their members a complete (according to the Bambara ideal
The term salvation should not be interpreted here in its
of perfection) intellectual, moral, and religious education.
Christian sense; salvation, for the Bambara, consists of the
ability to return to earth by being reborn within one’s own
The N’domo, open exclusively to noncircumcised chil-
clan lineage. The reincarnations continue as long as one’s de-
dren, teaches the origin and destiny of human beings. The
scendants preserve one’s memory and cult. The Korè’s cere-
highlight of the annual N’domo ceremonies is a sacred play
monies are held every seven years.
featuring an androgynous child dancer who maintains com-
plete silence while he performs. Dressed so that not one part
The Bambara believe that by following the exigencies
of his body is visible, the dancer wears a wooden mask with
of their religion—by not only assisting at religious ceremo-
human features and horns. The N’domo comprises five class-
nies but also participating in them—they can vanquish death
es, each representing one of the five other initiation societies.
and become equal to God. This kind of immortality, pro-
Passage from one stage to another prefigures the adept’s ac-
posed to the faithful by the Korè, exemplifies the spiritual
cess to the Komo, Nama, Kono, Tyiwara, and Korè. In its
finality of Bambara religion, whose aim is to make the believ-
structure as well as in its ceremonies, the N’domo attempts
er participate in the deity’s essence. The faithful Bambara is
to answer, in a symbolic way, the following questions: What
not meant to enjoy the presence of God eternally, however:
is man? Where does he come from? What is his destiny? Its
his destiny is to be continually reincarnated so that he can
answers are: He is androgynous; he comes from God; his fate
return to his clan. His postmortem contact with God is like
is to return to God.
a brief, gentle “touch”; he will not be attached permanently
to the creator until all reincarnations within the clan cease.
After their initiation into the N’domo, Bambara boys
are circumcised. The operation has a double goal: to suppress
their femininity (represented by the foreskin) and thus guide
BIBLIOGRAPHY
them to seek the opposite sex in marriage and to introduce
To the best of my knowledge, the most complete and current sur-
the spirit to knowledge. Once these goals have been met, the
vey of Bambara religion remains my own work The Bambara,
boys are entitled to seek entry to the Komo society, whose
“Iconography of Religions,” sec. 7, fasc. 2 (Leiden, 1974). It
not only offers a rich and original analysis of Bambara ico-
purpose is to reveal to them the mysteries of knowledge.
nography but also provides a fresh view of the rites and insti-
Komo initiation societies consist of dances performed
tutions of these people. My Sociétés d’initiation bambara: Le
by masked individuals and sacrifices offered at the society’s
N’domo, le Korè (Paris, 1960) is an essential study of two of
various altars. The Komo dance mask represents a hyena. Its
the Bambara initiatory societies and the mystical life, and my
Antilopes du soleil: Art et rites agraires d’Afrique noire (Vienna,
jaws emphasize the animal’s crushing force, which symbol-
1980), which treats the Tyiwara, is a penetrating study of the
izes knowledge. It should be noted that knowledge, as pres-
religious role of the Bambara bestiary. Germaine Dieterlen
ented in the Komo, constitutes an entity in itself, indepen-
and Youssouf Cissé’s Les fondements de la société d’initiation
dent and distant from man and “descending” upon him
du Komo (Paris, 1972) is a remarkable introduction to the
when he acquires it. For this reason, the Komo mask is worn
inquiries on the Komo. For brilliant studies of some of the
on top of the head, like a helmet, and not on the face.
Bambara creation myths, see the following works: Solange 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
778
BANARAS
Ganay, “Aspects de mythologie et de symbolique bambara,”
capitals of the Ga¯had:ava¯la kings of the Ganges Plain.
Journal de psychologie normale et pathologique 42 (April-June
Throughout its long history, however, the political signifi-
1949): 181–201 and “Notes sur la théodicée bambara,”
cance of the city and its surrounding kingdom could not
Revue de l’histoire des religions 135 (1949): 187–213; Solange
compare with its religious importance.
de Ganay and Dominique Zahan, “Un enseignement donné
par le komo,” in Systèmes de signes: Textes réunis en hommage
As a place of religious significance, Banaras was not only
à Germaine Dieterlen (Paris, 1978), pp. 151–185; Germaine
a “city” but a forest, which stretched beyond the small urban
Dieterlen, Essai sur la religion bambara (Paris, 1951); and
center and attracted sages and seekers to its forest hermitages.
also by Dieterlen two articles in the Journal de la Société des
It was to these rural environs of Banaras, to a place called
Africanistes, “Mythe et organisation sociale au Soudan Fran-
Sarnath, that the Buddha came following his enlightenment
çais,” vol. 25, nos. 1–2 (1955): 39–76 and “Mythe et organi-
at Bodh Gaya¯. There he encountered his former companions
sation en Afrique occidentale,” vol. 29, nos. 1–2 (1959):
in asceticism and preached his first sermon to them. Until
119–138.
the late twelfth century, much of the area south of the
New Sources
Ra¯jgha¯t: plateau, which today is the center of urban Banaras,
Cissé, Youssouf. La Confrérie des Chasseurs Malinke et Bambara:
was still an extensive forest, filled with pools and rivulets, and
Mythes, Rites et Recits Initiatiques. Paris, 1994.
dotted with temples and shrines. In the Pura¯n:as, it is called
Dieterlen, Germaine. Essai sur la Religion Bambara. 2nd edition.
the A¯nandavana, the “forest of bliss.” Even today, when Ba-
Brussels, 1988.
naras brahmans speak of ancient Banaras, they refer to the
Djata, Sundiata A. The Bamana Empire by the Niger: Kingdom,
time when this city was the A¯nandavana.
Jihad and Colonization, 1712–1920. Princeton, N.J., 1997.
In the time of the Buddha, the most popular form of
DOMINIQUE ZAHAN (1987)
worship in this part of North India was the worship of what
Translated from French by Eva Zahan
might be called “life-force” deities, such as yaks:as, yaks:¯ıs, and
Revised Bibliography
na¯gas. Such deities were propitiated with offerings called
bali, which often included wine or meat. These deities were
known for their strength, which they could use in either
BANARAS. The city of Banaras, also known in India as
harmful or beneficent ways. With the rise of theism, whether
Va¯ra¯n:as¯ı, is one of the most important and ancient of the
Buddhist, S´aiva, or Vais:n:ava, these life-force deities were
sacred places of India. Such places are called t¯ırthas, “cross-
gathered into the entourage of the great gods. In Banaras, it
ings” or “fords.” Many t¯ırthas, like Banaras, are located geo-
was S´iva who rose to preeminence and, according to mytho-
graphically on the banks of India’s rivers and were, indeed,
logical tradition, attracted the allegiance and even the devo-
fords where ferries plied the river. As places of pilgrimage,
tion of many yaks:as. They became his gan:as (“flocks,
however, such t¯ırthas are seen primarily as spiritual fords,
troops”) and gan:e´sas (“troop leaders”) and were appointed
where one might safely cross over to the “far shore.”
to positions of great responsibility within the precincts of
S´iva’s city.
Banaras is located on the bank of the Ganges River in
North India, at a place where the river curves northward, as
The mythology of Banaras, including the stories of
if pointing back toward its Himalayan source. The river itself
S´iva’s connection to this city, is found in the Pura¯n:as in a
is considered holy, having fallen from heaven upon the head
genre of praise literature called ma¯ha¯tmya. The most exten-
of Lord S´iva, who tamed the goddess-river in his tangled as-
sive of such ma¯ha¯tmyas is the Ka¯´s¯ı Khan:d:a, an entire section
cetic’s hair before setting her loose to flow upon the plains
of the voluminous Skanda Pura¯n:a. One myth tells of the di-
of North India. In Banaras great stone steps called gha¯t:s lead
vine hierophany of S´iva in this place. Here, it is said, S´iva’s
pilgrims from the lanes of the city down to the river’s edge
fiery pillar of light (jyotirlin˙ga) burst from the netherworlds,
to bathe. To the north and south of the city, smaller rivers
split the earth, and pierced the sky—a luminous and fathom-
named the Varan:a¯ and the Asi, respectively, join the Ganges,
less sign of S´iva. Ka¯´s¯ı is not only the place where that lin˙ga
thus providing a popular etymology for the city’s ancient
of light is said to have split the earth, but in a wider sense,
name Va¯ra¯n:as¯ı.
Ka¯´s¯ı is also said to be the lin˙ga of light—an enormous geo-
graphical lin˙ga, with a radius of five kro´sas (about ten miles).
Another of the ancient names of this place is Ka¯´s¯ı,
Even today pilgrims circumambulate Ka¯´s¯ı on the Pañcakro´s¯ı
which means “shining, luminous.” Ka¯´s¯ı is also the name of
Road, a five-day pilgrimage circuit around the whole of the
one of the North Indian kingdoms that rivaled one another
city.
from about the eighth to sixth century BCE. The city of
Va¯ra¯n:as¯ı seems to have been the capital of the kingdom of
There are countless shrines and temples of S´iva in Ka¯´s¯ı,
Ka¯´s¯ı. Located on the high Ra¯jgha¯t: plateau overlooking the
each containing a lin˙ga, which, according to Saiva theology,
Ganges, this city, known as both Va¯ra¯n:as¯ı and Ka¯´s¯ı, main-
is a symbol (prat¯ıka) of that fathomless light of S´iva. It is said
tained a degree of importance for many hundreds of years,
that in Ka¯´s¯ı there is a lin˙ga at every step; indeed, the very
through the period of the Maurya and Gupta empires. Per-
stones of Ka¯´s¯ı are S´iva lin˙gas. Within this wider array, how-
haps the height of its prestige was in the late eleventh and
ever, there are several temples that have special fame as sanc-
early twelfth centuries, when it was one of the administrative
tuaries of S´iva. The most significant of these lin˙gas are
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAPTISM
779
Om:ka¯re´svara, Vi´sve´svara, and Keda¯re´svara, which tradition-
S´iva’s teaching is said to carry one across the flood of sam:sa¯ra
ally centered the three khan:d:as, or “sectors,” of Banaras—
to the “far shore” of immortality.
north, central, and south. Om:ka¯re´svara was of great impor-
tance in ancient Ka¯´s¯ı, but was damaged during the early
SEE ALSO Na¯gas and Yaks:as; Pilgrimage, article on Hindu
Muslim destruction of the city and has never regained its for-
Pilgrimage; S´iva.
mer prominence. Vi´sve´svara (modern-day Vi´svana¯tha) rose
to preeminence and popularity around the twelfth century,
BIBLIOGRAPHY
and later continued to hold its position and reputation de-
Eck, Diana L. Banaras: City of Light. New York, 1982. A study
spite repeated Muslim devastation. Finally, Keda¯re´svara an-
of the city of Banaras, based on its traditional literature in
chors the southern sector of Ka¯´s¯ı. Its original home and pro-
the Sanskrit Pura¯n:as and its modern sacred geography and
totype even today is the shrine of Keda¯r in the Himalayas,
patterns of pilgrimage.
but it is one of the many lin˙gas from elsewhere in India that
Sherring, Matthew A. The Sacred City of the Hindus: An Account
have an important presence in this sacred center. The three
of Benares in Ancient and Modern Times. London, 1868. A
khan:d:as centered by these temples also have traditional cir-
consideration of the temples and legends of Banaras by a
nineteenth-century British missionary.
cumambulatory routes that take the pilgrim through the
most important temples and t¯ırthas of each sector.
Sukul, Kuber Nath. Va¯ra¯n:as¯ı down the Ages. Patna, India, 1974.
A study of the religious history and spiritual life of Banaras,
In another mythic sequence from the Ka¯´s¯ı Khan:d:a, S´iva
including consideration of its saints, fairs, festivals, and arts.
populated the city of Va¯ra¯n:as¯ı with the entire pantheon of
New Sources
gods. At that time, S´iva dwelt in his barren Himalayan home
Parry, Jonathan P. Death in Banaras. Cambridge; New York,
with his new bride, Pa¯rvat¯ı. He surveyed the entire earth for
1994.
a suitable abode for the two of them. Seeing the beautiful
DIANA L. ECK (1987)
Ka¯´s¯ı, he set about the task of evicting its ruling king,
Revised Bibliography
Divoda¯sa, so that he could have the city for himself. One by
one, S´iva sent the various gods and demigods to Ka¯´s¯ı to find
some way to force the king to leave. Not only did each god
fail, but all the gods were so entranced with the city itself that
BANTU RELIGIONS SEE CENTRAL BANTU
they remained there without reporting to S´iva. Finally, with
RELIGIONS; EAST AFRICAN RELIGIONS, ARTICLE
the help of Vis:n:u, S´iva succeeded in evicting King Divoda¯sa.
ON NORTHEASTERN BANTU RELIGIONS;
The city into which he triumphantly entered was full of the
INTERLACUSTRINE BANTU RELIGIONS;
gods.
SOUTHERN AFRICAN RELIGIONS, ARTICLE ON
SOUTHERN BANTU RELIGIONS
As a sacred center, then, Ka¯´s¯ı is not only the city of S´iva,
but also a man:d:ala containing the entire divine population
of the Hindu pantheon. There are the twelve a¯dityas, “suns”;
sixty-four yogin¯ıs, “goddesses”; and eight bhairavas, the “ter-
BAPTISM. The word baptism comes from the Greek bap-
rible ones,” led by Ka¯la Bhai-rava, the divine governor of the
tein, which means to plunge, to immerse, or to wash; it also
city. There are fifty-six gan:e´sas, protectively situated around
signifies, from the Homeric period onward, any rite of im-
the city in seven concentric circles at the eight compass
mersion in water. The frequentative form, baptizein, appears
points. Lord Brahma¯ and Lord Vis:n:u are there, both of
much later (Plato, Euthydemus 227d; Symposium 176b). The
whom have prominent locations within the city.
baptismal rite is similar to many other ablution rituals found
in a number of religions, but it is the symbolic value of bap-
In addition to assigning a place to each of the gods, the
tism and the psychological intent underlying it that provide
city of Banaras has a place within its precincts for each of the
the true definition of the rite, a rite usually found associated
other great t¯ırthas of India. India’s twelve jyotirlin˙gas, its
with a religious initiation.
seven sacred cities, and its sacred rivers and lakes all have
symbolic locations in Ka¯´s¯ı. Banaras, then, is a microcosm of
PRE-CHRISTIAN RELIGIONS. The purifying properties of
India’s sacred geography.
water have been ritually attested to ever since the rise of civi-
lization in the ancient Near East. In Babylonia, according to
The intensity of power that comes from the symbolic
the Tablets of Maklu, water was important in the cult of Enki,
gathering of gods, t¯ırthas, and sages in this one place has
lord of Eridu. In Egypt, the Book of Going Forth by Day (17)
made Banaras India’s most widely acclaimed place of pil-
contains a treatise on the baptism of newborn children,
grimage. While it is visited for the benefits associated with
which is performed to purify them of blemishes acquired in
pilgrimage in this life, Ka¯´s¯ı is most famous as an auspicious
the womb. Water, especially the Nile’s cold water, which is
place to die; a popular phrase is “Ka¯´sya¯m maranam muktih:”
believed to have regenerative powers, is used to baptize the
(“Death in Ka¯´s¯ı is liberation”). According to tradition, those
dead in a ritual based on the Osiris myth. This ritual both
who die within the precincts of the holy city are certain to
assures the dead of an afterlife and rids them of blemishes
be instructed by S´iva himself at the time of death: in Banaras,
that may not be taken into the other world. Baptism 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
780
BAPTISM
dead is also found among the Mandaeans (cf., the Book of
birth. However, the fact that this baptism was repeated peri-
John), and a similar rite is mentioned on Orphic tablets (Or-
odically shows that the idea of complete spiritual regenera-
phicorum fragmenta, 2d ed., Otto Kern, ed., Berlin, 1963,
tion was not originally associated with it. Only under the in-
p. 232).
fluences of Christianity and the Mithraic cult does the idea
of an atonement for past sins through shed blood appear;
The property of immortality is also associated with bap-
henceforth, it was possible to believe that the taurobolium
tism in the Greek world: according to Cretan funeral tablets,
procured the hope of eternity, and that the Mithraic bull sac-
it was associated especially with the spring of Mnemosyne
rifice was a redeeming act that gave the initiate a new life.
(memory). A bath in the sanctuary of Trophonios procured
for the initiate a blessed immortality even while in this world
The liturgical use of water was common in the Jewish
(Pausanias, Description of Greece 9.39.5). Greek religious
world. Mosaic law imposes the performance of ablutions be-
sanctions did impose a number of lustral ablution rites for
fore ritual entry into sacred areas; likewise, it describes the
the removal of sins, but these rites were only preliminary to
chief impurities that water can erase (Nm. 19:1–22; Lv. 14,
the principal rites of the mysteries. Thus, the bath in the sea
15, 16:24–28). Under Persian influence, rites of immersion
with which the initiation rites of the great Eleusinian myster-
multiplied after the exile. Some prophets saw in the require-
ies began was simply a physical purification, accompanied by
ment of physical purity a sign of the necessity of inner and
the sacrifice of a piglet. This was true as well of the immer-
spiritual purification (Ez. 36:25–28). The Essenes linked the
sion of the followers of the god Men Askaenos, near Antioch
pouring forth of the divine life in man to purification by bap-
in Pisidia, and of the ablutions required of the Corybantes
tism in flowing water. They practiced a baptism of initiation
and of the followers of the Thracian goddess Cotyto, who
that brought the neophyte into the community at Qumran
were called baptai (“the baptized ones”). In all these cases,
after a year’s probation. However, the rite did not produce
baptism was only a preamble, as the Magic Papyrus of Paris
any magical effects, for, as the Manual of Discipline asserts,
testifies (43): “Jump into the river with your clothes on. After
a pure heart was necessary for the bath to be effective, and
you have immersed yourself, come out, change your clothes,
an impure man who receives it merely soils the sanctified
and depart without looking back.” Such a rite marked the
water (Manual of Discipline 6.16–17, 6.21).
beginning of an initiation; this practice was required to put
Toward the beginning of the Christian era, the Jews
the neophyte in the state of purity necessary for him to re-
adopted the custom of baptizing proselytes seven days after
ceive the god’s oracle or an esoteric teaching.
their circumcision, the rabbis having added the impurity of
converted gentiles to the chief impurities enumerated in the
In Hellenistic philosophy, as in Egyptian speculation,
Torah. After their baptism, new converts were allowed access
divine water possessed a real power of transformation. Her-
to the sacrifices in the Temple. A series of specific interroga-
metism offered to man the possibility of being transformed
tions made it possible to judge the real intentions of the can-
into a spiritual being after immersion in the baptismal crater
didate who wished to adopt the Jewish religion. After sub-
of the nous; this baptism conferred knowledge on man and
mitting to these interrogations, he was circumcised and later
permitted him to participate in the gnosis and, hence, to
baptized before witnesses. In the baptism, he was immersed
know the origins of the soul. Having received baptism, the
naked in a pool of flowing water; when he rose from the
gnostic “knows why he has come into existence, while others
pool, he was a true son of Israel. Clearly a rite of unification
do not know why or whence they are born” (Corpus Herme-
with the community of believers, this baptism developed
ticum 1.4.4). Egyptian cults also developed the idea of regen-
under the influence of the school of Hillel and emphasized
eration through water. The bath preceding initiation into the
the importance of a new birth. “Every proselyte,” says the
cult of Isis seems to have been more than a simple ritual puri-
Babylonian Talmud, “is like a newborn child” (Yev. 22a,
fication; it was probably intended to represent symbolically
48b, 62a, etc.).
the initiate’s death to the life of this world by recalling Osiris’
drowning in the Nile (Apuleius, Metamorphoses 11.23.1).
The ministry of John the Baptist in the Jordanian desert
was connected with this baptist movement, which symboli-
In the cult of Cybele, a baptism of blood was practiced
cally linked immersion in a river of flowing water to the pas-
in the rite of the taurobolium: the initiate went down into
sage from death to a new and supernatural life. To achieve
a pit and was completely covered with the blood of a bull,
the erasing of sin that is closely tied to inner conversion, John
whose throat was cut above him. At first, the goal of this rite
administered a baptism of water, but by doing so in the water
seems to have been to provide the initiate with greater physi-
of the Jordan itself, not in the ritual water of purified pools,
cal vitality, but later it acquired more of a spiritual impor-
John made a clear departure from official practice. This de-
tance. A well-known inscription attests that he who has re-
parture was all the more striking because his baptism appears
ceived baptism of blood is renatus in aeternum, that he has
to be a substitute for the h:at:aDt, the sacrifice for sin, and is
received a new birth in eternity (Corpus inscriptionum Lati-
not a rite of unification with the Israelite community but
narum 6.510). In other inscriptions associated with the
rather a sign of divine pardon and of the advent of the messi-
tauro-bolium, the word natalicium seems to be the exact
anic era. Not surprisingly, John drew down upon himself the
equivalent of the Christians’ natalis, suggesting that the day
fierce hatred of the scribes and Jewish authorities (Josephus
of the baptism of blood is also the day of a new and spiritual
Flavius, Jewish Antiquities 18.116–119).
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BAPTISM
781
The Mandaeans take their baptismal practice directly
Every detail of the Christian ritual is intended to sym-
from the example of John, whom they consider the perfect
bolize birth to a new life in Jesus Christ: nudity (at least for
gnostic; they administer baptism in the flowing water of a
men) during immersion; conferral of new names on the neo-
symbolic Jordan. “Be baptized with the flowing water I have
phytes, who are also given new, white garments; imposition
brought you from the world of light,” says the Right Ginza
of the sign of the cross, understood as the seal (sphragis),
(19.24). Mandaean baptism is followed by a sacred meal
mentioned in Revelation; and the dispensation of a drink of
where a blessing is given to bread and water mixed with wine,
milk and honey to the newly baptized. Ever since the First
considered the sustenance of divine beings; in addition, the
Letter of Peter, new Christians have been compared to little
Mandaeans practice baptism of the dead. Johannine and
children (1 Pt. 2:2), a comparison frequently represented in
Christian rites of baptism do not, however, have their origin
the early Christian art of the catacombs; in another early
in these practices, as was thought at the beginning of the
symbol, they are likened to “little fish, so named for our great
twentieth century. Rather, Jewish and Christian influences
Ichthus, Jesus Christ, who is born in water and remains alive
create the numerous ritual similarities found in Mandaean
by living there” (Tertullian, On Baptism 1.3). Old Testament
practice, including the white garments with which recipients
prototypes of baptism—the Flood, the crossing of the Red
of Mandaean baptism are clothed. “Clothe yourselves in
Sea, the crossing of the Jordan, and entrance into the Prom-
white, to be like the mystery of this flowing water,” says the
ised Land—are evoked in catechesis even by the first genera-
Right Ginza.
tions of Christians, who recognized in them the passage
The same influences were felt by the Elkesaites, who at
through the water of life and death (cf. 1 Cor. 10:1–2). As
the beginning of the second century abolished the fire of the
Chrysostom explained in the fourth century, “Baptism repre-
patriarchal sacrifice and substituted for it a baptism by water
sents death and the sepulcher but also resurrection and life.
that both remits sin and brings the neophytes into a new reli-
Just as the old man is buried in the sepulcher, so we immerse
gion. Their baptismal ritual takes place in the flowing water
our heads in water. At the moment when we come out of
of a brook or river after invocations are addressed to earth,
the water, the new man appears” (Homilies 25.2). Christian
air, oil, and salt. This sort of baptism also becomes a method
representations of baptism were also enriched by other sym-
of physical healing and appears again in numerous Baptist
bols drawn from the Old Testament, notably the deer drink-
sects of the modern period.
ing at the spring, from Psalm 42, and the Good Shepherd
surrounded by his sheep, from Psalm 23 (Ps. 23, 42:25).
CHRISTIAN BAPTISM. John baptized Jesus, like others who
Both these psalms were sung during the Easter Vigil by can-
came to him, in the waters of the Jordan, but the manifesta-
didates for baptism.
tions of the Father and the Holy Spirit during Jesus’ baptism
give it a completely new dimension (Mk. 1:9–11). Jesus’ bap-
Christian baptismal practice is founded on the com-
tism also inaugurated his public ministry, and he later gave
mandment of Jesus himself to his disciples (Mt. 28:19). Its
his disciples the mission of baptizing in the name of the trini-
administration during the first centuries of the church took
tarian faith—a mission that they carried out even before their
place at Easter night and Pentecost and was limited to bish-
master’s death (Mt. 28:19, Jn. 4:1–2). The apostles contin-
ops, the heads of the Christian communities. Reception of
ued to practice the baptism of water of the type administered
baptism seems often to have been put off until the moment
by John; but they emphasized the necessity of an inner con-
of death by neophytes who were reluctant to accept the full
version preceding the profession of the trinitarian faith, the
consequences of inner conversion; and infant baptism,
focus of the new belief.
though possible, was probably not practiced in the early peri-
od of the church (cf. Mt. 19:14, Acts 16:33, 1 Tm. 2:4). As
It was Paul who first defined the theological and sym-
the gateway to the sacraments, baptism opened the way into
bolic significance of Christian baptism, joining the neo-
the church community, and prayers and rites increasingly de-
phyte’s ritual descent into water to Christ’s death and rebirth
scribe it as the entrance to a holy place, the opening of the
to a new and spiritual life through his resurrection (Rom.
different routes offered by the faith.
6:3–4). Sin is not carried away by the flowing water but by
the Lord’s death and resurrection; through baptismal immer-
The church was especially concerned, however, to orga-
sion, the Christian is able to participate in this new existence
nize a period of probation during which the catechumens
(Col. 2:12). In Titus 3:5, Paul describes baptism as the gift
were prepared to receive the sacrament through prayer, fast-
of “a bath of regeneration and renewal”; the baptismal water
ing, and doctrinal instruction. The Didache, in chapter 7,
is at once the water of death in which the old, sinful man
clearly asserts the duty of candidates to live according to
is immersed and the water of life from which he emerges re-
evangelical precepts and to renounce evil in all its forms. As
newed. In fact, Paul rediscovers the meaning of a very an-
a number of patristic texts attest, the baptismal ritual was
cient symbolism of death and resurrection found in archaic
quickly enriched through such additions as interrogations
initiation rituals a symbolism that has been admirably ana-
(like those preceding Jewish baptism), a triple renunciation
lyzed by Mircea Eliade (Images et symbols: Essais sur le symbol-
of the devil (recalling Jesus’ triple renunciation during his
isme magico-religieux, Paris, 1952, pp. 199–212; Traité
temptations), a triple immersion (representing the Trinity),
d’histoire des religions, Paris, 1949, pp. 64–65).
the anointing of the neophyte with the holy chrism, 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
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BAPTISM
laying on of hands by the bishop or priest (Tertullian, Against
ally accepted by the thirteenth (Thomas Aquinas, Summa
Praxeas 26; On Baptism; Hippolytus, Apostolic Tradition).
theologiae 3.68.3). In the fourteenth century, baptismal ritual
was simplified, and a rite of spiritual infusion, in which water
Because it was the sacrament that indicated entrance
is poured on the head of a child held above the baptismal
into the life of faith and the community of the church, bap-
font, replaced baptism by immersion.
tism was also considered a means to inner enlightenment. In
the Eastern church, those who were initiated into the Chris-
After 1517, the questions posed by the practice of the
tian mysteries by baptism were called the “enlightened,” for,
baptism of small children served as a major foundation for
as Gregory of Nazianzus explains, the baptismal rite opens
dissident Christian movements stemming from the Reforma-
the catechumen’s eyes to the light that indicates God’s sym-
tion. To adherents of these movements, an uncompromising
bolic birth in man (Discourse 40: On Baptism). In this view,
interpretation of the doctrine of individual justification by
the bishop theologian merely continues a long tradition
faith alone implied that the rite of entry into the Christian
begun by Paul. “Awake, sleeper,” the apostle writes in Ephe-
community had to be restricted to adults who were conscious
sians, “and Christ will shine upon you”—an admonition he
of their salvation through Christ and who asked to be bap-
repeats in the Letter to the Hebrews (Eph. 5:14, Heb. 6:4,
tized. The dissidents formally denied the validity of baptism
10:32). Writing of baptism in the second century, Justin
given to nonresponsible children and required those who had
Martyr speaks of the “bath that is called enlightenment”
received such baptism to be rebaptized as adults, thus earning
(First Apology 61); in the following century, Clement of Alex-
the name Anabaptists (Wiedertäufer). Going even further,
andria wrote: “Baptized, we are enlightened; enlightened, we
Thomas Müntzer (1485–1525), one of the “prophets of
are adopted; adopted, we are made perfect; perfect, we be-
Zwickau,” affirmed that individual inspiration by the Holy
come immortal” (Pedagogue 1.6.26). Thus, in the early
Spirit determined a person’s conduct and demonstrated the
church, baptism was clearly understood as the initiation re-
unique rule of faith. Along with this demand for religious
quired for a man to recognize the divine light and to partici-
discipline, the Anabaptist movement, especially in Germany,
pate in eternal life while still in this world.
developed a revolutionary ideology, preached radical egali-
tarianism, community of property, and even polygamy, and
But because it was also the fundamental rite of entry
actively supported the German Peasants’ Revolt. Denounced
into the church community, baptism was quickly claimed as
and condemned by Luther, Calvin, and Zwingli, Müntzer
a prerogative by several rival churches, each of which called
was executed at Mülhausen, and the Anabaptists were sub-
itself orthodox and accused the others of heresy and schism.
jected to a pitiless repression. Nevertheless, their movement
Modifications of baptismal rites by the various sects were in-
survived in northern Europe and expanded during the seven-
evitable. After the second half of the fourth century, the Ano-
teenth and eighteenth centuries in Holland, where the Men-
moeans, exponents of a doctrine akin to Arianism, rejected
nonites still practice adult baptism by immersion and advo-
triple immersion, the symbol of a Trinity equal in all its
cate a policy of nonviolence that denies them participation
members, a doctrine they contested; for the same reason,
in public office or military service.
they even modified the baptismal formula that had been
In 1633, a group of English Baptists immigrated to
fixed by scripture (Mt. 28:19). What is more important,
North America, beginning the development in the New
from the third century on, the Arians insisted upon the inva-
World of a number of Baptist sects and churches, whose
lidity of a rite of baptism conferred by a heretic or schismatic,
members founded their belief on the theological baptism of
a view given great importance by the Donatists. The Arians
Paul (cf. Rom. 6:4, Col. 2:12) and insisted upon a return to
denied the validity of Catholic baptism, and in Italy (espe-
strict apostolic practice. These sects and churches have in
cially in Milan) and Vandal Africa they required rebaptism
common the practice of baptism by immersion administered
(cf. Michel Meslin, Les Ariens d’Occident, Paris, 1967,
in the name of the Trinity only to adults who believe and
pp. 382–390). Arians and Donatists alike did not believe
confess their faith in Jesus Christ; in addition, from their dis-
that a person could be brought within the church communi-
tant Anabaptist origins, a majority retains the doctrine of the
ty by a minister who was personally alien to it and did not
freedom of each confessional community to interpret the
share its faith; they held that baptism was valid only if it was
scriptures and the Christian faith.
accompanied by a pure intention in the person who adminis-
tered it, who had also to belong to the true church. They re-
SEE ALSO Ablutions; Purification; Water.
fused to accept the Catholic view that the rite of baptism is
in itself the canal of an omnipotent divine grace that com-
BIBLIOGRAPHY
pletely surpasses a channel for qualities of the individual who
Beasley-Murray, G. R. Baptism in the New Testament. New York,
administers it.
1962.
Beirnaert, Louis. “La dimension mythique dans le sacramental-
From the sixth century on at the latest, the Catholic
isme chrétien.” Eranos-Jahrbuch (Zurich) 17 (1949):
church permitted the baptism of children, the engagement
255–286.
to follow the faith being taken in their name by adult Chris-
Drower, Ethel S., trans. The Canonical Prayerbook of the Mandae-
tians. The custom of baptizing infants soon after birth be-
ans. Leiden, 1959.
came popular in the tenth or eleventh century and was gener-
Gilmore, Alec, ed. Christian Baptism. Chicago, 1959.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAPTIST CHURCHES
783
Lundberg, Per. La typologie baptismale dans l’ancienne église. Leip-
doorstep of those English Separatists opposing infant bap-
zig, 1942.
tism. History, to say nothing of the specific individuals in-
Malaise, Michel. Les conditions de pénétration et de diffusion des
volved, was by this indiscriminate name-calling badly served,
cultes égyptiens en Italie. Leiden, 1972.
for modern Baptists have only the most tenuous connection
Meslin, Michel. “Réalités psychiques et valeurs religieuses dans les
with the radical reformers of the sixteenth century. (Modern
cultes orientaux (premier-quatrième siècles).” Revue hi-
Mennonites may be more accurately seen as lineal descen-
storique 512 (October–December 1974): 289–314.
dants of the Reformation’s left wing.) English and American
Payne, Ernest A. The Fellowship of Believers: Baptist Thought and
Baptists, who in the twentieth century accounted for nearly
Practice Yesterday and Today. 2d ed., enl. London, 1952.
90 percent of all Baptists worldwide, emerged from the Puri-
Reitzenstein, Richard. The Hellenistic Mystery Religions (1927).
tan agitations of Elizabethan and Jacobean England.
Translated by John E. Seeley. Pittsburgh, 1978.
Sharing many of the Puritan concerns about a Church
Rudolph, Kurt. Die Mandäer. 2 vols. Göttingen, 1960–1961.
of England still too papist, still too engrossed with civil en-
Thomas, Jean. Le mouvement baptiste en Palestine et en Syrie. Gem-
forcement and ecclesiastical preferment, these separating Pu-
bloux, 1935.
ritans early distinguished themselves by insisting that the
MICHEL MESLIN (1987)
church be a voluntary society. That voluntarism had two
Translated from French by Jeffrey C. Haight and
critical components: (1) the insistence that members choose
Annie S. Mahler
their church rather than be born into it; this voluntary act
was testified to by the act of baptism, which was both obedi-
ent to Christ’s command and declarative of one’s personal,
uncoerced confession of faith; and (2) the conviction that the
BAPTIST CHURCHES. As with most denomina-
covenant of believers to work and worship together was a pri-
tional names, the term Baptist began as a pejorative nick-
vate agreement with which the state had nothing to do, for
name. It first appeared as Anabaptist, or “rebaptizer,” because
conscience must be left free. As Thomas Helwys (c. 1550–c.
in the sixteenth century, when this group arose in Western
1616), one of that first generation of English Baptists, wrote,
Christendom, virtually all persons had already been baptized
“the King is a mortal man and not God, therefore [he] hath
as infants. Thus, these rebaptizers were scandalously denying
no power over the immortal souls of his subjects, to make
the validity of that first baptism, setting themselves up as a
laws and ordinances for them, and to set spiritual lords over
truer church, if not indeed as the true church. Gradually, as
them.”
infant baptism became less prevalent and as alternative
modes of worship grew more widespread, this still young de-
The leadership of Helwys and two others, John Smyth
nomination adopted the shortened form of Baptist, both as
(d. 1612) and John Murton, proved decisive in the first two
a convenient distinction and as a point of honor. (New En-
decades of the seventeenth century as the English General
gland churches in the seventeenth century and early eigh-
Baptists (that is, non-Calvinist, affirming an unrestricted or
teenth century gradually progressed from simply “the
general atonement for humankind) grew from a scarcely visi-
Church of Christ” to “the Church of Christ in Gospel
ble knot of believers in 1609 to around twenty thousand
Order” to “the Church of Christ Baptized upon Profession
members by 1660. Despite this impressive showing, howev-
of Their Faith” to “the Baptized Church of Christ” to, final-
er, the major strength of the modern Baptist churches came
ly, the Baptist Church.) To be sure, the new subject of the
from a somewhat later development of the 1630s: the rise of
baptism (namely the adult, or “believer”) and not originally
the Particular Baptists (of Calvinist orientation, affirming a
the mode of baptism (whether by sprinkling, pouring, or im-
limited or particular redemption for humankind). Under the
mersing) stood out as the most glaring liturgical innovation
leadership of John Spilsbury in the decade following 1633,
of this politically powerless and socially suspect group. Al-
a single church became mother to six more. By the time
though not preserved in the denominational designation, the
seven such churches existed in and around London, these
other feature of the early Baptist movement that most
Calvinist Baptists had also reintroduced the ancient Chris-
alarmed contemporaries was the Baptists’ novel notion that
tian practice of baptism by immersion, this mode being pre-
civil government had no responsibility, and indeed no right,
ferred as a more suitable symbol of one’s burial with Christ
to enforce a religious conformity. As one of their seven-
followed by one’s new birth or resurrection from that death
teenth-century opponents wrote, Anabaptists “deny Civil
to walk in a wholly new life. One of the members of Spils-
Government to be proved of Christ” (Featley, 1646).
bury’s group, Mark Lucar (d. 1676), immigrated to America,
ORIGINS. As used by their enemies, the word Anabaptist was
settling in Newport, Rhode Island. There he introduced the
calculated to have an unnerving effect upon all who believed
“new baptism” to New England’s scattered Anabaptists, as
in a well-ordered society, for the term suggested that English
they were still called. Lucar, arriving sometime before 1648,
rebaptizers of the seventeenth century were of a piece with
also helped strengthen ties between American and English
the most radical continental rebaptizers of the century be-
Baptists as the two groups together labored to make clear the
fore. Thus every fanaticism, every antinomianism, every va-
unfairness of the broad application of the “Anabaptist” label.
gary of the Reformation’s bloodiest days could be laid at the
(New England continued to legislate against Anabaptists.) 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
784
BAPTIST CHURCHES
this endeavor they were much assisted by the moderate, well-
suasive preaching style, an accessible theology, an appealing
reasoned, properly Calvinist London Confession of 1644.
baptismal ritual, and an ecclesiology that granted freedom
Baptist growth in America lagged behind that of En-
from white rule, the Baptist message found ready hearers
gland in the seventeenth century and early eighteenth centu-
among both enslaved and free blacks. By the end of the nine-
ry. Roger Williams (1603?–1683) gave the infant denomina-
teenth century, black Baptists had formed their own national
tion both a geographical base and a theological thrust when
organizations, publishing boards, and mission societies. By
in 1636, as an exile from Puritan Massachusetts Bay Colony,
the mid-twentieth century, approximately two-thirds of
he made his way on foot to a territory at the head of the Nar-
America’s black Christians were Baptists, and one-third or
ragansett Bay. After a careful and conscientious purchase of
more of all of America’s Baptists were black. Like their white
land from the Indians, he named the first settlement Provi-
counterparts, however, blacks found it difficult to maintain
dence in gratitude to God for having delivered him safely
organizational or theological unity.
from the Puritans, the Indians, and the rigors of his fourteen-
The pattern of increasing diversity had been set by the
week exposure to the New England winter. The colony of
white Baptists. Even before the nineteenth century began,
Rhode Island, founded on the principle of a “full liberty in
some Baptists, disturbed by the prevailing Calvinist orienta-
religious concernments,” as well as on a hot hatred of the
tion of their denomination, chose to emphasize people’s free
“Bloudy Tenent of Persecution” (the title of Williams’s 1644
will: Free Will Baptists thus maintained a separate identity
London publication), received into its midst all manner of
until early in the twentieth century. Others in the new na-
religious pariahs: Baptists, Quakers, Ranters, Fifth Monar-
tion, fearing that Baptists would aspire to national status
chists, Gortonists, and many others. Yet only in a limited
sense did Rhode Island become a Baptist stronghold. By the
with all the evils that bureaucracy and hierarchy implied, re-
end of the seventeenth century, Quakers dominated the col-
sisted the creation of national societies and boards, preferring
ony politically, while Baptists had separated into Calvinist,
to remain in smaller, more local, more nearly autonomous
Arminian (Six Principle), and Seventh-day factions. Wil-
units. In the bitter conflict over slavery, more specifically
liams, moreover, had remained within the Baptist fold only
over the appointment of a slaveholding missionary, white
briefly; the leadership of the Providence church quickly
Baptists split along geographical lines in 1845, and the
passed into other hands. In Newport, on the other hand, the
Southern Baptist Convention was organized in Augusta,
more enduring leadership of John Clarke (1609–1676; as-
Georgia. (A national organization of Baptists dated back only
sisted by Lucar, Obadiah Holmes [1607–1650], and Joseph
to 1814, so denominational unity in the United States en-
Torrey) gave the infant denomination a firm if tiny base in
joyed but a brief life.) The Southern Baptist Convention,
the New World.
with its base initially in the states of the southern Confedera-
cy, moved aggressively to the West, to the North, and to
EXPANSION IN NORTH AMERICA. The great growth of Bap-
“foreign fields,” becoming the largest single Baptist entity in
tists in North America (and by extension in the world) fol-
the world. By the mid-twentieth century it had also become
lowed the eighteenth century’s Great Awakening, that Cal-
the largest Protestant denomination in the United States.
vinist explosion of evangelical zeal and intense religious
The northern group (originally the Northern Baptist Con-
experience. Even though Baptists were not prime leaders in
vention, now the American Baptist Churches, USA), with
the movement, they were the prime beneficiaries of it.
about three-fourths the number of churches as the southern
Churches separating from the Congregational establishments
group at the time of separation, found itself repeatedly de-
in New England often moved from a halfway house called
pleted in the twentieth century by separations and schisms—
“Separatist” to a new denominational home called “Baptist.”
most of them related to the conflict between modernists and
For example, the eminent pastor, theologian, historian, and
fundamentalists. As a consequence, by the late twentieth cen-
civil libertarian Isaac Backus (1724–1806) followed this
tury the Southern Baptist Convention outnumbered its
path. Moreover, the Awakening, even if it did not make an
northern counterpart by about ten to one. Although the
itinerant ministry respectable, did make such traveling evan-
other major Protestant groups that divided over slavery re-
gelism both popular and pervasive. John Leland (1754–
1841), a New Englander transplanted to Virginia, is an in-
united—the Methodists in 1939 and the Presbyterians in
structive example of such a ministry: irregular, unauthorized,
1983—the Baptists have shown little sign of returning to a
ill-supported, and enormously effective. The names of Back-
single fold. In fact they continued to divide and subdivide
us and Leland also point to a rhetoric that during the Revolu-
into the twenty-first century. Southern Baptists divided over
tionary period served to identify Baptists with the cause of
questions of theology and denominational control, with
liberty, both civil and ecclesiastical. In the South, where the
moderates forming such new groups as the Alliance of
Church of England had for so long enjoyed a legal monopo-
Baptists, the Cooperative Baptist Fellowship, and Baptists
ly, Baptists seized upon the discomfort of a church so swiftly
Committed.
disestablished and so widely under suspicion to make major
In 2000 the northern and southern “halves” had an ag-
conquests among farmers, artisans, and even gentry.
gregate membership of around nineteen million, while the
After the American Revolution, Baptists also made phe-
two oldest black denominations had a combined member-
nomenal advances among the nation’s blacks. Using a per-
ship of eight to ten million. This leaves uncounted some four
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAPTIST CHURCHES
785
or five million Baptists in the United States who are scattered
ever, they immigrated virtually en masse to America, settling
among a wide variety of other organizations. Most of these
in Pennsylvania, the Virginia backcountry, and the Midwest.
groups affirm a strict congregational polity (eschewing any
Although distinguished by liturgical emphases on the Love
national superstructure or headquarters), a rigid biblical the-
Feast and the ceremonial washing of each other’s feet, these
ology (rejecting all critical study of the biblical text itself),
German Baptists attract most public attention by their con-
and their own special hold on “the faith once delivered to
sistent witness for peace and their choice of alternative service
the saints” (opposing all ecumenical ventures, even with
rather than military enlistment. Their membership in 2000
other Baptist bodies). The Baptist family in the United States
neared 200,000. One other sizable group of distinctive eth-
is large—Protestantism’s largest by far in the nation, as it ap-
nic heritage, the (Swedish) Baptist General Conference,
proaches thirty million—but as in many another large fami-
dropped its ethnic label in 1945; in 2000 its membership in
ly, some members do not speak to other members.
the United States exceeded 130,000.
WORLDWIDE. Outside the United States, the Baptist
Across nearly four centuries and six continents, the Bap-
churches are unevenly, and often sparsely, scattered. One
tist churches have multiplied in variety nearly as much as in
may speak most conveniently in terms of continents rather
number. Yet it is possible to point to broad features generally
than individual nations in offering estimates of membership:
characteristic of the entire group. The first broad feature is
in Africa and Europe, about 1 million in each; in Asia, about
voluntarism, which places Baptists squarely in the free-
1.5 million; and in Central and South America, something
church tradition. Membership is by choice; creeds are to
less than 1 million. In Canada, to which New England Bap-
emerge from below and not to be handed down from above;
tists began to migrate in the late eighteenth century, there
covenants are ideally arrived at by the local congregations
are between 100,000 and 200,000 Baptists. By the beginning
and periodically revised; and worship follows no fixed form,
of the twenty-first century, Baptists worldwide numbered
without service books or a canon of prayers. That volunta-
over forty million, with over thirty million in the United
rism also sees its integrity and spontaneity as fatally compro-
States.
mised whenever the state intrudes into the realm of religious
The former Soviet Union (counted in the European
conscience. Voluntarism has its weaker side in becoming the
total) constitutes something of a special case as the Baptist
passive reflection of a surrounding culture, in surrendering
presence there is both highly visible and highly vulnerable.
slowly and unthinkingly to what one author has called the
Baptists entered Russia from several points of departure in
“cultural captivity of the churches” (Eighmy, 1972). The sec-
the late nineteenth century, but they encountered severe op-
ond broad feature is Pietism, which places its first priority
position from the czars and the Russian Orthodox Church.
on the personal and direct encounter with God. Such indi-
In the USSR that opposition intensified as Baptists, true to
vidualism protects against an autocratic or coldly impersonal
an ancient heritage, found any interference or regulation by
structure, but it can also lead to a chaotic splintering where,
the state intolerable. With the collapse of the Soviet Union
as Ralph Waldo Emerson (1803–1882) said, every man is his
in 1989, new Baptist groups were established in a variety of
own church. Pietism ensures a zeal; it does not always carry
newly formed eastern European countries. These groups in-
with it a corresponding bounty of knowledge and public re-
cluded the Baptist Unions of Lithuania, Georgia, Romania,
sponsibility.
and Latvia. New churches and seminaries were formed, and
The Baptist movement’s third broad feature is evange-
many of the unions affiliated with the European Baptist Fed-
lism, which in some times and places has been seen as the
eration and the Baptist World Alliance. The latter is the pri-
totality of the Baptist effort. Special classes and techniques
mary international fellowship of Baptists, funding programs
in “soul winning” have been developed, and the revival meet-
and promoting church interaction throughout the world.
ing became standard fare in most Baptist churches, whether
In England the General Baptists of the seventeenth cen-
large or small, urban or rural. This evangelistic emphasis has
tury lost either zeal or identity or both, and many of that
also been responsible for a heavy investment in missions,
number merged with the Universalists. The Calvinist or Par-
both at home and abroad. In the opening of the American
ticular Baptists maintained both zeal and identity, but in the
West, such men as Isaac McCoy (1784–1846) and John
face of a powerful and sometimes repressive national church,
Mason Peck (1789–1858) played major roles. Abroad, the
the numbers of these dissenters never approached that of
path cut in the early nineteenth century by Adoniram Judson
their coreligionists in the United States. In 2000, Baptists in
(1788–1850) and Luther Rice (1783–1836) was traveled by
the British Isles (England, Ireland, Scotland, and Wales)
thousands, both male and female, in succeeding decades. Yet
numbered a little over 200,000.
there is also a strong antimission strain in Baptist history, in-
stitutionalized in several Primitive Baptist bodies, both black
Because of their belief in a threefold immersion (sepa-
and white.
rately in the name of the Father, the Son, and the Holy Spir-
it), German Baptists received the nickname of “Dunkers” (or
The fourth broad feature is sectarianism, which has kept
“Dunkards”). Known officially since 1908 as the Church of
most Baptists on the fringes of the ecumenical movement.
the Brethren, these Baptists originated in Germany early in
The transition from sect to denomination is uneven and to
the eighteenth century. Fleeing from persecution there, how-
some degree unpredictable. A mid-nineteenth-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
786
BAR AND BAT MITSVAH
movement known as Landmarkism represents the sectarian
IX was taken prisoner by the Romans in 216. Bardaisan had
extreme; it held that true Baptist churches have existed from
a son who introduced metrical hymns in Syriac, which were
the apostolic age and only the true local church has a valid
imitated by later Syriac poets. Edessene Christianity of his
ministry, valid sacraments, and biblical authenticity. The
time did not have a hierarchical structure, but was divided
American Baptist Association, with about one million mem-
into various groups, such as the Jewish-Christians, the “or-
bers in the 1980s, constitutes the contemporary manifesta-
thodox” Christian minority, the Gnostics, and the Marcio-
tion of a sectarianism that rejects all ecumenical endeavors,
nites, who later came into conflict with Bardaisan and his
is strongly suspicious of Roman Catholicism, and deeply re-
school.
sents those Baptist churches that behave in a more “denomi-
national” way.
What can be ascribed to Bardaisan shows his familiarity
with both Greek philosophy (Platonism, Stoicism) and Hel-
SEE ALSO Anabaptism; Williams, Roger.
lenistic astrological and ethnographic culture (works on
India and Armenia are mentioned by some sources). In Edes-
BIBLIOGRAPHY
sa, Bardaisan founded a circle in which scientific and reli-
Two books on English Baptists that provide not only good histori-
gious questions were freely debated. Only in the fifth century
cal background but excellent insight into contemporary life
did Bishop Rabbula succeed in eradicating the Bardesanites
and thought are H. Wheeler Robinson’s The Life and Faith
from Edessa.
of the Baptists, rev. ed. (London, 1946), and Ernest A.
Payne’s The Fellowship of Believers: Baptist Thought and Prac-
The sources for the doctrines of the Bardesanites include
tice Yesterday and Today, rev. ed. (London, 1952). These two
The Book of the Laws of the Countries, preserved in Syriac and
works have been reprinted together under the title British
probably written in that language, and quoted by later Greek
Baptists (New York, 1980). A worldview is provided in Bill
authors in an ancient Greek version. This work has the liter-
J. Leonard’s Baptist Ways: A History (Valley Forge, Pa.,
ary form of a dialogue between Bardaisan and his disciples
2003), whereas Samuel S. Hill Jr. and Robert G. Torbet re-
and deals with the relation between free will and fate. In the
viewed the American scene in Baptists North and South (Val-
dialogue, Bardaisan declares that two factors affect human
ley Forge, Pa., 1964). On the Southern Baptist Convention
life: (1) nature (kya¯na¯), namely, the natural constitution (to
specifically, see Jesse C. Fletcher, The Southern Baptist Con-
be born, grow up, procreate, grow old, and die); and (2) fate
vention (Nashville, Tenn., 1994). Two works on Baptist de-
velopment in early America made giant historiographical
(h:elqa¯); that is, the accidents that can either reinforce or op-
strides over most previous efforts. William G. McLoughlin’s
pose the natural constitution (e.g., wealth, poverty, illness).
New England Dissent, 1630–1833, 2 vols. (Cambridge,
Humans, whose bodies undergo the influence of both nature
Mass., 1971), and C. C. Goen’s Revivalism and Separatism
and fate, in their quality of God’s images are provided with
in New England, 1740–1800 (New Haven, Conn., 1962).
free will (h:¯eru¯ta¯), which is placed in the intellect—a concep-
Finally, for an informed view of alternative ecclesiological
tion in which Jewish and Christian elements are mingled
styles among Baptists, see Winthrop Still Hudson, ed., Bap-
with Aristotelian philosophy. To prove this assumption, Bar-
tist Concepts of the Church (Chicago, 1959).
daisan delivers a speech, well known in late antiquity, where,
Other sources cited in the article include John Lee Eighmy,
by describing the customs and the laws of different peoples
Churches in Cultural Captivity: A History of the Social Atti-
(including Jews and Christians), he shows their indepen-
tudes of Southern Baptists (Knoxville, Tenn., 1972), and Dan-
dence from fate. The last sentences indicate that fate and its
iel Featley, The Dippers Dipt, or the Anabaptists Duck’d and
elements are part of the order imposed by God after a crisis
Plung’d over head and eares, at a disputation in Southwark
that took place among the original entities.
(London, 1646).
E
The Bardesanite sources also include the antiheretical
DWIN S. GAUSTAD (1987)
BILL LEONARD (2005)
works of Ephraem of Syria (306–373); that is, Prose Refuta-
tions and Hymns against Heresies, to be compared with four
cosmogonic traditions, preserved by Syriac authors from the
sixth to the tenth centuries, describing the Bardesanite doc-
BAR AND BAT MITSVAH SEE RITES OF
trine of the origin of the world. According to these sources,
PASSAGE, ARTICLE ON JEWISH RITES
from eternity there are four entities (¯ıty¯e)—light, wind, fire,
and water—in a wandering state (Gn. 1:2). Some disciples
of Bardaisan maintain the atomic nature of the entities. God
resides over the entities as their lord; darkness underlies
BARDAISAN (or Bardesanes) of Edessa (154–222 CE)
them. For a reason independent from God—either the
was a philosopher, an ethnographer, and the first Syriac
breath of the wind or an accidental (ˇsegma¯) event
Christian theologian, later regarded as unorthodox.
(gedˇsa¯)—the entities begin to damage each other. Darkness
Only a few events are known about the life of Bardaisan
arises, partially defiling the entities. The “word of thought”
(Bar Days:a¯n, or “son of [the local river] Days:a¯n”). He at-
(m¯emra¯ d-tar!¯ıta¯), corresponding to the middle Platonic and
tended the court of the king of Edessa, Abgar VIII (176–
Stoic logos (or, according to Bardaisan’s disciples, a set of
211), and probably fled from Edessa to Armenia after Abgar
three kinds of spiritual atoms), is sent by God to separate
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAR-ILAN, MEDIR
787
darkness from the entities. From what is still defiled, the
imity to Gnosticism. A possible third interpretation sees
logos establishes the world in such a way as to be progressive-
Bardesanite texts as the product of different authors who
ly purified. Ephraem mentions the “diffusion of life,” which
support in varying ways an anti-Marcionite theology adverse
apparently is a spiritual element, whose connections with the
to systems that divide God the creator too sharply from God
logos are not clear. He reports that, according to Bardaisan,
the savior, based on the assumption that the original crisis
the human body is created by the archons of fate and is des-
took place not within God, but within a distinct principle
tined to dissolution—the soul is a corporeal but light ele-
(the entities) subordinated to him.
ment, whereas the intellect is a fragment of the divinity. The
resurrection is therefore spiritual. Before the coming of the
SEE ALSO Ephraem of Syria; Gnosticism; Mani; Marcion.
savior, human souls were imprisoned in the astrological re-
BIBLIOGRAPHY
gions because of Adam’s sin; afterward, only pure souls and
The standard reference book about Bardaisan, his life, his school,
intellects can reach God.
and his writings, with a listing of the essential editions of the
Ephraem’s Hymn against Heresies 55 quotes Bardesanite
sources, is Han J. W. Drijvers, Bardais:an of Edessa (Assen,
verses mentioning the following Gnostic figures: the father
Netherlands, 1966). On the Syriac sources see Alberto Cam-
and the mother of life (compared to, or identified with, the
plani, “Note bardesanitiche,” Miscellanea marciana 12
(1997): 11–43. On the Arabic sources see Georges Vajda,
sun and the moon), who beget (through sexual union) the
“Le témoignage d’al-Ma¯turid¯ı sur la doctrine des Manich-
son of life as well as two female figures—the holy spirit and
éens, des Daysanites, et des Marcionites,” Arabica 13 (1966):
the youthful spirit. The youthful spirit, who is destined for
1–38 and 113–128; and Wilferd Madelung, “Abu Disa al-
a wedding feast, calls upon God in the words pronounced
Warraq über die Bardesaniten, Marcioniten, und Kantäer”
by Christ on the cross (Mt. 27:46). The father of life and the
in Studien zur Geschichte und Kultur des vorderen Oriens: Fest-
mother of life also beget the paradise and several astrological
schrift für Bertold Spuler, edited by Hans R. Roemer and Al-
entities.
brecht Noth, pp. 210–224 (Leiden, 1981). On Porphyrius’s
Greek quotations from a work on Indian customs, see Franz
Later heresiological accounts, written in Syriac and Ara-
Winter, Bardesanes von Edessa über Indien: Ein früher syrischer
bic by Christian and Muslim authors, testify to the reduction
Theologe schreibt über ein fremdes Land (Innsbruck, 1999).
of Bardesanite doctrine to a strict dualism similar to
On the philosophical collocation of The Book of the Laws of
Manichaean dualism. These sources also report Bardesanite
the Countries see Albrecht Dihle, “Zur Schicksalslehre des
mythology and a theory of seven atomic entities, which are
Bardesanes” in Kerygma und Logos: Festschrift für Carl An-
also mentioned by Ephraem.
dresen, edited by Adolf Martin Ritter, pp. 123–135 (Göt-
tingen, Germany, 1979), reprinted in Antike und Orient: Ge-
Although the astrological and mythological aspects of
sammelte Aufsätze, edited by Viktor Pöschl and Hubert
Bardesanite thought influenced the culture of such later dis-
Petersmann, pp. 161–173 (Heidelberg, Germany, 1984).
sident groups as the Audians (fourth century) and the Sabi-
For a general presentation of the critical debate on Bardesanite
ans of H:arran (sixth century onward), Manichaeism appears
thought, see Alberto Camplani, “Rivisitando Bardesane:
to be more sensitive to Bardaisan’s theological speculations.
Note sulle fonti siriache del bardesanismo e sulla sua collo-
Mani’s (216–273) lost work The Book of Mysteries was direct-
cazione storico-religiosa,” Cristianesimo nella Storia 19
ed against Bardaisan’s ideas about the human soul. Other
(1998): 519–596. Representatives of the unitarian and an-
differences can also be detected between Bardaisan and
tidualistic interpretation of Bardesanite texts, apart from
Mani. For Bardaisan, for example, darkness is not an active
Han J. W. Drijvers, include Edmund Beck, “Bardaisan und
principle, as it is for Mani, and Bardesanite anthropology is
seine Schule bei Ephräm,” Le Muséon 91 (1978): 271–333;
apparently more optimistic than Manichaean anthropology.
and Javier Teixidor, Bardesane d’Edesse: La première philoso-
However, a partial reception of Bardesanite ideas by Mani
phie syriaque (Paris, 1992). Representatives of the Gnostic in-
terpretation include the following scholars: Taeke Jansma,
seems certain, and includes the three periods of cosmic histo-
Natuur, lot en vrijheid: Bardesanes, de filosoof der Arameeër en
ry (the original situation, crisis and mixing, and final separa-
zijn images (Wageningen, Netherlands, 1969); Barbara
tion), the formation of the world as an instrument of purifi-
Aland-Ehlers, “Bardesanes von Edessa—ein syrische Gnos-
cation, and the two couples, the father and mother of life and
tiker,” Zeitschrift für Kirchengeschichte 81 (1970): 334–351;
the sun and moon.
and Prod O. Skjærvo⁄, “Bardesanes” in Encyclopaedia Iranica,
edited by Ehsan Yarshater, vol. 3, pp. 780–785 (London and
There are two main controversial issues about Bardesan-
New York, 1989).
ite doctrines: (1) the ideological unity of Bardesanite texts;
and (2) their relationship with the Gnostic family. Some
ALBERTO CAMPLANI (2005)
scholars, for whom The Book of the Laws of the Countries re-
flects Bardaisan’s own ideas, maintain the ideological unity
of all Bardesanite texts (despite differences of language) and
BARDESANES SEE BARDAISAN
deny their Gnostic character. Others, disqualifying the au-
thenticity of the dialogue as a document of Bardaisan and
regarding it as a late and catholicizing product, interpret the
BAR-ILAN, MEDIR (1880–1949), born MeDir Berlin;
other fragments as a clear witness to Bardaisan’s close prox-
one of the foremost leaders of the religious Zionist move-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
788
BARLAAM OF CALABRIA
ment Mizrah:i. A native of Volozhin, Russia, he was the son
ality of the Greek communities of southern Italy explains the
of Naftali Berlin, the head of the famous Volozhin yeshivah
oscillation in Barlaam’s advocacy of the two competing tradi-
(rabbinic academy). Bar-Ilan joined the religious Zionist
tions. He was possessed of a sentimental love of Orthodoxy
movement and attended many Zionist congresses from 1905
on account of his Greek ancestry, but as a theologian and
onward. In 1911, he became the secretary of the Mizrah:i
philosopher, he was influenced by Western Scholasticism.
movement and moved to Berlin. In 1915, he immigrated to
In 1326, traveling from Italy to the Greek peninsula,
the United States, and in 1925 he settled in Jerusalem, where
Barlaam doffed the clothes of a Western monk and put on
he remained until his death.
Greek monastic dress. He stayed in Thessalonica several
As the Mizrah:i representative, Bar-Ilan held many im-
years and strengthened his reputation as a philosopher. Bar-
portant positions in the Zionist movement before the cre-
laam later settled in Constantinople, where he soon gained
ation of the State of Israel. He edited the religious Zionist
the confidence of ecclesiastical and political circles, especially
Hebrew weekly Ha- EIvri from 1910 through 1921 and was
of the emperor Andronicus III Palaeologus, who gave him
editor in chief of the Tel Aviv daily Ha-tsofeh from 1938 to
a professorial chair at the university. No one had any doubts
1949.
about the sincerity of his Orthodox convictions. He was
In both his political activities and his writings, Bar-Ilan
made abbot of the Monastery of Our Savior, and two confi-
tried to create a central role for Orthodox Jews in Jewish na-
dential missions on behalf of the emperor were entrusted to
tionalism. He rejected the notion of separation of synagogue
him. During the years 1333–1334, Barlaam undertook to
and state, but he also rejected the more extreme religious ar-
negotiate the union of churches with the representatives of
guments against any cooperation with the secular national-
Pope John XXII. For this occasion he wrote twenty-one trea-
ists. He argued for inculcation of traditional religious values
tises against the Latins in which he opposed papal primacy
through the educational system. He believed that only by ed-
and the filioque doctrine. In 1379, he was sent to the exiled
ucation, not by coercion, could the Orthodox win the strug-
Pope Benedict XII at Avignon to suggest a crusade against
gle with the secularists over the final status of religion in the
the Turks and to discuss the union of churches, but he was
Jewish state. His position can be summed up in the Mizrah:i
not successful.
slogan that he coined: “The Land of Israel for the people of
A reaction against Barlaam was not late in coming on
Israel according to the Torah [God’s law] of Israel.”
both the philosophical and theological fronts. In a public dis-
Bar-Ilan’s position on the relationship between religion
cussion with Nikephoros Grigoros, Barlaam was defeated.
and state in Israel remains substantially that of the present
More serious was his defeat in the area of theology by the
religious Zionist party, the Mafdal (National Religious
spiritual leader Gregory Palamas. Because of his Western
Party). The Bar-Ilan University near Tel Aviv, which was
theological presuppositions, Barlaam was not able to under-
founded in 1955 to wed traditional Jewish learning with
stand the mystical-ascetical tradition of the East, and there-
modern academic scholarship, was named after him.
fore he criticized it, with the result that he was condemned
in Constantinople at the synod of 1341, and both he and his
B
followers were formally anathematized there at the synods of
IBLIOGRAPHY
In addition to Zvi Kaplan’s article on Bar-Ilan in Encyclopaedia
1347 and 1351. After his condemnation, he returned to the
Judaica (Jerusalem, 1971), further biographical information
West and adhered to Roman Catholicism; he was subse-
can be found in Moshe Krone’s Ha-Rav Me Dir Bar-Ilan (Jeru-
quently ordained a bishop by the pope, a fact that was inter-
salem, 1954) and in The Zionist Idea, edited by Arthur
preted in the East as a confirmation of the suspect role he
Hertzberg (Philadelphia, 1959), pp. 546–555.
had played in the ranks of the Greek church.
New Sources
Barlaam’s theological works include eighteen anti-Latin
Shemesh, David. Ha-Rav Me Dir Bar-Ilan: demuto shel manhig. Je-
treatises, antihesychastic writings (On Light, On Knowledge,
rusalem, 1979.
and Against the Messalians, all of which are lost), and treatises
DAVID BIALE (1987)
and letters supporting Western theology such as Advisory
Revised Bibliography
Discourse and the draft of the Discourse to Pope Benedict XII.
In his antihesychastic works Barlaam held that knowledge of
worldly wisdom was necessary for the perfection of the
BARLAAM OF CALABRIA
monks and denied the possibility of the vision of the divine
(c. 1290–c. 1350), hu-
life. In addition to theological works, Barlaam also composed
manist, philologist, and theologian; one of the forerunners
philosophical, astronomical, and mathematical works.
of the Renaissance. Barlaam was born in Seminara com-
Among these are his Ethics according to the Stoics, a treatise
mune, Calabria, a Greek by ethnic descent and language, and
on calculating the eclipses of the sun, six books on arithme-
a member of the religious groups that still preserved the
tic, and a paraphrase of the second book of Euclid’s Elements.
memory of their Orthodox Christian past in southern Italy.
With the passage of time the inhabitants of the region were
A product of both East and West, Barlaam influenced
obliged to submit to Rome, but they felt themselves to be
the culture of both. Petrarch and Boccaccio were his pupils,
Orthodox as a result of their long tradition. The religious du-
and there is no doubt that he contributed to the strengthen-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BARTH, KARL
789
ing of the current that led to the Italian Renaissance. On the
latter post he was dismissed in 1935 because of his refusal
other hand, Barlaam’s interest in the hesychast dispute re-
to take an oath of loyalty to Hitler and because of his leading
sulted in the development of a lively theological movement
role in the Kirchenkampf, the struggle against the Nazi at-
in the fourteenth century in Constantinople and Thessaloni-
tempt to control the German Evangelical church. He re-
ca. One of its consequences was the formulation of the mys-
turned to his native Switzerland to a professorship in Basel,
tical-ascetical teaching of the Orthodox church by Gregory
where he taught for the rest of his long life until his death
Palamas.
in 1968, drawing students from all over the world to his
Barlaam overestimated the significance of philosophy
classrooms and publishing his lectures in his massive Church
(especially of Greek philosophy) for theology, asserting that
Dogmatics.
only through philosophy could humanity arrive at perfec-
Barth was born in Basel on May 10, 1886, the son of
tion. He thus denied the renewing power of the Holy Spirit,
Fritz Barth, a professor of church history and New Testa-
which makes saints even out of uneducated people, as it
ment in Bern. In Bern Barth received his earliest education,
made the fishermen apostles. Being a humanist, Barlaam
and there, on the eve of his confirmation, he “boldly resolved
placed emphasis on created means of salvation (e.g., philoso-
to become a theologian” out of an early eagerness to under-
phy and knowledge) and reduced the role of the grace of the
stand his faith and see its relevance for the twentieth century.
Holy Spirit.
He commenced his university studies in Bern, where, while
receiving a solid grounding in Reformed theology, he began
BIBLIOGRAPHY
to study the theoretical and practical philosophy of Immanu-
Works by Barlaam
al Kant, whose “Copernican revolution” in the theory of
Giannelli, Ciro. “Un progetto di Barlaam per l’unione delle
knowledge and ethics awakened Barth to an acute awareness
chiese.” In Miscellanea Giovanni Mercati, vol. 3, “Studi e
of the question of our knowledge and service of God. At the
Testi,” no. 123. Vatican City, 1946. See pages 157–208 for
same time he developed his early and lifelong interest in the
excerpts from his writings.
theologian Friedrich Schleiermacher, whose analysis of reli-
Migne, J.-P., ed. Patrologia Graeca, vol. 151. Paris, 1857. Includes
gious experience and desire to commend religion to its “cul-
excerpts from the Discourse to Pope Benedict XII and the Advi-
tured despisers” had dominated German theology since his
sory Discourse.
death in 1834. Like Schleiermacher, Barth was later to inter-
Schiro, Giuseppe, ed. Barlaam Calabro: Epistole greche. Palermo,
pret Christian dogmatics as the function of the Christian
1954.
church, scrutinizing scientifically the content of the Chris-
Works about Barlaam
tian faith, but unlike Schleiermacher he saw, not religious ex-
Christou, Panagiotis C. “Barlaam.” In Threskeutik¯e kai ¯ethik¯e en-
perience in general, but the revelation of God in Jesus Christ,
kuklopaideia, vol. 3, cols. 624–627. Athens, 1963.
attested in holy scripture, as the criterion of truth.
Jugie, Martin. “Barlaam de Seminara.” In Dictionnaire d’histoire
et de géographie ecclésiastiques, vol. 6, cols. 817–834. Paris,
Barth expressed a desire to study at Marburg with Wil-
1932.
helm Herrmann (1846–1922), the leading Kantian theolo-
Meyendorff, John. “Un mauvais théologien de l’unité au quator-
gian in Europe, but under his father’s influence he went first
zième siècle: Barlaam le Calabrais.” In L’église et les églises,
to Berlin to spend a semester under Adolf von Harnack, the
1054–1954, vol. 2, pp. 47–65. Chevetogne, 1955.
most outstanding church historian and liberal theologian of
the day, before returning to complete a third year in Bern.
THEODORE ZISSIS (1987)
Translated from Greek by Philip M. McGhee
In 1907 he enrolled in Tübingen to study under the conser-
vative New Testament theologian Adolf Schlatter, before
spending a final year in Marburg. Herrmann defined faith
in terms of “inner experience” which has its “ground” in the
BARTH, KARL (1886–1968), Swiss Reformed theolo-
“inner life of Jesus” and is awakened in man’s conscience by
gian, described by Pope Pius XII as the greatest theologian
the influence of Jesus, the so-called Jesus of history of the
since Thomas Aquinas, and certainly the most influential of
nineteenth-century liberal quest. Although influenced by
the twentieth century. Barth stands as a prophetic voice in
Herrmann, Barth came to feel that his conception conflicted
the tradition of Athanasius, Augustine, and Calvin, calling
with the New Testament and Reformed understanding of
the Christian church back to the Bible and to its foundation
the Christ of faith and with the church’s creeds, and that it
in Jesus Christ. This message sounded forth powerfully in his
was more the product of modern individualistic bourgeois
first book, Romans (especially in the largely rewritten second
liberal idealism and Kantian philosophy than of sound New
edition of 1921), which drew widespread attention. Barth
Testament scholarship. He also felt that the very nature and
later said that in writing this book he was like a man in a dark
possibility of a scientific approach to Christian theology was
church tower who accidentally trips, catches hold of the bell
being called into question by the philosophical and historical
rope to steady himself, and alarms the whole countryside. As
presuppositions of the “culture-Protestantism” of the day,
a result, he was called to university chairs in Göttingen
wherein theology and relativizing historicism, religion, and
(1921), in Münster (1925), and in Bonn (1930). From this
culture were fused, obscuring the gospel through “reverence
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790
BARTH, KARL
before history” and reducing Christian theology to a branch
there is joy with God . . . and that the Kingdom on earth
of the general philosophy of religion.
begins with joy.” Together with his lifelong friend Eduard
Thurneysen (1888–1974), he discovered in the Bible “a
These questions assumed acute importance for Barth
strange new world, the world of God,” which is the kingdom
once he was ordained to the pastoral ministry and sought to
of God, established by God and not man. Like Luther, he
take seriously the exposition of the Bible and the preaching
was gripped by the Pauline message of the righteousness of
of the gospel, while also taking full account of critical biblical
God, which calls into question all human righteousness.
scholarship. It was during his time as a pastor in Safenwil,
Switzerland (1911–1921), that his theological position un-
Only by listening to the Word of God and recognizing
derwent a drastic change. On the one hand, when World
God’s prior righteousness can we regain a proper foundation
War I broke out, he was deeply disturbed by the “Manifesto
for culture, morality, state, and church. Theologically this
of the Intellectuals,” “the black day” he called it, when nine-
means we must ground Christian dogmatics in the Word of
ty-three scholars and artists, including his own teachers
God and seek to interpret God out of God, as he reveals him-
Harnack and Herrmann, supported the war policy of Kaiser
self in Christ in the scriptures, and not subsume him under
Wilhelm II, which seemed to him to call into question his
our prior generic concepts, categories, and ideologies. The
colleagues’ understanding of the Bible, history, and dogmat-
task of theology is to allow revelation to shine in its own
ics. Was this where the synthesis of (German) culture and
light. The inner meaning of the resurrection of Christ, who
religion was leading the Christian church? On the other
as creator and redeemer is lord over all, is not just a word
hand, in his industrial parish, he became acutely aware of the
of hope for the future, but the action of God in vindicating
issues of social justice, poor wages, factory legislation, and
his righteous purposes in history and giving us a pledge of
trade union affairs. In 1915 he became a member of the So-
the triumph of God’s righteousness in the world. Far from
cial Democratic party, but unlike his Christian Socialist
belittling the need for social action, the resurrection, as
friends, he refused to identify socialism with the kingdom of
God’s act in establishing the Kingdom, should be for us a
God.
summons to participate in this event and engage in social ac-
tion with a passion for God’s righteousness. There must be
Throughout his life Barth endeavored to interpret the
no divorce between justification and justice.
gospel and examine the church’s message in the context of
society, the state, war, revolution, totalitarianism, and de-
There were distinctive stages in Barth’s theological de-
mocracy, over against the pretensions of man to solve the
velopment, in each of which he wrestled with the polarities
problems of his own destiny, without the judgment of the
of God and man. Nineteenth-century liberal thought too
message of the cross and the resurrection of Jesus Christ. To-
readily presupposed an inward continuity between the divine
ward the end of his life he could write, “I decided for theolo-
and the “highest” and “best” in human culture, positing that
gy, because I felt a need to find a better basis for my social
knowledge of God is given in the depths of the human spirit
action.” The fundamental question was how to relate what
in human self-understanding and inward religious experi-
the Word of God in the Bible says about the sovereignty and
ence. Barth rejected this view early in his ministry, saying
transcendence of God, grace, the coming of the Kingdom,
that we do not talk about God by “talking about man in a
the forgiveness of sins, and the resurrection of the dead with
loud voice.” At first, like Herrmann, he identified conscience
human problems. Barth voiced his concern over the bank-
with the voice of God, but increasingly he argued that the
ruptcy of much contemporary religion and theology in his
voice of God is heard only in scripture, in encounter with
commentary on Romans (Der Römerbrief, 1919), where the
Christ, the living Word. During the period of the so-called
influence of Kierkegaard, Dostoevskii, Franz Overbeck, Jo-
dialectical theology or theology of crisis, stemming from the
hann Christian Blumhardt, and Christoph Blumhardt in
second edition of Barth’s Romans, and under the influence
their attacks on institutionalized Christianity is evident. In
of Kierkegaard’s critique of Hegel, Barth stressed “the infi-
this book, which was described by a Roman Catholic theolo-
nite qualitative difference between God and man.” God
gian as “a bombshell in the playground of the theologians,”
meets us in the moment of crisis and decision, creating his
Barth seeks to summon the church back to the living God
own point of contact and summoning us to radical obedi-
of the Bible, before whom are exposed the pretensions of
ence. As he wrote in his preface, “If I have a system, it is lim-
human religion or piety, the proud sinful attempts to assert
ited to a recognition of what Kierkegaard called the ‘infinite
oneself without God. Salvation is God’s gift, and the King-
qualitative distinction’ between time and eternity and to my
dom must break in “vertically from above,” summoning hu-
regarding this as possessing negative as well as positive signif-
mankind to radical response and decision, that God’s righ-
icance: ‘God is in heaven, and thou art on earth’” (Barth,
teous purposes might be fulfilled in the world.
1933, p. 10).
Barth used Paul’s letter to the Romans for a critique of
The chasm between God and man can be bridged by
philosophical idealism, romanticism, and religious socialism.
God alone, and not by man. The Word of the cross means
If his concern was that the church should listen to the divine
that God says no to our human sin and pride and preten-
word of judgment on our political and intellectual towers of
sions, while in grace God says yes to his own good creatures
Babel, his concern throughout his life was also to assert “that
in a word of forgiveness. If in this early period Barth, like
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BARTH, KARL
791
the early Luther, stressed God’s “no” (i.e., God’s righteous-
occupied him for the rest of his life (resulting in thirteen
ness as God), his later message, like that of the later Luther,
part-volumes). In Church Dogmatics he argues that all we
became more powerfully a “yes”: God’s righteousness as a tri-
know and say about God and about humankind is controlled
umph of grace through the vicarious humanity of Jesus
by our knowledge of Jesus Christ as “true God and true
Christ. In the manner of the great medieval theologians,
man.” From this dogmatic starting point, Barth expounds
Barth saw that there are elements of negation and affirmation
the four intersecting areas of Christian doctrine: the doctrine
in all human knowledge of God, leading him to see an analo-
of the Word of God (vol. 1), of God (vol. 2), of creation (vol.
gy of “relation,” but not of “being,” between God and man
3), and of reconciliation (vol. 4). (A fifth volume, dealing
grounded in grace.
with redemption [eschatology], remained unwritten at the
In 1927 Barth began writing Christian Dogmatics, in-
time of his death.) Each of these doctrines is expounded in
tending to expound all the main Christian doctrines, by
a trinitarian framework in terms of a double movement, a
grounding all he had to say on God’s self-revelation in Jesus
God-manward movement and a man-Godward movement
Christ. The first volume was entitled Christian Doctrine in
in Jesus Christ, revealing a bipolarity in every doctrine. Fun-
Outline, Volume I: The Doctrine of the Word of God, Prole-
damental to his whole theology is the axiom by which the
gomena to Christian Dogmatics. In it he argues that possibility
ancient church expounded the doctrine of an “ontological
of Christian knowledge of God is grounded on the actuality
Trinity,” that what God is toward us in Jesus Christ, he is
of the revelation in Jesus, as he makes himself known to faith
“eternally and antecedently in himself.” By looking at Jesus
by the Holy Spirit. Such a revelation is trinitarian in charac-
Christ through the Holy Spirit, we know the heart of the
ter, having a triadic pattern. God makes himself known as
eternal Father. In Jesus Christ we see the inner meaning of
Father in Jesus Christ the Son, and to us by the Holy Spirit.
creation as well as of redemption, for Christ is the one by
The doctrine of the Trinity thus unfolds from the fact that
whom and for whom all things were created, and in redemp-
“God reveals himself as the Lord.” As such, this doctrine is
tion we see brought to fulfillment God’s filial purposes for
the starting point and grammar for all Christian knowledge
the whole human race. Consequently, our anthropology as
of God, and not merely an appendix, as in Schleiermacher.
well as our theology must be built on this christological foun-
Within this self-revelation of the triune God we can dis-
dation, not on any “natural theology,” on any independent
tinguish three forms of the one Word of God: the eternal
concept of “orders of creation,” or on any purely empirical
Word incarnate in Jesus Christ, the written Word in the wit-
concept of man.
ness of the Bible to that primary Word, and the Word of
Barth was concerned to unpack the implications of this
God as proclaimed in the church. The task of Christian dog-
Christ-centered perspective in every area of life. It proved
matics is to be faithful to this Word, and therefore to exam-
highly significant in his outspoken opposition to Hitler, to
ine the content of the church’s preaching by tracing it back
the persecution of the Jews, and to the so-called German
to its source in God, by the standard of holy scripture, and
Christians who sought to justify National Socialism and its
under the guidance of its creeds and confessions.
racist policies by an appeal to the natural orders of creation.
The reviewers of this first volume criticized Barth for so
Barth felt that this was a betrayal of the Christian under-
casting the gospel into the language of an immediate timeless
standing of grace by its appeal to sources of revelation other
encounter with God that he was in danger of dehistoricizing
than that given to us in Jesus Christ. God’s election of Israel
the gospel and transposing theology into a new philosophical
for a vicarious role among the nations finds its fulfillment
mold. Barth took this criticism seriously, having himself seen
in Jesus Christ, the Jew in whom God has broken down the
this development of dialectical theology in Rudolf Bult-
barriers between the Jews and all other ethnic groups (the
mann, and gave himself to examining the question of meth-
gentiles). Christ as Lord is head over church and state, and
od in theology by a careful study of Anselm’s Proslogion. In
to him alone we owe supreme loyalty in both spheres. The
1931 he published his results in Fide quaerens intellectum
state must be interpreted not just in terms of the orders of
(Faith seeking understanding). From Anselm he had learned
creation and preservation (as he had earlier thought), but in
that the Word of God has its own rational content in God.
terms of the orders of redemption. This found explicit for-
The polarity of God and man must be interpreted, not so
mulation in the Barmen Declaration of 1934, largely written
much in the language of an existential encounter between
by Barth. For this stand he was deprived of his university
God and man in the crisis of faith, but primarily in terms
chair in Bonn, but his theological insights and interpretation
of the given unity of God and man in Jesus Christ, the incar-
of the political scene gained him enormous prestige. Barth
nate Lord, in whom God has come—not simply in a man,
saw himself standing in the tradition of the ancient fathers
but as a man—in a once and for all reconciling act in which
of the church like Irenaeus and Athanasius, and of the Prot-
we are called to participate through the Holy Spirit.
estant reformers like Luther and Calvin, engaging in lifelong
Barth’s approach in the future was to build all theology
dialogue with liberal Protestantism on the left and Roman
on the reality of the Word of God in Jesus Christ. This led
Catholicism on the right, both of which he felt weakened the
him to turn from his Christian Dogmatics to a new work enti-
emphasis of the Bible that God accepts us by grace alone in
tled Church Dogmatics, which he began in 1932 and which
Jesus Christ.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
792
BASILICA, CATHEDRAL, AND CHURCH
BIBLIOGRAPHY
called the Eucharist, or thanksgiving, was interpreted as a re-
The best and most authoritative biography is Eberhard Busch’s
membrance and renewal of the communion experienced at
Karl Barth: His Life from Letters and Autobiographical Texts
these gatherings. The only architectural provision required
(London, 1976). On the early period of the so-called dialec-
for such a service was a dining room, so Christians in the ap-
tical theology, the most influential work was Barth’s The
ostolic age met in private houses: at Ephesus in the home of
Epistle to the Romans, translated by Sir Edwyn C. Hoskyns
Aquila and Prisca, at Laodicea in the home of Nymphas, and
(Oxford, 1933). The significance of this work is discussed in
at Colossae in the home of Philemon. The property con-
Thomas F. Torrance’s Karl Barth: An Introduction to His
Early Theology, 1910–1931 (London, 1962). Barth’s Protes-
cerned would vary from single-family buildings up to four
tant Theology in the Nineteenth Century, translated by Brian
stories high, common in the East, to apartments arranged
Cozens and John Bowden (Valley Forge, 1973), is invaluable
horizontally as in the tenements of Rome.
for understanding his European theological background.
The book that marked his transition to the later period of
In the third century the church took the step of acquir-
the Church Dogmatics is his Anselm: Fides Quaerens Intellec-
ing, either by purchase or by gift, houses of its own, and at
tum; Anselm’s Proof of the Existence of God, translated by
Dura-Europos on the Euphrates there is an actual example
I. W. Robertson (Richmond, 1960). In the Gifford Lectures
of a house modified for use by a Christian congregation.
given in Aberdeen, Barth expounded the 1560 Scots Confes-
Built shortly after the year 200, it underwent alteration in
sion in The Knowledge of God and the Service of God, translat-
231, when the room across the courtyard opposite the street
ed by J. L. M. Haire and Ian Henderson (London, 1938).
was enlarged by knocking down a wall, and a dais was insert-
His massive exposition of Christian doctrine is set out in
ed, probably for the bishop’s chair. West of the atrium there
Church Dogmatics, 4 vols., edited by Geoffrey W. Bromiley
was a chamber, possibly for the use of catechumens, and by
and Thomas F. Torrance (Edinburgh, 1956–1969). Very
the entrance was another chamber for initiation. The alter-
readable is Barth’s short Evangelical Theology, translated by
ations did not affect the character of the house as an example
Grover Foley (New York, 1963).
of local domestic architecture or the character of the Eucha-
JAMES B. TORRANCE (1987)
rist as a domestic event within the family of Christians. It
is not surprising therefore, that several writers of the period,
such as Minucius Felix and Arnobius, asserted, “We have no
BASILICA, CATHEDRAL, AND CHURCH.
temples and no altars.” The situation was to change dramati-
cally in the early fourth century.
[This entry focuses specifically on Christian houses of worship.]
Over the centuries Christians have employed different
THE NATURE OF THE BASILICA. The conversion of the
terms to denominate their religious buildings, and basilica,
Roman emperor Constantine I in the year 313 conferred on
cathedral, and church are but three of many. The word
Christianity a new role: as the state religion, it was now
church, deriving ultimately from the Greek kuriakos (“of the
charged with ensuring the well-being of the empire; its wor-
Lord”) designates a building belonging to God and, in a
ship, replacing the pagan sacrificial system, was to obtain the
sense, God’s dwelling. A church where the bishop’s throne
divine favor; the preeminence of the ruler was to be recog-
(cathedra) is located is called a cathedral, while basilica refers
nized and safeguarded; the identity of the populace as citi-
to a class of Roman public buildings predating Christianity,
zens of Rome was to be fostered. Christianity, as it were,
particularly those with royal association. In usage the three
went public, and the unpretentiousness of the private dining
terms overlap. During the early centuries of the Christian
room was out of keeping. Consequently, when Constantine
era, a cathedra was placed in a basilica, and it was not until
wrote to Bishop Macarius of Jerusalem in 326 or 327 con-
the eighth century that the word cathedral itself became cur-
cerning his project of adorning the site of the Holy Sepul-
rent. From the Middle Ages on, the word church has been
cher, he instructed him to build a basilica. This term referred
applied to parish churches, but it is also proper to speak of
to a type of Roman structure that combined religious over-
the Cathedral Church of Saint John the Divine (New York
tones with the criteria of an official building; it was a large
City) or of the Holy and Undivided Trinity Church (Bristol,
meeting hall, often containing an effigy of the emperor. The
England). The terms themselves provide no clue to the forms
Christian basilica belonged to the same genus: it was a monu-
that the edifices may take; rather, they are the result of a host
mental public edifice where devotion to God as emperor of
of factors, including the need to provide for certain functions
heaven was substituted for the imperial cult.
as well as stylistic and aesthetic influences, the availability of
Initially there was no uniform plan for basilicas, but by
materials, patronage, and climatic conditions.
the end of the fourth century there were sufficient common
ORIGINS: THE HOUSE-CHURCH. The first Christians were
features to constitute a recognizable form. Apart from Meso-
Jews who quite naturally continued to attend synagogue and,
potamia, where the basilican hall was transverse, one entered
when possible, the Temple in Jerusalem; in addition, they
through a narrow side into a rectangle, the nave, flanked usu-
had their own distinctive celebration which took the form
ally by one aisle on either side. At the opposite end there was
of a meal. Jesus had enjoyed table fellowship with his follow-
a triumphal arch leading to a semicircular apse; at the center
ers during his ministry, at the last supper, and, so it was re-
back of the apse was the bishop’s throne, with seats for the
ported, after his resurrection. The Lord’s Supper, soon to be
presbyters to the right and left and the altar in front of them
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BASILICA, CATHEDRAL, AND CHURCH
793
framed by a triumphal arch. This interior had all the charac-
became a chamber separate from the nave. The altar ceased
teristics of a path. Continuity and directionality were en-
to be freestanding, and the celebrant stood with his back to
sured by floor patterns, by the advancing row of columns,
the body of the church. If there were more than one priest,
and by the succession of windows. The altar at the end of
additional altars and side chapels were introduced: there was
the central axis provided the terminal and goal of what Chris-
no longer one altar, as had been the case in the basilica. For
tians (themselves a pilgrim people) often called the royal
larger churches and cathedrals, there were additional factors
highway. Architecturally, then, the Christian basilica was a
at work.
structure whose walls molded and defined space as a continu-
Cathedrals. By the Middle Ages, parish churches ceased
um that found its climax in the altar as the center of the eu-
to have a bishop’s throne, and even cathedrals no longer gave
charistic action. The altar was seen as a symbol of Christ, the
it prominence—as the high altar was no longer freestanding,
mediator between God and man, the meeting place of heav-
the cathedra was pushed to one side. A large number of ca-
en and earth, so it testified to the historical specificity in time
thedrals were under the direction of monks, for whom a
and space of the New Testament revelation.
fenced-off choir was fitted into the building for the saying
As centers of the state religion, Christian basilicas re-
of the divine office. A self-contained unit constituting an in-
placed the pagan temples and thus acquired the character of
dependent place was thus inserted into a system of paths.
holy places that had not been associated with the earlier
Since many of the religious were ordained, the need for extra
house-churches. This character was reinforced when, since
altars for each priest to celebrate the daily Mass was more
there was nothing in the New Testament about church
pronounced than in the parish church, and an abundance of
buildings, recourse was had to the Old Testament and to the
small chapels was created. This multiplication of altars was
account of the Jerusalem Temple in particular for guidance.
also encouraged by the practice of celebrating votive masses
Saint Peter’s in Rome, for example, would appear to have de-
(masses offered with special intentions), culminating in the
liberately followed Solomon’s model, not only with part cor-
chantry chapels, which were separate structures endowed for
responding to part but with the orientation (the apse or Holy
masses on behalf of the dead. Some chapels opened off tran-
of Holies at the west end) and even the proportions
septs, others radiated from the ambulatory encircling the east
identical.
end. This later arrangement, known as the chevet, was also
the outcome of two other influences: pilgrimages and the
Differences of detail between one basilica and another
cults of the saints. Attention had to be given to the location
did not affect the building’s essential nature as a sacred area
and means of housing the sacred relics and to the circulation
and a path. The apse might protrude, as in the western half
space necessary for the crowds who came to honor them.
of the Mediterranean, or be enclosed to create side chambers,
Some relics were enshrined within the altars, some in crypts;
as in the Middle East. The outer walls might be carried up
the ambulatory facilitated movement, as did galleries, and
to the level of those of the nave, thus making a clerestory im-
consequently many pilgrimage centers, such as Santiago de
possible and necessitating windows that opened into the
Compostela, present a much more complex plan than that
aisles and the apse, as in Asia Minor. A forecourt or atrium
of the basilica. In elevation, too, there were differences, large-
was frequent, but it was not indispensable. An external porch
ly the outcome of stylistic change.
might be favored, as in Italy, or incorporated into the struc-
Romanesque, Gothic, and Renaissance. Although
ture to create a narthex, where the catechumens had their
adapted for Christian use, the early Christian basilica is best
place, as in Greece. The roof might be steep-pitched, made
categorized as an example of Roman architecture, apart from
of wood or stone, even domed. A side chamber for initiation
the virtual neglect of the potentialities of the original Roman
might be provided, as was often the case in North Africa and
vault: the walls and ceiling had a space-shaping function pro-
Palestine, or there could be a detached baptistery adjacent to
ducing a carefully proportioned interior that was an uninter-
it, as in France or Austria. No matter what the variations,
rupted continuum of flowing space. After the year l000,
the basilica met the needs of Christian congregations so well
something essentially new in church design emerged when
that it was not modified in any important particular for a
the vault came into its own. The vault had three effects: it
thousand years and was still the recognizable prototype of the
determined the shape and form of the supports, which had
more elaborately planned churches of the later Middle Ages.
to be much larger than the columns of the basilica because
CHURCHES OF THE MIDDLE AGES IN THE WEST. Two fac-
the burden was greater; it united ceiling and walls; and it cre-
tors above all had striking effects on architecture in the Mid-
ated a series of bays, that is, individual spatial units. This last
dle Ages: a growing distinction between priests and laity and
feature of the Romanesque style attenuated the west-to-east
the definition of the essential role of the priests to be that
drive. The whole remained a path or system of paths, but it
of offering the sacrifice of the Mass. During the patristic peri-
now constituted a place in itself; a focus for gathering with
od up to about 1000 CE, the place of the clergy had been de-
a character of its own. It declared that instead of advancing
marcated by low balustrades or chancelli, but by the Middle
to meet God—the message of the basilica—the faithful live
Ages these had developed into chancel screens that virtually
in God and are embraced by God.
shut the priest off from the congregation. Indeed, by that
The nature of the Gothic style, which succeeded Ro-
time many churches consisted of two rooms, as the sanctuary
manesque particularly in England, France, and Germany
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
794
BASILICA, CATHEDRAL, AND CHURCH
from the mid-twelfth to the early fifteenth century, was simi-
parish churches, the dome came with it, and preference was
larly determined by the vault, but now the round Roman
given to a centralized plan constructed according to the bal-
arch was replaced by a pointed one, derived possibly from
dachin principle. A baldachin, or ciborium, is a dome carried
mosque architecture, familiar through the Crusades and the
on four columns. No load-bearing walls are needed between
reconquest of Spain from the Muslims, and adopted for aes-
these four columns, and so the spaces can be perforated, re-
thetic reasons rather than, as nineteenth-century art histori-
placed by columnar screens, or simply eliminated, reducing
ans believed, for its structural convenience. The pointed arch
the enveloping system to a mere skin stretched on a skeleton.
and the corresponding crisscrossing ribs turned the vault into
Churches of this type are planned from the top downward,
a composition of triangles and diamonds; diagonality be-
that is, the lower parts exist simply for the dome and would
came prominent. The effect was to turn the supports into
be meaningless without it. The general effect is that of a
two juxtaposed V’s, one jutting out into the nave and the
hanging architecture: the vault has no apparent weight of its
other into the aisle, so replacing the flatness of Romanesque
own; the columns are conceived not as supports but as pen-
with projection. Verticality became the predominating fac-
dulous roots; the space radiates downward. Heaven, repre-
tor, but this heavenward movement was balanced by a hori-
sented by the dome, condescends to earth, which corre-
zontal progression in that the bays were no longer indepen-
sponds to the flat pavement: incarnation is given
dent but interlocked, and the nave became a way from
architectural expression. But this is incarnation understood
expectancy to fulfillment. Every Gothic church or cathedral
not in the sense of the divine veiled in human flesh but in
corresponded in a sense with one of the greatest literary cre-
the sense of the material transfigured, because in and through
ations of the age, namely the Commedia of Dante, who re-
it the divine is made visible. The mosaics, which ideally
counted how he was led ever onward and upward to the be-
should clothe every surface within a Byzantine church, as in
atific vision.
Saint Mark’s in Venice, affirm this transfiguration: while re-
maining themselves, the natural substances become spirit-
A further stylistic change took place at the beginning of
bearing; the material reality is integrated with the divine life
the fifteenth century with a rebirth of classical culture. This
that pours down from above, and glory is made visible.
development derived from a careful study of the writings and
ruins of ancient Rome, coupled with an imaginative recre-
While the dome was the characteristic feature of such
ation of that past era as a “golden age” in which consolation
churches, there was some variety in substructure, but the
and refreshment could be sought. The entire Roman archi-
most popular became a quincunx. This is divided into nine
tectural vocabulary was pressed into service to articulate the
bays, with a central large square dominated by the principal
walls and later the three-dimensional shapes of the buildings.
dome. This domed square is abutted by four rectangular bays
There was an overriding concern for proportion and harmo-
that are usually barrel-vaulted, and at each of the four corners
ny. The intention was to make churches to human scale be-
there is a small square, usually domed. To provide for the
cause human beings are in the image of God, to create an
liturgy, an apse appears at the east end, generally flanked by
architecture in which they could move naturally. Hence the
side chambers, while at the west end there is a porch or nar-
change from the dominating verticality of the Gothic style
thex; galleries too are common. External decoration was
to horizontality. There was no longer the propulsion of the
much increased, and domes of different sizes and height were
early Christian drive to the east or the slow progression of
juxtaposed, as seen at the Church of Saint Sophia in Novgo-
Romanesque bays. In a Renaissance church one is at ease be-
rod. Beginning in Russia toward the end of the fourteenth
cause one is the measure of it all. There is peace and serenity
century, a solid screen—the iconostasis—covered with pic-
since the whole is a single self-contained hall; there is mini-
tures of the saints and scenes from the Bible, shuts off the
mal movement, and the church is best perceived as a place,
sanctuary, thus entirely blunting any suggestion of a horizon-
concentrated in form, reality comprehensible in shape, limit-
tal axis or of a path. These churches then became holy places
ed in size, a focus for assembly and quite evidently to be ex-
with all the features they require: union with the divine in
perienced as an interior volume, in contrast to a surrounding
wrapt contemplation tends to replace the movement associ-
exterior. These characteristics of place apply even more pre-
ated with pilgrimage. Gradually this uniform architectural
cisely to the churches of Eastern Orthodoxy.
vocabulary began to break down in certain areas such as Bul-
THE CHURCHES OF EASTERN ORTHODOXY. For the first
garia and Russia. Plans then became more diversified when,
flowering of the Byzantine style, from which all later Ortho-
for example, a centralized sanctuary was fused with a basilica-
dox buildings derive, it is necessary to return to the sixth cen-
type nave.
tury, when there was a decisive break with the basilican tradi-
THE COUNTER-REFORMATION AND BAROQUE. It was in
tion. Just as later the combination of the Roman groin vault
1054 that the eastern and western halves of Christendom
with the basilica was to produce the Romanesque church,
split in the Great Schism, but even more fragmentation was
under the emperor Justinian (527–565) it was the alternative
to come in the sixteenth century with the Protestant Refor-
form of Roman vault, the dome, that became favored in the
mation, which had profound effects on churches and cathe-
East. Ideologically the dome was perceived as a symbol of
drals. First to be noted is the Roman Catholic Church reac-
heaven and so was regarded as suitable for tombs, baptis-
tion to the Protestants—the Counter-Reformation—which
teries, and martyria. When the cult of the saints came to the
found artistic expression in the Baroque style.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BASILICA, CATHEDRAL, AND CHURCH
795
With the Counter-Reformation in full spate in the latter
the word, using the second of the two medieval rooms, the
half of the sixteenth century, church buildings began to con-
sanctuary, for the ministry of the sacrament.
vey ecclesiastical self-assurance and authority. Power and ex-
uberance were embodied in physical structures. Facades ac-
As time passed and additional churches were planned,
quired a new propaganda function, both proclaiming the
Protestants in general tended to favor some kind of central-
confidence of the church in an awe-inspiring manner and
ization to express the idea of the gathered congregation. Lu-
seeking to persuade and entice those who regarded them to
therans brought table, pulpit, and font together to produce
come inside. The interior was equally designed to impress:
the Prinzipalstück, or triple liturgical focus, at the east end.
the use of the oval plan, combining the centralized effect of
Anglicans approved of the auditory church devised by Chris-
a circle with an eastward thrust, produced dynamic tension
topher Wren (1632–1723): elongated chancels and promi-
that allowed no repose. There was a planned movement
nent side aisles were suppressed to produce a single volume
through space; in the drive to the high altars, the aisles,
of such a size that all present could both hear and see what
which might have distracted from the importance of the
was taking place. Other denominations adopted plans that
nave, were reduced to a series of side chapels, and the tran-
were both modest and domestic in character; many an early
septs, likewise, to mere bulges.
Quaker meetinghouse, for example, is externally indistin-
guishable from a private dwelling: in a sense the wheel had
On the main altar there was now a tabernacle, or recep-
come full turn. Stylistically the buildings followed the cur-
tacle, for the reserved sacrament. To celebrate this localized
rent fashion, although preference began to be given to the
presence of the divine, the church borrowed from both the
restrained classicism that had been popularized by Wren and
court and the theater. This was the period of the emergence
which in England represented the influence of the Renais-
of nation-states, each with its own monarch enjoying mag-
sance as mediated through the Italian architect Andrea Palla-
nificent apartments and ceremonial. Since God is the king
dio (1508–1580). Baroque, with its implicit triumphalism,
of kings, his residences were to display even more splendor—
did not appeal to the heirs of the Reformation, but most
all the visual arts being fused to achieve this—while the litur-
if not all were eventually to succumb to architectural re-
gy became the etiquette of the heavenly ruler. At the same
vivalism.
time the Mass became the religious equivalent of the princi-
T
pal artistic creation of the age, namely the opera. The main
HE GOTHIC REVIVAL IN ENGLAND. Once the task of the
architect was conceived to be the reproduction of the styles
devotional act was now the exposition of the reserved sacra-
of a former age, then there appeared to be no reason why any
ment: the displaying, at the end of a magnificent scenograph-
one epoch should be given preference. In Germany, for ex-
ic approach, of the consecrated Host to the assembly.
ample, the Rundbogenstil (Romanesque style) was favored. In
Within this divine theater, every worshiper was assigned
England there is the Church of Saint Mary at Wilton, Wilt-
an active role. One was made aware that the earthly interior
shire (1840–1846), complete with freestanding Italianate
was in communication with heaven above since the vast illu-
campanile. It is, however, the Gothic style that most com-
sionistic ceiling paintings denied enclosure and gave access
mended itself in the end. The adherents of this late eigh-
to the throne of God. This was the style that spread through-
teenth-century style rested their case on a number of vigor-
out the Roman Catholic Church, becoming even more deco-
ously argued but largely untenable beliefs. First, they held
rative than in Italy when it passed to Spain and its colonies
that national churches should promote whatever is the main
in the New World, where miners and slave owners sought
national style, and this they identified in Great Britain as
to honor God and thank him for the treasures they believed
Gothic—in ignorance of the fact that it had originated in
he had bestowed on them.
France. Second, they maintained that every religion produces
its own architectural style that best expresses its character;
THE CHURCHES OF PROTESTANTISM. One of the organs of
Greek temples, for example, were deemed to embody pagan-
the Counter-Reformation had been the Council of Trent
ism and therefore to be unsuited for Christianity. Wedded
(1545–1563), which reaffirmed many medieval theological
to this consideration was a third conviction that architecture
ideas, among them the view that the essence of Christian
mirrors the spirit of the age in which it is produced and that
priesthood is to offer the sacrifice of the Mass. Protestants
consequently, the Gothic of the thirteenth century, which
reacted strongly against this position, emphasizing the fel-
was held to be the “age of faith” is to be recognized above
lowship aspect of the Eucharist and the importance of
all others as the Christian style.
preaching while lowering the barrier between clergy and
laity. These three factors were to have important results in
The Gothic revival appealed to many because of a con-
the building of churches, but in the early decades after the
temporary emphasis on spirituality, on sacramentality, on
Reformation few new structures were erected; rather, the
ritual rather than preaching, and on the visual and decorative
main architectural activity consisted in adapting those build-
elements that went with that emphasis. From 1839 to 1845,
ings taken over, for example, by the Calvinists and Anglicans.
the Cambridge Camden Society, with the Ecclesiologist as its
The former destroyed rood screens, brought the pulpit into
organ, campaigned all over England for the restoration of ex-
the midst of the congregation, and similarly advanced the
isting churches that did not conform to its ecclesiastical can-
baptismal font. The latter used the nave for the ministry of
ons, and for the designing of new churches with extended
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
796
BASILICA, CATHEDRAL, AND CHURCH
chancels, screens, and a clear division of sanctuary from nave.
The main characteristic of the period prior to Vatican
Three-decker pulpits were reduced to a single level; box pews
II, in all denominations, was the progressive abandonment
were replaced by benches all facing the altar; the empty space
of the rectangular plan in favor of a design based on the
in the architectural choir was filled with a robed singing
square, as seen in the Church of Saint James the Fisherman,
choir.
Cape Cod, Massachusetts, or Saint Paul’s Church, Bow
Common, London (1960). At the same time, experimenta-
Beginning with Anglicanism but soon influencing
tion was at its height, leading to a great variety of shapes and
Roman Catholicism, this movement quickly spread to affect
often, under the influence of Le Corbusier’s pilgrimage chap-
all denominations. Methodism and Congregationalism in
el at Ronchamp, northeastern France (1950–1955), to asym-
particular followed suit, though probably more for social
metry. There was, in fact, a temptation for architects to seek
than theological reasons: they wanted their buildings to look
to display their individual genius in buildings that were mon-
like “churches.” Inside, however, their arrangement re-
umental in conception.
mained more “protestant” in that it featured a central pulpit
on a rostrum and galleries, thus laying stress on the word
The tenets of the liturgical movement, already operative
rather than the sacrament and giving the building something
within and outside the Roman communion—they were visi-
of the appearance of an auditorium.
bly embodied in the North Christian Church, Columbia
City, Indiana (1964)—were fully endorsed by Vatican II,
Gothic revivalism was to spread throughout the
which began its sessions in October 1962. A complete break
world—from the United States to Australia, from New Zea-
with the monumental image was now promoted; church
land to Iran. Failing to distinguish the gospel from its em-
buildings were expected to be at the “service” of the congre-
bodiment in Western cultural forms, Christians rejected in-
gation. The altar was no longer regarded as the unique pole.
digenous architecture as primitive and even essentially pagan.
To integrate word and sacrament, emphasis was now also
Hence there appeared in Kuala Lumpur in Malaysia a com-
placed on the pulpit or lectern and the teaching chair. A
plete Gothic cathedral, and a similar alien immigrant en-
growing ecumenical consensus and an acceptance of com-
shrines the tomb of the apostle Thomas in Madras, India.
mon principles so influenced church buildings that many
CHURCH BUILDINGS IN THE TWENTIETH CENTURY. Reviv-
could not now be identified in denominational terms. It is
alism continued into the twentieth century, although it was
possible to visit churches in Switzerland or the United States
being hotly contested by many architects. Indeed, it was not
and be unaware of which belong to the reformed tradition
until the 1920s that the ideals of the modern movement in
and which to the Roman Catholic. Nevertheless, differences
architecture began to be related to those of the liturgical
may be detected; Unitarians, for example, generally lay less
movement within Roman Catholicism. The technical
stress on sacraments than do Episcopalians. As a result, Uni-
achievements of the modern movement were first utilized in
tarian churches are likely to limit or even to give no promi-
the reinforced concrete church of Le Raincy near Paris
nence at all to the altar, instead emphasizing the pulpit; this
(1923). The principles of the liturgical movement found ex-
was the case with Frank Lloyd Wright’s influential design for
pression in the hall of the Catholic Youth Movement head-
the Unity Temple (now Unitarian Universalist Church) in
quarters at Schloss Rothenfels-am-Main in Germany (1828).
Oak Park, Illinois, as long ago as 1904–1906.
This was a large rectangular space devoid of decoration and
Since 1970 the architectural scene has not remained
furnished with a hundred black cubical stools. For a liturgical
static. There has been a recognition that a variety of build-
celebration a provisional altar was set up, the faithful on
ings are needed for use as pastoral centers or to accommodate
three sides of it, and the president completed the circle by
small groups, medium-sized congregations, and large assem-
facing them across the table. This arrangement embodied the
blies. Indeed, what some would regard as bizarre designs have
principles that the Mass should be the central Christian act
been realized; such was the drive-in church planned by Rich-
of devotion, that it should be intelligible, with a unity of
ard Neutra in 1959 for the Garden Grove community of Or-
word and sacrament, and that it should be corporate. The
ange City in southern California, which was superseded by
space for the altar and that for the congregation were united
Philip Johnson’s crystal cathedral opened in September
in a single volume. When this was translated into parish
1980. The importance of mobility and flexibility has been
church terms—for example, in the Church of Corpus Christi
acknowledged, with a consequent effect on furnishings and
in Aachen, Germany (1928–1930), which was to have a po-
seating. The responsibility of the Christian community, not
tent influence on design throughout the decade before
only to its own members but to the larger community within
World War II—it resulted in a narrow rectangle with the
which it is set, has also led to the development of the idea
altar somewhat isolated. Because the fundamental concept
of the multipurpose church, that is, one that accommodates
was that the building should be planned from the altar out-
not only worship but also other services for those in the
ward, this article of furniture was required to be a large, static
neighborhood who are in need.
object that constituted the visual and monumental focus of
the entire space. The persistence of this view into the 1960s
Reuse and reordering have also become important is-
is evidenced by the chapel of Saint John’s Abbey in Col-
sues. The decline in attendance at worship in some areas and
legeville, Minnesota (1963).
the movement of population in others (especially 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
BASIL OF CAESAREA
797
inner city) have made many churches virtually redundant.
Scott, Robert A. The Gothic Enterprise: A Guide to Understanding
Some churches of little architectural or townscape interest
the Medieval Cathedral. Berkeley, Calif., 2003.
have been demolished, while others have been adapted as li-
White, L. Michael. Building God’s House in the Roman World: Ar-
braries, museums, cultural centers, even dwelling places.
chitectural Adaptation among Pagans, Jews, and Christians.
Where a viable liturgical life is being maintained, there is
Baltimore, 1990.
often the need to redesign the interior of a building that was
White, L. Michael. The Social Origins of Christian Architecture. 2
originally planned to accommodate hieratic forms of worship
vols. Valley Forge, Pa., 1997.
now regarded as belonging to the past. Beliefs, worship prac-
J. G. DAVIES (1987)
tices, and architecture continue to march in inextricable part-
Revised Bibliography
nership, sometimes, but by no means always, producing less-
than-major monuments, sometimes creating works of con-
siderable beauty, in all cases and in all periods representing
BASIL OF CAESAREA (c. 329–379), called “the
varying and valid traditions within the Christian denomina-
Great”; Christian theologian, bishop of Caesarea (modern
tions.
Kayseri, Turkey), and one of three great Cappadocian fathers
of the church (together with his friend, Gregory of Nazian-
SEE ALSO Architecture; Monastery; Pilgrimage, articles on
zus, and his younger brother, Gregory of Nyssa).
Eastern Christian Pilgrimage, Roman Catholic Pilgrimage in
Europe, and Roman Catholic Pilgrimage in the New
Basil was born into a deeply Christian family of high so-
World; Relics; Religion; Shrines; Tombs; Worship and De-
cial standing and extensive possessions. His grandmother
votional Life, article on Christian Worship.
Macrina, his parents Basil and Emmelia, his older sister
Macrina, and his younger brothers Gregory of Nyssa and
BIBLIOGRAPHY
Peter of Sebaste are venerated as saints in both the Eastern
Blunt, Anthony, et al. Baroque and Rococo: Architecture and Deco-
Orthodox and Roman Catholic churches. Basil received a
ration. London, 1978.
Christian education from childhood; his father, who was a
Conant, Kenneth J. Carolingian and Romanesque Architecture, 800
rhetor, also gave him the beginnings of his secular training.
to 1200. 3d ed. Harmondsworth, U.K., 1973.
After the early death of his father, Basil continued his sec-
Davies, J. G. The Secular Use of Church Buildings. New York,
ondary education in Caesarea (c. 345–347) and then pur-
1968.
sued further studies in rhetoric and philosophy in Constanti-
Davies, J. G. Temples, Churches and Mosques. A Guide to the Appre-
nople (c. 348–350), where he was probably a student of the
ciation of Religious Architecture. New York, 1982.
famous pagan rhetor Libanius. Finally, he studied, together
Debuyst, Frédéric. Modern Architecture and Christian Celebration.
with Gregory of Nazianzus, in Athens (c. 350–355). Return-
London, 1968.
ing home, Basil seems to have taught rhetoric for a short
Frankl, Paul. Gothic Architecture. Harmondsworth, U.K., 1962.
time, but soon gave up a promising worldly career for the
Hammond, P. Liturgy and Architecture. London, 1960.
Christian ascetic ideal.
Kennedy, Roger G. American Churches. New York, 1982.
In accordance with the fourth-century custom of late
Krautheimer, Richard. Early Christian and Byzantine Architecture.
baptism—even in fully Christian families—Basil was bap-
Harmondsworth, U.K., 1965.
tized and ordained a reader of scripture in Caesarea by Bish-
Murray, Peter. The Architecture of the Italian Renaissance. London,
op Dianius, undertook a tour of monastic settlements in
1963.
Syria, Mesopotamia, Palestine, and Egypt (c. 356–357), and
New Sources
then joined his mother and his sister Macrina in a semi-
Anderson, William. The Rise of the Gothic. London, 1985.
eremitical type of asceticism on a family estate at Annesi in
Binding, Günther, and Uwe Dettmar. High Gothic: The Age of the
Pontus. Dianius’s successor, Eusebius, ordained Basil a priest
Great Cathedrals. Cologne and New York, 1999.
(c. 364), and he soon became the actual leader of the diocese.
Branham, Joan Rebekah. “Sacred Space in Ancient Jewish and
After the death of Eusebius (c. 370), Basil was elected bishop
Early Medieval Christian Architecture.” Ph.D. Diss., Emory
of Caesarea and as such became metropolitan of Cappadocia.
University, 1993.
He fulfilled his office in an exemplary manner and extended
Dragan, Radu, and Augustin Loan. Symbols and Language in Sa-
his pastoral care to all aspects of the life of the church. He
cred Christian Architecture. Translated by Christina Ilina
led the faithful, especially through his sermons, to a deeper
Salajanu. New York, 1996.
understanding of their Christian faith. He supported the
Greenacre, Roger. The Sacrament of Easter. Grand Rapids, Mich.,
needy with social institutions, financed in great part from the
1995.
selling of his possessions. He gave direction to the thriving,
Hill, Stephen. The Early Byzantine Churches of Cilicia and Isauria.
but often “sectarian” monastic movement and integrated it
Aldershot, U.K., 1996.
within the Christian community as a whole. He worked un-
Kieckhefer, Richard. Theology in Stone: Church Architecture from
ceasingly against doctrinal and political divisions within the
Byzantium to Berkeley. Oxford and New York, 2004.
Eastern church and between Eastern and Western Christian-
Mancinelli, Fabrizio. Catacombs and Basilicas: The Early Christians
ity. Consumed by hard discipline and labors, he died on Jan-
in Rome. Translated by Carol Wasserman. Florence, 1981.
uary 1, 379.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
798
BASIL OF CAESAREA
Because of the respect he enjoyed during his lifetime,
nomius), and the equal glory of the Holy Spirit against the
Basil’s works have been relatively well preserved. They reveal
so-called Pneumatomachians (“fighters against the spirit”),
both his own quest for Christian perfection and his concerns
even though, to the disappointment of his friends, he did not
as leader of the church. The Philokalia, apparently published
demand an explicit confession of the divinity of the Holy
posthumously, is an anthology of excerpts from Origen’s
Spirit. Clearly asserting, however, both the unity of the di-
writings, compiled by Basil and Gregory of Nazianzus during
vine essence (ousia) and the distinction of the three persons
their retirement in Annesi. It reflects their critical assimila-
(hupos-taseis: that is, Father, Son, and Holy Spirit), Basil an-
tion of the theology of Origen and preserves many of his
ticipated the definitive formulation of the trinitarian faith by
texts in the original Greek. In this same period he composed
the Council of Constantinople (381).
the Moralia, an anthology of more than 1,500 verses of the
Basil had a profound and far-reaching influence on both
New Testament, distributed under eighty headings (rules),
Eastern and Western Christianity. His trinitarian faith, fur-
as guidelines for a perfect Christian life; it is directed, for the
ther clarified by the other two great Cappodocians, became
most part, to all believers, not only to monks and clergy. It
normative for subsequent Christianity, and a basis for over-
was originally published with a preface, On the Judgment of
coming the divisions of the church that arose from the trini-
God, to which Basil later added a second preface, On the
tarian controversies. Eastern monasticism, of crucial impor-
Faith. During Basil’s years as a priest he composed his “little”
tance throughout the history of the church, still follows (with
Asceticon (preserved in the Latin translation of Rufinus); the
modifications) the rule of Basil, which was also one of the
full version (the “great” Asceticon), completed during his later
important resources of Western monasticism. The so-called
years as a bishop, consists of fifty-five “longer rules,” or sys-
“Liturgy of Saint Basil,” still in use in the Eastern church,
tematic regulations of the cenobitic life (i.e., monastic life in
originated in his practice and writings. There can be no
a community) and 313 “shorter rules,” or practical answers
doubt that his life and teaching have been a source of inspira-
to the questions emerging in such communities.
tion for many Christians through the ages.
Basil’s numerous letters (366 of which have been pre-
served) cover his life from the time of his return from Athens
BIBLIOGRAPHY
and contain precious information on the history of the
Works by Basil of Caesarea
church in the fourth century. His sermons are more difficult
The only complete edition of the works of Basil in the original
to date; some were preached during his priesthood, but the
Greek with parallel Latin translation is that prepared by Ju-
majority during his episcopate. Particularly famous are the
lien Garnier and Prudentius Maran in 3 volumes (Paris,
nine Homilies on the Hexaemeron (i.e., on the story of cre-
1721–1730), reprinted in J.-P. Migne’s Patrologia Graeca,
ation in six days according to Genesis).
vols. 29–32 (Paris, 1857, 1886). The photomechanical re-
prints of these volumes (Turnhout, 1959–1961) contain new
The most important of his dogmatic works are Against
introductions by Jean Gribomont, giving a survey of all edi-
Eunomius (c. 364), a refutation of extreme Arianism (books
tions and translations of Basil’s works, with information on
4 and 5 are not by Basil), and his substantial treatise On the
authenticity and chronology. A complete listing of Basil’s
Holy Spirit (c. 375), which is directed against those who de-
works, indicating the best edition for each, with information
nied that equal glory is to be given to the third person of the
as to authenticity, is given in Maurice Geerards’s Clavis
Trinity. The small treatise On the Spirit, a radical rewriting
Patrum Graecorum, vol. 2 (Turnhout, 1974), pp. 140–178.
in the sense of the Christian Trinity of Ennead 5.1 of Ploti-
Basil’s works can be found in English translation in Letters and Se-
nus (“founder” of Neoplatonism, c. 205–270), is probably
lected Works, translated by Blomfield Jackson, “Select Library
not by Basil, although it seems to have influenced him. Par-
of Nicene and Post-Nicene Fathers,” 2d series, vol. 8 (1886;
ticularly revered from the time of the European Renaissance
reprint, Grand Rapids, Mich., 1978–1979); The Ascetic
Works, translated by W. K. L. Clarke (London, 1925); Let-
is Basil’s short treatise, To the Young, on How They Might De-
ters, 4 vols., edited and translated by Roy J. Defarrari, “Loeb
rive Benefit from Greek Literature, written probably in the last
Classical Library” (Cambridge, Mass., 1926–1934), volume
years of his life.
4 of which also contains the Address to Young Men on Reading
Basil’s theology is both “theoretical” (i.e., contempla-
Greek Literature (pp. 363–435); Ascetical Works, translated
by Monica Wagner, “Fathers of the Church,” vol. 9 (Wash-
tive) and “practical” (i.e., giving guidance for life). The strife-
ington, D.C., 1950); Letters, translated by A. C. Way, “Fa-
torn situation of the contemporary church, according to
thers of the Church,” vols. 13, 28 (Washington, D. C.,
him, results primarily from the failure of Christians to live
1951–1955); Exegetic Homilies, translated by A. C. Way,
according to their faith (see On the Judgment of God). Only
“Fathers of the Church,” vol. 46 (Washington, D. C., 1963);
the grace of Christ and the guidance of the Holy Spirit can
and Saint Basil on the Value of Greek Literature, edited and
accomplish salvation, but in order to receive this, one should
translated by Nigel G. Wilson (London, 1975).
live according to God’s precepts as manifested in the gospel,
Works about Basil of Caesarea
especially the two greatest commands, the love of God and
Basil of Caesarea: Christian, Humanist, Ascetic; A Sixteen-
of neighbor. Insisting on fidelity in practice, Basil was equal-
Hundredth Anniversary Symposium, 2 vols., edited by Paul
ly concerned with the purity of faith. He defended the divini-
Jonathan Fedwick (Toronto, 1981), contains papers pres-
ty of the Son against the denial of the Arians (especially Eu-
ented at an international symposium held in Toronto, June
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BATAK RELIGION
799
10–16, 1979, on all major aspects of Basil’s life, works,
in populous spirit worlds before they “discovered that there
thought, and influence, by leading specialists, with extensive
was only one God.” In other words, “traditional Batak reli-
bibliography.
gion” is in large part a figment of the contemporary Batak
D
imagination. It is safe to say, however, that the Batak reli-
AVID L. BALÁS (1987)
gions practiced before the 1820s (when Islam entered the
southern Angkola and Mandailing homelands) and the
1850s and 1860s (when Protestant Christianity was intro-
BATAK RELIGION. The Batak societies, located
duced to Angkola and the Toba region by Dutch missiona-
around Lake Toba in North Sumatra, are among the more
ries and the German Rheinische Mission Gesellschaft) shared
than three hundred ethnic minorities of Indonesia. Batak re-
many symbolic complexes with the related indigenous reli-
ligion, like Batak culture as a whole, is ethnically diverse, syn-
gions of Kalimantan’s Dayaks, Sulawesi’s highland societies,
cretic, changing, and bound at once to both village social or-
and the people of eastern Indonesia.
ganizational patterns and the monotheistic national culture
In all these regions, certain assumptions about the na-
of Indonesia. Like many religious traditions of Indonesia,
Malaysia, and the Philippines, Batak myths and rituals focus
ture of the universe permeated village religion. Binary oppo-
on the yearly cycle of rice cultivation activities and the local
sitions between life and death, humans and animals, the vil-
kinship system. Batak religions tie these two realms to a larg-
lage and the forest, metal and cloth, masculinity and
er cosmological order, which is then represented in various
femininity, and warfare and farming were recurrent themes
religious art forms (traditional house architecture, village
in ritual and myth. Both human and agricultural creativity
spatial layout, and wood sculpture) and ritual activities
and fertility were thought to come from the temporary, in-
(dances, oratory, and gift-giving ceremonies). Batak kinship
tensely powerful union of such complementary opposites as
revolves around marriage alliances that link together lineages
life and death, masculinity and femininity, and so on. Also
of patrilineal clans, called marga. This marriage system,
important was the notion that the two opposing categories
which involves ritually superior and “holy” wife-providing
were aboriginally one. Ritual often endeavored to unite for
lineages and their ritually subordinate, “mundane” wife-
a moment the binary opposites and then control the result-
receiving lineages, is much celebrated in the indigenous
ing release of power from the center. (For instance, at Batak
Batak religions. Many village rites of passage, for instance,
weddings the bride-giving faction bestows ritual textiles on
are largely occasions for eulogizing this asymmetrical mar-
their bride-receivers while the latter bestow counter-gifts of
riage alliance system through hours of ritual oratory. Beyond
metal and livestock. Such exchanges foster fertility in the
these very localized ethnic patterns, however, Batak religious
marriage.) The Batak societies took these familiar pan-
life extends outward into the world religions: the large major-
Indonesian concepts and fit them to their particular social
ity of homeland Batak and virtually all migrants to cities in
structure. Toba origin myths, for instance, tell of a first
Sumatra and Java are Muslim or Christian. In fact, the Batak
human, Si Raja Batak, who fathered two sons (Guru Tatea-
are stereotyped in Indonesia as uncommonly pious mono-
bulan and Raja Isumbaon), who in turn fathered the ances-
theists; both the southern Batak Muslim pilgrim to Mecca
tors of the major Toba patrilineal clans. Related myths tell
and the Toba Batak Protestant minister are stock characters
of the origin of farming and weaving and link clan clusters
in the national dramatis personae when members of other eth-
to certain valleys and upland regions. Other Toba myths
nic groups think of these Sumatran peoples. In this mono-
warn of the consequences of clan incest and marriages that
theistic environment, Batak village religion has undeniably
violate the asymmetrical alliance rules (men should not
lost some of its social and symbolic scope. However, through
marry women from lineages that serve as their traditional
an inventive reinterpretation of symbols, other sectors of vil-
wife-receivers).
lage belief and ritual continue to thrive in new forms.
All Batak religions had extensive soul concepts and gen-
There are six major Batak societies in the homeland re-
erally posited a personal soul that could fragment when star-
gion around Lake Toba. These societies are similar in village
tled and escape from a person’s head to wander haplessly in
social structure and subsistence base (paddy rice farming
the countryside until recalled to his body in special soul-
with some dry field agriculture) but speak different dialects
capture ceremonies. Datu or guru¯ were diviner-sorcerers who
of Batak and have distinct ritual systems. These societies are
performed such religious cures and also served the village
commonly called the Toba Batak, Karo Batak, Pakpak and
chiefs as “village protection experts” in times of warfare, epi-
Dairi Batak, Simelungun Batak, Angkola and Sipirok Batak,
demic, or crop failure. Sacrificial rituals were central to the
and the Mandailing Batak (although some “Batak” rarely call
datu’s protective tasks; in a few areas there may have been
themselves Batak). Their pre-monotheistic religions are im-
occasional ritual cannibalism (a point that is hotly debated
possible to reconstruct in detail from current evidence be-
among Batak today). Common myth images include magic
cause Islam and Christianity have reshaped village ritual and
numbers, constellations of stars, the magic colors red, white,
folk memories of the past so thoroughly. It is common, for
and black, the baringin tree (the banyan tree seen as the cos-
instance, for committed Muslim and Christian Batak to
mic tree uniting the layers of the Batak cosmos), the singa
speak disparagingly of their “pagan” ancestors, who believed
(a powerful monster that is part human, part water buffalo,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
800
BATHS
and part crocodile or lizard), the cosmic serpent Naga Pado-
the Batak Peoples,” Indonesia 2 (October 1966): 161–184,
ha, the hornbill, and aboriginal boy-girl twins. In Toba and
is a valuable guide to the main research before the mid-
Karo such images animated an extensive range of art forms,
sixties, and the bibliographies in Beyond Samosir: Recent
including carved wooden sorcerers’ staffs, textiles, funerary
Studies of the Batak Peoples of Sumatra, edited by Rita Smith
masks, and megalithic monuments. These art forms, and the
Kipp and Richard D. Kipp (Athens, Ohio, 1983), provide
larger religions surrounding them, also drew on Indian be-
references to the mid-1980s, a period of much American an-
thropological fieldwork in the area. Jacob Cornelis Vergou-
liefs; like many Indonesian cultures the Batak came into con-
wen’s The Social Organization and Customary Law of the
tact with Hinduism and Buddhism via possible trading colo-
Toba-Batak of Northern Sumatra (1933), translated by Jeune
nies near Barus, a temple community near Portibi, and
Scott-Kemball (The Hague, 1964), remains the premier de-
through influence from the indianized ancient kingdoms of
scriptive ethnography of a Batak culture, with much infor-
south Sumatra.
mation on non-monotheistic rituals and beliefs. Some arti-
Contact with the monotheistic religions varies consider-
cles and monographs by anthropologists reflect a shift in
research toward Batak symbol systems: Rita Smith Kipp’s
ably from Batak society to society. Karo is an area of fairly
“The Thread of Three Colors: The Ideology of Kinship in
recent conversions, with many animists. In this mixed Mus-
Karo Batak Funerals,” in Art, Ritual, and Society in Indonesia,
lim and Protestant region, Christian proselytizing gained
edited by Judith Becker and Edward M. Bruner (Athens,
some converts in the 1930s, but the major switch to mono-
Ohio, 1979), discusses Karo religion in its marriage alliance
theism has come since 1965 as a result of the national gov-
context; I discuss religious syncretism and change in Adat,
ernment’s identification of Indonesian patriotism with belief
Islam, and Christianity in a Batak Homeland (Athens, Ohio,
in a monotheistic religion. Toba is overwhelmingly Protes-
1981). Two major collections of anthropological essays on
tant; the original, German-sponsored missionary church, the
similar religious and social systems from other regions of In-
HKBP (Huria Kristen Batak Protestan), has its headquarters
donesia provide invaluable comparative material: The Flow
in Tarutung. During the Padri Wars in the 1820s Minangka-
of Life: Essays on Eastern Indonesia, edited by James Fox
(Cambridge, Mass., 1980), and The Imagination of Reality:
bau Muslims brought their religion to the southern Angkola
Essays in Southeast Asian Coherence Systems, edited by A. L.
and Mandailing homelands; today, Mandailing is entirely
Becker and Aram A. Yengoyan (Norwood, N.J., 1979).
Muslim while Angkola is about 10 percent Protestant and
90 percent Muslim.
New Sources
Becker, Dieter, ed. Mit Worten kocht man keinen Reis: Beiträge aus
During the Suharto regime, the HKBP church has
den Batak-Kirchen auf Nordsumatra. Wuppertal, 1987.
splintered into the parent church and a number of bickering
Goes, Beatriz van der. “Beru Dayang: The Concept of Female
class- and ethnicity-based new denominations. In religiously
Spirits and the Movement of Fertility in Karo Batak.” Cul-
mixed areas, members of the churches tend to align them-
ture Asian Folklore Studies 56, no. 2 (1997): 379–405.
selves with Muslim families along class lines. In Angkola, for
Kipp, Rita Smith. Dissociated Identities: Ethnicity, Religion, and
instance, where pre-national society was divided into an aris-
Class in an Indonesian Society. Ann Arbor, Mich., 1993.
tocracy, commoners, and slave descendants, Muslims from
Kipp, Rita Smith, and Susan Rodgers, eds. Indonesian Religions in
noble families often find political allies among highborn
Transition. Tucson, 1987.
Christians. Early conversions in the 1850s and 1860s
brought large numbers of slave descendants into the church,
Steedly, Mary Margaret. Hanging without a Rope: Narrative Expe-
while later Dutch colonial policy led to favoritism for village
rience in Colonial and Postcolonial Karoland. Princeton,
1993.
chiefly lineages that became Christian. This policy has left
southern Batak Christianity argumentative and faction-
SUSAN RODGERS (1987)
ridden.
Revised Bibliography
In Angkola, members of the same social class often em-
phasize their common heritage “in the adat” (village custom)
over their differences in monotheistic religion. Because adat
BATHS in a religious context are sacred places where peo-
encompasses much village ritual, this leads to much syncre-
ple bathe not for hygienic purposes, but rather to spiritually
tism. In Muslim Mandailing and Christian Toba, by con-
re-create themselves in both mind and body. Spiritual bath-
trast, adat is often seen as conflicting with monotheistic reli-
ing may take place in sacred spaces in nature, for example
gion. In all Batak societies, the area where adat meets
in hot springs or in the water of a sacred river such as the
monotheism promises to remain an important growing edge
Ganges or Nile, or in buildings made out of stone (Roman
of culture in the coming decades.
baths) or wood (saunas).
SEE ALSO Southeast Asian Religions, article on Insular Cul-
Sauna is a Finnish and Sami word for a building where
tures.
one bathes for the purpose of cleansing body and mind. It
has somewhat varied meanings, including commercial and
BIBLIOGRAPHY
erotic ones, in communities without a history of sauna cul-
There is a large literature in Dutch, English, and Indonesian on
ture. Sauna has been part of the Finnish life cycle for thou-
the Batak societies. Toenggoel P. Siagian’s “Bibliography on
sands of years—and, at the dawn of the third millennium,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BATHS
801
it still is, both in Finland, with its 2.2 million saunas for 5.2
For Finns today, the sauna is more a national than a reli-
million people (in 2004), and among expatriate and emi-
gious symbol, just as the furo symbolizes the modern Japa-
grant Finns.
nese way of life and the inipi the revived consciousness of
Native American identity. Symbols have their importance,
Saunas in the form of log building are characteristic of
however, all the more so for small nations that feel compelled
the peasant architecture of Finnish-related and Slavic peoples
to change as a result of domination by major cultures. Sauna
living in northern Eurasian forest territories. Throughout its
is the most popular Finnish loanword, and even quite recent-
traditional area it is still central to ethnic religion and cultural
ly has been borrowed by several new languages. Along with
habits. The sauna as a building and as a heated construction
the sauna buildings drawn by Alvar Aalto and other well-
has undergone various changes, but as it has been adapted
known Finnish architects, the word itself has made its way
into new milieus, including urban environments, many
all around the world, even though rituals and beliefs associat-
sauna-related habits and rituals have shown remarkable
ed with Finnish sauna have not always been transmitted
strength not only in surviving but also in being revived as
with it.
a form of socially shared group behavior among youth,
adults, and environmentalist societies.
For Finns, the sauna has been a sacred place. Tradition-
ally, it was visited once a week, on Saturday evening. To heat
There are bathing traditions reminiscent of the Finnish
a smoke sauna for several sessions was a whole day’s opera-
sauna on other continents, for example, the traditions sur-
tion, an operation demanding its own expertise in the selec-
rounding the Roman, Turkish, and Celtic bath, the Japanese
tion of kindling, the laying of the kindling, and the adding
furo, and the Native American sweat lodge (such as the La-
of firewood; above all, it required patience, as heating the
kota inipi). What is common to all of them is the feeling that
sauna and binding the birch switches took a great deal of
bathing is not just a cleansing experience, but a spiritual one,
time. The taking of sauna itself entailed certain ritual behav-
as well as the bath’s intimate connection to various life stages
ior observed with religious zeal. An oral proverb has it that
and rituals. In all these traditions, baths have also played a
one should conduct oneself in a sauna as in church—
part in solving various personal crises. In inipi, furo, and
reverently. Visits to saunas were governed by many rules of
sauna mind and body are purified—re-created, as it were, to
conduct: it was important not to be rowdy, to curse, gossip,
enable the person to face the challenges life presents. On all
speak evil, break wind, or make noise in a sauna.
three continents sacred baths are the subject of various reli-
gious narratives, including certain Japanese Buddhist texts,
The spirit of löyly, the vapor rising from the water
Native American initiation songs, and the poems of the Kal-
splashed over the stones of the sauna stove, is the main ele-
evala, the Finnish national epic.
ment in folk beliefs related to Finnish sauna, along with a
belief in the manifold healing effects of the birch switches
At the core of the sauna is the kiuas (lit., “stones in a
used in saunas. It is still a Finnish custom to greet the löyly
hot heap”), around which the early sauna, in a depression in
spirit as the guardian of the holy space either through ges-
the earth, and subsequently the smoke sauna were created.
tures or words before entering the door, crossing the thresh-
Over time, saunas developed from mere heaps of stones cov-
old, or mounting the benches. Adults and older children
ered by skin or cloth to the electrically powered sauna stoves
were expected to bless themselves as they entered saunas.
presently found in private homes and hotels. The public
This was both to express reverence for the sacred space and
sauna was an important part of Finnish community life and
to guard against harm: while people were naked, with all
shared urban culture before its almost complete disappear-
their pores open and exuding sweat, they were defenseless
ance after World War II. In Tokyo the furo is faring better;
against the evil eye and envy. When a sauna was inaugurated,
public facilities for this type of bath amount to well over a
reference was often made to the power of Väinämöinen the
thousand. In the United States, the formerly forbidden sweat
wise man, a sage and a shaman who is the central figure in
lodge has been undergoing a revival as an expression of Na-
the Kalevala; the löyly itself was even said to be “Väinäm-
tive American identity.
öinen’s sweat.”
The Finnish sauna began its spread abroad at an early
Löyly establishes a connection between the sauna or
stage. In 1638 a colony called New Sweden was established
sweat-shed and the other worlds, both above and below, as
in Delaware on the eastern seaboard of America, with several
well as in the Hereafter. The steam rising from the stove, like
hundred Forest Finns among its approximately 1,000 inhab-
the smoke issuing from the open fire, the door of the smoke
itants. Smoke cabins were among the typical constructions
sauna, the flue, or the chimney, creates a symbolic connec-
built by the early settlers. The so-called pioneer house found
tion between the sacred space of the sauna and its people
along the coast throughout New England was neither Ger-
(microcosm) and the sphere of the Hereafter and its inhabi-
man nor Dutch in origin, but was instead based on the Finn-
tants (macrocosm). An individual healing event occurring
ish smoke sauna; a log timber house it served frequently as
within the sauna and concerning the health of an individual
a model for other constructions. The propagation of Finnish
is thus linked to the entire universe. Myths based on a con-
sauna has continued to this day. For example, for Finnish
nection to the gods, the departed, and various spirits are re-
United Nations peacekeeping forces around the world the
counted and intoned in the löyly of the sauna, or by the
construction of saunas at their bases is among the first tasks.
campfires.
E N C Y C L O P E D I 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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BATHS
The word löyly is older than sauna. A term with Finno-
saunas have been connected to the cycles of the agricultural
Ugric origins, it does not only refer to the steam rising from
year. Many important farming tasks were performed in sau-
the sauna stove. Löyly and its variants (Estonian, leil; Hun-
nas: the softening of flax, the smoking of meat, and the brew-
garian lélek) can also refer to a person’s soul and to the span
ing of beer and the like in the malt sauna. Annual chores last-
of a human life, which in ancient beliefs was held to last from
ing for days involved younger and older family members
the first breath to the last. The “departure of henki ‘breath’”
spending time together in saunas reciting poems and songs
(which in Finnish is synonymous with the word for spirit)
and telling tales and riddles as everyone worked at the job
was thus the end of physical life, the perceptible sign of
in hand.
death.
For Finns, the sauna has been associated with all life
However, löyly is only one of the appellations for “soul”
cycle events, from birth to death. During the marking of var-
in the Finno-Ugric languages. Another is itse, “self” (in Hun-
ious rites of passage, the sauna normally becomes the exclu-
garian, iz), which refers to social rather than physical life and
sive province of women. Only in such cases where the transi-
death. The “self” of a person has a different life span than
tion from one state to another is considered by the
their löyly. A person acquires this “self” at a later stage than
community to be infelicitous for one reason or another—for
their löyly, and it lasts longer. A child acquires the status of
example, if the child or patient is very sick—would the inter-
“having a self” when they are given a name. Only then are
cession of a male witch, sage, or folk healer be called for.
they deemed to have a social existence; their name endows
Such a crisis situation requires the most potent religious lead-
them with a right to inherit and, among the Sami, with their
er of the locality or family, be they woman or man.
own reindeer mark of identification. The “self” does not ex-
pire when the spirit departs, but only two to three years later.
Until World War II, Finnish women mostly gave birth
Then the person is considered dead as an individual. The
in saunas. The midwife was referred to as the “sauna wife”
Finnish word henki (Estonian, hing) refers to a third soul,
and the mother-to-be as the “sauna woman.” “Sauna time”
which is thought to be immortal. In the shamanic belief sys-
among the womenfolk might last as much as a week before
tem, this third soul is the soul of the shaman traveling out-
the child was triumphantly carried into the farmhouse. This
side the human body to the realm of death, generally in the
process was associated with precautionary measures against
form of an animal, such as a fish, snake, bear, reindeer, or
disease and the evil eye, as in Protestant Finland both the
bird.
child, who was “without self,” having no name, and the
woman, who was deemed “unclean” because she had not yet
The sauna was generally the first building a Finnish set-
made the church visit that occurred six weeks after a birth,
tler built, designating thereby both the limits of his territory
were considered to be in a precarious state. On reaching
and his sacred space in nature. Building a sauna involves a
adulthood women went to the sauna. Girls of marriageable
thorough knowledge of timber construction, the right types
age were bathed and slapped with birch branches by older
of wood to use, and the appropriate time for felling trees. As
women who recited incantations on procuring love. Tradi-
with all buildings with a fireplace of some sort, there was,
tional Finnish wedding ceremonies known as antilas in-
according to folk beliefs, a spirit watching to see that customs
volved the bathing by family members of the girl to be given
were observed and infringements punished. Thus the first
in marriage. After the ablutions, in a delicate ritual per-
person to light a fire had to be chosen with care, as it was
formed in the sauna by the married women of the family,
he who would, according to the superstition, assume the po-
the girl’s hair, which had so far been worn loose, was plaited
sition of saunatonttu, saunanhaltija, or spirit of the sauna.
and a “wife’s cap” was placed on her head together with the
Problem-free heating of the sauna and the correct way
other symbols of a married woman. In the sauna, in the com-
of making birch switches was taught by one generation to
pany of married women, the girl was also initiated into how
the next. Expertise in the effects of taking saunas is a special
different life would be at her husband’s home and told what
branch of traditional Finnish-Karelian folk medicine, re-
it would be like under the eagle eye of her mother-in-law.
served for those versed in cupping, bleeding, and healing
She was then completely “away from the paternal home,” to
joints. When a healer was called to a sauna or when an injury
which she would only be able to return to visit relatives the
was being healed at home, very special attention had to be
first August following the birth of a son—which could mean
paid to the heating of the sauna and to other operations.
a two- to three-year period of separation from her childhood
Wood from alder trees was to be used for the logs. This en-
home.
sured the greater efficacy of the cures effected in the sauna.
For women, there were more transitions marked in the
According to a well-known Finnish proverb encapsulating
sauna than there were for men: transitions from girl to bride-
the effectiveness of saunas, “What tar, alcohol, or sauna can-
to-be, from bride-to-be to a woman given in marriage, from
not help is fatal indeed.”
a woman given in marriage to a wife, from a wife to a “breed-
In central Finland there was at one time a custom of lay-
ing” mother, then to one who suckled an infant. Within the
ing a table for the spirits of the farmhouse kitchen before de-
extended family, various family members became specialists
parting for the sauna: “While the people of the house bathed
in the different functions associated with these life-cycle
the spirits took to the table.” There are many ways in which
rituals.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAUBO
803
The sauna was also connected to funeral rites. In some
SEE ALSO Finnish Religions; Finno-Ugric Religions; Kare-
rural areas, there was a custom that after death the corpse was
lian Religion; Shamanism; Tuonela.
carried into the sauna on a board, where women of the family
specialized in the task washed it. In family-oriented commu-
BIBLIOGRAPHY
nities it was important that all those with a role in the ritu-
Alho, Olli. “Sauna.” In Finland: A Cultural Encyclopedia, edited
als—the wailing women, and those who washed the body,
by Hildi Hawkins and Päivi Vallisaari. Helsinki, 1997.
spoke the ritual words, and made the coffin—should be fam-
Edelsward, Lisa Marlene. Sauna as Symbol: Society and Culture in
ily members. If someone was asked to perform such a func-
Finland. New York, 1991.
tion it was tantamount to a last wish, and it would be im-
Konya, Allan. The International Handbook of Finnish Sauna. Lon-
proper to decline. Once the corpse had been washed with
don, 1973.
soap reserved for that purpose, it would be dressed and lifted
Ministry for Foreign Affairs. Sauna: A Finnish National Institu-
onto a laying-out board in the threshing building. The last
tion. Helsinki, 2001.
voyage toward the cemetery started from the threshold of the
Peltonen, Jarno, and Matti Karjanoja, eds. Sauna: Made in Fin-
sauna.
land. Helsinki, 1997.
Despite widespread assumptions to the contrary, re-
Pentikäinen, Juha, ed. The Finnish Sauna, the Japanese Furo, the
search into ancient Finnish folk traditions indicates that
Indian Inipi: Bathing on Three Continents. Helsinki, 2001.
mixed bathing in saunas was practiced in only a few commu-
Sytula, Charles M. The Finnish Sauna in Manitoba. Ottawa, 1977.
nities. In most communities men and women took their own
Teir, Harald, et al., eds. Sauna Studies. Papers Read at the VI Inter-
turns. Taking saunas together as a family group is a more re-
national Sauna Congress in Helsinki on August 15–17, 1974.
cent phenomenon. In earlier years, the farmer would visit the
Vammala, Finland, 1976.
sauna with his farmhands once the work in the fields was
Viherjuuri, H. J. Sauna: The Finnish Bath. Brattleboro, Vt., 1965.
done, whereas the farmer’s wife would go to the sauna with
the maids after milking. Because the men’s turn was first, the
JUHA PENTIKÄINEN (2005)
women’s turn on the eve of the Sabbath might well continue
until the beginning of the Sabbath. Sunset was the delimiting
factor until it was superseded by the six o’clock church bells
BAUBO figures in the myth of the ancient Greek goddess
announcing the arrival of the Sabbath; by this point the
Demeter as the perpetrator of an obscene spectacle that
women were supposed to have left the sauna.
causes the goddess to laugh and that marks the end of her
In Finnish oral folklore saunas were pictured as some-
long period of mourning. The myth of Demeter tells of her
times being a hard and dangerous place, and thus people
inconsolable grief at the loss of her daughter Persephone (or
were afraid to go to them alone. There are many stories about
Kore) and of her wanderings in search of her. The aged De-
encountering the spirit of the sauna and finding it in a wrath-
meter finally comes out of mourning in the town of Eleusis,
ful mood. Such an apparition was believed to be a punish-
where she suddenly bursts into laughter. A double tradition
ment for infringements against the Sabbath. Following the
relates how obscene words and gestures diverted and com-
men’s and women’s sauna turns, there was a third turn, that
forted this holy mother.
of the spirit of the sauna. In most cases the person experienc-
In the Homeric Hymn to Demeter (192–211), it is the
ing something strange is a lone woman or a group of women
maiden Iambe who cheers up the goddess with dirty jokes.
bathing together. Sometimes it is a question of an obviously
The hymn says nothing about the specific content of these
erotic dream; the last woman to go to bathe falls asleep on
obscenities, but the effectiveness of Iambe’s words is certain.
the bench and feels or sees a hairy male creature who, after
Indeed, Demeter laughs, comes out of mourning, and ends
throwing water on the stones, comes to touch, hug, or caress
her fast by accepting and drinking kukeon (a beverage made
her.
of wheat, water, and pennyroyal), which is offered to her by
As in the home, the threshing building, the cow house,
her hostess, Metanir, the wife of King Keleos.
or other buildings with a fireplace, the spirit of the sauna is
In the writings of the Church Fathers, Baubo plays a
believed to be like the first one to kindle a fire. Thus even
role comparable to Iambe’s. But whereas Iambe succeeds in
today people try to find a “nice, mild” person, such as a kind-
comforting the goddess by telling jokes, Baubo does so not
ly old woman or man, to kindle the first fire, to ensure good
by words but by an obscene gesture: she suddenly lifts her
luck in their home. These kinds of ancient traditions have
gown to reveal her genitals. This indecent unveiling provokes
survived until recently in accordance with the ancient belief
laughter in the grieving mother, who then accepts and drinks
that the most suitable personality for a sauna spirit is that of
the kukeon that Baubo offers her. Christian polemicists, who
a playful, blithe child. Another custom is to honor family
attribute the story of the obscene gesture to the Orphics, pre-
members and friends, both those still alive and the deceased,
serve two versions of the incongruous scene. Clement of Al-
by mentioning their names in turn when pouring water,
exandria (Protrepticus 2.20.1–1.21.2) and Eusebius of Caesa-
löyly, on the stones. This ceremony lasts as long as new names
rea (Praeparatio evangelica 2.3.31–35) relate that the young
are remembered by the bathers.
Iacchos was found beneath Baubo’s raised garment, laughing
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
804
BAUER, BRUNO
and waving his hand. Arnobius (Adversus nationes 5.25–26)
as infinite. In an essay of 1840 he also argued that the union
presents a different, more detailed version in which Baubo’s
of the Reformed and Lutheran churches in 1818 further con-
unveiled genitals, because of a cosmetic operation, look like
firmed the Hegelian view that the Prussian state had become
the face of a baby.
the embodiment of true spiritual life.
This “spectacle” (theama, spectaculum) has given rise to
Appointed to the faculty of Bonn University in 1839,
numerous interpretations. In general, historians have under-
he turned his attention to the New Testament and wrote
stood it as an etiological myth justifying fertility rites, and
what is now considered his most important work: Kritik der
certain specialists have recognized in Baubo the mythic
evangelischen Geschichte der Synoptiker. In it he tried to show
memory of the manipulation of sexual articles at Eleusis.
that biblical criticism could advance the self-consciousness
Baubo has also been associated, often confusedly, with any-
of humanity by extracting the kernel of truth in the Christian
thing obscene in the ancient world, particularly with obscene
narratives—that is, that human self-consciousness is di-
words and objects that evoke female sexuality.
vine—from the contradictions resulting from the historical
Some earthenware figurines found at the beginning of
form of those narratives. He treated the New Testament
the twentieth century in the temple of Demeter and Kore
Gospels as purely human documents and as literary products
(fourth century
of the creative imagination of the authors, therefore conclud-
BCE at Priene, in Ionia, have been identified
with Baubo. These “Baubos of Priene” merge the head, the
ing that they record little about the real Jesus but much
belly, and the female sexual organ, with the genitals immedi-
about the mentality of the early church.
ately below the mouth.
Dismissed from the faculty at Bonn, he returned in bit-
terness to Berlin and wrote attacks on Christianity, the Prus-
SEE ALSO Demeter and Persephone.
sian state, and even Hegel. He came to believe that unremit-
ting, rational criticism, unallied with any political party and
BIBLIOGRAPHY
without presuppositions of any kind, could bring about a
Devereux, Georges. Baubô: La vulve mythique. Paris, 1983. Eth-
transformation of society. Scornful of revolutionary action
nopsychiatric approach, carried on by Tobie Nathan, Psy-
chanalyse païenne, Paris, 1988.
in 1848, he became disillusioned with Prussia until the ad-
vent of Bismarck. Although he returned to the problem of
Graf, Fritz. Eleusis und die orphische Dichtung Athens in vorhellenis-
the origins of Christianity in later works, his views were
tischer Zeit. Berlin, 1974.
largely ignored. He spent his last years working in his fami-
Olender, Maurice. “Aspects de Baubô: Textes et contextes an-
ly’s tobacco shop.
tiques.” Revue de l’histoire des religions 202 (January–March
1985): 3–55. English translation in Before Sexuality. The
Construction of Erotic Experience in the Ancient Greek World,
BIBLIOGRAPHY
edited by David Halperin (Princeton, 1990).
Unfortunately, not only is there no edition of Bauer’s entire work,
but there are no English translations of major individual
Olender, Maurice. “Les manières de Baubô.” In Masculin et
works. His two best-known and most influential works, so
féminin en Grèce ancienne, edited by Nicole Loraux. Paris,
far as New Testament criticism is concerned, are Kritik der
1986.
evangelischen Geschichte der Synoptiker, 3 vols. (Leipzig,
Picard, Charles. “L’épisode de Baubô dans les mystères d’Éleusis.”
1841–1842), and Kritik der Evangelien und Geschichte ihres
Revue de l’histoire des religions 95 (March–June 1927): 220–
Ursprungs, 4 vols. in 2 (Berlin, 1851–1855). His attack on
255.
Christianity is best represented by Das entdeckte Christentum,
For an interpretation from the religious-historical point of view
now reprinted in an edition by Ernst Banikol (Jena, 1927).
and a full bibliography see further Giovanni Casadio, Vie
There are surprisingly few books on Bauer. Recommended are Di-
gnostiche all’immortalità, Brescia, 1997, pp. 62–64, esp. n.
eter Hetz-Eichenrode, Der Junghegelianer Bruno Bauer im
151.
Vormärz (Berlin, 1959), Douglas Moggach, The Philosophy
M
and Politics of Bruno Bauer (Cambridge, 2003), and Zvi
AURICE OLENDER (1987)
Translated from French by Kristine Anderson
Rosen, Bruno Bauer and Karl Marx: The Influence of Bruno
Revised Bibliography
Bauer on Marx’s Thought (The Hague, 1977). There is a fine
discussion of Bauer and his significance for Christian
thought in Karl Löwith’s From Hegel to Nietzsche: The Revo-
lution in Nineteenth-Century Thought (Garden City, N.Y.,
BAUER, BRUNO (1809–1882), left-wing Hegelian
1967). Nor should one neglect Albert Schweitzer’s discussion
critic of the Bible, Christianity, and Prussian society. Bauer
of Bauer’s critical work in The Quest of the Historical Jesus,
began his career as a conservative (right-wing) Hegelian theo-
2d ed. (1911; reprint, London, 1952). Other helpful second-
logian. His earliest writings on the Old Testament (1838)
ary sources are The Young Hegelians by William J. Brazill
(New Haven, 1970), which contains very useful bibliogra-
argued that the Hebraic idea of a deity distinct from creation
phies, and From Hegel to Marx: Studies in the Intellectual De-
gradually developed toward the Christian doctrine of the im-
velopment of Karl Marx by Sidney Hook (New York, 1936).
manence of God and humanity. As a Hegelian, he interpret-
ed this to mean that the finite had become conscious of itself
VAN A. HARVEY (1987 AND 2005)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BAYD:A¯W¯I, AL-
805
BAU
¯ LS SEE BENGALI RELIGIONS
sis, and synthesis. Similarly, in his series of learned works in
the history of dogma they discovered more speculation than
history. Baur replied that objective history can be written
only by one who first determines history’s object—that is,
BAUR, F. C. (1792–1860) was a German Protestant
what it is all about. The historian who is interested in some-
theologian, biblical scholar, and church historian. Ferdinand
thing more than a senseless jumble of facts must take his
Christian Baur is best known as the leader of the “Tübingen
point of departure from the thinking of his own day, and
school” and the practitioner of an allegedly Hegelian historial
that meant, for Baur, the Hegelian vision of history as the
method. He was perhaps the most important German theo-
progress of Mind through time in the medium of ideas.
logian between Friedrich Schleiermacher and Albrecht
Church history, in particular, must start from the idea of the
Ritschl. Over the years he has suffered from caricature and
church, which is the idea of the reconciliation of God and
neglect, but reappraisal was made easier in the 1960s when
man.
selected works by him began to reappear in a new edition.
Whatever the merits of his Hegelianism, Baur was a
Baur was born in Schmiden, near Stuttgart, and educat-
scholar of massive erudition and a highly sophisticated meth-
ed mainly at Blaubeuren seminary and the University of Tü-
odologist. He held that history without philosophy is “eter-
bingen. In 1817 he returned to Blaubeuren as a teacher, and
nally dumb,” and that the only way to understand Christian
his thinking changed radically from the supernaturalism of
doctrines is to trace their development in a process that has
the so-called Old Tübingen School to the conviction,
already begun within the New Testament itself. History, phi-
learned from Schleiermacher, that Christianity cannot be
losophy, constructive theology, and New Testament studies,
studied in isolation from other religions, as though it alone
Baur believed, belong together in a single grand enterprise.
had a divine origin. He moved in 1826 to a chair at his old
university, Tübingen, where he remained until his death.
BIBLIOGRAPHY
Baur’s literary output was enormous. Of his greatest work, Gesch-
At Tübingen Baur led the secluded life of a dedicated
ichte der christlichen Kirche, 5 vols. (1853–1863; reprint,
academic. But he became embroiled in two famous literary
Leipzig, 1969), only the first volume was translated into En-
debates. The first was occasioned by the attempt of Johann
glish: The Church History of the First Three Centuries, 2 vols.,
Adam Moehler, of the Catholic theological faculty, to specify
translated from the third edition and edited by Allan Men-
in his symbolics (1832) the doctrinal differences between
zies (London, 1878–1879). The second edition of his major
Roman Catholics and Protestants. The second erupted when
study of Paul (1866–1867) appeared in English as Paul the
David Friedrich Strauss, one of Baur’s former students from
Apostle of Jesus Christ, His Life and Work, His Epistles and His
Blaubeuren, published his notorious Life of Jesus (1835) and
Doctrine: A Contribution to a Critical History of Primitive
was dismissed from his lectureship at Tübingen. Baur pro-
Christianity, 2 vols., translated by Allan Menzies and Eduard
tested against the dismissal, but he endorsed neither Strauss’s
Zeller (London, 1875–1876). Baur’s survey of the epochs of
method nor his conclusions.
church historiography (1852) and the introduction to his
posthumously published lectures on the history of dogma
Unlike Strauss, Baur did not believe that criticism had
(1865–1867) are translated in Peter C. Hodgson’s Ferdinand
proved the books of the New Testament to be virtually
Christian Baur on the Writing of Church History (New York,
worthless as sources for reconstructing Christian origins. The
1968). Hodgson’s The Formation of Historical Theology: A
documents themselves, according to Baur, give plain evi-
Study of Ferdinand Christian Baur (New York, 1966) is a
dence of the historical situation through which they should
comprehensive guide to Baur’s life and work. For the debate
with Moehler, see Joseph Fitzer, Moehler and Baur in Contro-
be interpreted, namely, the clash between Jewish Christianity
versy, 1832–38: Romantic-Idealist Assessment of the Reforma-
and gentile Christianity, which was later to be harmonized
tion and Counter-Reformation (Tallahassee, Fla., 1974).
in the old Catholic church. The historical worth of the
sources can be appraised by determining each author’s “ten-
New Sources
dency,” or theological proclivity, against this background of
Evans, William B. “The Tübingen School: A Historical and Theo-
logical Investigation of the School of F. C. Baur.” Journal of
conflict. Baur concluded that John’s gospel must be set aside
the Evangelical Theological Society 36 (1993): 247–249.
in any serious attempt to write the history of the primitive
church, that Matthew’s is the earliest of the Gospels that
Morgan, Robert. “Ferdinand Christian Baur.” In Nineteenth Cen-
tury Religious Thought in the West, edited by Ninian Smart
have come down to us, and that Paul most likely wrote only
et al., vol. 1, pp. 261–289. Cambridge, UK, 1985.
four of the letters attributed to him (Galatians, 1 Corinthians,
2 Corinthians, and Romans). Further, while he rejected
B. A. GERRISH (1987)
Schleiermacher’s belief that in Christ the ideal became actu-
Revised Bibliography
al, he thought it possible, against Strauss, to trace the way
in which the Christ of ecclesiastical dogma developed out of
Jesus’ own self-consciousness.
BAYD:A¯W¯I, AL- (died sometime between AH 685 and
His critics read Baur’s New Testament work as a doctri-
716, or 1286 and 1316 CE), fully, Abu¯ SaE¯ıd EAbd Alla¯h ibn
naire application of the Hegelian dialectic of thesis, antithe-
EUmar ibn Muh:ammad ibn EAl¯ı Abu¯ al-Khayr Nas:¯ır al-D¯ın
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806
BAY ÜLGEN
al-Bayd:a¯w¯ı; Islamic religious scholar and judge. Born in
available in English translation, although they are often not
Bayd:a¯D, near the city of Shiraz in Persia, al-Bayd:a¯w¯ı was edu-
completely understandable without at least some knowledge
cated in the religious sciences in Baghdad and spent most of
of Arabic. The commentary on su¯rah 12, the story of Joseph,
his life following in his father’s footsteps in Shiraz as the chief
has appeared twice in translation, by Eric F. F. Bishop and
justice of the province of Fa¯rs. He belonged to the Sha¯fıE¯ı
Mohamed Kaddal in “The Light of Inspiration and the Secrets
legal school (madhhab) and was a follower of the tradition
of Interpretation,” Chrestomathia Baidawiana: Translation of
Surat Yusuf with Baidawi’s Commentary (Glasgow, 1957) and
of al-AshEar¯ı in theology. He wrote some twenty works on
by A. F. L. Beeston in Baid:a¯w¯ı’s Commentary on Su¯rah 12
various subjects, including jurisprudence, law, grammar, the-
of the Qur Da¯n (Oxford, 1963). The commentary on su¯rah 3
ology, and the QurDanic sciences. While all of these works
was translated by D. S. Margoliouth in Chrestomathia Bai-
were written in Arabic, he also produced a world history in
dawiana: The Commentary of El-Baida¯w¯ı on Sura III (Lon-
his native Persian.
don, 1894). The best place to start in order to experience
al-Bayd:a¯w¯ı’s commentary in English is probably Kenneth
Al-Bayd:a¯w¯ı’s fame and reputation rest mainly upon his
Cragg’s The Mind of the Qur Da¯n: Chapters in Reflection (Lon-
commentary (tafs¯ır) on the QurDa¯n, titled Anwa¯r al-tanz¯ıl
don, 1973), which includes the commentary on su¯rah 112.
wa-asra¯r al-ta Dw¯ıl (The lights of the revelation and the secrets
All of these works also provide some basic overview of
of the interpretation). This work examines the QurDa¯n phrase
al-Bayd:a¯w¯ı and his significance. A number of articles by
by phrase in an attempt to present, concisely yet comprehen-
Lutpi Ibrahim have appeared on al-Bayd:a¯w¯ı and his theolog-
sibly, the conclusions of earlier commentators in such a way
ical relationship to al-Zamakhshar¯ı: “Al-Bayd:a¯w¯ı’s Life and
as to express al-Bayd:a¯w¯ı’s own understanding of the ortho-
Works,” Islamic Studies (Karachi) 18 (1979): 311–321; “The
dox Sunn¯ı interpretation of the QurDa¯n in his time. His main
Concept of Divine Justice According to al-Zamakhshar¯ı and
sources of interpretational information are the famous phi-
al-Bayd:a¯w¯ı,” Hamdard Islamicus 3 (1980): 3–17; “The Rela-
losopher and QurDanic commentator Fakhr al-D¯ın al-Ra¯z¯ı
tion of Reason and Revelation in the Theology of
al-Zamakhshar¯ı and al-Baid:a¯w¯ı,” Islamic Culture 54 (1980):
(d. 1209) and the MuEtazil¯ı theologian al-Zamakhshar¯ı
63–74; “The Concept of Ih:ba¯t: and Takf¯ır According to
(d. 1144). The latter author was clearly more important for
az-Zamakhshar¯ı and al-Bayd:a¯w¯ı,” Die Welt des Orient 11
al-Bayd:a¯w¯ı, whose commentary may be viewed to a great ex-
(1980): 117–121; and “The Questions of the Superiority of
tent as a simplified summary of his predecessor’s work, con-
Angels and Prophets between az-Zamakhshar¯ı and
densing what was found to be most essential in grammar,
al-Bayd:a¯w¯ı,” Arabica 28 (1981): 65–75.
meaning, and textual variants. Omitted most of the time, al-
ANDREW RIPPIN (1987)
though sometimes overlooked and allowed to remain, are
statements that reflect al-Zamakhshar¯ı’s rationalist theologi-
cal views. For example, in interpreting su¯rah 3:8, “Our Lord,
make not our hearts to swerve, after that thou hast guided
BAY ÜLGEN SEE ÜLGEN
us,” al-Zamakhshar¯ı takes “make not our hearts to swerve”
to mean “do not withhold your grace from us after having
already granted it to us,” with the emphasis placed upon the
BEARS. Bears are a significant presence in the religious
notion of God’s grace coming after man has acted to deserve
lives of various peoples in the Americas, Europe, and Asia.
it. Al-Bayd:a¯w¯ı rejects this free-will, rationalist position, sub-
For thousands of years bears and humans have lived within
stituting the interpretation that since God does lead people
the same habitat and competed for the same foods but not
astray, they must pray to God for the divine gift of guidance
without encounters leading to one killing the other. Thus it
and grace.
has long been in the best interest of each species to give the
Because of its concise nature, al-Bayd:a¯w¯ı’s commentary
other a wide berth of space.
has proved valuable over the centuries for quick reference,
By maintaining a safe distance from the brown bear, the
although certainly not for full analysis. For this reason it has
Cahuilla people of California allowed these bears greater
been widely read in the Muslim world and has attracted a
presence in their religious lives. Ironically by avoiding physi-
large number of supercommentaries, and soon after Europe-
cal closeness, the Cahuilla brought the grizzly religiously
ans made learned contacts with Islam it became the best-
nearer, such that an encounter with the bear incited a con-
known QurDa¯n commentary in the West. Representing what
frontation with ancestors, supernatural powers, and wisdom.
is best described as the consolidation of traditionalism in the
The Cahuilla believed their safety relied on an ability to con-
field of QurDanic interpretation, al-Bayd:a¯w¯ı’s tafs¯ır has been
verse with the big bear, which they called “great-
the basic textbook for all students of the subject in East and
grandfather,” and so they talked to the bear in a soothing
West alike.
tone, asking it to recognize their peaceful intentions. They
also believed that after death some people would be reborn
BIBLIOGRAPHY
as great bears.
Anwa¯r al-tanz¯ıl wa-asra¯r al-ta Dw¯ıl has been edited and published
numerous times both in the Islamic world and in Europe; the
However, this example does not encapsulate the diversi-
standard edition of the Arabic text is that edited by H. O.
ty of the bear’s religious presence to many peoples through-
Fleischer (Leipzig, 1846–1848). Sections of the work are
out the world. In fact bear is a generalized term that does not
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BEARS
807
account for differences between the eight species of bears in
wetlands are about half the size of the salmon-feeding black
the world. Nor does it take into account habitat diversity that
bears of British Columbia and therefore pose different de-
can influence behavior differences—based on variations in
grees of reverential fear to the people living near them. And
climate, availability of foods, and landscape—between bears
because the bears in Florida hibernate much less (if at all
of the same species. Indeed a bear’s symbolic meaning to hu-
some years), there are disparities in how much this bear
mans living alongside it is influenced both by species diversi-
cross-culturally symbolizes rebirth.
ty and habitat diversity. Whereas this may initially seem
more appropriate for ecology than religion, those who seek
In addition to size variations, the black bear is not al-
an adequate understanding of the religious significance of
ways black. It also appears as cinnamon, chocolate, light
bears must first account for the type of bear and the aspects
blond, grayish-blue, and even white. In various native myths,
of this bear’s habitat. They must also account for the reli-
particularly those originating in the northwestern United
gious aspects of the people sharing the bear’s habitat. Thus
States and Canada, there are references to “black,” “brown,”
not only the physical and biological characteristics of the bear
“glacier,” “blue,” and “white” bears. Such reports of a “gla-
itself but also the characteristics of the bear’s habitat and the
cier” or “white” bear, as is witnessed in the study of the
characteristics of a culture’s experiences with the bear are pri-
Kwakiutl, Tlingit, Kitasoo, and Gitgaát peoples, may seem
mary for adequately determining the bear’s symbolic mean-
odd because these cultures are not northern enough to regu-
ing. Consequently these same aspects are also essential for
larly encounter the polar bear. Yet these references are really
identifying common religious themes that can be cross-
to black bears. Here the blue bear or “glacier bear” is a black
culturally attributed to bears.
bear that inhabits central Alaska and the Yukon and once
roamed glaciers that have long since receded. The white bear,
SPECIES DIVERSITY AND RELIGIOUS SIGNIFICANCE. There
Kermode bear, ghost bear, or spirit bear is only found in
are eight species of bears in the world. They are the American
three isolated areas off the coast of British Columbia and
black bear, the Asiatic black bear, the brown bear, the giant
lives so remotely and reclusively that its numbers and origins
panda, the polar bear, the sloth bear, the spectacled bear, and
are shrouded in mystery that goes as far back as the Kitasoo
the sun bear.
and Gitgaát peoples’ cosmologies, which state that these
bears are “white bear people” made by the creator. The story
The Asiatic black bear is also known as a moon bear.
also says that when the great glaciers retreated northward, the
It inhabits China, Tibet, southern Russia, Afghanistan, Paki-
creator made the spirit bear to remind the people that the
stan, Indochina, and southern Japan. It has been identified
lush rainforest was once white with ice and snow. The cre-
as a “helping spirit” for some shamans of Asia, such as the
ator then proceeded to set aside an island paradise for these
Ostyaks, who sought to acquire health and strength as well
“white bear people,” where they could live in peace forever,
as the power to heal and give strength to others. But perhaps
and on that special island the creator made every tenth bear
more than other bears, the Asiatic black bear plays an impor-
white.
tant role in traditional medicine. It is first mentioned in a
pharmaceutical report written in China in the fifth century.
Thus considering these variations in color, it seems like-
Bear paw soup was reputed to confer health; the bear’s gall-
ly that there are variations in the bears’ religious significance
bladder, dried and crushed into a fine powder, is supposed
to native peoples as well. Nevertheless the association of this
to treat heart disease, headaches, and abdominal pain. There
bear, like its Asiatic cousin, with strength, magic, good luck,
is also evidence that bear meat gave people strength. But the
healing powers, and immortality remains a widely common
Asiatic black bear’s greatest significance is as a symbol of re-
theme. In many cases American black bears are also consid-
birth. As a hibernator, which disappears in midwinter and
ered to be ancestors reborn as bear people. This can be wit-
reappears every spring, it has often been a symbol of immor-
nessed in the Tlingits’ reference to the bear as “my father’s
tality, particularly in prehistoric cultures, because every
brother-in-law” and the Lapps’ euphemism for the bear as
spring the bear is reborn. It is also believed that the bear de-
“sacred man,” “old man of the mountains,” and “old man
rives its immortal powers from the eternal cycles of the
with the fur garment.” This ancestral link naturally gives way
moon. Ironically though it is called “moon bear” because of
to many indigenous people associating wisdom, respect, and
the white, yellow, or orange crescent on its chest, there are
guidance to bear ancestors, and it is through this link and
similarities between the moon bear’s name and the birth-
the bears’ association (as a hibernator) with birth and rebirth
rebirth symbolism of the lunar cycle.
that some people believe that, upon their death, they will be
reborn as bear people.
The American black bear, populating much of North
America, has symbolic and ceremonial importance to such
The brown bear once extended in North America as far
cultures as the Ojibwa and the Cherokee. But in identifying
south as Mexico and also inhabits Russia, northern Japan,
the black bear in a religious context, one will note conflicting
central Asia, and Europe. The Alaskan brown bear, the Kodi-
descriptions of this species among various peoples. This is be-
ak bear, the grizzly bear, the bear of the Ainu people, the
cause the American black bear varies widely in size and color,
bears integral to Basque celebrations in Spain, the Russian
and it can therefore be confusing to those who are unaware
bears inhabiting the Kamchatka Peninsula, and the extirpat-
of these variations. In fact black bears native to the Floridian
ed bears of Mexico, California, and the southwestern United
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808
BEARS
States all belong to the same species of brown bear. But varia-
The spectacled bear is the largest carnivore in South
tions in diet throughout the vast range of this species (which
America and the second largest mammal. The Andean peo-
are linked to differences in habitat) have naturally resulted
ples attributed magical and curative powers to the spectacled
in variations in the bear’s religious significance.
bear. There is evidence that the Incan civilization attributed
the powers of strength, healing, and longevity to the specta-
The giant panda inhabits the forests and bamboo jun-
cled bear. In Venezuela the fat from a ritually hunted bear
gles of central China. It was first mentioned in Chinese liter-
is used to heal rheumatic problems, and the bear’s bones are
ature two thousand years ago and it was often captured and
ground up and mixed with milk and then given to infants
entombed with emperors in royal mausoleums. The giant
to strengthen them. Often when the Incans killed the bear,
panda is also mentioned in the Shih-King, the Book of Odes,
its blood was immediately consumed to help the hunter be-
and is known as beishung, the harmless bear of all bears. The
come bearlike. Even the spectacled bear’s scat (feces) was be-
panda was considered supernatural—partly because of its
lieved to carry magical powers. Thus many peasants fed and
black and white markings—to many aboriginals of China,
continue in the twenty-first century to feed bear droppings
including the Lolo. Because it feeds on bamboo, the panda
to their cattle with the belief that their animals will become
did not directly compete with these peoples and was ritually
stronger.
hunted only for its powerfully significant pelt. For these peo-
ple donning the panda skin meant becoming the panda and
The sun bear or honey bear is about half the size of the
inheriting its powers. However, unlike other species, pandas
average American black bear. It is the smallest of the eight
were rarely hunted until Westerners offered money for them.
bear species and the least known. It inhabits the lowland for-
ests of Southeast Asia from Malaysia and Indonesia westward
The polar bear or sea bear is located in the northern re-
as far as India, and it is greatly threatened in southern China,
gions of Canada, Alaska, Siberian Russia, Greenland, and
Myanmar, Cambodia, Laos, Borneo, and Vietnam. The sun
Scandinavian Europe. It has long been integral to shamanic
bear’s religious significance is in its power to heal (its gall-
initiations of native peoples in the northern regions. Among
bladders are said to heal bruises and broken bones), and
the Ammasilik peoples, the shaman initiate stood for long
whereas not much is known about this least studied of the
hours in a snow hut meditating until he or she apparently
eight bear species, future research on shamanism in this re-
fell dead and remained lifeless for three days and three nights.
gion may reveal more about the sun bear’s religious signifi-
During this period some initiates dreamed of a polar bear de-
cance.
vouring their flesh until nothing remained but the skeleton.
HABITAT DIVERSITY AND RELIGIOUS SIGNIFICANCE. Not
Because dismemberment and the reduction of the body to
only do fluctuations in bear color result in variations in sym-
a skeleton were parts of the mystical experience that illustrat-
bolic meaning, but variations in a bear’s habitat may also af-
ed that the initiate had received the gift of shamanic powers,
fect its religious significance. For instance, the diet of the
it can be argued that it was the polar bear, as a guardian spir-
grizzly in the Rocky Mountains of western North America
it, that mediated the shamanic gift to the initiate. By with-
consists largely of vegetation. Similar diets can be attributed
drawing to solitude and rejecting one’s body, the spirits
to brown bears in Europe and Asia. Yet the diets of brown
could manifest themselves to the shaman initiate in the form
bears inhabiting the Pacific coasts include a greater percent-
of a polar bear who dismembered the person’s body until
age of prey, resulting in their larger size and, not surprisingly,
there was nothing left but the skeleton, resulting in his or
a fiercer reputation. Additionally because of the coastal re-
her “death.” Upon his or her death, the way for that person’s
gion’s milder climate, food sources are generally more abun-
rebirth was revealed. Thus for many northern peoples, the
dant, causing a denser population of bears in these regions
polar bear symbolizes a real and direct connection with the
as opposed to the mountainous areas. This increases the
beyond—as perhaps the helping spirit that guides the person
chance of an encounter by coastal peoples with brown bears
through death to the underworld and then serves as the man-
than by people living inland.
ifestation of rebirth as a shaman.
Along the Pacific Coast, big bears dominated the scene
The sloth bear is known to inhabit Nepal, Sri Lanka,
before Europeans arrived. According to the Yokuts, the griz-
Bhutan, and Bangladesh, but it is most widespread in the dry
zly bear’s ferocious disposition was clearly evident even in
and deciduous forests of India. Living in the tropics, this bear
death, when the muscle fibers bristled erect. The fears that
does not hibernate, and so there is little religious birth-
resulted from the sheer presence of such a powerful animal
rebirth significance tied to it. Also known as the lip bear, the
and the gruesome stories that were passed on describing
sloth bear’s significance is in its medicinal powers, especially
human encounters with these great bears resulted in a reli-
the magical potency attributed to its penis bone. Despite its
gious significance that often emphasized fear, strength, and
docile name, many local people in jungle areas have attribut-
bad superstitions. Among the Luiseño the grizzly was a great
ed a fear-based reverence and wisdom to the sloth bear, be-
avenger of the god Chungichnish; the Luiseño warned that
cause, although usually timid and preoccupied with diligent
Chungichnish would ascend to the stars after his death and
termite digging, it is known to attack savagely when sur-
send bears down to punish those who were faithless. Likewise
prised or sometimes at night when someone gets too close.
the Pomo believed that faithless people would have to stay
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BEARS
809
behind after death in the bodies of miserable and tormented
The Chumash, living near the Valley of the Bears in Califor-
grizzlies, forever roaming the wilderness to be hated and
nia, believed that all who died there would become grizzlies.
loathed by all who saw them. The Wintun shared a similar
COMMON THEMES OF RELIGIOUS SIGNIFICANCE. Consider-
belief and therefore would not eat big bears for fear of ab-
ing the eight species of bears in the world, the wide range
sorbing lost souls. In fact the Wintun also believed that thun-
of habitat, and the diversity of religious cultures, it is not easy
der and lightning were destructive twins born of a grizzly
to generalize the bear’s religious significance. However,
bear woman and that the rippling of the moon’s reflection
strength, wisdom, courage, the power to heal, and ancestral
on the water was caused by a grizzly who must run eternally
kinship seem to be religiously significant characteristics both
around the lunar orb.
among bears of the same species living in different areas and
among all eight species of bears throughout the world. Yet
In contrast, the Thompson peoples of British Columbia
the symbolism of birth-rebirth and immortality are generally
considered the birth of twins to be one of the greatest bless-
only traceable to the four hibernating bears: the Asiatic and
ings that could come to a tribe, and the children were treated
American black bears, the brown bear, and the polar bear.
from birth like royalty and called “grizzly bear children.”
Even more specific are the symbolic variations related to a
They were considered to have within them courage, healing
bear’s diet, especially if bears had to compete with people for
powers, and control over the weather—all considered to be
the same food from the same places, which often resulted in
unique magical powers of the great bear. Likewise the Black-
people regarding bears with intense fear-based reverence and
foot in Montana and Alberta also held the grizzly, the “un-
considering them to be bad omens.
mentionable one,” in reverent esteem. Blackfoot legends at-
tribute to the bear the power to heal wounds and make
SEE ALSO Ainu Religion; Khanty and Mansi Religion; Lord
warriors wise and brave. In addition various tribes honored
of the Animals; Tunguz Religion.
the grizzly bear as their ancestor, as is evidenced by its name
as “chief’s son” by the Cree, “old man” by the Sauk, and
BIBLIOGRAPHY
“elder brother” by the Menominee. Whether or not these
Barrett, Samuel Alfred. Pomo Bear Doctors. Berkeley, Calif., 1917.
people had the nerve to hunt the bear or were afraid of it and
Brown, David. The Grizzly in the Southwest: Documentary of an
stayed out of its way, the bear appeared to be more like them
Extinction. Norman, Okla., 1985. Emphasizes the European
than any other animal.
influence on the extinction of the brown bear in the Ameri-
can Southwest. However, a few sections discuss the signifi-
For many people, like various Apache groups and the
cance that the grizzly has to some native people of the South-
Navajo, the brown bear was to be avoided, because they be-
west, particularly the Apache, Navajo, and Comanche. In
lieved it possessed sinister supernatural powers, and they
addition, the reference section includes valuable listings of
thought that contact with the bear, its tracks or feces, or even
archived documentations about the first European encoun-
a place where it had noticeably been could cause deadly “bear
ters with Native Americans and bears.
sickness.” Yet for such people as the Kato, who did not avoid
Campbell, Joseph. Historical Atlas of World Mythology, vol. 1: The
brown bears and sought them in ritualistic hunts, the hide
Way of the Animal Powers. New York, 1983. A popular
became essential for the “bear shaman,” who made war on
source for building parallels between the significance of bears
the human enemies of their specific tribe. In many Califor-
and the religious lives of various peoples.
nian tribes, bear shamans were thought to be invulnerable
Eliade, Mircea. Shamanism: Archaic Techniques of Ecstasy. Trans-
or at least to possess the power of returning to life, because
lated by Willard R. Trask. Princeton, N.J., 1964. This re-
their power was derived from the grizzly bear.
mains a definitive source for understanding basic common-
alities for bear shamanism.
For those people who were brave enough to hunt the
Rockwell, David. Giving Voice to Bear: North American Indian
brown bear, there were even fewer tribes who ate them. For
Myths, Rituals, and Images of the Bear. Niwot, Colo., 1991.
instance, the Yurok would not eat grizzlies simply because
This is an introductory source for myths, rituals, and images
grizzlies ate people. Yet for those few tribes that did feed on
of the bear in North America.
grizzlies, like the Atsugewi, the hunted grizzly was eaten only
Servheen, Christopher, Stephen Herrero, and Bernard Peyton.
if it was known that it had not killed a human. This is proba-
Bears: Status Survey and Conservation Action Plan. Gland,
bly because of the bear’s humanlike gestures and its similari-
Switzerland, 1999. A detailed book about the eight different
ties to humans when it is skinned. In fact, many (especially
species of bears. An excellent source for understanding and
the Wintun) believed that eating a grizzly was an act of
identifying which “bears” are most likely being addressed in
cannibalism.
religious literature, myths, and folklore.
Shepard, Paul, and Barry Sanders. The Sacred Paw: The Bear in
Numerous examples like these support the widespread
Nature, Myth, and Literature. New York, 1985. A good
belief that many peoples considered grizzlies to be ancestors
source for reviewing the religious significance of bears, with
who were heroes, fierce warriors, bear shamans, or chiefs re-
recognition of the variations that occur among the different
born as bear people. In fact the Wintun and the Nomlaki
bear species. Although there are many themes that have since
peoples were known to bury some of their dead in grizzly
been updated, this book is most valuable for its reference
bear fur with the belief that they would be reborn as bears.
index on bear mythology, natural history, and literature. Its
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
810
BEAUTY
index is perhaps one of the most extensive to date on the reli-
litical, moral, and religious philosophy links it with the culti-
gious significance of bears, and therefore it is not only an ex-
vation of a range of dispositions that can become settled
cellent introductory source on bear religious attributions but
states of character. As with the virtues of political justice,
also a solid library on literature about bear ceremonialism,
moral goodness, and religious love, the real existence of beau-
myths, and legends throughout the world.
ty may be doubted, while dispositions are fragile and cor-
Storer, Tracy I., and Lloyd P. Tevis. California Grizzly. Berkeley,
ruptible. Nevertheless, human beings still seek to achieve the
Calif., 1955. A good source on the diversity of influences the
experience of aesthetic pleasure, as well as other forms of per-
grizzly has had on the numerous tribes of California. Howev-
fection. Although justice, goodness, and love are often lack-
er, the language is generally exclusive, and there is more em-
ing in our global world, we seek them. We recognize and
phasis placed on the grizzly’s ferocity toward humans than
create beauty in the sense of the French reconnaître; that is,
its role as an object of ancestral reverence.
gratefully acquired knowledge of what is true, legitimate, or
LEON CHARTRAND (2005)
proper to one’s own nature. This complex sense of recogni-
tion (of beauty) resonates with Western political, moral, and
theological concerns.
BEAUTY is said to be a property of an object that pro-
For a sense of the history of the concept of beauty, con-
duces an aesthetic pleasure; this pleasure is a subjective re-
sider ancient Greek philosophy. Plato recommends a deliber-
sponse to a beautiful object, often, but not always, in nature.
ate ascent away from sensuous nature. The human soul as-
For example, the beauty of a rose produces an aesthetic plea-
pires to be united with divine love in the apprehension of
sure. Immanuel Kant thought other objects beautiful to the
truth, to become the perfect form of love. Beauty is seen in
degree they conform to objects in nature (Kant, 1953, paras.
this perfection. But a strictly Platonic account is inadequate
42–45). The question is whether this subjective response to
for understanding significant conceptions of beauty, espe-
a beautiful object can be spontaneous and universally com-
cially those built upon beauty’s relation to sensuous nature.
municable.
A concrete, contemporary understanding of beauty’s
Certain philosophers have argued that pleasurable en-
“exile” from human experiences of art, morality, and religion
joyment of beautiful artistic creations is not originally spon-
could rescue this concept (cf. Steiner, 2001). Good reasons
taneous, but needs to be cultivated as a cognitive disposition.
exist for beauty’s exile from (much) twentieth-century expe-
This cultivation involves attending to an object (or subject)
rience, including a failure of human self-understanding and
to recognize its (or her) beauty. Beauty’s recognition is simi-
spiritual development. A less obvious reason is beauty’s close
lar to the cultivation of the moral virtues of justice and good-
association with the idealized female subject who has domi-
ness. A virtue achieves truth to the degree that it acquires its
nated the Western imagination—whether in the Virgin
distinctive form of perfection; perfection is the goal (telos) for
Mary, the fragile innocence of the maternal figure of femi-
the cultivation of virtues. If the disposition for beauty is a
ninity, or the perfect (sexualized) form of the female body.
human cognitive capacity, then once beauty is acquired in
As female consciousness gained a critical edge in twentieth-
its true form it would be universally communicable. Ideally,
century societies, so did the recognition that the female body
beauty would produce aesthetic pleasure spontaneously in all
had been objectified, even idolized, as an erotic object. The
those human subjects whose cognitive dispositions are culti-
objectification of this subject of beauty became exclusive in
vated for their own perfection.
taking on the form of a specific gender-type, as well as ideal-
izing the qualities of a specific race, class, and religion.
What is the measure of this perfection? Is there a perfect
form of beauty for every natural and created object? Or is this
The extent of this objectification, by both men and
merely a subjective matter? If the latter, how can we agree
women, is evident in the degree to which women’s self-image
about what is beautiful? Is perfection of the human form
is determined by a culture’s fetish of beauty. This is when
measured against an aesthetic, moral, or divine standard? Re-
women do not actually see their own selves in representations
ligion has concerned itself with beauty precisely because of
of female beauty but are seen in terms of what others think
the inability of human beings to recognize or create perfec-
they should look like. Beauty becomes the opposite of any-
tion. Despite our apparent inability, we desire beauty in fair
thing natural, free, or creative. Instead it is bound up with
countenance (or justice), in human relationships (or love),
oppressive images of the female subject. Contemporary aes-
and in orderly action (or goodness). In various dimensions
thetics has not generally treated beauty as a central concern.
of human experience, we long for perfect order and so crave
Yet it is possible to find serious endeavors to restore beauty
beauty. If we turn this around, evidence of beauty as perfect
to what is still thought to be its rightful place in the pleasur-
order in nature serves to support imperfect human beings in
able enjoyment of nature, artistic creations, and human love.
proving the necessity of a divine creator.
To write about beauty is to tell a story about values for
BEAUTY IN WESTERN PHILOSOPHY. As a concept, beauty has
human beings. Values, including love (caritas), and such ac-
a history of meanings and uses. Beauty’s meaning changes
quired dispositions as truth, goodness, and justice, have been
in relation to the variability of human conceptions of nature,
portrayed in myths, in representations of relationships be-
as well as the variability of human values. Beauty’s use in po-
tween men, women, and the divine. Philosophers and theo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BEAUTY
811
logians have turned to the poets and the artists of their age
tion that “The virtue of a woman is a beautiful virtue. That
to imagine in myth what is not seen but is experienced. Beau-
of the male sex should be a noble virtue. Women will avoid
ty is only truly seen when human vision (and therefore lived
the wicked not because it is un-right, but because it is ugly;
experiences) is not determined by oppressive ideals and im-
and virtuous actions mean to them such as are morally beau-
ages. Even ancient myths about beauty involve struggle and
tiful. Nothing of duty, nothing of compulsion, nothing of
concealment until, ideally, the seeing that attends to an
obligation!” (Kant, 1960, p. 81). At first glance women seem
“other” achieves a revelation of truth and goodness.
freed from the constraints of duty—but this would imply ex-
cluding them from moral autonomy, i.e., from acting for the
One ancient myth that has been restored to prominence
sake of duty alone. Additional gendered connotations differ-
in contemporary discussions of love, pleasure, and beauty is
entiate men from women by the ability to distance them-
the story of Psyche and Cupid. Cupid is the Latin name of
selves from sensuous nature and move closer to the divine.
the ancient figure of love, represented in this myth by a male
god; Psyche is the Greek name for a human soul, represented
This crucial difference shapes later associations of women
by the female subject who appears trapped in a beautiful
with nature. Women’s beauty as a gift of nature becomes in-
body, alienated from others by their envy of her beauty. Psy-
creasingly problematic as science and technology seek to
che’s beauty does not bring happiness, but its opposite. The
dominate nature as unruly and threatening rather than or-
envy of others causes Psyche to suffer the tricks and trials of
derly and nurturing.
human and divine subjects. Then Cupid and Psyche become
Kant’s gendering of beauty affects subsequent accounts
lovers, and Psyche learns to be trustworthy, face-to-face with
of aesthetic education in profound ways, but it equally affects
love in the presence of beauty. In the end, Psyche becomes
theological accounts of divine greatness as the sublime. The
divine, loving freely and eternally (see Apuleius, 1998; Gilli-
problematic tradition of the gendering of beauty and the
gan, 2002).
sublime continues today. The nineteenth-century German
GENDERING BEAUTY AND THE SUBLIME. An adequate his-
idealist Friedrich Schiller passed on this tradition by reinforc-
torical account of the Western concept of beauty should con-
ing the gendered differences of Kant’s moral virtues. The
sider the gender associated with the beautiful and the sub-
twentieth-century French postmodernist Jean-François Lyo-
lime at the end of the eighteenth and beginning of the
tard ensures that absolute beauty is unobtainable for women
nineteenth centuries. New gendered readings aligned the
while men struggle for the divine—by transcending the cha-
beautiful with feminine virtues, and the sublime with mascu-
otic and corrupting forces of nature—in the sublime.
line ones. At this point, the sublime—in place of beauty—
becomes associated with the divine. Why would the divine
LIMITS OF THE HUMAN AND THE DIVINE. The upshot of
be associated with one or the other? God, as perfect, would
Kantian aesthetics in modern and postmodern literature cul-
fulfill the human desire for fairness of countenance, whether
minates in a monstrous sublime. When human desire and
as the beautiful or the sublime. Again, turning this around,
delight go beyond their proper limits, human creations be-
philosophical awareness of perfection in nature, including
come monstrous. At the extreme, the yearning connoisseur
human nature, gives grounds for the existence of a (maximal-
of beauty fails tragically to be worthy of this perception.
ly) great creator of this perfect design. But why would En-
Without the mutual exchange between creator and creature,
lightenment-era religion replace the beautiful with the sub-
between lover and beloved, monstrous forms of creativity
lime? The conception of the divine must represent absolute
manifest human unworthiness. Instead of harmony, integri-
greatness and perfection; hence, the sublime, as greater than
ty, and splendor, the one-sided endeavor to create human
beauty in sensuous nature or in its imitation, is taken to rep-
“beauty” results in the monstrous sublime of death and de-
resent inexpressible perfection and greatness.
struction, “where by its size it defeats the end that forms its
concept” (Kant, 1952, p. 100).
Jean-Jacques Rousseau’s eighteenth-century account of
the different moral educations of men and women in Émile
In contrast, the mutual exchange of love in beauty had
(1762) maintains the above gendered distinction. Kant’s Ob-
been lifesaving, as a new creation and a fragile intimation of
servations on the Feeling of the Beautiful and the Sublime
the divine. Positive qualities are undermined by the mon-
(1764) follows Rousseau, while Mary Wollstonecraft’s Vin-
strous (sublime), which is imaginatively represented by the
dication of the Rights of Woman (1792) responds critically to
Enlightenment myth of a new Prometheus in Mary Shelley’s
this gendering of beauty. The following is disputed: “The fair
Frankenstein (1818). Shelley’s story about a man-made crea-
sex has just as much understanding as the male, but it is a
ture explores the tragedy and distortions of a scientific “man”
beautiful understanding whereas ours should be a deep under-
who replaces divine with human creations, religion with sci-
standing, an expression that signifies identity with the sub-
ence, and love with technology; the outcome is truly horrific.
lime” (Kant, 1960, p. 78). A positive reading of Kant’s claim
The Romantic idea of human creativity cannot be sustained
acknowledges a certain level of equality—in understand-
without mutual love and justice. These virtues, sustained by
ing—between the male and female sexes. However, the gen-
something transcendent of both men and women, ensure
dered differences between beautiful and deep understandings
that creativity does not result in self-destruction by a chaotic
have negative implications when read alongside Kant’s asser-
and violent nature.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
812
BEAUTY
How do men and women acquire those necessary vir-
ultimate vision of the human soul (Psyche) becoming divine
tues that are not theirs at birth? One answer is to return to
and immortal in a marital union of equality with the god of
the ancient allegory of love. Its lesson is that we have to be
love (Cupid) in the presence of beauty that in turn begets
inspired to see the beautiful as something to love; perception
pleasure. In this way, beauty constitutes an opportunity for
of beauty in the beloved that renders her or him desirable
self-revelation and exchanges of power between the self and
is an experience inspired by perfect(ed) love. The allegory
another. Yet, in reality, beauty remains dangerously bound
represents Cupid with the power to transform humans from
up with oppressive ideals, images, and symbols. At the same
mere mortals without erotic aspirations to midwives—or
time, world religions have generated significant contexts in
philosophers—who yearn for what they perceive as good. In
which divine love can raise the human soul above the death
this allegory, love is motivated neither by desire nor by beau-
that haunts the natural world. This tension is problematic,
ty perceived independent of love. Instead, the very percep-
since a spiritual ascent to love in the presence of beauty is
tion of the beloved as good is dependent on, first of all, the
not an ideal to which human beings can aspire unaided. The
true vision of love. The lover, then, beholds the beautiful
difficulty is to see a spiritual ascent in a sensorial descent, ris-
countenance of her beloved. This vision of beauty takes the
ing towards the transcendent even in descending.
two lovers outside of themselves as subjects.
A CONTEMPORARY THEOLOGICAL AESTHETICS. The danger
Iris Murdoch describes this ability to see beauty as “un-
in developing religious symbolism to conceive love of beauty
selfing.” Her account recalls aspects of Plato’s and Kant’s ac-
as a form of salvation is evident in the aesthetic theology of
counts of beauty, yet it also reflects Murdoch’s unique vision
the twentieth-century Swiss theologian Hans Urs von
of attentiveness to the reality of love and beauty:
Balthasar. When the beauty of God radiates from every creat-
It is important too that great art teaches us how real
ed form, the values of truth and goodness become insepara-
things can be looked at and loved without being seized
ble from beauty’s aesthetic value. But in placing beauty at
and used, without being appropriated into the greedy
the center of his symbolic story of salvation, von Balthasar
organism of the self. This exercise of detachment is diffi-
makes the male gender central. Salvation in the form of beau-
cult and valuable whether the thing contemplated is a
ty is limited by the gendered symbolism of his Christology,
human being or the root of a tree or the vibration of
reinforcing the exclusion of the female body. Von Balthasar’s
a color or a sound. Unsentimental contemplation of na-
objectification of the female body forces not beauty, but
ture exhibits the same quality of detachment: selfish
woman herself, into exile. What are the implications for his
concerns vanish, nothing exists except the things which
theology of beauty?
are seen. Beauty is that which attracts this particular sort
of unselfish attention (Murdoch, 1970, p. 65).
To be fair, von Balthasar has done more than other
“What counteracts [blinding self-centered aims and im-
twentieth-century Christian theologians to restore beauty to
ages]. . .is attention to reality inspired by, consisting of,
a central place: he conceives Jesus Christ as the revelation of
love” (Murdoch, 1970, p. 67, italics added). And “the most
the form of God as absolute truth, goodness, and beauty.
obvious thing in our surroundings which is an occasion for
Von Balthasar gives a complex unity to this divine form; the
‘unselfing’. . .is beauty” (Murdoch, 1970, p. 84). This occa-
beauty of divine revelation comes to perfection in Christ as
sion for unselfing generates an attitude for seeing beauty in
the central form of God’s glory. Beauty exists not merely for
all its colors, shapes, and sizes. Although Murdoch’s writing
aesthetic pleasure, but as a moral and truthful challenge to
predates the postmodern challenges to the racial and ethnic
conversion (von Balthasar, 1982–1991, vol. 1, p. 209).
biases of Anglo-American philosophy, her attitude for seeing
When beauty, truth, and goodness come together, the glory
beauty resonates with the more contemporary words of the
of God is revealed. The crucial question is whether the
African American cultural and feminist critic bell hooks:
human need for spiritual perception of the form of beauty
“‘We must learn to see.’ Seeing is meant metaphysically as
can be perfectly satisfied by von Balthasar’s theological aes-
heightened awareness and understanding, the intensification
thetics.
of one’s capacity to experience reality through the realm of
Tina Beattie raises doubts about von Balthasar’s Chris-
the senses” (hooks, 1990, pp. 111–112).
tology, exposing the danger in images of beauty that fail to
CULTIVATION OF BEAUTY AND A NEW AESTHETIC. Hooks
represent the equality and mutuality of men and women in
proposes “an aesthetic of blackness,” picturing beauty in the
divine love. Beattie’s critique of von Balthasar’s symbolism
eyes of those women and men who take time to see and pay
begins by explaining how gender functions metaphorically
attention to the racial and material locations that shape and
and analogically. Next, Beattie shows how the female body
define their perceptions, feelings, and relationships. Specifi-
in von Balthasar’s complex sexual metaphysics is rendered re-
cally, “a radical aesthetic acknowledges that we are constantly
dundant by the symbolism of Christ and the church. Only
changing positions, locations, that our needs and concerns
the male sex is necessary for the performance of the story of
vary, that these diverse directions must correspond with
Christ, whose personae includes all variety of masculine and
shifts in critical thinking” (hooks, 1990, p. 111).
feminine qualities. This exclusion of the female body creates
To stand the test of time, beauty joins justice in seeking
an asymmetry between men and women. On the one hand,
equality in fair relationships. The allegory of love presents an
motherhood and femininity are detached from the female
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BEAUTY
813
body by, for instance, the symbolism of the church as moth-
Psyche as the soul of the (female) mortal becomes a di-
er, where both men and women can symbolize the mother
vine subject in love. Psyche and Cupid together create a new
church. On the other hand, their possession of a female body
fluidity of pleasure; this renders possible delight in the beau-
excludes women from performing any role associated with
tiful. These lovers pay attention to each other in a loving
the essential masculinity of Christ. Due to their female bo-
gaze. The fluidity of pleasure moves in between material dif-
dies, women are reduced to the biological role of reproduc-
ferences of sex and gender, enabling beautiful interchanges.
tion; men can represent both feminine and masculine quali-
Giving birth to pleasure in the beauty of love transforms
ties, while their male bodies allow men to perform roles
human relationships: this fairness, as another term for beau-
associated exclusively with the masculinity of Christ (as in
ty, remains forever divine.
the priesthood, administration of sacraments, etc.). Thus,
SEE ALSO Aesthetics; Architecture; Art and Religion;
the symbolism of von Balthasar’s Christology renders the
Human Body, article on Human Bodies, Religion, and
male body essential for salvation, and the female body ines-
Gender; Music.
sential.
Although von Balthasar’s aesthetics respond to the con-
BIBLIOGRAPHY
Apuleius. The Golden Ass or Metamorphoses. Translated by E. J.
trol of the world by technological forces and masculine val-
Kenney. Harmondsworth, U.K., 1998. An inspiring second-
ues of aggression, power, and war, any acknowledgment of
century story about Cupid and Psyche creates an allegory of
the need for maternal feminine values, in order to avoid vio-
love, beauty, and the metamorphoses of human and divine
lence and exploitation, is undermined by the Catholic
identities.
Church (of which von Balthasar plays a prominent part)
Beattie, Tina. God’s Mother, Eve’s Advocate: A Marian Narrative
being resolutely committed to the exclusion of women from
of Women’s Salvation. Bristol, U.K., 1999; London, 2002.
positions of visibility and social-ethical influence. Can von
This feminist text criticizes and reconfigures the theological
Balthasar’s Christology make sense of absolute beauty, good-
imagery of Eve and Mary, rewriting the story of salvation to
ness, and truth while his symbolism enshrines a vicious asso-
include the integrity of the female body.
ciation between the female body, sex, death, and violence?
Gilligan, Carol. The Birth of Pleasure: A New Map of Love. Lon-
If the female body represents Eve as the devil’s gateway,
don, 2002. The psychological study of intimate human rela-
whereby the threatening impurity of female flesh drags the
tionships takes on new significance as it tells a story about
male spirit into its chaotic depths of death and disintegra-
the birth of pleasure, locating the shared feelings that shape
human love.
tion, then the devaluation of woman, nature, and ultimately,
beauty is inevitable.
hooks, bell. “An Aesthetic of Blackness: Strange and Opposition-
al.” In Yearning: Race, Gender, and Cultural Politics,
CONCLUSION. The artist Marlene Dumas captures the fe-
pp. 103–113. Boston, 1990. A brief but significant article,
male body’s association with death—displacing beauty—in
challenging conceptions of beauty and contending that beau-
a dramatic reformulation of the pietà, in which a male subject
ty’s function and purpose cannot be separated from material
life, metaphysical perception, or political passion.
holds a female corpse (see Dumas’s 1993 painting, The Image
as Burden). Instead of the pietà with Mary holding the dead
Kant, Immanuel. The Critique of Judgement. Translated by James
Creed Meredith. Oxford, 1952. This third Critique (1790)
body of her male son Christ, a male mourner carries the dead
contains a historically pivotal account of beauty, separating
body of the female subject. This reverses the traditional por-
beauty’s aesthetic value from moral and metaphysical philos-
trait of beauty. Can the female body and nature represent the
ophy, while carving out a universal role for the delight (in
source of life, not death, in a rebirth of beauty? One positive
the beautiful) that communicates a shared feeling of aesthetic
response refigures the allegory of love, offering hope for a
pleasure.
new story of salvation for men and women.
Kant, Immanuel. Observations on the Feeling of the Beautiful and
the Sublime. Translated by John T. Goldthwait. Berkeley,
The story of Psyche and Cupid can guide a symbolic re-
1960. Published in 1764, this work connects femininity and
configuration of sexed and gendered subjects. Psyche is saved
beauty, masculinity and the sublime.
when, as the new Venus, (i.e., the soul of beauty), she (or
Murdoch, Iris. The Sovereignty of Good. London, 1970. Three
he) replaces Cupid’s mother and creates a new relationship
philosophical lectures addressing different aspects of the con-
as the beautiful one who is equal in love to her (or his) lover.
cept of the good tackle the selfishness and illusions that
In being transformed from human to divine, Psyche freely
obscure reality and present beauty as the occasion for
unites with divine love, Cupid, creating a relation of equality
“unselfing.”
for love in beauty. At the same time, this love involves an
Plato. Symposium. Translated by Alexander Nehamas and Paul
unselfing in attending to the other self; hence, beauty is seen
Woodruff. Indianapolis, 1989. The classic dialogue on love
in the other’s differences. The moral psychologist Carol Gil-
and beauty.
ligan suggests that paying particular attention to our gen-
Scarry, Elaine. On Beauty and Being Just. Princeton, 1999. A gem
dered relationships in the light of the birth of pleasure is
that redirects discussions of beauty towards justice.
(still) needed. Gilligan herself discovers the seeds for this new
Shelley, Mary. Frankenstein, or The Modern Prometheus. 1818; re-
account in refiguring Psyche and Cupid.
print, London, 1985. A novel that portrays imaginatively
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
814
BEDE
and critically the excess of human (exclusively male) creativi-
medieval writers of later generations, not all of whom em-
ty, going beyond its limits for love and beauty, in the repro-
ployed their typically allegorical method of interpretation
duction of a monstrous creature.
with Bede’s characteristic restraint. His works were so well
Steiner, Wendy. Venus in Exile: The Rejection of Beauty in Twenti-
respected and so often copied that most of them have sur-
eth-Century Art. Chicago, 2001. This study critically docu-
vived. His numerous borrowings from the Fathers testify to
ments the difficulties resulting from an equation of beauty
the magnificent collection of books Benedict Biscop had ac-
with the female subject, seeking to rescue the beautiful exile
cumulated in Rome and transported all the way to North-
in reciprocal forms of aesthetic pleasure.
umbria.
von Balthasar, Hans Urs. The Glory of the Lord: A Theological Aes-
Bede’s writings display the working of a lively and in-
thetics. 7 vols. Edited by Joseph Fessio and John Riches, and
quiring mind, fascinated not only by problems of scripture
translated by Erasmo Leiva-Merikakis. Edinburgh,
1982–1991.
but also by those of the natural world. Taken in their chrono-
logical order his works allow us to discern a constantly grow-
PAMELA SUE ANDERSON (2005)
ing scholarly maturity, as well as an attractive and winning
personality. Bede’s work on the calendar deserves special
mention. The controversy over the date of Easter was partic-
ularly acute in his time since it pitted Roman against Celtic
BEDE (c. 673–735), usually called “the Venerable”;
usage. Bede tried to put order into the controversy through
Northumbrian monk and scholar. Bede’s whole life was asso-
a work, De temporum ratione, whose modern editor remarks
ciated with the twin monasteries of Wearmouth and Jarrow,
that it still remains “the best introduction to the ecclesiastical
founded by Benedict Biscop in 673–681. It is difficult to im-
calendar.”
prove on the summary of his life supplied by Bede himself
in introducing the list of his works provided in the final
We possess a moving eyewitness account of Bede’s last
chapter of his Ecclesiastical History of the English People:
days in a letter written by one of his disciples, Cuthbert, to
another, Cuthwin. He continued working and teaching to
I was born on the lands belonging to this monastery and
the end. One of his last tasks—left incomplete—was a trans-
at the age of seven was given by my family to the most
lation of John’s gospel into Old English. He died on May
reverend Benedict [Biscop] and to Ceolfrid [his succes-
sor] to be educated. From that time onward I have lived
26, 735.
my whole life in this same monastery, devoting all my
time to the study of the scriptures. While observing the
BIBLIOGRAPHY
regular monastic discipline and singing the daily office
The edition of Bede’s works by J. A. Giles (1834–1844) was re-
in church, I have always taken delight in learning,
printed in Patrologia Latina, edited by J.-P. Migne, vols.
teaching, and writing. In my nineteenth year I became
90–95 (Paris, 1850–1851). New editions of most of Bede’s
a deacon, and in my thirtieth a priest. . . . And from
works have since appeared in Corpus Christianorum,
the day of my priestly ordination to this, my fifty-ninth
series latina, vols. 118–122 (Turnhout, 1955–1969). For the
year [731], I have composed the following works on
Latin text of the Ecclesiastical History, Bertram Colgrave and
Holy Scripture, either for my own use or that of my
R. A. B. Mynors’s edition (Oxford, 1969) supersedes that of
brethren, drawing for this purpose on the works of the
Charles Plummer (Oxford, 1896), although Plummer’s his-
holy Fathers, and at times adding comments of my own
torical notes retain much value.
to clarify their meaning and interpretation.
The bibliography on Bede is large, especially in the form of articles
Bede then adds a list that, in addition to scriptural works,
in scholarly journals. Special mention should be made of
also contains lives of saints, histories, grammatical works, po-
Peter Hunter Blair’s The World of Bede (London, 1970);
etry, and treatises on computation.
Bede, His Life, Times and Writings: Essays in Commemoration
of the Twelfth Centenary of His Death, edited by Alexander
Bede’s Ecclesiastical History of the English People—
Hamilton Thompson (Oxford, 1935); and Famulus Christi:
basically a religious history written for Christian believers—
Essays in Commemoration of the Thirteenth Centenary of the
is a remarkable work, able to win the admiration even of
Birth of the Venerable Bede, edited by Gerald Bonner (Lon-
modern-day historians who may not share Bede’s religious
don, 1976). The best general introduction to Bede’s Ecclesi-
beliefs. It demonstrates Bede’s scholarly gifts, his fine Latini-
astical History remains Jackson J. Campbell’s “Bede,” in
ty, his concern to find trustworthy sources, his dexterity in
Latin Historians, edited by T. A. Dorey (New York, 1966).
the use of these sources, and his sobriety of judgment even
Numerous aspects of Bede and his background have been ex-
amined in the “Jarrow Lectures” (1958–), a series too little
when handling miraculous elements. The Ecclesiastical Histo-
known but published yearly by the rector of Jarrow (Saint
ry is also noteworthy for its introduction of anno Domini as
Paul’s Rectory, Jarrow, England).
a means of dating events in the common era, a practice that
became customary throughout the Western world.
PAUL MEYVAERT (1987)
Although Bede is most famous in modern times for the
Ecclesiastical History, it was his scriptural comentaries that
were best known and most used in his own day and among
BEGGING SEE ALMSGIVING; MENDICANCY
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BEIT HILLEL AND BEIT SHAMMAI
815
BEING SEE ONTOLOGY
pressed the attitudes of the upper classes and Beit Hillel,
those of the lower. For example, when Beit Shammai main-
tained that on the eve of the Sabbath or a festival one should
first recite the benediction over the day and then that over
BEIT HILLEL AND BEIT SHAMMAI were two
the wine and Beit Hillel contended that the wine should be
early Jewish schools of thought, or “houses” (beit, from He-
blessed first (Ber. 8.8), each school’s position may reflect its
brew bayit, means “house of”), named after Hillel and Sham-
socioeconomic background. The wealthy commonly used
mai, leading sages of Jerusalem in the latter half of the first
wine at their meals, and so its use in no way indicated the
century BCE and in the early first century CE. The schools ac-
festive nature of the Sabbath or festival. For the poor, howev-
tually represented two distinct approaches to the study of the
er, the presence of wine at the table suggested the specialness
oral law that were prevalent from the time of Hillel and
of the day, so Beit Hillel decided that the benediction over
Shammai until the beginning of the second century. While
it had to be recited first.
very few adherents of either school are known by name, it
Some writers have maintained that the two schools had
appears that the Shammaites managed to achieve dominance
distinct hermeneutical approaches. For example, Beit Sham-
sometime before the destruction of the Temple in 70 CE. Ac-
mai tended to be more literal in its exegesis, explaining the
cording to some scholars, the “Eighteen Matters” that Beit
verse “when thou liest down and when thou risest up” (Dt.
Shammai is said to have decreed despite the objections of
6:7) to mean that the ShemaE should be recited in the eve-
Beit Hillel (J.T., Shab. 1.4, 3c, and parallels) refer to mea-
ning while reclining and in the morning while standing. Beit
sures instituted during the first revolt against Rome (66–70
Hillel understood the intention to be that the ShemaE is said
CE) in order to assure the separation of Jews and Gentiles.
at the time when people are accustomed to lie down and
In any event, Beit Hillel clearly emerges as the more influen-
when they arise (Ber. 1.3).
tial school at Yavneh, where the sages of Israel convened after
70 CE. The Jerusalem (Palestinian) Talmud (Ber. 1.7, 3b) re-
Still others have suggested that Beit Hillel insisted that
lates that a “heavenly echo” went forth at Yavneh and de-
a valid act had to be accompanied by intention, whereas Beit
clared that the halakhah (“law”) would henceforth be in ac-
Shammai emphasized the deed itself. A common example
cordance with Beit Hillel. Actually, the more than three
pertains to the law that foods consumed on a festival must
hundred controversies between the two schools that have
be prepared the day before. The question arose as to whether
been preserved in Talmudic literature, many of which date
an egg laid on the festival day could be eaten (Beits. 1.1). Beit
to the Yavnean period, attest to what must have been a pro-
Shammai permitted its consumption because it viewed the
tracted struggle for ascendance before Beit Hillel prevailed
egg as having been readied, albeit by the hen, the day before.
in the early second century.
Beit Hillel however, regarded this preparation as inadequate
since no one could have anticipated that the egg would actu-
Though the Hillelites and Shammaites are said to have
ally be laid on the festival day.
practiced love and friendship toward each other and even in-
termarried despite differences over marital law (B.T., Yev.
Finally, it has been suggested that Beit Hillel analyzed
14b), it is clear that the rabbis regarded the schools as distinct
texts and concepts and broke them down into smaller com-
factions. Thus the many controversies between Beit Hillel
ponents in order to understand them, while Beit Shammai
and Beit Shammai are attributed to the increase in the num-
emphasized the context and the whole. This understanding
ber of students of Hillel and Shammai “who did not wait
is actually an elaboration of the hermeneutical and intention-
upon [their masters]” sufficiently, which in turn led to the
versus-deed explanations.
creation of two Torahs (Tosefta H:ag. 2.9 [MS Vienna] and
No one theory accounts for all or even most of the dis-
parallels), or, according to another version, two “parties,” or
putes between the two schools, so it must be concluded that
kittot (J.T., H:ag. 2.2, 77d). The tannaim generally consid-
aside from the generally strict perspective of Beit Shammai
ered Beit Shammai to be the school with the stricter view-
and the leniency of Beit Hillel, no general underlying princi-
point, calling attention to the few instances where this was
ple can be discerned.
not so ( EEduy. 4, 5).
SEE ALSO Hillel.
Modern scholars have tried to clarify further the differ-
ences between the schools. The usual explanation is that the
BIBLIOGRAPHY
schools assumed the characteristics of Hillel and Shammai
The disputes between the houses are presented and evaluated in
themselves, with Hillel representing the ideals of kindness,
volume 2 of Jacob Neusner’s The Rabbinic Traditions about
forbearance, and conciliation and Shammai, their opposites.
the Pharisees before 70, 3 vols. (Leiden, 1971). See also the
Unfortunately, too few direct controversies between the two
“Bibliographical Reflections” in volume 3 (pp. 320–368) of
sages have been recorded to discern whether these character-
Neusner’s work. Alexander Guttmann considers the relation
istics played any major role in their differences.
of Hillel and Shammai to the schools and discusses the differ-
ent approaches of Beit Hillel and Beit Shammai in his Rab-
Another theory is that there were socioeconomic differ-
binic Judaism in the Making: A Chapter in the History of the
ences between the schools; that is, that Beit Shammai ex-
Halakhah from Ezra to Judah I (Detroit, 1970), pp. 59–124.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
816
BELIEF
The socioeconomic understanding of the controversies is
theologian and grand penitentiary, a post that carried with
presented in Louis Ginzberg’s “The Significance of the
it a red hat. Bellarmino was created cardinal under the title
Halakhah for Jewish History,” in his On Jewish Law and Lore
of Santa Maria in Via on March 3, 1599.
(1955; reprint, New York, 1979), pp. 77–124. For the claim
that the Hillelites had an “atomic-nominalistic” tendency,
In the midst of his various administrative duties, Bellar-
see Isaiah Sonne’s “The Schools of Shammai and Hillel Seen
mino continued to publish works in defense of Catholic doc-
from Within,” in Louis Ginzberg Jubilee Volume (New York,
trine and piety, as well as works on the Fathers, scriptural
1945), pp. 275–291. The “Eighteen Matters” are discussed
studies, and liturgy. All these books taken together amount
in Solomon Zeitlin’s “Les ‘dix-huit mesures,’” reprinted in
to a considerable corpus, most conveniently consulted in the
his Studies in the Early History of Judaism, vol. 4 (New York,
twelve large volumes edited by J. Fèvre in 1874.
1978), pp. 412–426.
Inevitably, Bellarmino was drawn into the sharp quarrel
STUART S. MILLER (1987)
between the Jesuits and the Dominicans over the problem
of the relation between grace and free will. It has been said
that Bellarmino’s position on this issue displeased the pope,
BELIEF
who, for whatever reason, sent him off to be archbishop of
SEE DOUBT AND BELIEF; FAITH;
Capua in 1602. When Clement died in March 1605, Bellar-
KNOWLEDGE AND IGNORANCE
mino resigned his see, and Pope Paul V named him librarian
of the Vatican. He remained active in the Curia Romana for
the rest of his life and took an intellectual’s part in many of
BELLARMINO, ROBERTO (1542–1621), Jesuit
the great events of the time, including the Venetian interdict
theologian, controversialist, and cardinal; canonized saint of
(1606), the literary controversies with James I of England
the Roman Catholic church. Roberto Francisco Romulo Bel-
(1607–1609), and the debate on Gallicanism (1610–1612),
larmino was born at Montepulciano in Tuscany on October
which was the occasion for his celebrated treatise on the pow-
4, 1542. His father was an impoverished nobleman. His
ers of the pope, De potestate summi pontificis in rebus tempor-
mother was a sister of Marcello Cervini, papal legate at the
alibus (Concerning the powers of the supreme pontiff in
Council of Trent and later Pope Marcellus II (1555). Bellar-
temporal matters). In 1615 he was involved in the first curial
mino entered the Society of Jesus in 1560. He studied phi-
interrogation of Galileo, a man for whom he had great regard
losophy at the Roman College and theology at Padua. He
and whom he treated with marked respect.
was frail as a youth and suffered from uncertain health all
The process of Bellarmino’s canonization began in
his life. As a student he was much devoted to literature and
1627, six years after his death, but because of what was con-
even wrote some poetry, most of which he later destroyed.
ceived to be his minimizing views about the papacy, it was
In 1569 Bellarmino was sent by his Jesuit superiors to
not consummated until 1930. Roberto Bellarmino, person-
Louvain in Flanders. The following year he was ordained
ally austere, pious, and kindly, set the highest tone for the
priest by the bishop of Ghent and assumed his duties as lec-
positive theology of the Counter-Reformation, not only be-
turer in theology at the Jesuit house associated with the uni-
cause of his erudition and industry, but also because of the
versity. He was an immediate success in this capacity, so
amiability and courtesy he brought to his controversial writ-
much so that by the end of his sojourn at Louvain, in 1576,
ings—characteristics rare indeed in his tumultuous era.
he was offered prestigious positions at Paris and Milan. He
was recalled instead to Rome, where a special chair of theo-
BIBLIOGRAPHY
logical controversy was established for him at the Roman
The best short study of Bellarmino’s life and work is Xavier-Marie
College. The lectures he delivered there, confuting all the
Le Bachelet’s entry, “Bellarmin, François-Robert-Romulus,”
leading Protestant spokesmen, were published in 1586 under
in Dictionnaire de théologie catholique (Paris, 1932). Some-
the title Disputationes de controversiis Christianae fidei adver-
what effusive but nevertheless useful is James Brodrick’s The
sus hujus temporis haereticos (Lectures concerning the contro-
Life and Work of Blessed Robert Francis Cardinal Bellarmine,
versies of the Christian faith against the heretics of this time),
2 vols. (London, 1928). E. A. Ryan’s The Historical Scholar-
ship of Saint Bellarmine (Louvain, 1936) examines the center-
a manual that soon became the standard of Roman positive,
piece of the subject’s controversial writings. For a recent
as distinguished from scholastic, theology. It had to pass first,
treatment of one of Bellarmino’s controversies within his
however, through the displeasure of the imperious Pope Six-
own communion, see Gustavo Galeota’s Bellarmino contra
tus V, who threatened to put Disputationes on the Index of
Baio a Lovanio (Rome, 1966).
Forbidden Books because it argued that the pope’s temporal
M
jurisdiction is only indirect. Bellarmino was spared this em-
ARVIN R. O’CONNELL (1987)
barrassment by the death of Sixtus in August 1590.
In 1591 Bellarmino was appointed spiritual director of
the Roman College and a year later its rector. In 1595 he be-
BEMBA RELIGION. The Bemba, also known as
came Jesuit provincial in Naples, where he lived for three
Awemba, inhabit the northeastern part of Zambia between
years until he was chosen by Clement VIII to be the papal
lakes Tanganyika, Mweru, Malawi, and Bangweulu. Accord-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BEMBA RELIGION
817
ing to oral traditions, three sons of the Luba king, Mukulum-
her body. After the child is born, the identity of this ancestor
pe, who had fallen out with their father, led a migration of
is ascertained by divination. The child’s mupashi is believed
people from what is now the Shaba Province of southern
to guard him wherever he goes and remains as a guardian for
Zaire to what became the Bemba territory. The royal clan
his descendants after he dies.
of the Bemba traces its descent to these brothers and to their
For every man or woman who dies there is a special suc-
sister, Bwalya Chabala. By the mid-seventeenth century, the
cession ceremony (kupyamika) in which a close relative as-
Bemba were established in their present territory. A para-
sumes the dead man’s bow or the dead woman’s girdle. By
mount chief, or citimukulu (a title associated with
doing so, the relative assumes some of the personal character-
Mukulumpe’s sons), ruled the Bemba with the assistance of
istics of the deceased as well as his or her position in the kin-
local chiefs, also of the royal clan, whom he appointed to
ship system. Thus a young boy who is appointed in this way
govern the various districts under Bemba control.
to succeed a dead man will thereafter address his fellow vil-
The matrilineal clan structure of the Bemba can be
lagers using the same forms the deceased would have used;
traced to Bwalya Chabala’s central role in the migrations
the villagers, in turn, will regard the boy as the husband of
from Shaba. According to tradition, the sons of Mukulumpe,
the dead man’s widow and will speak of him as such.
after wandering in exile from their father’s kingdom, realized
The Bemba’s paramount chief is said to succeed to the
that they needed the assistance of a royal woman to found
mipashi of his matrilineal ancestors, which dates back to the
their clan, so they went back to their father’s compound and
founding siblings. During the chief’s succession ceremony,
secretly carried Bwalya Chabala away with them. She is often
he is given a number of material objects associated with the
mentioned as the person who brought the seeds and plants
mipashi; it is through these sacred relics that the citimukulu
used in Bemba agriculture. In their tradition of a woman
acquires power over his domains. This power can be weak-
founding the royal clan as well as introducing agricultural
ened, however, by any failure of the chief to fulfill ritual obli-
knowledge, the Bemba assert the intimate connection be-
gations or to adhere to a series of sexual avoidances associated
tween the principle of matrilineal descent and the fertility of
with his office. The ritual objects (babenya) inherited by the
the land. Bwalya Chabala’s honored place in Bemba tradi-
chief are kept in special spirit huts in the capital where they
tions can be seen in a sacred burial place, not far from the
are looked after by hereditary “councillors” (bakabilo), who
present-day Bemba capital, associated with her. Offerings of
also trace their ancestry to the foundation of the Bemba state.
cloth and flour are brought to her burial shrine. A basket,
The shrines are also guarded by “wives of the dead,” who are
which is said to be hers, hangs in the relic house of the citi-
direct descendants of the wives of former chiefs. The approx-
mukulu. Flour from this basket is used in several Bemba reli-
imately four hundred bakabilo are responsible for purifying
gious ceremonies.
the paramount chief before he approaches the spirit huts and
Like other central African ethnic groups, the Bemba ac-
for protecting him from harmful influences. They prevent
knowledge a high god known as Lesa. Among the neighbor-
the ritually impure from approaching the chief and guard his
ing Lamba people, Lesa is thought to have been a man who
power by quickly removing from the capital anyone who is
lived on earth and helped his people. For the Bemba, howev-
in imminent danger of dying.
er, Lesa was never a person. He is a creator god who controls
Traditionally, when a paramount chief was at the point
the rains and the power of fertility manifested in humans,
of death, the bakabilo, who traced their membership in the
animals, and agriculture. He is the source of the creative
royal clan by paternal descent and were therefore ineligible
power in the roots and shrubs that the Bemba use in healing
to succeed him, gathered in the royal hut to ensure that the
and religious rituals. There is no organized cult associated
necessary rituals were carried out precisely as dictated by tra-
with Lesa, and the Bemba do not ordinarily solicit his assis-
dition. Their leader determined when the bakabilo should
tance. When serious problems of community-wide concern
strangle the paramount chief. The bakabilo had to be careful
arise, however, they organize collective rituals to ask Lesa for
to do this at the proper moment, for to strangle the king too
help. These are particularly common in times of severe
soon would have been considered murder and to wait too
drought.
long might have allowed the royal mipashi to escape, with
Spirits of the ancestors play a more central role in the
devastating consequences for the entire kingdom. (The
day-to-day existence of the Bemba. Rituals are performed to
Bemba citimukulu may be seen as conforming to James G.
seek assistance from the ancestors and to ensure that their
Frazer’s model of a “divine king.”) After the death of the citi-
considerable influence over the lives of the living becomes
mukulu, the bakabilo removed the ritual objects associated
a force for good. Some of these ancestral spirits (mipashi) are
with the office and took them to a neighboring village for
considered benign; others, called fiwa, are more dangerous.
safekeeping until the succession ceremony took place.
The fiwa are the spirits of those who died with a sense of
The burial of the chief had to be done according to strict
grievance or injury and who trouble their descendants until
ritual procedures to ensure that the spiritual power of the of-
the wrong is corrected.
fice was not weakened. The corpse was washed by the three
When a pregnant woman feels the child moving in her
senior women—the chief’s mother, his senior sister, and his
womb, she knows that the mupashi of an ancestor has entered
head wife—then placed in the fetal position upon a platform
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
818
BENARAS
made of branches. Hereditary royal buriers completed the
of Great Britain and Ireland (1968) draws on information
rituals by pouring a special bean sauce over the body at dawn
provided by hereditary bearers of the citimukulu; and Chi-
and at noon. The skin of a newly sacrificed bull was wrapped
sungu, 2d edition (London, 1982), examines this important
around the body, followed by a special cloth. At the end of
female initiation ceremony. A. H. Muenya’s “The Burial of
a yearlong mourning period and after the millet had been
Chitimukulu Mubanga,” African Affairs 46 (1947): 101–
harvested, the chief’s remains were moved to the sacred buri-
104, offers an eyewitness account of the burial of a recent ci-
timukulu.
al place (mwalule). Before the bakabilo set out for the burial
place, the senior widow was slain in sacrifice. On their way
New Sources
to the burial site, the bakabilo sacrificed all the chickens and
Badenberg, Robert. The Body, Soul and Spirit Concept of the Bemba
in Zambia: Fundamental Characteristics of Being Human in
goats that they encountered. Commoners were supposed to
an African Ethnic Group. Bonn, 1999.
hide from the burial procession. The chief’s wives and ser-
Davoli, Umberto. The Dancing Elephant: A Collection of the Tales
vants were buried with his remains. Ivory tusks and other
of the Bemba People. Ndola, Zambia, 1992.
valuable goods were placed on top of his grave, which was
Hinfelaar, Hugo F. Bemba-Speaking Women of Zambia: A Century
guarded by the “wives of the dead.”
of Religious Change, 1892–1992. Leiden and New York,
The hereditary burier of the citimukulu, who was in
1994.
charge of the royal burial ground, was known as shinwalule
James, Eric. Moment of Encounter. New York, 1984.
(“lord of the burial ground”). In addition to playing a promi-
Moore, Henrietta L. Cutting Down Trees: Gender, Nutrition and
nent role in the succession ceremonies of the new chief, the
Agricultural Change in the Northern Province of Zambia
shinwalule performed a variety of rituals associated with rain
1890–1990. Portsmouth, N.H., 1994.
and the fertility of the land.
Richards, Audrey Isabel. Chisungu: A Girl’s Initiation Ceremony
among the Bemba of Zambia. London and New York, 1988.
One of the most important Bemba rituals is the female
AUDREY I. RICHARDS (1987)
initiation ceremony, Chisungu, held shortly after the onset
Revised Bibliography
of menstruation. Between one and three girls take part in the
ceremony. During her first menstruation, a girl undergoes
an individual purification rite designed to “bring her to the
BENARAS SEE BANARAS
hearth” or “show her the fire,” because it is believed that her
condition has made her “cold.” (Fire is often used in Bemba
rituals to purify a person who has passed through a danger-
BENCHO
¯ (1162–1238), also known as Sho¯ko¯bo¯; post-
ous or impure condition.) Medicines treated with fire play
humous name, BenDa; founder of the Chinzei branch of the
an important part in the girl’s purification ritual.
Japanese Jo¯do (Pure Land) sect, the dominant branch of this
The actual Chisungu ritual is held at a convenient time
sect. He is presently counted the second patriarch of the
relatively soon after the menstrual purification ritual. Chi-
Jo¯doshu¯.
sungu is a nubility rite in the sense that it is less concerned
Born in the province of Chikuzen in northern Kyushu,
with the physical transformations of puberty than with the
Bencho¯ became a novice monk at the age of seven. At the
social changes necessary for a woman to be ready for mar-
age of twenty-two he left Kyushu and entered the head Ten-
riage. Normally the girl is already betrothed; the ritual is de-
dai monastery of Enryakuji on the northeastern outskirts of
signed to protect the couple from the dangers associated with
Kyoto, then the capital of Japan. After six years of study there
their first act of sexual intercourse and to establish the rights
under the erudite scholar-monk Ho¯chibo¯ Sho¯shin he re-
of the future husband to engage in sexual relations. It is also
turned to Chikuzen. Three years later, deeply shocked by the
a time when women elders teach younger women the reli-
death of his stepbrother, he underwent a religious crisis in
gious and social responsibilities of women in their communi-
which he came to feel keenly the impermanence of things.
ty. The rite entails no physical operation but involves singing
On a trip to Kyoto in order to obtain a statue for a pagoda
and dancing both within the village and in the bush. There
he had helped to reconstruct, Bencho¯ met Ho¯nen and be-
is no comparable ritual for boys.
came his disciple. After delivering the statue to Chikuzen he
returned to Kyoto in 1199 to study the Nembutsu (Chin.,
BIBLIOGRAPHY
nianfo) teachings under Ho¯nen.
For background history of the Bemba, see Andrew D. Roberts’s
Five years later he returned again to Kyushu, and from
A History of the Bemba (Madison, Wis., 1973). The following
this time on was active in propagating the Pure Land Nem-
of my own works should also be consulted: “The Bemba of
butsu teachings throughout the northern portion of Kyushu.
North-Eastern Rhodesia,” in Seven Tribes of British Central
Among his many disciples was Ryo¯chu¯ (1198–1287), who
Africa, edited by Elizabeth Colson and Max Gluckman (Ox-
ford, 1951), pp. 164–193, gives a preliminary treatment of
was designated the heir of Bencho¯’s transmission when the
Bemba religion; Land, Labour and Diet in Northern Rhodesia
latter gave official sanction to Ryo¯chu¯’s work, Ryo¯ge matsudai
(Oxford, 1939) contains accounts of religious ceremonies re-
nembutsu jushuin sho¯. Ryo¯chu¯ was later instrumental in es-
lated to the economic life of the people; “Keeping the King
tablishing Bencho¯’s lineage as the dominant branch among
Divine” in Proceedings of the Royal Anthropological Institute
the many offshoots of Ho¯nen’s teaching.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BENEDICT, RUTH
819
Bencho¯ held that practices other than the Nembutsu
Her attributes are often a sacrificial cup in the right hand and
(the recitation of the words “Namu Amida Butsu”) do not
a spear in the left hand. On Bythinian coins, however, she
fundamentally accord with Amida’s Original Vows (hongan).
is represented as holding two spears in her right hand and
However, he did state that it was possible to attain birth in
a dagger in her left hand. On coins from Kabyle, she bears
the Pure Land through non-Nembutsu practices insofar as
two torches, or one torch and a patera. Torches were also the
they are performed in good faith. Thus he held that both
attribute of the Greek goddess Hekate, with whom Bendis
Nembutsu and non-Nembutsu are qualitatively identical in
has also been often identified.
that they can be the cause of birth in the Pure Land. He also
A temple consecrated to Bendis or Mendis existed in
emphasized the idea of “unperturbed mind at the deathbed”
188 BCE on the western shore of Hebros. Later testimonies
(rinju¯ sho¯nen). For Bencho¯, it is of utmost importance to re-
mention another temple in Egypt, near Ptolemais. Her name
cite the Nembutsu with an undisturbed mind at the time of
is attested as an anthroponyme in both Thrace and Greece.
one’s death. Under these circumstances, the practitioner is
said to be able to see the Buddha arriving to lead him to the
Notwithstanding her prominent role at Athens, Bendis
Pure Land. This deathbed vision of the Buddha is considered
is not to be considered an important divinity. The cult of
crucial to one’s birth in the Pure Land and eventual enlight-
Diana among the Roman soldiers in Dacia and south from
enment there. Finally, Bencho¯ placed strong emphasis on the
the Danube does not necessarily have anything to do with
actual recitation of the Nembutsu. This ultimately places
Bendis.
him among the ranks of those who advocate “many-calling”
(tanen), the constant repetition of the Nembutsu, and “self-
BIBLIOGRAPHY
For further discussion, see Zlatozava Goceva’s essay “Der
power” (jiriki), the position that the Nembutsu is recited
Bendiskult und die Beziehungen zwischen Thrakien und
through one’s own conscious effort.
Klein-asien” in Hommages à Maarten J. Vermaseren, edited
S
by Margaret B. de Boer and T. A. Edridge (Leiden, 1978),
EE ALSO Ho
¯nen; Jo¯doshu¯; Nianfo.
vol. 1, pp. 397–404.
BIBLIOGRAPHY
New Sources
Ho¯nen to sono monka no kyo¯gaku. Kyoto, 1972. Sponsored by
Best, J., Jr. “Bendis.” Hermeneus 35 (1964): 122–128.
Ryukoku Daigaku Shinshu Gakkai.
Blomart, Alain. “Identité culturelle, altérité et religions étrangères:
Kodo Yasui. Ho¯nen monka no kyo¯gaku. Kyoto, 1968.
exemples antiques de Mithra, Bendis et la Mère des dieux.”
B
Itaca 16–17 (2000–2001): 9–22.
ANDO SHO
¯ JUN (1987)
Cerkezov, Valentin. “Iconography of the Thracian Goddess
Bendis in the Tombstones with a funeral feast from Southern
Thrace.” Eirene 33 (1997): 53–66.
BENDIS. In Greek testimonies, this South Thracian god-
Ducrey, Pierre. “Quelques reliefs et dessins rupestres de Philippes
dess is known variously as Bendis, Béndis, or Mendis. Her
de Macédoine.” In Mélanges d’histoire ancienne et
name is uncontroversially explained as deriving from Indo-
d’archéologie offerts à Paul Collart (Lausanne, Switzerland,
European *bhendh-, “bind.” She was probably a goddess
1976): 147–160.
of marriage whose function it was to watch over marital
Gerasimova-Tomova, V. “Sur le culte de Bendis en Thrace et le
bindings.
vêtement de femme thrace.” Arch(Sofia) 22 (1980): 27–34.
As early as 429/8 BCE, Bendis was the object of a state
Masson, Olivier. “Les noms théophores de Bendis en Grèce et en
cult in Athens. In the ceremonies called Bendideia, which
Thrace.” Museum Helveticum 45 (1988): 6–12
took place on the nineteenth or twentieth of the month
Planeaux, Christopher. “The Date of Bendis’ Entry into Attica.”
Thargetion, two processions took place, one composed of the
Classical Journal 96 (2000–2001): 165–192.
rich and influential Thracians of Piraeus, the other of Athe-
Popov, D. “Essence, origine et propagation du culte de la déesse
nians. The Bendideion, or temple of Bendis, was situated on
thrace Bendis.” Dialogues d’Histoire Ancienne 2 (1976):
the hill Munychia.
289–303.
The Bendideia, as described in Plato’s Republic
IOAN PETRU CULIANU (1987)
(327a–c), was spectacular but did not contain any hint of the
CICERONE POGHIRC (1987)
orgiastic character that is typical of rites performed in wor-
Revised Bibliography
ship of a great goddess. Bendis was commonly identified
with the Greek Artemis; it is therefore puzzling that Herodo-
tus, who was very well acquainted with the Athenian Bendis,
BENEDICT, RUTH (1887–1948) was an American
fails to mention her name in connection with the Thracian
cultural anthropologist. Ruth Fulton grew up in a Baptist
Artemis (Histories 4.33 and 5.7). Perhaps Herodotus had in
household in New York State. After four years at Vassar
mind another Thracian goddess, not Cotys, however, to
(1905–1909), schoolteaching, and marriage to Stanley Ros-
whom the same objection would apply.
siter Benedict in 1914, she enrolled in the anthropology de-
On reliefs and small statues, Bendis is represented as
partment at Columbia University. In 1923 she earned a doc-
wearing Thracian garments and a pointed (Phrygian) cap.
torate under the aegis of Franz Boas.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
820
BENEDICT, RUTH
On field trips to the Pueblo Indians between 1924 and
lusion and the seed of mass deception. Benedict offered no
1926, Benedict elaborated on ideas about religion that she
way of ensuring the link to reality except her own faith that
had formulated in prose sketches, poetry, and early anthro-
individual demands and the daily pressures of existence keep
pological writings. The significance of Zuni theocracy and
religions accountable. Reflecting human vulnerability and
ceremonialism is conveyed in her Patterns of Culture (1934).
creativeness, religion is also a “technique for success” and a
Through the 1930s, Benedict taught at Columbia, edited the
mode of survival. A religion that failed to perform these func-
Journal of American Folk Lore, and began to compare myths
tions, Benedict hoped, would be rejected. This point illus-
employed in primitive societies with the dreams of utopia
trates a movement typical of Benedict’s anthropology, from
current in complex societies. During World War II, at the
the psychological to the cultural: individual need leads to so-
Office of War Information, Benedict was assigned to work
cial phenomenon.
on Japan, a society whose beliefs and behaviors contrasted
Benedict’s view of religion fitted her humanistic and rel-
sharply with those of her own society. The Chrysanthemum
ativistic anthropology. Humanism provided the universal as-
and the Sword was published in 1946; Benedict died two
pect: human response to perception of a “wondrous power”
years later.
is an attempt to control and to comprehend this power. The
According to Benedict, religion stems from human per-
one impulse issues in acts (prayer, ritual, liturgy), and the
ception of a “wondrous power, a voltage with which the uni-
other issues in articulation (symbols, myths, theologies). Rel-
verse is believed to be charged” (“Religion,” General Anthro-
ativism emerged in her claim that religious content must be
pology, p. 630). In an attempt to manipulate this power,
tied to the stuff of everyday life. The diversity of religions
people invent practices and accompanying beliefs; these con-
proves how thoroughly perceptions of the extraordinary are
stitute religion. People perceive “extraordinary power” either
linked to the ordinary; the “supernatural” (or spiritual) has
as a property of things (mana) or as analogous to human will
no meaning apart from the “natural” (for Benedict, the “cul-
and intention (animism). Each perception produces a dis-
tural”).
tinct dogma and practice.
Although her writings do not offer a fully developed
Benedict’s interpretation centered on the individual,
theory of religion, Benedict does provide insight into human
who needs reassurance and the security of knowing he or she
religiosity. The humility, imaginativeness, pragmatism, and
can influence their own fate. Such psychological factors
hope in humans gave birth to religions. In freeing religion
shape the universal elements of religion: vision, ceremonial-
from a specific kind of behavior and content, Benedict of-
ism, ethical sanction, and dogma. All of these guide the indi-
fered a concept with cross-cultural application. Her state-
vidual through known and unknown forces. Because Bene-
ments on religion reiterated her general anthropological the-
dict argued that religions exist to comfort human beings, she
ory: shared dilemmas of human existence produce a variety
rejected the “cold,” distant Christian God, the absolutist
of cultural solutions.
“good versus evil” of Western religions, and the abstract the-
ologies of most stratified, literate societies. The Zuni religion
BIBLIOGRAPHY
was her model: gods resemble humans, humans dance as
My book Ruth Benedict: Patterns of a Life (Philadelphia, 1983)
gods, religion is down-to-earth and sensual.
contains a bibliography including all of Benedict’s published
writings, archival sources, and works of significance to her
Religions also, in Benedict’s view, express human imagi-
anthropology, as well as secondary sources relevant to her life
nativeness. The capacity to envision a world beyond the ordi-
and works. Here follows an annotated list of Benedict’s more
nary provides the content of religion; in religion, humans
important works.
symbolize their highest ideals. Whatever the precise form—
The Concept of the Guardian Spirit in North America. Menasha,
quest, prayer, poem—dreaming represents an imaginative re-
Wis., 1923. Benedict’s dissertation was a comparative discus-
doing of reality that can direct social change.
sion of the guardian spirit complex in North American Indi-
an tribes. She explored notions of “vision,” the links of vision
Benedict assumed that the human urge to control daily
to everyday life, and the importance of imagination. She also
events precipitates fantasies, which are elaborate, imaginative
showed how borrowed traits are altered to fit an existing
transformations of culturally available means and ends. Her
culture.
argument about religions echoes her theory of myth: Just as
Tales of the Cochiti Indians. Washington, D.C., 1931. A collection
myths give the plain details of everyday life an extraordinary
of myths and tales from a Pueblo tribe, the volume anticipat-
character, so religion accords the mundane daydream a su-
ed Benedict’s theory, articulated in later works, that myths
pernatural quality. The impulse to alter present conditions
and tales are two sides of one coin. The volume also contains
expands into a “desire to remodel the universe,” although
an early version of the “compensation” theory she later out-
Benedict did not outline the process. An attempt to manipu-
lined in Zuni Mythology.
late the “forces of the universe” is, by her definition, reli-
Patterns of Culture. Boston, 1934. Benedict’s best-known book
gious.
presents portraits of Zuni, Dobu, and Kwakiutl cultures in
order to urge changes in contemporary American culture.
For Benedict, the dream had to be tied to reality. Cut
Saying that “culture is personality writ large,” she argued that
loose from substantive, secular concerns, dream becomes de-
cultures acquire personality traits, that individuals are “mold-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BENEDICTINES
821
ed” to their cultures, and that conformity can be variously
missionary work in Frisia and also in central Germany, where
suppressive of individual expression in different societies.
Boniface (673–754) firmly established monastic life accord-
Zuni Mythology. 2 vols. New York, 1935. The introduction to and
ing to the rule of Benedict. In the eighth and early ninth cen-
summary of these two volumes explicated a theory of myth.
turies, however, many monasteries fell into the hands of lay
For Benedict, myths are “compensatory,” a way of making
abbots, and consequently serious abuse and decadence crept
up for the constraints and the failures of everyday life. Myths
into monastic life. Reform was initiated by Benedict of An-
are also “wishes” for a better social order and for a “rede-
iane (c. 750–821), who insisted on a more literal observance
signed universe.” The former she called “tales” and the latter,
of the rule; his approach to monasticism spread to other ab-
because of their religious content, “myths.” The volumes
beys in Aquitaine. When Louis I, “the Pious,” succeeded
contain a large number of Zuni stories.
Charlemagne as emperor of the Holy Roman Empire in 814,
“Religion.” In General Anthropology, edited by Franz Boas. Bos-
Benedict was installed as superior of all monasteries in the
ton, 1938. In this chapter of Boas’s text, Benedict presented
empire. At Aachen in 817, the Frankish abbots agreed on a
her theory of religion. The chapter is not entirely satisfactory;
uniform discipline and encouraged a liturgy that was more
she focuses less on religious phenomena than on individual
psychology and cultural diversity. The attempt to develop a
elaborate and solemn than that provided for in the rule. As
cross-cultural definition of religion somewhat weakens the
a result manual labor declined in importance. Such unifor-
explanatory force of her theory.
mity was not consonant with the spirit of the rule. Because
more attention was given to external monastic structures
The Chrysanthemum and the Sword. Boston, 1946. This book, the
product of inquiries made during World War II, is an elegant
than to the spirit of the rule, the Frankish attempt at reform
portrait of Japanese society and individuals. Benedict’s dis-
was ultimately a failure. A new regularity of discipline was
cussions of honor, debt, obligation, and childrearing are still
imposed in the Frankish houses during the first half of the
classic, and her evocation of a unique Japanese “personality”
ninth century and was accompanied by the development of
has not been equaled even by anthropologists who have done
scholarship, as indicated by the writings of Smaragdus,
the fieldwork Benedict could not do for her study.
Paschasius Radbertus, Ratramnus, and Rabanus Maurus.
New Sources
However, the collapse of the empire in 843 resulted in a fur-
Babcock, Barbara A. “Not in the Absolute Singular.” In Women
ther decline in monastic life and discipline.
Writing Culture, edited by Ruth Behar and Deborah A. Gor-
don, pp. 104–130. Berkeley, Calif., 1995.
The tenth century saw a successful revival of Benedictin-
ism, above all at Cluny, a monastery founded in 910 by Wil-
Caffrey, Margaret M. Ruth Benedict: Stranger in This Land. Aus-
liam of Aquitaine and placed directly under papal patronage.
tin, Tex., 1989.
Three distinguished and long-lived abbots, Majolus (abbot
JUDITH S. MODELL (1987)
from 954 to 994), Odilo (994–1048), and Hugh (1049–
Revised Bibliography
1109), directed that house very effectively, establishing a
high level of observance. They also established numerous
other foundations so that in the twelfth century Cluny in-
BENEDICTINES. The Order of Saint Benedict
cluded a network of almost fifteen hundred monasteries, al-
(O.S.B.) is not a centralized religious order like the Francis-
though many of them were very small houses. In reaction
cans, Dominicans, or Jesuits but rather a confederation of
against the highly structured, economically wealthy, politi-
congregations of monks and nuns who follow the rule of
cally powerful, and liturgically elaborate form of monasti-
Benedict of Nursia (c. 480–547). Each monastery is an au-
cism that prevailed at Cluny and its larger daughter houses,
tonomous community bound to other monasteries of the
other monastic families also developed during the eleventh
same congregation by loose juridic ties and associated with
century. These included the Camaldolese, the Vallumbro-
the rest of the confederation through common commitment
sans, the Carthusians, and the Cistercians, all of whom
to the rule. Benedict himself is known to have founded
stressed a return to the basic elements of Benedict’s rule, es-
monasteries at Subiaco, Monte Cassino, and elsewhere in
pecially manual labor, corporate poverty, silence, prayer, and
central Italy. Because of its wisdom and moderation his rule
penitence.
was also adopted in many of the other monasteries of Latin
Monasticism was corrupted by the feudal system in the
Christendom. Its widespread implementation was also fos-
late Middle Ages; the observance of poverty and simplicity
tered by the missionary zeal of the early Benedictine monks
of life became particularly difficult to maintain. Popes Inno-
and by papal patronage.
cent III (d. 1216), Honorius III (d. 1227), and Gregory IX
Gregory the Great helped spread the influence of the
(d. 1241) sought reform, above all by having recourse to the
rule in 596 when he sent Benedictine monks to evangelize
Cistercian institution of the general chapter. In 1215 the
the Anglo-Saxons. Augustine, their monastic leader, became
Fourth Lateran Council mandated triennial provincial chap-
the first archbishop of Canterbury, and their success also re-
ters that were to elect visitators to oversee the implementa-
sulted in the development of schools and a flourishing schol-
tion of legislated reform measures, but this program was gen-
arship, as seen especially in the work of the Venerable Bede
erally carried out only in England. In 1336 Benedict XII
(c. 673–735). Anglo-Saxon monks subsequently took up
organized all Benedictine monasteries into thirty-two prov-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
822
BENEDICT OF NURSIA
inces and also prescribed a triennial chapter and visitation.
the direction of Dom Augustine Baker while a member of
Unfortunately, there was no way to implement this legisla-
the English community exiled at Cambrai in France. That
tion effectively.
community returned to Britain and finally settled at Stan-
brook, near Worcester, in 1983. It is probably the most dis-
The institution that is known today as a Benedictine
tinguished abbey of Benedictine nuns. Those nuns who
congregation was inaugurated in the fifteenth century by
came to the United States from Germany and Switzerland
Luigi Barbo. In 1408 he became the abbot of Santa Giustina
in the nineteenth century were forced to give up their solemn
at Padua, where he established regular discipline. This at-
vows as nuns because of their apostolates outside the monas-
tracted so many candidates that he went on to found new
tic enclosure; the majority of the women in the communities
monasteries and reform existing ones, all of which were
they founded are now Benedictine Sisters of pontifical juris-
joined into a congregation in 1419. All of the Italian and Si-
diction.
cilian monasteries also eventually joined this congregation,
which became known as the Cassinese Congregation when
In addition to the traditional life of work and prayer car-
the abbey at Monte Cassino joined the congregation in
ried on within the enclosure of the monastery, Benedictine
1504.
men and women engage in various ministries, including edu-
cation, scholarship, health care, retreats, and parochial and
The Protestant Reformation destroyed about eight hun-
missionary work. According to 2004 statistics, approximate-
dred of the approximately three thousand monasteries extant
ly eight thousand monks belong to twenty-one congrega-
in Europe at the time. As a result of the Council of Trent
tions. There are approximately 16,000 nuns and sisters,
(1545–1563), the congregational system was imposed on
many of whom work in diverse apostolates and live outside
those monasteries that survived, and exemption from episco-
the monastery.
pal control was extended to all houses. By the eighteenth cen-
tury Benedictine monasticism was generally in a healthy
SEE ALSO Bendict of Nursia; Cistercians.
state, but it soon declined again as a result of the Enlighten-
ment, the French Revolution, and widespread secularism.
BIBLIOGRAPHY
However, recovery and expansion followed during the nine-
A good introductory account of the Benedictines is to be found
teenth century. In 1833 Prosper Guéranger restored Bene-
in Edward Cuthbert Butler’s Benedictine Monachism, 2d ed.
dictine life at Solesmes in France, prosperous houses devel-
(1924; reprint, New York, 1961). St. Benedict’s Disciples, ed-
oped in Germany at Metten in 1830 and at Beuron in 1863,
ited by D. H. Farmer (Leominster, U.K., 1980), is a broad
and Boniface Wimmer, a monk of Metten, brought Benedic-
collection of essays on the past and present achievements of
tine monasticism to the United States in 1846. In 1888 Pope
Benedict’s followers, and through them of Benedict himself.
Leo XIII revived the Benedictine College of Sant’Anselmo
Saint Benedict: Father of Western Civilization, prepared under
in Rome, which had been founded by Innocent XI in 1687
the direction of Pieter Balsetier (New York, 1981), is a com-
as an international college for young Benedictine monks.
prehensive and generously illustrated volume exploring
many aspects of the Benedictine contribution to Christian
The office of abbot primate was created in 1893. Elected by
humanism through art and architecture, as well as through
the Benedictine abbots of the world, the primate serves as
scholarship. Statistical information can be found in Catalogus
head of the College of Sant’Anselmo and acts as an official
monasteriorum O.S.B., 16th ed. (Rome, 1985), and J. P.
representative of Benedictines to the Holy See; although he
Müller’s Atlas O.S.B.: Index monasteriorum (Rome, 1975).
has no jurisdiction over individual abbeys throughout the
world, he is a symbol of moral unity among Benedictines.
New Sources
Kardong, Terrence. The Benedictines. Wilmington, Del., 1988.
On March 21, 1952, Pius XII approved the codification of
the Lex Proprio, a particular code of law that governs the con-
Posset, F. “Palate of the Heart.” In Augustine: Biblical Exegete, ed-
federation of congregations. It is reviewed regularly at the
ited by Frederick van Felteren and Joseph C. Schnaubelt,
pp. 252–278. New York, 2001.
congress of abbots held in Rome every four years.
Wright, J. R. “An Olivetan Benedictine Breviary of the Fifteenth
The history of Benedictine women has not been well
Century.” In A Distinct Voice, edited by Jacqueline Brown
chronicled because of the scarcity of manuscript evidence. It
and William P. Stoneman, pp. 143–154. Notre Dame, Ind.,
seems that the Benedictine rule was first adopted in English
1997.
convents in the seventh century, at the time the nuns Hilda
R. KEVIN SEASOLTZ (1987)
and Etheldreda both ruled over double monasteries. When
Revised Bibliography
Boniface went as a missionary to Germany he was assisted
by a distinguished group of nuns, including Lioba, Walbur-
ga, and Thekla. In the thirteenth century significant mystical
writings were produced in Germany by Gertrude the Great;
BENEDICT OF NURSIA (c. 480–547), Christian
Mechthild of Hackeborn, and Mechthild of Magdeburg; it
saint, monastic founder, and spiritual leader. Best known as
is not known, however, whether they were Benedictines or
the author of the monastic rule still followed by Benedictine
Cistercians. Post-Reformation nuns included Gertrude More
and Cistercian monks and nuns. Benedict is looked upon as
(1606–1633); she achieved a high degree of holiness under
the father of Western monasticism because of the widespread
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BENEDICT OF NURSIA
823
influence of his rule. Book 2 of the Dialogues of Gregory the
In Gregory’s Dialogues Benedict’s life is set out in four
Great, written about 593–594, is the only source of informa-
successive stages: confrontation with evil, or temptation;
tion on the details of Benedict’s life. Although the primary
spiritual triumph, in which Benedict’s virtue is demonstrat-
purpose of the Dialogues is moral edification rather than bi-
ed; a new situation in which his influence is shown more
ography in the modern sense, Gregory’s work provides facts
widely; and finally a fresh confrontation with the power of
that conform to the general history of sixth-century central
evil occasioned by this new position of influence. In this way
Italy; hence most scholars agree that the core of Gregory’s
Benedict’s life unfolds as a search for God or a pilgrimage
information is basically reliable. His account of Benedict,
in which he finds God through temptations and trials. Bene-
however, concentrates mainly on miracles and encounters
dict, as his name implies, is a man “blessed by God.” His life
with demons.
illustrates the pattern set out in the rule itself, which invites
Benedict was born in the Umbrian province of Nursia,
the disciple to enter by the narrow gate in order to enjoy the
northeast of Rome, into what the Dialogues describe as “a
freedom of living in the wide expanse of God. It also illus-
family of high station.” The world of his time was in many
trates the paradox that fruitfulness emerges out of apparent
ways chaotic. The Roman Empire, already crumbling from
sterility, that life comes forth from death.
within, was overrun by barbarians in the fifth century. In the
sixth century Italy was devastated by war, famine, and plun-
It is the rule rather than the Dialogues that reveals Bene-
der as Justinian I, the Byzantine emperor, attempted to re-
dict’s religious concerns. Impressive scholarship has been de-
claim control of the area. When Benedict was sent to Rome
voted to the question of the originality of the rule; the issue
as a youth to study liberal arts, he was repelled by the immo-
is in many ways of secondary importance. What is significant
rality of the city; in about 500 he sought solitude, first at En-
is that Benedict wisely took what he thought was good from
fide (modern-day Affide) and then at Subiaco, where he lived
existing rules and practices, evaluated that material in the
an eremitical life in a hillside cave. Sustained by the ministra-
light of his own experience, and blended the elements to
tions of a neighboring monk who brought him bread, he
form a balanced, positive, and flexible synthesis. The result
spent three years as a hermit but then reluctantly agreed to
is a clear code designed for a cenobitic rather than an eremitic
become the abbot of a nearby community of monks. Ten-
form of monasticism: it combines sound spiritual teaching
sions between Benedict and the community, however, cul-
with pastoral details covering most aspects of community
minated in an attempt by members of the community to poi-
life. As Gregory noted, the rule is “outstanding for discre-
son him. Benedict returned to Subiaco, where he was
tion.” While setting out clear principles, it leaves much to
pursued by so many disciples that he established twelve small
the abbot’s discernment.
monasteries in the area. Because of the jealous opposition of
The basic spiritual values affirmed by the rule are humil-
a local priest, he migrated in about 525 to Casinum, approxi-
mately eighty miles south of Rome. Together with a small
ity and unconditional obedience to God. Liturgical prayer,
group of monks Benedict built his famous monastery, Monte
called the “work of God” in the rule, is to be carried out with
Cassino, on the top of that imposing mountain in the central
a profound sense of God’s presence, but that same awareness
Apennines in place of a pagan shrine that he had destroyed.
is also to permeate the whole of a monk’s monastic life. A
sense of the holiness of God generates a sense of compunc-
The Dialogues portray Benedict in his relations with var-
tion in the monk because of his sinfulness, but that awareness
ious personalities, including Totila, king of the Ostrogoths.
of weakness inspires confident trust in God’s loving mercy
Once a year he met with his sister Scholastica, who lived near
rather than anxious fear.
Monte Cassino with a community of nuns. Benedict does
not seem to have been ordained a priest. After founding the
Silence should prevail in the monastery so that the
monastery he spent the rest of his life at Monte Cassino
monk may be recollected and attentive to the word of God,
where he wrote the rule for monks, which has diffused his
especially during prayerful reading in which he is formed in
influence throughout the world for more than fourteen cen-
accordance with the scriptures and the Christian monastic
turies. According to tradition, he died on March 21, 547. In
tradition. The monk’s relationship of obedience with God
about 590, Lombards ransacked the monastery at Monte
is expressed especially through his relationship with his
Cassino and left it abandoned until it was reconstituted
abbot, who is described in the rule as a sacrament of Christ.
under Petronax of Brescia in about 720.
The abbot, however, is to reflect not only God’s justice but
There are two traditions concerning Benedict’s relics.
his loving mercy as he “tempers all things so that the strong
One maintains that they were translated to the abbey of
may have something to strive for and the weak may not recoil
Saint-Benoït-sur-Loire in France some time during the sev-
in dismay.” The monk’s relationship with God is also reflect-
enth century; the feast of the translation of the relics has been
ed in his relations with the other monks in the community
celebrated on July 11. According to the other tradition the
as he shares all things in common, renounces self-will, for-
relics were discovered at Monte Cassino in about 1069 by
gives offences, and shows compassion for the weaknesses of
Abbot Desiderius, the future Pope Victor III. On October
others. Stability in the community provides the monk with
24, 1964, Pope Paul VI declared Benedict the patron saint
his basic asceticism and supports and challenges him as he
of Europe.
pursues his commitment to an ongoing conversion of life.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
824
BENGALI RELIGIONS
Work, whether manual or intellectual, is also an integral
BENGAL AS THE LAST INDIAN STRONGHOLD OF BUDDHISM.
part of Benedict’s vision of the monastic life. The rule pro-
The first regional state in Bengal was established by the
poses a set time for work not only because Benedict distrust-
Maha¯ya¯na Buddhist dynasty of the Pa¯las (750 to the mid-
ed idleness but also because he wanted work to be kept in
twelfth century). Under their rule, centered in Bihar, Bihar
proportion with prayer and holy reading. Work is always sit-
and Bengal were unified culturally and politically through re-
uated in a communal context; it is not to degenerate into ac-
ligious and economic ties to the outside via trade routes and
tivism nor to promote self-sufficiency and arrogance. Pur-
pilgrims; a great literary activity in Sanskrit (Buddhist intel-
sued with an attitude of profound reverence for creation,
lectual strongholds in Bengal were located in Chittagong,
work is meant to be a humanizing experience in which the
Comilla, Maldah, and Rajshahi, and reflected a vibrant mix
monk serves both God and the community.
of Buddhist traditions (Maha¯ya¯na, Sthavira, Sarva¯stiva¯da,
The rule of Benedict promotes a spirituality that is both
and Vajraya¯na); and a common artistic tradition of sculp-
broad and simple. Because of its flexibility and adaptability,
tures and bronzes. Under the late Pa¯las and Senas (eleventh
it is capable of incorporating various local traditions. When-
to early thirteenth centuries), the latter of whom dominated
ever and wherever the rule is authentically incarnated in mo-
all of Bengal at the time of the Turkish conquest in 1202,
nastic men and women, both as individuals and communi-
the center of gravity began to change, both physically and
ties, it results in a life that is biblical, contemplative, rooted
in terms of religious patronage: political attention shifted
in a community life of work and prayer, and productive of
from western Bihar to eastern Bihar and Bengal, and Brah-
holiness and peace.
manical Hindu religion became more popular. One can
chart this movement east through the artistic record: early
SEE ALSO Benedictines; Cistercians.
Pa¯la art is Buddhist and found chiefly in Bihar, whereas late
Pa¯la and Sena art is principally Hindu, favoring ornate stat-
BIBLIOGRAPHY
ues of Su¯rya and Vis:n:u, located in Bengal. It is also impor-
The best critical edition of Gregory’s Dialogues in Latin and
tant to note that the Pa¯la period was responsible for cultural
French translation is edited by Adalbert De Vogüé, Dia-
linkages between Bengal and Nepal and Tibet, through the
logues: Gregoire le Grand, 3 vols. (Paris, 1978–1980). The
rule of Benedict in Latin and French translation with exten-
transmission north of Tantric (Vajraya¯na) Buddhist texts
sive introduction, notes, and bibliography has also been ed-
and practices.
ited by De Vogüé, Le règle de Saint Benoït, 7 vols. (Paris,
Scholars are divided as to the reasons for the decline of
1971–1977). The final volume is available in English transla-
Buddhism in India—viable proposals include the weak links
tion: The Rule of Saint Benedict, a Doctrinal and Spiritual
between Buddhist institutions and Buddhist laity; the fact
Commentary, translated by John Hasbrouck (Kalamazoo,
Mich., 1983). RB 1980: The Rule of St. Benedict in Latin and
that life-cycle rites were left in the hands of brahman priests;
English with Notes, edited by Timothy Fry (Collegeville,
the incorporation by Hindus of Buddha as an incarnation
Minn., 1981), is the best Latin edition of the rule accompa-
of Vis:n:u; the appeal of Hinduism to the late Pa¯las and Senas;
nied by an English translation; it also contains excellent es-
and the loss of distinctiveness between Brahmanical and
says on specific topics in the rule. A balanced contemporary
Buddhist traditions in the eyes of the laity—but it is certain
theology of Benedictine monasticism can be found in Con-
that in Bengal it lasted longer than anywhere else. (The last
sider Your Call: A Theology of Monastic Life Today, by Daniel
Buddhist edifice in South India was constructed in the sixth
Rees and others (Kalamazoo, Mich., 1980).
century and the last Ellora¯ Buddhist temple in Maharashtra
R. KEVIN SEASOLTZ (1987)
in the eighth century; Gandhara monasteries in the north-
west were devastated by the Hunas in the sixth century, and
by the ninth century in Kashmir, Buddhist and S´aiva institu-
BENGALI RELIGIONS. This entry treats Bengal—
tions had comingled). Today, indigenous tribal remnants of
which corresponds to the Indian state of West Bengal and
such Buddhist communities, the Chakmas, Marmas, and
the country of Bangladesh—as a region in which different
Baruas, live mostly in the rural areas of the Chittagong Hill
religious traditions, from approximately the eighth century
Tracts in eastern Bangladesh, but they comprise less than one
to the present, have coexisted, intertwined, and sometimes
percent of the total population of that country, and they per-
battled, creating a distinctive context for the study of religion
ceive their traditional lifestyles and religious freedom to be
in South Asia. While historically the two “great traditions”
threatened when an Islamicizing climate is dominant in the
have been and continue to be Brahmanical Hindu and Islam-
government.
ic, Bengal has also been highly pluralistic, home to Bud-
LATE, LIGHT ARYANIZATION. A second curious feature of the
dhists, Jains, Parsis, Jews, Christians, Sikhs, and lightly
Bengali religious framework is the region’s slow incorpora-
Hinduized tribal peoples, as well as, more recently, Hindus
tion into the Brahmanical orbit. After an early, Vedic period
and Muslims who identify as Marxists or secular humanists.
of scorn—from the time of the Aitareya Bra¯hman:a Bengal
This entry proceeds synthetically by proposing thirteen
was said to be a place of exile, lying outside the boundary
perspectives on Bengal’s uniqueness, on what sets “Bengali
of Aryan civilization—the area began slowly to be included
religions” off from religious traditions elsewhere in the sub-
in it, first under the Guptas from the fourth century and then
continent.
later in the post-Gupta period with the introduction 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
BENGALI RELIGIONS
825
region of brahmans from elsewhere in India. This process of
one must look to the geography and frontier nature of the
Brahmanization is encapsulated in a legend about five brah-
region in a period of expansionism under the Mughals after
mans who were brought to Bengal from Kanauj by the myth-
1574. Needing workers to clear and domesticate the lands
ical King A¯disura in order to render the country respectable
in the east, where the rainfall is up to three times heavier than
(dates for this importation of specialists vary from the eighth
in the west, the Mughal representatives (nawa¯bs) and their
to the eleventh centuries). These dates may in fact represent
land-owning dependents sent in local adventurers to plow
approximate beginning and ending points of the diffusion
and reclaim the land, and to settle and populate it. Such peo-
of north-India-derived upper-caste customs into Bengal.
ple were typically Muslim holy men (local judges, p¯ırs [pop-
That Bengal never achieved the level of cultural refinement
ular mystics], and shaikhs [teachers]), who taught Islam by
considered desirable elsewhere is indicated by the common
example and whose memories were hallowed by those with
disparagement of the Bengali brahman for his uncouth hab-
whom they worked. Such a historical perspective discounts
its, such as fish- and meat-eating.
four outmoded conceptions about Bengal and Islam: we now
know that the Mughal period was not one of decline, Islam
Caste in West Bengal represents its own further anoma-
is not monolithic, Muslims are not primarily urban, and the
lies. Of the approximately 75 percent Hindus in West Bengal
emergence of a noticeable community of Muslims does not
and 10 percent in Bangladesh, less than 10 percent are brah-
necessitate as a precondition a political regime encouraging
mans; most of the rest are ´su¯dras, divided into “clean” and
conversion.
“unclean” categories. The two highest groups of the former
are the vaidyas (traditional physicians) and ka¯yasthas (tradi-
THE RISE OF THE BENGALI LANGUAGE. Much, though not
tional clerks); these, together with the brahmans, constitute
all, of what is distinctively Bengali in terms of religion is ar-
the gentle classes, or bhadralok (literally, “refined people”),
ticulated textually in the Bengali language, which developed,
who distinguish themselves from the lower orders, the cho-
after the late-Pa¯la breakaway from Magadhan/Bihari influ-
tolok (literally, “small people”), in Hindu society.
ence, around the twelfth century. Indeed, the earliest speci-
men of religious literature preserved in Bengali derives from
Because of Bengal’s peripheral geographic status and the
this period: the Carya¯padas, or mystic poetic literature usual-
late, relatively flexible structure of its caste system, outsid-
ly classed by experts as expressing a nonsectarian Tantric
ers—whether ethnic, religious, or cultural—have typically
viewpoint. Discovered in 1907 by Hariprasad Sastri, the
been able to settle and thrive there. This was true of the early
Carya¯padas and other Carya¯-related texts uncovered since
Buddhists, and also accounts in large measure for the deep
that time are the only texts extant from this earliest period.
embedding of Islam in the region.
THE ROOTING OF ISLAM IN BENGAL. Ever since the first In-
What is usually called “the medieval period” of litera-
dian census of 1872, when the British initially noticed the
ture, from the fifteenth to the eighteenth centuries, contains
surprisingly large number of Muslims living in the Bengal
three major literary genres, parallel for both Hindus and
Presidency, the problem of accounting for their size has been
Muslims. The first are poems built around epic stories, such
a scholarly puzzle. Muslims remain even today the largest re-
as Kr:ttiva¯sa’s Bengali version of the Ra¯ma¯yan:a (from the
ligious community among Bengalis (86 percent of Bangla-
early fifteenth century) and the Jangna¯ma stories, focused on
desh and 24 percent of West Bengal). Most are Sunn¯ı of
battles like that fought against the Muslim heroes H:asan and
H:anaf¯ı orientation, the few Sh¯ıEah deriving from Persian of-
H:usayn at Karbala, from the end of the fifteenth century.
ficials of the late Mughal period; although there must have
The second genre are poems, songs, and sayings on the
been a long history of mixed exogenous and indigenous par-
Vais:n:ava and S:u¯f¯ı theme of love in separation, most famous-
entage, the majority of Bengal’s Muslims are converts, and
ly captured through the love story of Ra¯dha¯ and Kr:s:n:a.
hence of Bengali ethnic background.
Third, on the Hindu side, are the long narrative poems, or
man˙gal-ka¯vyas, praising the auspicious merits of various local
As Richard Eaton (1993) has argued, old-style theories
deities, with a view to publicizing their worship. Examples
purporting to explain such large numbers of Muslims do not
include Bijaya Gupta’s Manasa¯man˙gal, from 1494, and
convince: people did not convert “by the sword” or for the
Biprada¯sa’s Manasa¯bijay, from 1495, both about the snake
“benefits” of political patronage; if either of these had been
goddess Manasa¯; the late-sixteenth century Can¸d:¯ıman˙gal by
true, the majority of Muslims in the subcontinent today
Mukundara¯ma Cakrabart¯ı; a spate of S´¯ıtala¯man˙gals and
would either live around the sultanate and Mughal capitol
Dharmaman˙gals from the late seventeenth century; and even
of Delhi, or in Bengal they would be concentrated in the re-
the sophisticated Annada¯man˙gal by the famed Bengali poet
gions surrounding the old Muslim strongholds at Murshida-
Bha¯ratcandra Ra¯y, from the mid-eighteenth century. The
bad or Dhaka, which they do not and are not. Indeed, the
corresponding Islamic narratives consist of stories about he-
Mughals were condescending toward Bengal and hence dis-
roes, with the same mix of the supernatural, miraculous, and
couraged conversion. Nor can one have recourse to the theo-
fantastic that one finds in the man˙gal-ka¯vya literature.
ry of conversion for social uplift, since the Hindu system of
caste oppression was lighter than elsewhere in north India
Because of the ambivalence with which Bengal as a re-
and since egalitarianism was not the main message of Islam
gion was viewed, first by the Brahmanical mainstream and
as preached in the medieval period. Instead, Eaton argues,
then by the ruling Muslim elite, Bengali as a language never
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
826
BENGALI RELIGIONS
developed a prestige market. In other words, there is almost
of brahmans, vaidyas, and ka¯yasthas, as well as of the lowest
no court poetry in Bengali comparable to that written in Per-
castes and tribes, are goddesses. These range from folk and
sian and Sanskrit. In addition, there is a near complete lack
rural deities like Bis:ahar¯ı and Manasa¯ (serpent goddesses),
of secular literature before the eighteenth century, and not
S:as:t:¯ı (the protectress of children), S´¯ıtala¯ (the goddess of
until the nineteenth century did Bengali even garner suffi-
smallpox), and Can:d:¯ı (a popular form of Durga¯), to the
cient interest to generate grammars and dictionaries. Never-
more universalized Ka¯l¯ı (the demon-slayer who stands
theless, perhaps because of the fluidity of the medieval ver-
astride S´iva), Durga¯ (the killer of the buffalo demon Mahis:a),
nacular medium, the seeds of distinctively Bengali forms of
and Uma¯ (the Bengali name for Pa¯rvat¯ı, S´iva’s gentle wife).
Vais:n:ava, S´a¯kta, and Islamic religiosity were sewn.
Starting as early as the eighth century and extending to the
G
eighteenth century in the Sanskrit Upapura¯n:as from Bengal,
AUD:¯IYA VAIS:N:AVISM, THE BENGALI VARIETY OF DEVOTION
one can see an avid interest by brahman authors with local
TO RA¯DHA¯ AND KR:S:N:A. While one can trace Bengali interest
in Vis:n:u to Pa¯la- and Sena-period art of the eleventh to
goddess cults—an indirect acknowledgment of their prior
twelfth centuries, it is the tradition associated with (1)
preeminence in the region. Such authors identified these folk
Jayadeva, the twelfth century court poet of Laks:man:a Sena
deities with S´akti and S´iva, making S´iva Can:d:¯ı’s and S´¯ıtala¯’s
and author of the Sanskrit G¯ıtagovinda, where Ra¯dha¯ makes
husband, Manasa¯’s father, and S:as:t:¯ı’s father-in-law. Similar-
her first major literary debut, (2) the masterpoets Can:d:¯ıda¯sa
ly, in the eighteenth century, many of the landowning ra¯ja¯s
and Vidya¯pati of the fourteenth to fifteenth centuries, and
or self-made gentry under the Mughal representatives pa-
especially (3) Caitanya (1486–1533), considered the dual in-
tronized S´a¯kta deities, festivals, temples, literature, and devo-
carnation of Ra¯dha¯ and Kr:s:n:a, that has endured as the most
tees. Famous examples of goddess-worshipping devotees sup-
characteristic form of Vais:n:ava devotionalism in Bengal (or
ported by the noted S´a¯kta enthusiast Ra¯ja¯ Kr:s:n:acandra Ra¯y
Gaur/Gaud:; hence Gaud:¯ıya Vais:n:avism). Caitanya, who in-
of Nadia (1728–1782) were the brilliant court poet
troduced an ecstatic singing tradition centered on the name
Bha¯ratcandra Ra¯y (1712–1760) and Ra¯mprasa¯d Sen (1718–
of Kr:s:n:a, was the subject of many biographies, the most fa-
1775), the first in a long line of folk poets to write devotional
mous of which is the S´r¯ıcaitanyacarita¯mr:ta by Kr:s:n:ada¯sa
poetry (called S´ya¯ma¯san˙g¯ıt) to Ka¯l¯ı, Durga¯, and Uma¯. Schol-
Kavira¯ja, of the early seventeenth century. Caitanya’s exam-
ars speculate that the reason for this interest among the up-
ple led to a burgeoning of devotional poetry centered on
wardly mobile in martial goddesses has to do with their own
Ra¯dha¯ and Kr:s:n:a, and it inspired his chief intellectual disci-
ambitions: the ostentatious patronage of strong, bellicose de-
ples, the Gosva¯mins of Vrindavan, to elaborate and catego-
ities, especially those whose worship had been undercut dur-
rize the aesthetic and devotional principles of that new religi-
ing the sultanate period, was seen in the Mughal and post-
osity—of particular merit in this regard is Ru¯pa Gosva¯min’s
Mughal periods as an expression of political aspiration and
early sixteenth century Ujjvalan¯ılaman:i. In his own person
muscle.
Caitanya knit Nadia, his birthplace in Bengal, to Puri, Oris-
Kr:s:n:a- and Ka¯l¯ı-centered traditions have long been at
sa, site of the Jaganna¯tha Temple, where he spent the last
loggerheads in Bengal, with competition and cooption the
twenty years of his life, and Vrindavan, in present-day Uttar
dominant strategies for mutual containment. The Caitanya
Pradesh, where he sent the Gosva¯mins to establish pilgrim-
cult has tended to downplay S´a¯kta deities as impure or bar-
age centers at the sites of Kr:s:n:a’s various life stories.
baric (due, in part, to their association with blood sacrifice),
Caitanya’s influence also extended to art and architec-
whereas the S´a¯ktas have been more inclined to embrace
ture, the most striking example of which are the terra-cotta
Kr:s:n:a by claiming that he is none other than the Goddess
temples of Vishnupur in south-western Bengal. Constructed
in a different form. The saintly figure of Ramakrishna
by Hindu chieftains who in the wake of the collapse of the
(1836–1886), a priest in Calcutta’s famed Ka¯l¯ı temple at
sultanate in 1575 were looking for symbolic ways to establish
Daks:in:e´svar, was a living example of such theological accom-
their authority, the two-storied structures, heavily indebted
modation, for he attempted to experience the divine in all
to sultanate art forms, were sites for both Sanskritization of
forms, realizing ultimately that all were the same Mother
the new Vais:n:avism and protest against an authority struc-
Goddess.
ture dictated solely by brahman priests. Perhaps the most vis-
That Durga¯’s yearly festival, or Durga¯ Pu¯ja¯, has now be-
ible Western outgrowth of the Bengali Gaud:¯ıya Vais:n:ava
come synonymous with Bengali religious culture and identi-
tradition are the followers of the International Society for
ty, regardless of caste, region, or economic status, is proof of
Krishna Consciousness (ISKCON), whose founder, A. C.
the success of the upper-caste Brahmanical project. Other
Bhaktivedanta Swami Prabhupada (1896–1977), was a dev-
goddesses with popular and universally celebrated annual fes-
otee of Kr:s:n:a in the tradition of Caitanya.
tivals are Ka¯l¯ı and Sarasvat¯ı; more regional goddesses, like
BENGAL AND THE BRAHMANICAL PREOCCUPATION WITH
Jagaddha¯tr¯ı and S´¯ıtala¯ in the Hulgi and Howrah districts of
GODDESSES. Structurally, Muslims and Vais:n:avas have tend-
West Bengal, respectively, also follow the festival model of
ed historically to occupy the same social position in Bengali
their more famous sisters. As Kunal Cakrabarti notes, “a
society: among the lower middle castes of cultivators, arti-
common orientation towards the regional goddesses makes
sans, and service providers. By contrast, the preferred deities
Bengal a cult region” (2001, p. 309).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BENGALI RELIGIONS
827
TANTRA AND BENGAL. Along with Kashmir, Tamil Nadu
not necessarily divine Ra¯ma, and peppers Ra¯ma’s story with
and Kerala in South India, Nepal, and Tibet, Bengal is noted
references to Bengali marriage rituals, Kul¯ın polygamy, food
for its Tantric tradition. While the origins of Tantra are still
types, musical instruments, and even place names. Following
a hotly debated issue among scholars—does it derive from
in this trajectory, the female poet Candra¯vat¯ı, in her seven-
the non- or pre-Aryan substratum? To what degree can one
teenth century Bengali Ra¯ma¯yan:a, centers the action on S¯ıta¯,
find hints of Tantra in Vedic literature? Does Buddhist Tan-
whose emotions are just like those of a Bengali woman. Con-
tra predate Hindu Tantra, or vice versa?—from the eighth
tinuing into the colonial period, one finds the same tendency
century, in the Pa¯la period, Tantra flourished in Bengali reli-
to domesticate, Bengali-ize, and humanize divinity in the
gious contexts at both elite and popular levels. Although a
person of the famed poet Michael Madhusudan Datta
Tantric perspective can be applied to the cult of any deity,
(1824–1872). His Bengali version of the Ra¯ma¯yan:a, the
even including Kr:s:n:a, from the medieval period in Bengal,
Meghna¯dka¯vya, casts Ra¯van:a and his son Meghna¯d as the he-
Tantric texts tended to focus on goddesses and to prescribe
roes—and he heightens their pathos by the typically Bengali
specific meditation techniques, hymns, philosophical inter-
imagery of love in separation, portraying their eventual fall
pretations, and rituals for their worship. The overall concern
as an indication of universal human frailty. Likewise, the il-
in Tantra is to integrate the world into, not separate it from,
lustrious Bengali novelist, Bankimcandra Chatterjee (1838–
the perspective of salvation, and the Tantric adept tames the
1894), presents in his Kr:s:n:acaritra (Acts of Kr:s:n:a) an ideal-
deity in question through transmuting her into inner energy
ized, humanized Kr:s:n:a as a model for modern Indians.
in meditation, receives associated spiritual powers, and learns
PRIDE IN REGIONAL IDENTITY. Another theme common to
a monistic method of homologizing his own body, the out-
Bengali religious traditions is the consistent attempt, in the
side world, and the cosmos with the deity. Significant S´a¯kta
person of local rulers, to use religious and other symbolism
Tantras for Bengal include Laks:man:ade´sika’s S´a¯rada¯tilaka
to assert their independence from north Indian centers. One
Tantra (eleventh century), the Kula¯rn:ava Tantra (1000–
can see this from the first sultanate government under
1400), the Ka¯l¯ı Tantra (c. fifteenth century), Sarva¯-
Muh:ammad Bakhtya¯r in 1203 at Lakhnauti, through the
nandana¯tha’s Sarvolla¯sa Tantra (sixteenth century), the
nearly two-century period from the Ilya¯s Sha¯h¯ı dynasty at
S´a¯kta¯nanda Taran˙gin:¯ı and Ta¯ra¯rahasya of Brahma¯-
Pandua and Gaur in 1342 to the nominal take-over by the
nanda Giri (mid-sixteenth century), Pu¯rn:a¯nanda Giri’s
Mughals in 1526, to the state governments of East and West
S´ya¯ma¯rahasya and S´r¯ıtattvacinta¯man:i (sixteenth centu-
Bengal in the twentieth and twenty-first centuries. For exam-
ry), Kr:s:n:a¯nanda A¯gamava¯g¯ı´sa’s Tantrasa¯ra (seventeenth
ple, sultanate rulers asserted their autonomy by patronizing
century), and Raghuna¯tha Tarkava¯g¯ı´sa Bhat:t:a¯ca¯rya’s
mosque styles different from those customary in Delhi, mint-
A¯gamatattvavila¯sa (1687). There are also sizeable Buddhist
ing coins with local Bengali imagery, and giving encourage-
and S´aiva Tantric literatures in Bengal, as well as Vais:n:ava
ment to folk and popular Hindu traditions over classical,
and even S:u¯f¯ı texts influenced by indigenous Tantric pat-
Sanskrit ones. Under the nawa¯bs in the early eighteenth cen-
terns.
tury when the Mughal empire was unraveling, this same im-
pulse led to the conscious aggrandizement of Hindu estates
HUMANISM AND DOMESTICATION OF DIVINITY. Tapan
by men wishing to build their own power bases in Bengal;
Raychaudhuri has characterized one of the dominant traits
Murshid Quli Khan (nawa¯b 1704–1725) cultivated the ra¯ja¯s
of Bengali Hindu religious sensibility as a “domesticated reli-
of Burdwan, Nadia, and Rajshahi to create a buffer between
giosity, a pervasive sense of belief in and adoration of multi-
him and claimants to the Mughal throne in Delhi.
ple deities as well as other supernatural beings, not all very
benign, inspired by an ardent hope that faithful worship and
During the decades before independence, Bengali na-
observance of ritual duties would ensure the well-being,
tionalists who were still mourning the loss of the centrality
mangal, of all one cared for” (1996, p. 97). There is ample
of Calcutta, which had been demoted from the capitol of
evidence for this claim as far back as the Bengali
British India in 1911, attempted to differentiate themselves
man˙gal-ka¯vyas, whose deities are local, ambiguous, greedy for
from the politics associated with Delhi and Mohandas Gan-
devotees, and sometimes—as Edward C. Dimock has argued
dhi (1869–1948); C. R. Das (1870–1925), head of the
in his essays on S´¯ıtala¯—even outwardly repulsive, although
short-lived Swaraj Party (1922–1925), challenged the politi-
to a devotee such masks hide their true benevolence or mercy
cians of his day in an attempt to bring Bengal back to center
(daya¯). This tendency to endow gods and goddesses with
stage: “You cannot delete Bengal!” A string of other Bengali
human, almost fallible characteristics is also present in the
nationalists—the “extremist” Bipincandra Pal (1858–1932),
devotional poetry focused on Ka¯l¯ı, who is chided for her un-
the litterateur Rabindranath Tagore (1861–1941), the radi-
motherliness, and even in that centered on Kr:s:n:a, who in
cal humanist M. N. Roy (1887–1954), and the Indian Na-
Bad:u Can:d:¯ıda¯sa’s S´r¯ıkr:s:n:ak¯ırtana from the fifteenth or six-
tional Army leader Netaji Subhascandra Bose (1897–
teenth century acts like a man˙gal-ka¯vya deity, not above
1945)—also disagreed with Gandhi’s policies, whether for
moral reproach. In the same vein, in the eighteenth and nine-
his mixing of politics and religion or for his adherence to a
teenth centuries, lower-class women used songs about Ra¯dha¯
Vais:n:avized doctrine of nonviolence. After independence in
and Kr:s:n:a as vehicles for airing their grievances against men.
1947, the passionate commitment by Bengalis in East Paki-
Kr:ttiva¯sa’s Ra¯ma¯yan:a presents readers with a good-natured,
stan to their language and culture contributed to the split
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
828
BENGALI RELIGIONS
from West Pakistan and the creation of Bangladesh in 1971;
One”). Yet Vivekananda believed that Jesus’ death was a mi-
in a parallel movement, West Bengal since the 1970s has
rage and, like Roy, that the miracles are a stumbling block
been ruled by the Communist Party of India (Marxist),
to true faith.
which in many cases has distanced itself from politics in
Delhi at “the center.” Hence, in spite of or perhaps because
Indigenous Christians comprise about half of one per-
of their vantage point from the periphery of the subconti-
cent of the population of West Bengal and a third of one per-
nent, Bengalis have always wished to maintain a significant,
cent of that of Bangladesh, according to the 2001 census.
unique perspective.
They are a diverse group: Roman Catholics, through Portu-
guese influence in the sixteenth century; Baptists, descended
BENGAL AS AN EARLY TESTING GROUND FOR INDIAN RELA-
from converts made by the Baptist Mission founded in
TIONSHIPS TO CHRISTIAN MISSIONS. As the seat of British
Serampore in 1793; and Lutherans, Anglicans, Presbyterians,
power until 1911, Bengal was the “nerve center” of political,
Seventh-day Adventists, and Jehovah’s Witnesses, most of
commercial, and intellectual developments in India from the
whom trace their origins to nineteenth-century Western mis-
early nineteenth century. One of these developments in-
sions. Anglo-Indians, those descended from a British or Eu-
volved the relationship between Hinduism and Christianity,
ropean father and Indian mother, are also a significant ele-
and many elite Bengalis, especially Hindus, were at the fore-
ment of the multi-denominational Christian population in
front of such an exploration. While some became famous
Bengal. Because of the colonial legacy and, in India because
converts to Christianity (Krishna Mohan Banerjea [1813–
of the memory of Nobel Prize winner Mother Teresa (1910–
1885], Lal Bihari De [1826–1894], Protap Chandra Majum-
1997), Christians are more influential—and more controver-
dar [1840–1905], and Brahmobandhab Upadhyaya [1861–
sial—than their small numbers might imply. In the 1990s,
1907]), and others derided and fought against Christian dia-
for instance, with debates about Christian dalit inclusion in
tribes from a conservative Hindu viewpoint (see Richard
constitutional provisions for benefits, the 1999 murder of
Young’s work [1981] on several pan:d:its’ reactions to John
missionary Graham Staines in Manoharpur, Orissa, by an al-
Muir’s anti-Hindu tracts after 1839), many Hindu intellec-
leged Hindu nationalist sympathizer, and the accusations by
tuals preferred to remain Hindu but to engage Christian
Hindu nationalist politicians that political separatism in
ideas, finding in them common ground for a postulation of
Christian-majority states like Mizoram (85 percent in 2001)
universal truth. For example, Rammohan Roy (1772–1833),
and Nagaland (87 percent in 2001) is linked to religious
often called “the Father of Modern India” for his role in the
preaching, Christians throughout India, and also in West
so-called Bengal Renaissance, was one of the first to enter
Bengal, felt beleaguered. The same is often true in Bangla-
into dispute in English over issues of Christian doctrine and
desh as well, in periods when the drive for a more complete
interpretation. After the publication in 1820 of his The Pre-
Islamicization is pushed through to state policy.
cepts of Jesus: The Guide to Peace and Happiness, he was chal-
lenged over a three-year period by the Baptist missionary
It is worth noting that since the nineteenth century Cal-
Joshua Marshman, who did not approve of Roy’s attraction
cutta (Kolkata) has been home to one of India’s three com-
to Christian Unitarianism and its emphasis on the unity of
munities of Jews, the Baghdadi Jews, who arrived in India
a merciful, rational God, an ethical Jesus, and social reform,
as a result of opportunities opened up by the British. Howev-
and who denounced Roy’s assertion that while Jesus’ moral
er, their numbers today have dwindled drastically (in the
teachings were fine, doctrines such as the atonement were
1991 census they compromised one-twentieth of one percent
not. This public disagreement soured Roy on the missiona-
of the population of West Bengal), and only one synagogue
ries, and led him in 1828 to leave the Unitarians in order
remains functional in Kolkata as of 2004. Other small reli-
to found the Bra¯hmo Sabha¯, which eventually became the
gious groups, the Jains (0.05 percent in 2001) and the Sikhs
Bra¯hmo Sama¯j (Society of Theists). The Bra¯hmo Sama¯j at-
(0.08 percent in 2001), who are Gujaratis, Rajasthanis, and
tracted an elite group of Hindus who professed monotheism,
Panjabis by background, live in the state primarily for busi-
shunned image worship and blood sacrifice, and decried the
ness purposes.
evils of caste discrimination.
DEBATES ABOUT IDOLATRY, OBSCENITY, AND POLITICIZED
Two other noted examples of Hindus appropriating
RELIGION. Probably because of the early nineteenth-century
Christian imagery for their own ends are Keshab Chandra
Bra¯hmo critique of image worship, influenced from its in-
Sen (1838–1884), founder of the syncretistic New Dispensa-
ception by the strict monotheism of Islam, many elite Ben-
tion in 1881, who, although he championed an “Asiatic
galis, Hindus, and Muslims, over the last two hundred years
Christ,” never quoted the Bible and had no use for Christian-
have spoken out against idolatry in any form. One sees this,
ity, and Swami Vivekananda (1863–1902), who, in an in-
for instance, in the Unitarian leanings of Rammohan Roy,
clusivist, almost triumphalistic interpretive move, saw in the
who coined the term for idolatry (pauttalikata¯, derived from
New Testament evidence for the three levels of Veda¯nta:
the Bengali word for “doll”); in the writings of Isvaracandra
Dvaita, or dualism (Jesus calls God his father); Vi´sis:t:a¯dvaita,
Vidyasagar (1820–1891), who was concerned with ethiciz-
or qualified nondualism, in which God dwells in us as if sep-
ing and universalizing dharma, emphasizing purity of mind
arate (“I am in the Father and the Father is in me”); and Ad-
over outward ritual; in Swami Vivekananda’s patronizing at-
vaita, or monism, the highest truth (“I and the Father are
titude to image worship as a lower step along the spiritual
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BENGALI RELIGIONS
829
path; in the poetry by Kazi Nazrul Islam (1899–1976), who
Although, because of the Communist Party’s strict poli-
denounced idolatry; in Rabindranath Tagore’s repudiation
cy of secularism, the politicized equation of the land with the
of ritual in his poetry collection G¯ıta¯ñjali, blood sacrifice to
Goddess is not much in evidence in West Bengal today, it
the goddess Ka¯l¯ı in his play Bisarjan, and country-worship
is alive elsewhere in India in the form of de´sabhakti, or devo-
in his works on nationalism; and in the consistent disavowal
tion to the country, which can be traced back to Bankimcan-
of dead religious ritual and superstition in the novels and sto-
dra’s Bengali articulations. De´sabhakti and Ra¯mabhakti form
ries of Saratcandra Chatterjee (1876–1938). Sumanta Baner-
the twin backbones of Hindu nationalist ideology.
jee (1989) explains that this condemnation of the “folk reli-
TO WHAT EXTENT CAN ONE BE BENGALI AND MUSLIM AT
gion” of the lower classes for its lack of sensitivity to
THE SAME TIME? Another characteristic of the Bengali reli-
Upanis:adic monism was one way in which, after the 1820s,
gious context is related to the third theme mentioned above:
the bhadralok sought to define and elevate themselves in the
Islam and the process of its embedding in the region. A strik-
context of their new role as cultural mediators between India
ing feature of premodern Islam is the disjuncture between
and the West. Another was their championing of a prudish,
a folk Bengali variant of Islam, based on and in conversation
almost Victorian sensibility, according to which the tradi-
with indigenous roots, and an urban elite variant, with ties
tions of popular religion, such as the esoteric and often Tan-
outside Bengal either to north India or to Persia, Arabia, and
tric Vais:n:ava Sahajiya¯s, Auls, Bauls, Karta¯bhaja¯s, and S:u¯f¯ıs,
the regions of central Asia beyond the Khyber Pass. The lat-
were viewed as participating in dubious moral practices and
ter group, called the ashra¯f (literally, “noble people”), culti-
hence as embarrassing. Bankimcandra Chatterjee was out-
vated a high Perso-Islamic culture and literature in Arabic,
spoken in his disapproval of the frank eroticism in
Persian, and Urdu, and ignored the Bengali traditions of
Bha¯ratcandra’s Annada¯man˙gal and of the sensuality dis-
their lower-class coreligionists, the a¯trap (literally, “mean
played in normative devotional poetry centered on Kr:s:n:a
people”). In the medieval period from the thirteenth to the
and Ra¯dha¯ (he preferred the martial Kr:s:n:a of the
nineteenth centuries, such folk traditions were highly syncre-
Bhagavadg¯ıta¯). Although one can certainly lay this concern
tistic, pragmatic, and influenced by the surrounding Hindu
to prove one’s religion as “respectable” at the feet of the Brit-
culture. For example, Hindus and Muslims both worshipped
ish, it is also undeniable that the sanitizing instinct was alive
the composite Hindu-Muslim figure of Satya P¯ır, for Hin-
and well before colonial influence: consider Caitanya’s disci-
dus a form of Vis:n:u who acts like a man˙gal-ka¯vya deity and
ples, the Gosva¯mins, who tried to demonstrate in the six-
for Muslims a moral exemplar or hero; in the deltaic areas
teenth to seventeenth centuries, via several theological som-
near the Bay of Bengal, they joined, again, in the reverence
ersaults, that Ra¯dha¯ and Kr:s:n:a were not adulterers.
for Daks:in: Ra¯y and Bad:a Ghazi Kha¯n, who in Kr:s:n:ara¯ma
Da¯sa’s 1686 Ra¯yman˙gal-ka¯vya are co-authorized by a figure
These puritanical diatribes against image worship did
that is half-Kr:s:n:a and half-Muh:ammad to offer protection
not last in Bengal, however; at least among Hindus they
against tigers and crocodiles.
largely fell victim, in the nationalist period after 1905, to a
politicized revival of traditional and religious fervor, ex-
Other examples of a liberal, flexible premodern Islam
pressed in a peculiarly Bengali idiom: S´a¯ktism. Thus even
can be seen in S:u¯f¯ı texts, such as Saiyid Sultan’s Nab¯ı-vam:´sa
though Bankimcandra was by nature morally conservative,
(1654), where yogic and Tantric parallels are forged with
his novels attempted to arouse Hindu pride and to remove
S:u¯f¯ı imagery; in the lineages of Baul singers, many of which
humiliation. “Bande Ma¯taram!,” or “Hail to the Mother!,”
are mixed Hindu and Muslim; and in intercommunity social
the song identifying the motherland with the Mother God-
customs, such as those relating to kinship, marriage, and
dess that he embedded within his novel A¯nanda Mat:h
even naming practices. Such commonalities make sense in
(1882), became a political slogan during the protests from
the context of the fact that the vast majority of Bengali Mus-
1905 to 1907 against the first partition of Bengal. Political
lims are converts, from the same stock as their tribal and
extremists of the period went further, using temples as rally-
Hindu neighbors.
ing places, taking oaths in front of Hindu deities to buy only
Although there are sporadic examples of continuing
India-made (svade´si) items, and glorifying caste and caste rit-
syncretistic trends after the nineteenth century—for in-
uals as natural and beneficial. Aurobindo Ghose (1872–
stance, Nazrul Islam’s attempt in the 1920s to forge a non-
1950), who before his retirement into spiritual seclusion in
sectarian message equally applicable to a Hindu and Muslim
1910 was a Bengali revolutionary, wrote a didactic play
audience—from the anti-partition period in 1905 one finds
called Bhawani Mandir, in which he follows Bankimcandra
evidence of maturing Islamic reform movements, particular-
in homologizing the Goddess to the nation. The British even
ly the Tariqah-i-Muh:ammad¯ıya, based on the prior teach-
noted with alarm that Ka¯l¯ı was being employed as an incite-
ings of Shah Waliullah (1703–1762), and the Fara¯Did¯ı move-
ment to the violent sacrifice of “white goats.” Much later,
ment, founded a century earlier by Ha¯jj¯ı Shar¯ıEat Alla¯h of
Bengali political leader Subhascandra Bose, a staunch critic
Faridpur (1781–1840). Fueled by agrarian unrest against
of Gandhi for the latter’s reliance on nonviolence, extolled
Hindu landlords and responding to the cry of “Islam in dan-
a self-sacrificing love for Bengal closely entwined with his
ger!,” both groups wished to purge the Muslims of eastern
own devotion to blood-demanding Durga¯.
Bengal of Hindu influences, dress, and names; of syncretistic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
830
BENGALI RELIGIONS
attitudes promulgated by local S:u¯f¯ıs and p¯ırs; of folk cus-
States—mostly from Hyderabad and Bihar, not West Ben-
toms such as the veneration of tombs, the celebration of the
gal—is one-tenth of the non-Muslim Indian immigrant pop-
Sh¯ıE¯ı festival of Muh:arram, and the exorcisms performed by
ulation, roughly equivalent to their proportional size in
local mullahs; and even of the Sanskrit-derived vocabulary in
India.
Bengali language. “Displacing” Hindu elements with Mus-
lim ones was the agenda. By the 1920s, such calls were be-
Most Bengali immigrants, whether Hindu or Muslim,
coming increasingly successful, and many Bengali Muslims
Indian or Bangladeshi, arrived in the United States after the
took to this “Ashrafization” process (the Muslim equivalent
Immigration and Naturalization Act of 1965, which liberal-
to what happens in Sanskritization) with increasing vigor. By
ized American immigration policies. They came and come
1938, when Jinnah, on behalf of the Muslim League, de-
for a variety of reasons, including educational and economic
manded that “Bande Ma¯taram” be dropped as the nationalist
opportunities, violence at home, and a desired freedom of
anthem, the more accommodative strategy of Nazrul Islam,
political and religious expression. Once here, not surprising-
who in the early 1920s had written poems like
ly, immigrants retain strong ties with their homelands, facili-
“A¯nandamay¯ı,” in which he pleaded with Durga¯ to save her
tated by ease of travel and transnational communications
sons, and “Vidrohi,” which exhorted rebellion through com-
networks. One can see this in the types of religious groups
bined Muslim and Hindu images of martial strength, was
they have organized. For instance, the first thing Bengali
politically outmoded.
Hindus tend to do is to form cultural associations to sponsor
the annual celebration of Durga¯ Pu¯ja¯ (and, if they are big
It was not until after the formation of Pakistan that Ben-
and wealthy enough, Ka¯l¯ı and Sarasvat¯ı Pu¯ja¯s). North Amer-
galis in East Pakistan began to vocalize once again, in the face
ican cities in which there is a sizeable Hindu Bengali popula-
of increasing persecution and attempts at cultural oblitera-
tion, such as Toronto and Washington, D.C., have also
tion by the dominant, Urdu-championing wing of their bi-
raised money to build Ka¯l¯ı temples. In addition, Bengali as-
furcated country, that their Muslim identity was in no way
sociations offer activities geared toward training second-
inconsistent with their Bengali origins; indeed, the creation
generation youth, like classes in Bengali language, dance, and
of Bangladesh in 1971 was a direct result of such a convic-
the singing of Rabindra-san˙g¯ıt. In all of this, the imitation
tion. Since the formation of Bangladesh, however, a slow
of the model “back home” is extremely significant, and much
process of Islamization has inexorably proceeded: under
ritual paraphernalia, including personnel, is brought directly
General Ziaur Rahman (1976–1981), “secular” was dropped
from South Asia to sacralize the diaspora celebrations.
from the constitution and replaced by “absolute faith in
Bangladeshi Hindus, although they may join West-Bengali-
Allah”; Hussain Mohammed Ershad (1982–1990) was re-
run associations, have tended to form their own groups, part-
sponsible for the addition of the Eighth Amendment, “Islam
ly because of different socio-economic backgrounds and
is the State Religion”; and Jama¯Eat-i-Isla¯m¯ı spokespeople
partly because, for the Bangladeshi Hindu, cultural celebra-
continue to press for shar¯ı Eah law to become the law of the
tion cannot be divorced from political reality. Sensitized to
land. When parties aligned with the Jama¯Eat-i-Isla¯m¯ı have
the plight of Hindus in Bangladesh who are perceived as
come to power in Dhaka, minority communities—Hindus,
being threatened when Islamicizing governments hold power
Buddhists, Christians, and tribals—have feared oppression
in Dhaka, they use Durga¯ Pu¯ja¯ festivities in the United States
and reported state-promoted endeavors to use cultural differ-
as a means of raising awareness and garnering support for the
ences and linguistic divergences as a means for justifying ha-
straightened circumstances of their coreligionists back home.
rassment. In the eyes of many secular or liberal-minded citi-
This is not something that West Bengalis can readily identify
zens, those for whom Bangladeshi identity is neither equated
with.
with being Muslim nor exclusive of non-Muslims, such Is-
lamicizing trends are a departure from the vision of the coun-
While West Bengali and Bangladeshi Muslims have
try for which its founders fought in the late 1960s.
often made common cause with one another, as also with
Muslims from Pakistan, Egypt, Syria, Iran, and Lebanon,
BENGALI RELIGIOUS COMMUNITIES IN THE DIASPORA. It is
they too have founded groups that speak to concerns specific
difficult to know exactly how many Indian Bengalis and
to their lands of origin. The Association of Indian Muslims
Bangladeshis—whether Hindu, Muslim, Christian, or other-
in America, for example, raises money to help beleaguered
wise—live abroad in the diaspora, as published estimates
and persecuted Muslims in India, and a whole host of
vary. According to the 2000 United States census, “Asian In-
Bangladeshi organizations endeavors to keep alive Bengali
dians” make up 0.6 percent of the United States population;
Muslim culture, festival traditions such as E¯Id al-Fit:r, and de-
of these, people described as “Bengalese” form one of five
votional musical events, to which Bengali poets are invited
subcategories. Similarly, “Other Asians,” at 0.5 percent of
from the subcontinent.
the population, include Bangladeshi, Pakistani, Sri Lankan,
Indonesian, and Burmese peoples. Of the approximately
There is some overlap of communities and religious tra-
three million Muslims judged to be living in the United
ditions in these diasporic contexts—for instance, Bengali
States, the largest subgroup is South Asian, with
Muslim artists singing at Durga¯ Pu¯ja¯ cultural events, or Hin-
Bangladeshis slightly trailing Pakistanis. The number of
dus attending fast-breaking meals at the close of each day of
Muslims from India who have emigrated to the United
Ramad:a¯n—but the degree to which such communal harmo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BENGALI RELIGIONS
831
ny prevails in North America depends to some extent on
architecture in Pika Ghosh’s Temple to Love: Architecture and
what is happening in the subcontinent: whether India and
Devotion in Seventeenth-Century Bengal (Bloomington, Ind.,
Bangladesh are on friendly terms, or whether Muslims or
2004) and Ákos Östör’s The Play of the Gods: Locality, Ideolo-
Hindus, respectively, are perceived as being maltreated at
gy, Structure, and Time in the Festivals of a Bengali Town
home. What oils the relationship between the two separate
(Chicago, 1980).
diaspora groups is, of course, their dual pride in the Bengali
Further reading on the S´a¯kta and Tantric traditions should in-
language, which, until a momentous point in history
clude two excellent studies of the Sanskrit literature: Kunal
wrenched the two halves of Bengal apart, united its people.
Cakrabarti, Religious Process: The Pura¯n:as and the Making of
a Regional Tradition (New Delhi, 2001), and Teun Goudri-
SEE ALSO Buddhism, article on Buddhism in India; Cai-
aan and Sanjukta Gupta, Hindu Tantric and S´a¯kta Literature
tanya; Christianity, article on Christianity in Asia; D¯ıva¯l¯ı;
(Wiesbaden, Germany, 1981). Essays on individual regional
Durga¯ Hinduism; Goddess Worship, article on The Hindu
deities, such as S´¯ıtala¯, Manasa¯, and Can:d:¯ı, may be found in
Goddess; Hindi Religious Traditions; Indian Religions, arti-
Edward C. Dimock Jr., The Sound of Silent Guns and Other
cle on Rural Traditions; International Society for Krishna
Essays (Delhi, 1989), and Ralph W. Nicholas, Fruits of Wor-
Consciousness; Jayadeva; Kr:s:n:aism; Marathi Religions; Ra-
ship: Practical Religion in Bengal (New Delhi, 2003). For in-
formation on and translations of the S´a¯kta devotional poetry
makrishna; Tamil Religions; Tantrism, overview article;
tradition, see Rachel Fell McDermott, Mother of My Heart,
Varn:a and Ja¯ti.
Daughter of My Dreams: Ka¯l¯ı and Uma¯ in the Devotional Po-
etry of Bengal (New York, 2001) and Singing to the Goddess:
BIBLIOGRAPHY
Poems to Ka¯l¯ı and Uma¯ from Bengal (New York, 2001); Mal-
Although somewhat dated, the two-volume History of Bengal, ed-
colm McLean, Devoted to the Goddess: The Life and Work of
ited by R. C. Majumdar and Jadunath Sarkar; Vol. 1: The
Ramprasad (Albany, N.Y., 1998); and Clinton B. Seely and
Hindu Period, edited by R. C. Majumdar (Dacca, Bangla-
Leonard Nathan, trans., Grace and Mercy in Her Wild Hair:
desh, 1943); Vol. 2: The Muslim Period, edited by Jadunath
Selected Poems to the Mother Goddess by Ramprasad Sen, 2d
Sarkar (Dacca, Bangladesh, 1948), is still useful, if supple-
ed. (Prescott, Ariz., 1999). For studies of S´a¯kta saints, see Jef-
mented by current studies on individual subjects. Likewise,
frey J. Kripal, Ka¯l¯ı’s Child: The Mystical and the Erotic in the
for comprehensive introductions to Bengali literature,
Life and Teachings of Ramakrishna, 2d ed. (Chicago, 1999),
Asitkuma¯r Bandyopa¯dhya¯y’s Ba¯n˙gla¯ Sa¯hityer Itivr:tta, 5 vols.
and June McDaniel, The Madness of the Saints: Ecstatic Reli-
(Calcutta, 1955) and Sukumar Sen’s History of Bengali Liter-
gion in Bengal (Chicago, 1989). For lists of Bengali Buddhist
ature, 3rd ed. (New Delhi, 1979) remain invaluable.
Tantras, see S. C. Banerji, Tantra in Bengal: A Study in its
Excellent studies on Islam include Rafiuddin Ahmed, Bengal Mus-
Origin, Development, and Influence, 2d ed. (New Delhi,
lims, 1871–1906: A Quest for Identity (Delhi, 1996); Rafiud-
1992). The Tantric impact on S:u¯f¯ı texts is discussed by Asim
din Ahmed, ed., Understanding the Bengal Muslims: Interpre-
Roy, The Islamic Syncretistic Tradition, cited above.
tative Essays (New Delhi, 2001); Richard M. Eaton, The Rise
Various types of folk and popular religion—for instance, the
of Islam and the Bengal Frontier, 1204–1760 (Berkeley,
Bauls, Sahajiya¯s, and Karta¯bhaja¯s—have been discussed in
Calif., 1993); Abdul Karim, Social History of the Muslims in
the following: Sumanta Banerjee, Logic in a Popular Form:
Bengal, down to A.D. 1538 (Dacca, Bangladesh, 1959); Asim
Essays on Popular Religion in Bengal (Calcutta, 2002);
Roy, The Islamic Syncretistic Tradition in Bengal (Princeton,
Shashibhusan Dasgupta, Obscure Religious Cults (Calcutta,
N.J., 1983); Tony K. Stewart, Fabulous Females and Peerless
1962); Edward C. Dimock Jr., The Place of the Hidden
P¯ırs: Tales of Mad Adventure in Old Bengal (New York,
Moon: Erotic Mysticism in the Vais:n:ava-sahajiya¯ Cult of Ben-
2004); and Mamatjur Rahman Tarafdar, Husain Shahi Ben-
gal (Chicago, 1966) and The Thief of Love: Bengali Tales from
gal, 1494–1538 A.D.: A Socio-Political Study (Dacca, Bangla-
Court and Village (Chicago, 1963); E. Alan Morinis, Pilgrim-
desh, 1965). Ahmed Sharif, Anisuzzaman, and Rafiqul Islam
age in the Hindu Tradition: A Case Study of West Bengal
have each written voluminously in Bengali on aspects of Ben-
(Delhi, 1984); Jeanne Openshaw, Seeking Bauls of Bengal
gali Muslim literature and culture.
(Cambridge, U.K., 2002); Tapan Raychaudhuri, “Transfor-
For monographs and translations pertaining to the Gaud:¯ıya
mation of Religious Sensibilities in 19th Century Bengal (I)”
Vais:n:ava tradition, see the overview studies of Ramakanta
in Ramakrishna Mission Institute of Culture Bulletin (Calcut-
Chakravarti, Vais:n:avism in Bengal, 1486–1900 (Calcutta,
ta, March 1996): 96-100; and Hugh B. Urban, The Econom-
1985), and Sushil Kumar De, Early History of the Vais:n:ava
ics of Ecstasy: Tantra, Secrecy, and Power in Colonial Bengal
Faith and Movement in Bengal, from Sanskrit and Bengali
(New York, 2001).
Sources (Calcutta, 1962); the translations of Edward C. Di-
The colonial period, from roughly the early eighteenth to the mid-
mock Jr., The Caitanya Carita¯mr:ta of Kr:s:n:ada¯sa Kavira¯ja: A
twentieth centuries, has garnered tremendous interest among
Translation and Commentary, edited by Tony K. Stewart
scholars of Bengal. A few titles germane to the study of reli-
(Cambridge, Mass., 1999), Edward C. Dimock Jr. and De-
gion include the following. For the interplay between Hindu
nise Levertov, trans., In Praise of Krishna: Songs from the Ben-
zam¯ında¯rs, S´a¯ktism, and the conditions of early British
gali (Chicago, 1981), and Barbara Stoler Miller, trans., Love
power, see David L. Curley, “Maharaja Krisnacandra, Hin-
Song of the Dark Lord: Jayadeva’s G¯ıtagovinda (New York,
duism, and Kingship in the Contact Zone of Bengal,” in Re-
1977); the study of Ra¯dha¯ in Bengali Vais:n:ava conceptions
thinking Early Modern India, edited by Richard B. Barnett
by Sumanta Banerjee, Appropriation of a Folk-heroine: Radha
(New Delhi, 2002), pp. 85–117; and John R. McLane, Land
in Medieval Bengali Vaishnavite Culture (Shimla, India,
and Local Kingship in 18th Century Bengal (Cambridge, UK,
1993); and descriptions of Vishnupur and Vais:n:ava art and
1993). For elite and popular contexts of eighteenth- to nine-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
832
BENNETT, JOHN G.
teenth-century Calcutta, see Sumanta Banerjee, The Parlour
considerable intellectual powers and his lifelong commit-
and the Streets: Elite and Popular Culture in Nineteenth Cen-
ment to the possibility of integrating all human knowledge.
tury Calcutta (Calcutta, 1989); and David Kopf, The Brahmo
His inner story has historical roots, and its review includes
Samaj and the Shaping of the Modern Indian Mind (Prince-
major spiritual teachers of the twentieth century.
ton, N.J., 1979) and British Orientalism and the Bengal Re-
naissance: The Dynamics of Indian Modernization, 1773–
Born to an American mother from New England and
1835 (Berkeley, Calif., 1969). Sumit Sarkar’s study of the
an English father, Bennett did not consider his life to have
first partition of Bengal is still a classic: The Swadeshi Move-
truly begun until his near-death out-of-body experience in
ment in Bengal, 1903–1908 (New Delhi, 1973).
battle at the age of twenty-one during World War I. Shortly
Recommended monographs on famous Bengali writers and reli-
after the war, he awoke, for the first time, to a vision of a
gious leaders include Shamita Basu, Religious Revivalism as
fifth dimension that he called “eternity,” which took thirty
Nationalist Discourse: Swami Vivekananda and New Hindu-
years for him to create concepts to explain. After the war he
ism in Nineteenth Century Bengal (New Delhi, 2002); Mi-
married and fathered a daughter, but he separated from his
chael Madhusudan Datta, The Slaying of Meghanada: A Ra-
family to pursue political intrigues in Turkey. In 1920–21
mayana from Colonial Bengal, translated with an
he worked as an Intelligence agent of the British government
introduction by Clinton B. Seely (New York, 2004); Brian
A. Hatcher, Idioms of Improvement: Vidya¯sa¯gar and Cultural
in the War Office in Constantinople, present-day ˙Istanbul,
Encounter in Bengal (Calcutta, 1996); Tapan Raychaudhuri,
where half a dozen races and four religious groups converged
Europe Reconsidered: Perceptions of the West in Nineteenth
in the aftermath of the Great War and the Russian revolu-
Century Bengal (Delhi, 1988); and Sumit Sarkar, An Explora-
tion. Working in the thick of Turkish politics at this center
tion of the Ramakrishna Vivekananda Tradition (Shimla,
of great ferment and change, Bennett was entrusted with
India, 1993). For types of Hindu response to Christian
every kind of secret and consulted about the highest govern-
teaching, see Julius J. Lipner, Brahmabandhab Upadhyay:
ment appointments and activities, including the disarma-
The Life and Thought of a Revolutionary (Delhi, 1999); and
ment of the Turkish army. He spoke, read, and wrote Turk-
Richard Fox Young, Resistant Hinduism: Sanskrit Sources on
ish constantly and worked to resolve political issues with the
Anti-Christian Apologetics in Early Nineteenth-century India
English, French, Italians, Turks, Circassians, Kurds, Greeks,
(Leiden, 1981).
Armenians, Russians, Arabs, and Jews.
Comparative data on Hindu and Muslim class, marriage, and kin-
ship patterns may be found in Lina M. Fruzzetti, Gift of a
In Constantinople, Bennett witnessed the death of an
Virgin: Women, Marriage, and Ritual in a Bengali Society
epoch as the sultanate was overthrown and the Ottoman
(New Brunswick, N.J., 1982); Lina M. Fruzzetti and Ákos
Empire gave way to the modern and secular Turkish Repub-
Östör, Kinship and Ritual in Bengal: Anthropological Essays
lic. Here, Bennett had his first contact with Islam and Mus-
(New Delhi, 1984); Ronald B. Inden and Ralph W. Nicho-
lim mystics, or Sufis, who had an impact on him and with
las, Kinship in Bengali Culture (Chicago, 1977); and Manisha
whom he reconnected later in his life. Also here in 1920, he
Roy, Bengali Women, 2d ed. (Chicago, 1996).
met Peter D. Ouspensky (1878–1947) and Gurdjieff, who
RACHEL FELL MCDERMOTT (2005)
became his spiritual teachers, and Winifred Beaumont, who
became his second wife and shared his life of spiritual search
until her death nearly forty years later. Gurdjieff inspired
Bennett to dedicate his life to awakening a “permanent un-
BENNETT, JOHN G. John Godolphin Bennett
changing I” beyond the stream of consciousness of ordinary
(1897–1974) was a British industrial scientist, mathemati-
existence. From him, Bennett learned about the possibility
cian, thinker, and visionary mystic who embodied the model
of the transformation of a human being. Three years later,
of the perennial spiritual searcher. He combined scientific re-
in 1923 Bennett went to Gurdjieff’s Institute for the Harmo-
search with studies of Asiatic languages and religions. His
nious Development of Man at the Chateau le Prieuré in Fon-
legacy lives on through his books and recorded lectures about
tainebleau-Avon near Paris, where he spent thirty-three life-
“The Work” which he received from the enigmatic Greek
transforming days. This brief experience convinced him that
Armenian spiritual teacher George Ivanovich Gurdjieff
he must learn to understand with his heart and his body, not
(1866?–1949) and which formed the foundation of his reli-
just his mind. He realized he could learn to be by training
gious convictions. Bennett’s contact with Gurdjieff con-
his body to work for a spiritual aim. Gurdjieff demonstrated
vinced him that it is not enough to know intellectually more:
that it is not enough to know that another world exists: one
what matters is to be more—that is, to have “presence.” It
must be able to enter that world at will.
was the search for the key to “being” that drove him to work
on himself in order to be free from vanity and self-love, so
In 1941 Bennett acquired an estate near London called
that he could “live to the full inwardly as well as outwardly,”
Coombe Springs where he attempted to reconstruct Gurd-
as he wrote in his autobiography Witness (34). Outwardly,
jieff’s ideas about the “Work,” conducting experiments with
he experienced a life of political intrigue and scientific cre-
one hundred students at a time that continued for twenty
ativity. Inwardly, he awoke to ever-deeper visions of a di-
years. It was during these years that he outlined the four vol-
mension that he called “eternity.” Bennett’s four-volume
umes of The Dramatic Universe. While Bennett remained in
book, The Dramatic Universe (1956–1966), testifies to his
touch with Ouspensky and his wife Sophia Grigorevna 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
BERBER RELIGION
833
London, where they studied and taught the principles of
BIBLIOGRAPHY
Gurdjieff’s Work, twenty-five years passed before he recon-
Works by Bennett
nected with Gurdjieff in Paris. In the remaining eighteen
The Dramatic Universe, vol. 1, The Foundations of Natural Philoso-
months of Gurdjieff’s life Bennett traveled between London
phy (London, 1956) explains the domain of facts: a six-
and Paris to be with him despite his professional commit-
dimensional description of the natural world. In it, Bennett
ment at the coal company Powell Duffryn and his responsi-
proposes two additional dimensions beyond the traditional
bility for group work at Coombe Springs. In the summer of
four dimensions of space and time. In the fifth dimension of
“eternity,” time stops but life goes on as a quality of energy
1949 he spent a month with Gurdjieff in Paris, which experi-
in which nothing happens but everything constantly
ence was a turning point in his spiritual growth. In 1958 fol-
changes. The sixth dimension is called hyparxis, or the pat-
lowing the death of his second wife, he married Elizabeth
terns of eternal recurrence that link potentialities in eternity
Howard, who was a follower of Gurdjieff’s Work and they
with manifestations in time.
raised a family of two sons and two daughters.
The Dramatic Universe, vol. 2, The Foundations of Moral Philoso-
phy (Charles Town, W.Va., 1961) describes Bennett’s ethical
In 1956 Bennett pursued the teachings of “Pak” Subuh
insights and aesthetic vision through the use of multi-term
(1901–1987), who transmitted a method for the awakening
systems. These systems take the form of invisible value-
of conscience called “the latihan.” This was a spiritual prac-
structures that can be apprehended by empathetic feeling.
tice resembling some states of meditation. It induced power-
Bennett called these structures monads, dyads, triads, tetrads,
ful psychic and spiritual experiences that varied in intensity
pentads, hexads, septads, octads, enneads and docecads.
and effect. Many practitioners of latihan were terrified by a
The Dramatic Universe, vol. 3, Man and His Nature (London,
pitiless awakening to feelings of conscience, while others
1966) investigates the nature of human existence.
were deeply moved by healing feelings of ecstasy and bliss.
The Dramatic Universe, vol. 4, History (London, 1966) sketches
With its emphasis on submission to the will of God and its
a theory of history.
reliance on a single practice, the latihan seemed to be the an-
Gurdjieff: A Very Great Enigma. York Beach, Maine, 1973.
tithesis of Gurdjieff’s methods for spiritual awakening, caus-
Intimations: Talks with J. G. Bennett at Beshara. Gloucestershire,
ing many of Bennett’s students to leave him. By 1962 Ben-
U.K., 1975.
nett became disillusioned with the passivity of this teaching
Transformation. Charles Town, W.Va., 1978.
and returned to exercises in self-discipline. In 1961–63 he
Idiots in Paris. With Elizabeth Bennett. Bath, 1980.
was attracted to the teachings on Right Living developed by
the 135-year-old Hindu saint Shivapuri Baba, whom he vis-
The Way to be Free. New York, 1980.
ited in Nepal. In 1971 Bennett acquired Sherborne House
Witness: The Autobiography of John Bennett. Charles Town, W.Va.,
near London and established the International Academy for
1983.
Continuous Education, an “experimental” Fourth Way
Energies: Material, Vital, Cosmic. Charles Town, W.Va., 1989.
school, where he conducted experiments with students to
Is There Life on Earth? An Introductin to Gurdjieff. Santa Fe, 1989.
apply the techniques he had learned throughout his life for
The Masters of Wisdom: An Esoteric History of the Spiritual Unfold-
awakening from conditioned existence. Shortly before he
ing of Life on This Planet. Santa Fe, 1995.
died, he also made arrangements for starting another experi-
mental school at Claymont Court in the Shenandoah Valley
Secondary Sources
Blake, Anthony G. E. The Intelligent Enneagram. Boston, 1996.
of West Virginia.
BRUCE W. MONSERUD (2005)
At this point it is difficult to assess Bennett’s historical
impact. He is almost completely ignored by the academic
community. While his ideas continue to influence small
BERBER RELIGION. It is difficult to refer with any
groups who work with them, little formal documentation
sort of precision to “Berber religion” per se, even as it is diffi-
about these groups is available, and some feel that they are
cult to speak about a “Berber people.” The term berber—
already dissolving as those who knew Bennett retire and die.
originally a derogatory name (cf. Gr. barbaroi, Eng. barbar-
Although Bennett tried to make his ideas accessible to all, the
ians) applied by outsiders—designates the rather heteroge-
complexity and depth of his vision remain anomalous and
neous, indigenous population of North Africa extending
inaccessible to most readers. His major work, The Dramatic
from the Siwa Oasis in the western Egyptian desert to Mo-
Universe, was Bennett’s valiant attempt to resurrect the pro-
rocco, Mauretania, and even as far as the great bend of the
found simplicity of the original Pythagorean teaching. It is
Niger River. These people, who have been in the region since
possible that the core of this wisdom will be collated and in-
prehistoric times, exhibit varying physical features, customs,
tegrated within the Neoplatonic and Neo-Pythagorean tradi-
and social organizations. They are united mainly by lan-
tions at some future point.
guage. But even the language itself is highly variegated and
is subdivided into a number of mutually unintelligible dia-
SEE ALSO Gurdjieff, G. I.; Ouspensky, P. D.
lects and many localized vernaculars. In addition to lan-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
834
BERBER RELIGION
guage, another trait that has characterized the Berbers as a
theon of seven deities worshiped at Vaga (modern Béja in
whole throughout history has been a strong spirit of local po-
Tunisia).
litical, social, and cultural independence in the face of domi-
Natural phenomena were the main focuses of Berber
nation by civilizations that have imposed themselves upon
veneration, and nature worship has continued to be the core
the Maghreb (the Arabic name for western North Africa):
of Berber religiosity into the modern era despite the official
Carthaginians, Romans, Vandals, Byzantines, Arabs, and, for
overlay of Islam. Writing nearly two thousand years apart,
a relatively short time, modern Europeans.
both Herodotus (Histories 4.188) and Ibn Khaldun ( EIbar
ANCIENT BERBER RELIGION. Echoes of prehistoric Berber
6.94) relate that the Berbers worshiped the sun and the
religiosity may be found in rock paintings and carvings from
moon, although in what way is not known. Inscriptions from
the Neolithic period. Many of these depictions are difficult
the Roman period mention a god, Ieru, whose name corre-
to interpret, but some seem to indicate clearly the veneration
sponds to the Berber ayyur or ior (“moon”). Latin dedica-
of certain animals and perhaps even fetishism. The numerous
tions to the sun have been found in Tunisia and Algeria, and
animal sculptures in hard rock must certainly be idols. These
Spanish writers report that the Guanches (the Berber natives
include rams, bulls, and antelopes. By Punic and Roman
of the Canaries) worshiped the sun, one of whose names was
times, however, zoolatry seems to have been a thing of the
Amen, which in certain Tuareg dialects still means “lord” or
past. Augustine of Hippo singles out the Egyptians as animal
“god.”
worshipers, but he does not mention his fellow North Afri-
Rocks, mountains, caves, and springs were frequently
cans in this regard (Sermons 198.1).
places of sanctity for the ancient Berbers, as they have contin-
Throughout the first half of the twentieth century, lead-
ued to be for their modern descendants. Few of the spirits
ing European scholars (e.g., Gsell, Basset, Bel, and Gautier)
inhabiting these holy spots had names; they were impersonal
generally held that the Egyptian cult of Amun-Re was wide-
forces, like so many of the jnun of later Berber folk belief.
spread across the Maghreb in antiquity. They based this sup-
On the basis of archaeological evidence, it seems that
position upon the iconography of a few rock drawings dis-
the Berbers of antiquity had a well-developed funerary cult.
covered in Algeria and upon the popularity in Carthage of
Decorated rock-cut tombs, funeral altars, and tumuli—all
the Punic deity Baal-Hammon, who was identified with
with votive offerings—have been found throughout the re-
Zeus-Amun of the Siwa Oasis. This interpretation, however,
gion. Among the Numidians, charismatic rulers were vener-
has been called into serious question by Gabriel Camps, who
ated as gods after their death, a practice that had its parallel
has argued that the depictions are of sacrificial animals with
in the widespread saint and marabout cults of later Christian
ornamental bonnets and not sun disks on their heads. The
and Islamic times.
ram god of Siwa does not seem to have played any special
role among the ancient Berbers beyond Libya.
BERBER RELIGION IN CHRISTIAN TIMES. During the early
centuries of the common era, when Christianity began to
If any deity enjoyed extensive popularity in classical
spread throughout the Roman empire, many Berbers in the
times, it was Saturn. The omnipresence of depictions of this
urbanized parts of North Africa adopted the Christian faith.
god and his associations with the Punic Baal-Hammon are
However, Berber particularism frequently imparted to their
evidence that he was the real master of the region. One of
Christianity an individualistic stamp. The cult of local mar-
his iconographic representations, showing him seated on a
tyrs was very strong and widely diffused. Many of the prac-
lion (his animal attribute) and holding a serpent (the symbol
tices and votive offerings reflected earlier funerary cults. Cer-
of death and fertility), has continued in folk religion down
tain customs from this period, such as the partaking by
to the present. Rabbi Ephraim Enqawa of Tlemcen, a Jewish
women of ritual meals at the grave site, continued after is-
saint, who is venerated throughout the Berber regions
lamization.
of southern Morocco, is invariably depicted in the same
fashion.
Adherence to heretical schisms was another manifesta-
tion of Berber individualism. In addition to Donatism,
From Punic times onward, it seems that foreign gods
which was an indigenous North African movement, there
were borrowed and syncretized with local North African dei-
were active communities of Montanists, Pelagians, Arians,
ties. However, it is difficult to isolate the native Berber divin-
and Manichaeans. As in the pre-Christian era, there was a
ities from the overlay of official Punic and Roman religion.
great deal of syncretizing of native religious traditions with
Because of its essentially popular character, Berber religious
the adopted religion of the dominant culture.
practice receives only occasional mention in classical sources
B
or early Christian writings.
ERBER RELIGION IN ISLAMIC TIMES. According to Arab
historians, the Berber tribes of North Africa submitted to
Most of the dii Mauri (i.e., Mauretanian gods), for
Muslim rule and accepted Islam at the end of the seventh
whom some fifty-two names survive, were local spirits. Many
century, after more than fifty years of fierce resistance. This
of these have recognizably Berber names, such as Varsissima
mass conversion was due more to political interest than to
(Berb., war ism, “the nameless one”) and Macurgum (Berb.,
religious conviction. Since Arab settlement outside the few
imqqor, amqran, “the great one”), both members of the pan-
urban centers was very sparse indeed, the islamization 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
BERBER RELIGION
835
much of the interior and outlying regions must have been
dead, in the veneration of such natural phenomena as
nominal at best. According to orthodox Muslim tradition,
springs, caves, rocks, and trees, and in numerous rituals
the Berbers seceded from Islam no fewer than twelve times.
linked to agriculture and the seasons. Many Berber groups
As late as the eleventh century, the Andalusian geographer
have retained a solar calendar alongside the Muslim one,
al-Bakr¯ı mentions Berber tribes who worshiped a stone idol
which, because it is not only lunar but not intercalated, is
named Kurzah (or Gurzah), which may be related to a Berber
of little use to farmers and pastoralists.
deity of Roman and Christian times known as Gurzil. Even
Certain dates of the solar year have traditionally been
in the major towns, Berber particularism made itself felt
marked by widespread religious observances. For example,
quite early by the widespread adherence to Kha¯rij¯ı sectarian-
New Year’s Day—called variously E ¯Id: Ennayr (Feast of Janu-
ism, whose egalitarian doctrines had great appeal in the wake
ary); Asuggwas Ujdid (New Year); Byannu, Bu-ini,
of Arab domination and oppression.
Bubenna¯ni, or Bumenna¯ni (all apparently from the Latin
New Berber religions appeared during the Middle Ages;
bonum annum); and E¯Id: n-H:agu¯za (Feast of the Old
influenced by Islam, they adopted aspects of its external form
Woman); is commonly celebrated with special meals, with
but remained native in language, rite, and usage. The earliest
household rites to ensure a good year, and, in some regions
of these was the religion of the Barghawa¯t:ah, who inhabited
of Morocco and Algeria, with carnivals and bonfires.
the Atlantic coastal region of eastern Morocco. During the
Another important celebration in the solar cycle is the
eighth to twelfth centuries, they adhered to the faith of their
summer solstice, called variously l- Eans:ra, l- Eans:art, and
prophet, S:a¯lih:, as propagated and led by his descendants.
t Eaynsa¯t (Arab., ans:a¯rah). It is celebrated all over Morocco
The Barghawa¯t:ah worshiped one god, Ya¯kush, and had a
and Algeria with bonfires, fumigation with braziers, and
Berber scripture consisting of eighty chapters. Their religion
water rites that include ritual bathing, sprinkling, and water
was highly ascetic and had a strict moral code. In contrast
fights. The Jews of North Africa have incorporated playful
to Islam’s five daily prayers, it had ten (five daily and five
water fights into the celebration of Shavu’ot, which takes
nightly). There were numerous food taboos: fish, animal
place only a few weeks before the Eans:rah. (It should be noted
heads, eggs, and cocks were all forbidden (some of these have
that the very word Eans:rah has been linked by some scholars
modern parallels among particular families in Morocco for
to the Hebrew Eatseret, or “holy convocation,” a term used
whom eating a taboo food is considered “inauspicious”—
to describe ShavuEot.)
Berb., tteath; Arab., t:¯ırah). The charisma of the prophet,
S:a¯lih:’s family was a central element in Barghawa¯t:ah commu-
Although Islam has its own rogatory ceremony for rain
nal life. As in the case of the late marabouts, their spittle was
in time of drought—the istisqa¯ D ritual—the Berbers through-
considered to have great spiritual and curative powers.
out North Africa have in addition their own practices for
seeking divine intervention at such times of crisis. One cere-
Another new Berber religion influenced by Islam was
mony involves the use of dolls called tisla¯tin (sg., taslit,
that of H:a¯-M¯ım, who appeared among the Ghuma¯rah tribe
“bride”). These are frequently made from ladles or stirring
in the Rif province of northern Morocco during the tenth
sticks and are carried about by women and children who
century. He too produced a Berber scripture, and had dietary
chant and pray. Even the North African Arabs who perform
taboos similar to those of the Barghawa¯t:ah. However,
this ritual call the little effigies by their Berber name, which
H:a¯-M¯ım’s religion had only two daily prayers, at sunrise and
seems to underscore its autochthonous character.
sunset. An important place was accorded to H:a¯-M¯ım’s pa-
ternal aunt and sister, both of whom were sorceresses. Ac-
In conclusion, it should be emphasized that, because of
cording to al-Bakr¯ı and Ibn Khaldu¯n, the Ghuma¯rah sought
the many conquests of North Africa over the last three mil-
their aid in times of war, drought, and calamity.
lennia and its domination by outside civilizations, it is ex-
tremely difficult to identify in many instances what is indige-
The Muslim reform movements of the Almoravids in
nous Berber religious practice. Even in those parts of the
the eleventh and twelfth centuries and of the Almohads in
Maghreb where there has been a reassertion of Berber ethnic
the twelfth and thirteenth centuries, although properly
identity (e.g., in the Algerian Kabylia region), the primary
speaking a part of Islamic religious history, nevertheless show
emphasis has been ethnolinguistic and not religious. Islam—
certain important affinities with the independent religious
whether practiced normatively or not—still commands the
movements of the Barghawa¯t:ah and Ghuma¯rah. Tribal or re-
Berbers’ fundamental religious allegiance.
gional Berber identity is very strong in all of them. In each
instance the role of the charismatic leader is paramount (in
SEE ALSO Christianity, article on Christianity in North Afri-
the case of the Almoravids and Almohads this is truest at the
ca; Islam, article on Islam in North Africa.
early stages of their respective movements).
BIBLIOGRAPHY
Although Islam had no rivals as the official religion
There is no single work devoted to the history of Berber religion
among the Berbers from the thirteenth century onward,
as a discrete entity, although there is an enormous literature
many native Berber rites continued to be practiced within
on Maghrebi Islam and on popular beliefs and rituals. Berber
the Maghrebi Islamic context. These are particularly appar-
religion receives extensive treatment within this broader con-
ent in the highly developed cults of saints both living and
text.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
836
BERDIAEV, NIKOLAI
Though somewhat outdated in part, Alfred Bel’s La religion mu-
ing—was later to find expression in his principal works. He
sulmane en Berbérie, vol. 1 (the only volume to appear; Paris,
spoke of his early outlook in his autobiography, Dream and
1938), remains the best survey of Berber religious history
Reality: An Essay in Autobiography (1949): “I cannot remem-
from antiquity through the later Islamic Middle Ages. An
ber my first cry on encountering the world, but I know for
important bibliography precedes each chapter. The chapter
certain that from the very beginning I was aware of having
on religion in Gabriel Camps’s Berbères: Aux marges de
fallen into an alien realm. I felt this as much on the first day
l’histoire (Paris, 1980), pp. 193–271, goes a long way toward
updating and correcting Bel and is especially good for the
of my conscious life as I do at the present time. I have always
pre-Islamic periods. Edward A. Westermarck’s Ritual and
been a pilgrim” (p. 1).
Belief in Morocco, 2 vols. (1926; reprint, New Hyde Park,
Berdiaev’s pilgrim personality is revealed in the follow-
N.Y., 1968), remains a classic source of information on pop-
ing significant works (all available in English translation):
ular religion in Morocco. In addition to a wealth of descrip-
tive detail, the book offers much comparative data. Another
The Meaning of the Creative Act (1916), Dostoevskii (1923),
valuable survey of popular religious practice is Edmond
Freedom and Spirit (1927), The Destiny of Man (1931), Soli-
Doutté’s Magie et religion dans l’Afrique du Nord (Algiers,
tude and Society (1934), The Origin of Russian Communism
1909).
(1937), Slavery and Freedom (1939), and The Realm of Spirit
and the Realm of Caesar (1951). Throughout these works, he
There are many studies on saint veneration in North Africa. The
best dealing with holy men in a Berber society is Ernest Gell-
philosophized as an existentialist on the concrete human
ner’s Saints of the Atlas (London, 1969). For a comparison
condition from a Christian perspective that was at times
of Muslim and Jewish saints, see my study “Saddiq and Mar-
mystical and nonlogical.
about in Morocco,” in The Sepharadi and Oriental Jewish
Berdiaev’s insights, reinforced by personal example,
Heritage, edited by Issachar Ben-Ami (Jerusalem, 1982),
pp. 489–500.
made him both a lonely and a prophetic figure among his
contemporaries. He identified himself as belonging to the
New Sources
Russian intelligentsia of the turn of the century, who were
Aki’o Nakano. Ethnographic Texts in Moroccan Berber (Dialect of
permanently in search of truth. He inherited the traditions
Anti-Atlas). Tokyo, 1994.
of both the Slavophiles and the westernizers, of Chaadaev,
Benyounès, Arav. Berberes, Hier et Aujourd’hui = Imazighen Idelli
Khomiakov, Herzen and Belinskii, and also of Bakunin and
Ass-a. Hull, Quebec, 1997.
Chernyshevskii. He saw himself in the line of Dostoevskii
Haddadou, Mohand Akli. Le Guide de la Culture Berbere. Paris,
and Tolstoi, as well as of Vladimir Solov’ev and Nikolai Fe-
2000.
dorov. In summarizing the traditions that influenced him he
Kratochwil, Gabi. Die Berber in der Historischen Entwicklung Alge-
declared, “I am a Russian, and I regard my universalism, my
riens von 1949 bis 1990. Berlin, 1996.
very hostility to nationalism, as Russian” (Dream and Reality,
p. xiv).
NORMAN A. STILLMAN (1987)
Revised Bibliography
Appointed professor of philosophy at Moscow Universi-
ty in 1920, Berdiaev was expelled from the Soviet Union two
years later for his unwillingness to embrace orthodox Marx-
ism. His subsequent break with Marxism was inevitable. He
BERDIAEV, NIKOLAI (1874–1948), Russian phi-
questioned Marxist subordination of individuality and free-
losopher and spiritual thinker. Nikolai Alexandrovich
dom in its worship of the collective. Furthermore, he found
Berdiaev is one of the distinguished Christian existential phi-
the Marxist view of reality too limited, denying any world
losophers of the twentieth century. His major themes were
other than a temporal-materialistic existence. For Berdiaev,
freedom, creativity, and eschatology. Born in Kiev, he died
life in one world was flat; he believed that the human spirit
seventy-four years later in Clamart, a suburb of Paris, with-
seeks transcendence—a striving toward the unlimited and
out realizing his desire to return to his homeland. Yet
the infinite. To live only in the realm of Caesar is to deny
Berdiaev was first and foremost a Russian and a mystic, de-
the realm of the spirit. Such restriction was contrary to his
spite his indebtedness to the West.
ideas of freedom, creativity, and hope. Only a Christian out-
Berdiaev’s life can be divided almost evenly into three
look, as embodied in his Russian Orthodox tradition, could
quarter-centuries: the years in Kiev, the years in Vologda,
satisfactorily embrace both heaven and earth and point to his
Saint Petersburg, and Moscow, and the years abroad in exile
understanding of the kingdom of God.
(primarily France). Berdiaev was the scion of a privileged
As a pilgrim philosopher, Berdiaev viewed the human
family. His father held high military honors; his mother,
task as stewardship toward God’s End (eschatology); it was
born Princess Kadashev, had French royal blood. The fami-
a view that called for a complete reevaluation of one’s present
ly’s means and status were quite comfortable; yet Berdiaev
values and style of life. For him the Christian outlook was
was restless. From his early youth he was disposed to regard
far more revolutionary than Marxism.
the world about him as illusory, and to consider himself a
part of another, “real” world. The child’s consciousness of
The Christian gospel for Berdiaev pointed to an ethic
his spiritual aptitude—an eschatological and mystical yearn-
of redemption culminating in the coming of the kingdom
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BERENGAR OF TOURS
837
of God, a kingdom based on love rather than rights and
against Lanfranc. Berengar took a “spiritual” view of salva-
rules. However, he felt strongly that the truth of the spiritual
tion, in which the mental memory of the Lord’s life, passion,
life cannot conform completely to earthly life. For him, there
and resurrection apparently did not entail an earthly recep-
never had been, nor could there be, a Christian state, Chris-
tion of Christ’s physical body, which was in fact incorrupt-
tian economics, Christian family, Christian learning, or
ibly located in heaven. “Eternal salvation is given us if we
Christian social life. In the kingdom of God and in the per-
receive with a pure heart the body of Christ, that is, the reali-
fect divine life there is no state, no economics, no family, no
ty of the sign [rem sacramenti], while we are receiving the
teaching, nor any other aspect of social life governed by law.
body of Christ in sign [in sacramento], that is, in the holy
Berdiaev’s vision of the Kingdom often led to misunder-
bread of the altar, which belongs to the temporal order”
standings throughout his lifetime. As a consequence, he was
(Beekenkamp, 1941, vol. 2, p. 158).
viewed as a maverick philosopher, with no desire for disciples
At a Roman council in 1079, Gregory VII secured the
to institutionalize his thoughts. The basic idealism in his
reconciliation of Berengar by a considerably modified oath:
thinking led Berdiaev to a serious devaluation of this world,
a view that was more spiritualistic (gnostic-Manichaean)
The bread and wine which are placed on the altar . . .
than biblical. Nevertheless, his lasting influence as a Chris-
are converted substantially into the true, proper, life-
tian philosopher and prophetic spirit lies in his ability to
giving flesh and blood of Jesus Christ our Lord and
stimulate dialogue among divergent cultures and patterns of
after the consecration are, not merely in sacramental
sign and power, but in the property of nature and truth
thought.
of substance, the true body of Christ, which was born
of the Virgin, and which as an offering for the salva-
BIBLIOGRAPHY
tion of the world hung upon the Cross, and sits at the
Calian, Carnegie Samuel. Berdyaev’s Philosophy of Hope: A Contri-
right hand of the Father, and the true blood of Christ,
bution to Marxist-Christian Dialogue. Minneapolis, 1968.
which flowed from his side. (J.-P. Migne, ed., Patrologia
Contains a complete list of Berdiaev’s works.
Latina 150.411)
Clarke, Oliver Fielding. Introduction to Berdyaev. London, 1950.
Berengar’s account of the Roman council shows him still try-
Lowrie, Donald A. Rebellious Prophet: A Life of Nicholai Berdyaev.
ing to interpret the late insertion of substantialiter in his own
New York, 1960.
sense.
Spinka, Matthew. Nicolas Berdyaev, Captive of Freedom. Philadel-
phia, 1950.
Berengar never ceased to quote Augustine: “That which
you see on the altar is bread and wine, but faith insists that
CARNEGIE SAMUEL CALIAN (1987)
the bread is the body of Christ, and the wine is his blood.”
Berengar’s interpretation of that principle, though rejected
by the Roman Catholic church, finds clear echoes in the “re-
BERENGAR OF TOURS (c. 1000–1088), rector of
ceptionism” of parts of the Reformed tradition.
the schools of Saint-Martin in Tours and sometime archdea-
con of Angers. Berengar was at the center of a eucharistic
BIBLIOGRAPHY
controversy in his own day and subsequently lent his name
Berengar’s chief work was respectively introduced and edited by
to a cluster of positions that more or less closely resembled
W. H. Beekenkamp in two volumes: De avondmaalsleer van
his. He stands at one pole of a tension that has recurrently
Berengarius van Tours and De Sacra Coena adversus Lan-
characterized Western thinking on the sacrament.
francum (The Hague, 1941). Necessary corrections have
been made by R. B. C. Huygens in “À propos de Bérengar
In 1059, under duress, Berengar took an oath formulat-
et son traité de l’eucharistie,” Revue bénédictine 76, nos. 1–2
ed by Humbert, cardinal bishop of Silva Candida, to the ef-
(1966): 133–139.
fect that “the bread and wine which are laid on the altar are
after consecration not only a sign [sacramentum], but the true
The background and sequel to the Berengarian controversy are de-
body and blood of our Lord Jesus Christ, and they are physi-
scribed in Gary Macy’s The Theologies of the Eucharist in the
cally [sensualiter] touched and broken by the hands of the
Early Scholastic Period (Oxford, 1984); see especially pages
1–72. An account of the affair is also given in Margaret T.
priests and crushed by the teeth of the faithful, not only in
Gibson’s Lanfranc of Bec (Oxford, 1978). Roman Catholic
a sign [sacramento] but in truth.” The oath of 1059 passed
scholars tend to stress the inadequacy of Berengar in terms
into canonical collections as orthodox doctrine, but its crudi-
of the later teaching of the Fourth Lateran Council, Thomas
ty embarrassed most later theologians.
Aquinas, and the Council of Trent, as does Jean de Montclos
Returning from Rome to Tours, Berengar repudiated
in Lanfranc et Bérenger: La controverse eucharistique du on-
and attacked the oath of Humbert and defended his own po-
zième siècle (Louvain, 1971). On the other hand, a sympa-
thetic appreciation of Berengar is offered by the Protestant
sition that Christ’s body and blood were received by the
A. J. Macdonald in Berengar and the Reform of Sacramental
faithful figuratively rather than naturally. This time Lanfranc
Doctrine (London, 1930).
of Bec led the opposition with his On the Lord’s Body and
Blood, to which Berengar replied in On the Holy Supper,
GEOFFREY WAINWRIGHT (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
838
BERGSON, HENRI
BERGSON, HENRI (1859–1941), French philoso-
din borrowed much and yet departed from him at significant
pher. Born in Paris and educated at Lycée Condorcet and
points.
École Normale Supérieure, Bergson taught at three lycées
Bergson’s influence continues among existentialists who
and the École Normale Supérieure before he was invited to
borrow his distinction between conventional and “higher”
the Collège de France in 1900, where he lectured until 1914,
morality and continues within various process theologies that
formally retiring in 1921. His popular lectures influenced lis-
abandon classical theism to find both divine and human cre-
teners from a wide variety of disciplines. He served as the first
ativity at work in an evolving world.
president of the Commission for Intellectual Cooperation of
the League of Nations. In 1927, already awarded France’s
B
highest honors, Bergson received the Nobel Prize for lit-
IBLIOGRAPHY
The best introduction to Bergson’s philosophy is the volume ed-
erature.
ited and introduced by Harold A. Larrabee, Selections from
Although born Jewish, Bergson was increasingly attract-
Bergson (New York, 1949). In addition to excerpts from
ed to Roman Catholicism. While declaring his “moral adher-
Bergson’s major works, it contains all but ten pages of his
brief Introduction to Metaphysics (Introduction à la métaphy-
ence” to Catholicism and requesting that a priest pray at his
sique, Paris, 1903). Translated by T. E. Hulme in 1913, this
funeral, Bergson refused to abandon his fellow Jews in the
work, perhaps the best place to begin reading Bergson him-
face of Nazi anti-Semitism.
self, has also been published separately with an introduction
Bergson began his career as a disciple of Herbert Spen-
by Thomas Goudge (New York, 1955). Bergson’s complete
cer, whose evolutionism exalted science and the individual.
writings are available in one volume, Œuvres (Paris, 1959),
introduced by Henri Gouhier and edited by André Robinet.
In the 1880s, however, Bergson decided that science provid-
P. A. Y. Gunter’s Henri Bergson: A Bibliography (Bowling
ed an incomplete worldview, for its concept of time could
Green, Ohio, 1974) lists 4,377 entries: 470 refer to letters,
not account for the experience of duration. From this dis-
articles, and books by Bergson himself, while 3,907 entries,
agreement came his first book, Essai sur les données immédi-
some annotated, refer to essays on Bergson by various other
ates de la conscience (1889; translated as Time and Free Will,
authors. A brief introduction to Bergson’s thought can be
1910). He next examined the relationship of mind to body
found on pages 49–83 of French Philosophy in the Twentieth
in Matière et mémoire (1896; Matter and Memory, 1911).
Century by Gary Gutting (Cambridge, U. K., 2001).Three
L’évolution créatrice, his most famous work, appeared in
studies of his philosophy are Vladimir Jankélévitch’s Henri
1907 (Creative Evolution, 1911). In it he expounded a non-
Bergson (Paris, 1959; in French), Daniel Herman’s The Phi-
mechanistic portrait of biological evolution, propelled to-
losophy of Henri Bergson (Washington, D.C., 1980), and
A. R. Lacey, Bergson (London, 1989). Jankélévitch’s book
ward higher levels of organization by an inner vital impulse
contains a chapter entitled “Bergson et le judaïsme.” Her-
(élan vital). Les deux sources de la morale et de la religion ap-
man’s relatively brief interpretive essay surveys major topic
peared in 1932 (The Two Sources of Morality and Religion,
in Bergson’s thought while focusing on the role of finality in
1935). These four books constitute his major works.
his philosophy. Lacey’s purpose is to state and assess Berg-
In Two Sources Bergson distinguished between static
son’s main arguments. The New Bergson (Manchester, En-
gland, 1999), edited by John Mullarkey, gives evidence of a
and dynamic morality. The first, a morality of obligation,
renewed engagement with Bergson’s philosophic ideas.
sanctions behavior consistent with an ordered community.
The second, a morality of attraction, issues from mystical ex-
DARRELL JODOCK (1987 AND 2005)
perience. The vital impulse, communicated from God
through the mystic to others, generates a dynamic morality
guided by a vision of humanity as a whole. Whatever his ear-
lier views, by 1932 Bergson was affirming a transcendent
BERNARD OF CLAIRVAUX (1090–1153), mo-
God of love who is creatively involved in human existence.
nastic reformer, abbot of the Cistercian monastery of Clair-
vaux, France. Bernard is known principally through four bio-
Because many found Bergson’s thought liberating, his
graphical accounts written in his own century (which
influence in the early twentieth century was important and
contain more legend than fact), through other writings of his
widespread. Although he regarded science very seriously,
contemporaries, and through his own works. Born to a noble
there was still room in Bergson’s universe for intuition as well
family at the château of Fontaine, near Dijon, Bernard was
as reason, for morality and religion as well as mechanics, for
educated by the canons of Saint-Vorles, Châtillon. At about
organic communities as well as isolated individuals. A gifted
the age of twenty he decided to commit himself to monastic
writer, he bridged the worlds of literature, philosophy, and
life at the recently founded abbey of Cïteaux, which he en-
science.
tered in 1113. In 1115 he was sent to found the abbey of
Bergson was a seminal thinker, prompting others to
Clairvaux. So many recruits came that in 1118 he founded
move beyond his own conclusions. There were few disciples
another abbey, and he continued to found one or more each
and no one to transform his essays into a polished system.
year for a total of about seventy monasteries.
The American philosopher William James and the Jesuit
By 1125 Bernard had written three treatises: The Steps
philosopher of science and religion Pierre Teilhard de Char-
of Humility, In Praise of the Virgin Mother, and Apologia 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
BERNDT, CATHERINE H.
839
Abbot William. His reputation spread. Around 1127 he
faith, not impose it.” Elsewhere, he pointed out that the
wrote On the Behavior and Duties of Bishops and On Grace
faithful of the Eastern and the Western churches were united
and Free Choice; On Loving God was composed between
by faith. Further, he defended the persecuted Jews of the
1126 and 1141, and In Praise of the New Knighthood be-
Rhineland.
tween 1128 and 1136. In 1133 he traveled to Italy to settle
Bernard’s theology had its roots in his own spiritual ex-
the schism in the papacy between Innocent II and Anacletus
perience and in scripture, which served as the norm of inter-
II. In about 1135 Bernard began the long series of sermons
pretation for experience. He affirmed that the Holy Spirit,
On the Song of Songs, leaving the last sermon, the eighty-
who inspired the sacred authors, gives understanding to their
sixth, unfinished at his death. In 1139 he began to partici-
readers. His style is a tapestry of biblical quotations and allu-
pate in the controversy then raging over the writings of Abe-
sions, often worded as they are found in the liturgy or in the
lard, as is particularly illustrated by his Letter 190, “Against
writings of the fathers of the church. He borrowed very little
the Errors of Abelard.” At this time he wrote the treatise On
from profane authors.
Conversion for the students in Paris. Before 1144 he dedicat-
ed to some Benedictine monks On Precept and Dispensation.
His doctrine is founded on the idea that the image of
He also took an active part in church politics, first in the
God in man has been dimmed by sin but not effaced. This
combat against the heresies of the Cathari in the south of
image is restored when grace gives true self-knowledge or hu-
France, and then in Flanders, the Rhineland, and Bavaria,
mility. In Jesus Christ, God became imitable. The Holy Spir-
to rally men for the Second Crusade, initiated in 1146 by
it enables us to share in the salvation brought by Christ by
Eugenius III, the first Cistercian pope, for whom Bernard
keeping alive in us his “memory”—through meditation, in
wrote Five Books on Consideration. After 1148 he penned The
the celebration of the “mysteries” (the sacraments), in the lit-
Life and Death of Saint Malachy, a biography of the bishop
urgy, and by following his example. Within the church—
of Armagh who died at Clairvaux. About five hundred of
Christ’s bride—ascesis and prayer lead to union with God,
Bernard’s many letters are extant, as are numerous sermons
to peace and joy.
on various subjects. Bernard died at Clairvaux on August 20,
1153 and was canonized by Alexander III in 1174.
BIBLIOGRAPHY
The best critical edition of Bernard’s writings is Sancti Bernardi
Bernard was essentially a monk and a reformer, and his
Opera, 8 vols., edited by Jean Leclercq, C. H. Talbot, and
way of being both was determined by his character. His ex-
H. M. Rochais (Rome, 1957–1977). English translations are
tremely artistic literary style tended to conceal his natural
available in the “Cistercian Fathers Series” (Kalamazoo,
spontaneity. One senses deep conflict in this man: a tenden-
Mich.). For historical orientation, see N.-D. d’Aiguebelle’s
cy to be aggressive and domineering versus a will to be hum-
Bernard de Clairvaux (Paris, 1953), volume 3 in the series
ble, to serve only “the interests of Jesus Christ.” By constant
“Commission d’histoire de l’Ordre de Citeaux.” For discus-
examination of his motivations Bernard acquired a certain
sions of Bernard’s thought, see Saint Bernard théologien, ed-
self-control. Occasionally charity gave way to passion; how-
ited by Jean Leclercq (Rome, 1953), volume 9, nos. 3–4, of
the series “Analecta Sacri Ordinis Cisterciensis,” and Gillian
ever, his humanity toward all won him more friends than
Evans’s The Mind of Saint Bernard of Clairvaux (Oxford,
enemies.
1983). An analysis of Bernard’s work and influence is my
Bernard reformed monasticism by introducing greater
own Bernard of Clairvaux and the Cistercian Spirit, translated
poverty and austerity among the monks of the older orders,
by Claire Lavoie (Kalamazoo, Mich., 1976).
such as those at Cluny and Saint-Denis. He encouraged the
JEAN LECLERCQ (1987)
new orders, the Regular Canons and the Carthusians. He
strove for similar reform in the papacy, in the Curia Romana,
and among bishops, clergy, and laity. He continued the insti-
tutional reform of Gregory VII by a spiritual reform in favor
BERNDT, CATHERINE H. (1918–1994). Born
of interiority.
Catherine Helen Webb on May 8, 1918, in Auckland, New
Zealand, Catherine Berndt grew up in households rich in the
In the controversies over Abelard, historians have de-
sounds and stories of many places and in the company of
tected a conflict between personal rather than doctrinal
strong, supportive women. From her maternal grandparents
points of view. Bernard and Abelard were in basic agreement
and their siblings, Catherine heard of their early life in Nova
on most points of doctrine and especially on the necessity
Scotia. She heard tales of Scotland from her “great-aunt”
of the appeal to reason, but Bernard, ill informed about the
Catherine, who had informally adopted Catherine’s mother
details of Abelard’s teachings, won the support of the clergy
and in whose house Catherine was born. It was to this house
of his day more by the form of his presentation of Christian
that her mother returned with her three children after Cath-
dogma than by his criticism of Abelard.
erine’s parents separated and her father went to Australia.
In the political field, and especially in connection with
Her parents reconciled when she was about ten, and, in her
the continual warfare of his day, Bernard defended nonvio-
father’s house in Wellington, Catherine had access to li-
lence and made every effort to bring about reconciliation.
braries that reflected his interests in travel and anthropology.
About the pagan Wendes he said, “We must persuade to
In her great-aunt’s house in Auckland she read Celtic 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
840
BERNDT, CATHERINE H.
and heard, in her great-uncle James’s lilting singing, the
phasized that women had “no feeling of inferiority in regard
rhythms of the Scottish lowlands. Missionaries visiting the
to religion” (p. 260).
Webbs at both locations brought tales of faraway places. Her
In subsequent fieldwork and publications, Berndt
later research interests in women’s religious lives, race rela-
mapped the diversity of women’s religious activities and
tions, social change, oral and children’s literature, myths, and
teased out common themes. In “Women’s Changing Cere-
her exploration of a number of languages, at university and
monies in Northern Australia”—her 1949 M.A. thesis (with
in the field, resonate with these early experiences.
first class honors from the University of Sydney), published
During her undergraduate years, 1936–1939, at Victo-
in 1950 in L’Homme and praised by Claude Levi-Strauss (b.
ria University College (now Victoria University), Welling-
1908) for its contribution to the sociology of religion and
ton, Catherine studied classics and majored in Latin. She
attention to the dynamism of Aboriginal society—Berndt ar-
learned from fellow Maori students of their struggles, and
gues that, on the whole, culture contact in the Victoria River
later, in 1986, was proud to discover her Maori forebears.
Downs region of the Northern Territory and Western Aus-
In getting an education Catherine enjoyed the unfailing sup-
tralia was having a “discouraging and deleterious” effect on
port of her female kin. Her great-aunt cared for her during
women’s ceremonial life (p. 9). Relying solely on female in-
the first years of her postprimary education. Then, after her
formants, Berndt set out three categories of ceremonies: ones
great-aunt fell ill, Catherine’s younger sister moved to keep
in which men and women participate as equals, those in
her company. Catherine’s mother, wanting her daughter to
which women’s roles are supplementary, and those kept se-
have the university education denied to her, considered an-
cret by women, at which men are not present. Her 1965 arti-
thropology a good field and, with a fourth child born after
cle on women’s secret life explores their songs, designs, danc-
another reconciliation, moved the family to Dunedin so that
ing, and myths against the background of the historical and
Catherine could complete a one-year certificate of proficien-
theoretical literature, in particular Durkheim’s sacred-
cy in anthropology at the University of Otago. There, H. D.
profane dichotomy. In “Digging Sticks and Spears; or, The
Skinner (1886–1978), director of the Otago Museum, en-
Two-Sex Model,” written in 1970, Berndt characterizes gen-
couraged Catherine to pursue her anthropological interests
der relations in Aboriginal society as facilitating women’s in-
in Australia. In 1940, shortly after her mother’s death, Cath-
dependence within a societal framing of interdependence.
erine headed to Sydney to work with Professor A. P. Elkin
The Berndts’ research of the early 1940s among the Ya-
(1891–1979), and there she met fellow student Ronald M.
raldi (Ngarrindjeri) of the Lower Murray region of South
Berndt (1916–1990), whom she married in 1941, beginning
Australia, a people whose contacts with outsiders reach back
a remarkable partnership spanning five decades and research
to the 1800s, is ambivalent regarding the extent of women’s
in a number of indigenous communities in Australia and
secret religious traditions and has been subject to critical
New Guinea.
scrutiny in the context of a major court case.
Catherine Berndt’s contribution to the study of the reli-
Following their 1951–1952 fieldwork in Papua New
gious lives of Aboriginal women across Australia, particularly
Guinea, the Berndts, from 1953 to 1955, studied under Ray-
in Balgo, Victoria River Downs, Oenpelli, and Ooldea, rein-
mond Firth (1901–2002) at the London School of Econom-
forced and expanded upon the earlier pioneering work of
ics, where they also completed their dissertations. Catherine
Phyllis Kaberry (1910–1977) in the Kimberleys. Berndt doc-
Berndt’s dissertation on myth in action, written in 1955, re-
umented the separate and secret religious lives of Aboriginal
mains unpublished.
women, the richness of their songs and myths, the wide
range of their religious activities, and the complementarity
Catherine Berndt had a complicated relationship with
of the genders. It is a great loss to the field that much of
feminism and feminist scholars. She had little time for what
Catherine Berndt’s remarkable research remains inaccessible.
she termed “militant feminists,” and she celebrated her “sep-
(The field notebooks of Ronald and Catherine Berndt are
arate but together” fieldwork style with her husband. Cather-
under a thirty-year embargo in the Anthropology Museum
ine was raised to believe in the equality of the sexes, but, in
at the University of Western Australia. In her publications
common with a number of other talented women scholars,
Berndt often notes that they are sketches only and that fur-
she never held a tenured position. In 1956 the Berndts
ther research is needed.)
moved to the University of Western Australia, Perth, and to-
gether they established the anthropology department: Ron-
Berndt’s first fieldwork in Ooldea in the west of South
ald as senior lecturer and then in 1963 as foundation profes-
Australia—where, along with her husband, she studied the
sor, and Catherine as visiting tutor and later as visiting
impact of transcontinental railway on the local population—
lecturer.
set the stage for much that would follow. She wrote of
women’s knowledge of the land and rituals associated with
Catherine Berndt was the recipient of numerous grants
marriage, pregnancy, spirit children, and childbirth; of
and awards, including a Winifred Cullis grant from the In-
women’s “secret life, in which men have no share, [that] cen-
ternational Federation of University Women (1954–1955),
tres round the ancestral myths and songs told by the old
a travel grant from the Wenner-Gren Foundation, and the
women” (Berndt and Berndt, 1942–1945, p. 230); and em-
New South Wales Premier’s Special Children’s Book Award
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BERNDT, RONALD
841
for Land of the Rainbow Snake, shared with illustrator Djoki
the University of Sydney as a student of Professor A. P.
Yunupingu. She was a foundation member of the Australian
Elkin, earning a diploma of anthropology (1943), bachelor
Institute of Aboriginal Studies (now the Australian Institute
of arts (1950), and master of arts in anthropology, first class
of Aboriginal and Torres Strait Islanders Studies) and, in
(1951). While at the university he also met New Zealander
1982, was elected a fellow of the Academy of Social Sciences
Catherine Helen Webb (1918–1994), whom he married in
in Australia. In 1987 she received the Order of Australia and
1941 (Stanton, 1994).
an honorary doctorate from the University of Western Aus-
The Berndts’ very close professional partnership
tralia, where a prize is awarded annually in her name to the
spanned almost five decades; neither of their achievements
female whose Ph.D. thesis made the most outstanding con-
can be considered apart from the other’s. The extent and
tribution to social anthropological knowledge of Aboriginal
breadth of their fieldwork were exceptional, and their publi-
Australia.
cation record reflects this. They first worked together in
SEE ALSO Berndt, Ronald.
South Australia at Ooldea from 1940 to 1941, continuing
the research Berndt began there in 1939; they then went to
B
the Murray Bridge area to for two years, followed by a year
IBLIOGRAPHY
Berndt, Catherine H. “Women’s Changing Ceremonies in North-
in the Northern Territory at Birrundudu.
ern Australia.” L’Homme 1 (1950): 1–88.
It was, however, during his thirty-three years of work
Berndt, Catherine H. “Mythology in the Eastern Central High-
in Arnhem Land (1946–1979) that Berndt’s most detailed
lands of New Guinea.” Ph.D. diss., London School of Eco-
descriptions of Australian Aboriginal life were focused and
nomics, London, 1955.
for whose publications he is best known: Kunapipi (1951),
Berndt, Catherine H. “Women and the ‘Secret Life.’” In Aborigi-
Djanggawul (1952), An Adjustment Movement in Arnhem
nal Man in Australia, edited by Ronald M. Berndt and Cath-
Land (1962), and Love Songs of Arnhem Land (1976). The
erine H. Berndt, pp. 238–282. Sydney, 1965.
Berndts also carried out pioneering fieldwork at Balgo Hills
Berndt, Catherine H. “Digging Sticks and Spears; or, The Two-
on the northern edge of Australia’s Western Desert (1951–
Sex Model.” In Women’s Role in Aboriginal Society, edited by
1981) as well as in highland New Guinea (1951–1953). The
Fay Gale, pp. 39–48. Canberra, Australia, 1970.
latter work formed the bases of their respective doctoral the-
Berndt, Ronald M., and Catherine H. Berndt. A Preliminary Re-
ses from the London School of Economics in 1955.
port of Field Work in the Ooldea Region, Western South Austra-
lia. Sydney, 1942–1945.
Berndt was trained within the British structural-
functionalist tradition, taught first by Elkin and then super-
Berndt, Ronald M., Catherine H. Berndt, and John E. Stanton.
vised by Firth in London. The dominant anthropological
A World That Was: The Yaraldi of the Murray River and the
Lakes, South Australia. Melbourne, Australia, 1993.
and sociological school of the mid-1940s through the early
1970s, structural-functionalism taught that societies are an
Kaldor, Susan. “Catherine H. Berndt.” In Women Anthropologists:
interrelated collection of groups that must maintain order
A Biographical Dictionary, edited by Ute Gacs et al.,
and balance to function smoothly. In this view, shared norms
pp. 8–16. New York, 1988.
and values form the basis of society, and social order rests on
Tokinson, Robert, and Myrna Tokinson. “Obituary. Catherine
tacit agreements between groups and organizations. As a stu-
Helen Berndt.” Australian, May 25, 1994.
dent of this method, Berndt pursued a holistic approach to
Von Doussa, John. “Reasons for Decision.” August 21, Chapman
gaining an understanding of Australian Aboriginal societies.
v Luminis Pty Ltd (No. 5) Federal Court of Australia, 1106,
No. SG 33 of 1997. 2001.
Berndt was preoccupied with all aspects of Aboriginal
religious life; it was his point of convergence in articulating
DIANE BELL (2005)
the nature of these societies (see, for example, his Australian
Aboriginal Religion, 1974). By the start of the twenty-first
century, however, his contribution to the wider understand-
BERNDT, RONALD (1916–1990), an Australian an-
ing of Aboriginal religion had been little evaluated. The 2004
thropologist, was the first to transcribe, translate, and analyze
republication of Djanggawul and An Adjustment Movement
Aboriginal stories and songs; he also wrote extensively on so-
in Arnhem Land, two of his major works, was expected to
cial organization, sexuality, poetry and song, art and material
provoke such an assessment.
culture, as well as social change and acculturation within Ab-
The scope of Berndt’s fieldwork in Australia added a
original societies. Born in Adelaide, South Australia, to an
more global vision to his perspective on the nature and artic-
Australian-born Huguenot mother and a German father he
ulation of Aboriginal societies—their commonalities as well
was attracted to anthropology at an early age. Fascinated
as their divergences. The couple’s best-known work, The
with the Great Pyramids of Egypt, he even taught himself
World of the First Australians (1964), sought to explore the
to read hieroglyphics as a child.
transformations, as well as the consistencies, of Aboriginal
His interest in ethnology and in Aboriginal culture led
social practices. It became the classic reference for students
him first to pursue local field research. In 1940 he entered
and others, continuously in print for over forty years 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
842
BERSERKERS
often found as the sole volume on Aboriginal Australia in
Berndt, Ronald, and John E. Stanton. Australian Aboriginal Art
many of the world’s libraries.
in the Anthropology Research Museum of the University of West-
ern Australia. Nedlands, Australia, 1980.
For Berndt, Aboriginal religion found tangible expres-
sion in both sacred and secular art. It was through these
Stanton, John. “Obituary: Ronald Murray Berndt 14 July 1916–2
May 1990.” Australian Aboriginal Studies (1990): 95–99.
media, he believed, that social relations were most clearly ex-
pressed, and the tenets of religious experience most substan-
Stanton, John. “Obituary: Catherine Helen Berndt 1918–1994.”
tively uttered, affirmed, and transmitted to oncoming gener-
Australian Aboriginal Studies (1994): 93–96.
ations.
JOHN E. STANTON (2005)
Writing of Aboriginal art decades before its renaissance
in the 1970s and its widespread acceptance within the inter-
national art world a decade later, Berndt avowed the primacy
BERSERKERS. The Old Norse term berserkr was used
of the religious experience in the daily lives of Aboriginal
to identify certain fierce warriors with animal characteristics.
people, past and present (1964). Indeed, he saw the wide-
According to Old Norse literature, particularly the later
spread distribution of contemporary expressions of artistic
sagas, berserkers howled like animals in battle and bit their
creativity as a demonstration of the enduring power of Ab-
shields. They felt no blows and had unnatural or supernatu-
original knowledge to communicate, challenge and shape the
ral strength, which gave way to languor after battle. The ear-
future (1973, 1982).
liest attestation of the term, however, which occurs in the
Collecting such material expressions of cultural diversity
poem Haraldskvæði (attributed to two different poets), pres-
and local perspectives throughout his lifetime (Stanton,
ents berserks as the shock troops of King Harald Fairhair at
1990), the works he and his wife donated to the University
the Battle of Hafrsfjörðr (end of ninth century):
of Western Australia form the unique collection at the core
8. They [the warships] were laden with men and with
of the museum founded in 1976 to house those works. In
white shields with western spears and Welsh [French]
1980 the museum was renamed the Berndt Museum of An-
swords: berserks wailed, battle had begun for them, ulf-
thropology in recognition of their contributions to Austra-
heðnar [“wolf skins”] howled, irons shook. 20. About
lian and world anthropology.
the gear [service?] of berserks I want to ask, tasters of
carrion-sea [blood], how it is for the ones who go into
SEE ALSO Berndt, Catherine H.
the army, battle-brave men. 21. They are called ulfheð-
nar who in battle bear bloodied shields; they redden
BIBLIOGRAPHY
spears when they come to battle: there they work in
Berndt, Ronald. Kunapipi: A Study of an Australian Aboriginal Re-
common; among champions alone I think would con-
ligious Cult. Melbourne, 1951.
ceal himself The wise king, Among those who hack at
Berndt, Ronald. Djanggawul: An Aboriginal Religious Cult of
shields.
North-eastern Arnhem Land. London, 1952.
In this tradition, at least, it is clear that there was little differ-
Berndt, Ronald. An Adjustment Movement in Arnhem Land. Paris,
ence between berserkers and ulfheðnar. For this reason, many
1962.
scholars understand the term berserkr as “bear-shirt,” and
Berndt, Ronald. Australian Aboriginal Religion. Leiden, 1974.
they take both terms to refer to shape-changing in the man-
Berndt, Ronald. Love Songs of Arnhem Land. Melbourne, 1976.
ner of werewolves and man-bears, or perhaps to animal
cloaks the warriors may have worn. Others, however, have
Berndt, Ronald, ed. Australian Aboriginal Art. Sydney, 1964.
ignored this passage and argued that the word berserkr means
Berndt, Ronald, and Catherine H. Berndt. A Preliminary Report
“bare-shirted” and refers to the berserkers’ lack of armor. Ex-
on Fieldwork in the Ooldea Region, Western South Australia.
planations of the berserksgangr (“going berserk”) include self-
Oceania Bound Offprint. Sydney, 1945.
induced or group ecstasy, psychosis, or lycanthropy.
Berndt, Ronald, and Catherine H. Berndt. The World of the First
Australians. Sydney, 1964.
In Norse mythology berserkers are associated primarily
with the god Óðinn. In his Ynglingasaga—a euhemerized ac-
Berndt, Ronald, and Catherine H. Berndt. End of an Era: Aborigi-
nal Labour in the Northern Territory. Canberra, 1987.
count of the origin of the royal line of the Ynglingar that con-
stitutes the first saga in his famous Heimskringla (c. 1230)—
Berndt, Ronald, and Catherine H. Berndt, with John E. Stanton.
the Icelandic mythographer Snorri Sturluson gives an explic-
Aboriginal Australian Art: A Visual Perspective. Melbourne,
it description of the berserksgangr and attributes it specifically
1982.
to Óðinn warriors (chap. 6). Óðinn also is master of the ein-
Berndt, Ronald, and Catherine H. Berndt, with John E. Stanton.
herjar, dead warriors who inhabit Valho˛ll, spending their
A World that Was: The Yaraldi of the Murray River and the
days in battle, their evenings in feasting and drinking.
Lakes, South Australia. Melbourne, 1993.
Berndt, Ronald, and E. S. Phillips. The Australian Aboriginal Her-
The religious complex suggested by these and other data
itage: An Introduction through the Arts. LP Recording. Austra-
is that of an ecstatic warrior cult of Óðinn, whose name,
lian Society for Education through the Arts/Ure Smith. Syd-
coming from the Proto-Germanic term *woþanaz, appears
ney, 1973.
to mean “leader of the possessed.” This cult probably 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
BERURYAH
843
volved strict rules of initiation, similar perhaps to those attri-
ganized and was secretary general of the international con-
buted by Tacitus to the Chatti (Germania 30). Óðinn’s asso-
gress for the history of religions held in Basel in 1904. In
ciation with the einherjar may also imply worship of the dead
1938 he was the first historian of religions to be elected a fel-
within this cult. Its central moment, however, was presum-
low of the Prussian Learned Society (Preussische Akademie
ably some form of religious ecstasy.
der Wissenschaften). With Gerardus van der Leeuw and C.
Jouco Bleeker, he was one of the initiators of the Amsterdam
Iconographic evidence for this cult includes cast-bronze
congress for the history of religions in 1950.
dies from Torslunda, Sweden, which show dancing warriors
with theriomorphic features.
The works of Bertholet, all written in German, include
both Old Testament studies and investigations in the field
B
of comparative religion. Among his contributions to the
IBLIOGRAPHY
Fredrik Gro
study of the Old Testament are commentaries and a history
⁄ n’s Berserksgangens vesen og arsaksforhold (Trondheim,
Norway, 1929) treats the phenomenology of the berserks-
of the civilization of biblical Israel. His Old Testament thesis
gangr. Hans Kuhn’s “Kämpen und Berserkir,” originally
Die Stellung der Israeliten und Juden zu den Fremden (1896)
published in 1968 and reprinted in his Kleine Schriften, vol.
was concerned with the relations of the Israelites and Jews
2 (Berlin, 1971), pp. 521–531, emphasizes possible Roman
to foreign peoples. His numerous writings on the subject of
influence, especially gladiator traditions. In Kultische Ge-
“foreign” religions, chiefly published in the series “Samm-
heimbünde der Germanen, vol. 1 (Frankfurt am Main, Ger-
lung gemeinverstandlicher Vorträge und Schriften aus dem
many, 1934), Otto Höfler has offered the fullest treatment
Gebiet der Theologie und Religionsgeschichte” (Tübingen),
of the relationship between berserkers and the Óðinn cult,
are concerned with themes of religious phenomenology and
Männerbünde, and worship of the dead, arguing the exis-
especially with the relationship of dynamism to personalism.
tence of a mystery cult that left traces in later folklore phe-
nomena such as the Wild Hunt. Chapter 6, “Images of the
These works prove Bertholet to be one of the founders of the
Animal Guardians,” in Stephen O. Glosceki’s Shamanism in
phenomenology of religion. Bertholet was also active in sti-
Old English Poetry (New York and London, 1989) relates
mulating the work of other scholars, and in editing many
berserkers and the iconographic evidence for the Germanic
well-known works in the history of religions.
warrior cult to shamanism and animism. Kris Kershaw, The
One-Eyed God: Odin and the (Indo-) Germanic Männerbünde
BIBLIOGRAPHY
(Washington, D.C., 2000), adduces the Indo-European evi-
Further details of Bertholet’s life and work can be found in the
dence.
Festschrift Alfred Bertholet zum 80. Geburtstag gewidmet (Tü-
bingen, 1950), edited by Walter Baumgartner and others.
JOHN LINDOW (1987 AND 2005)
This volume, which includes a useful bibliography compiled
by Verena Tamann-Bertholet, should be supplemented by
Leonhard Rost’s “Alfred Bertholet, in Memorium,”
BERTHOLET, ALFRED
Theologische Literaturzeitung 77 (1952): 114–118.
(1868–1951), Swiss Protes-
tant theologian, scholar in Old Testament and comparative
GÜNTER LANCZKOWSKI (1987)
religion. Bertholet was born in Basel, where he got his prima-
ry and secondary school education and enrolled at the uni-
versity in order to study Protestant theology. He continued
his studies at the universities of Strassburg and Berlin. His
BERURYAH (second century CE), one of the few famous
principal lecturers were Carl von Orelli, Bernhard Duhm,
women in rabbinic Judaism of late antiquity. Rabbinic tradi-
and Adolf von Harnack. After two years as minister to the
tion states that she was the daughter of H:ananyah ben Tera-
German-Dutch parish in Leghorn he returned to Basel; there
dyon, and the wife of MeDir.
he obtained his doctorate in 1895 and became an assistant
In rabbinic sources Beruryah appears several times
professor in 1896; from 1905 he occupied the chair of Old
among the scholars who reestablished the Sanhedrin in the
Testament, and extended his studies to the history of reli-
Galilean town of Usha after the Bar Kokhba Revolt. She is
gions. After spending some years in Tübingen (1913) and
mentioned twice in the Tosefta (in Tosefta, Kelim, BavaD
Göttingen (1914–1928) he became professor at the Univer-
MetsiEaD 1.6 by name and in Tosefta, Kelim, BavaD QammaD
sity of Berlin, where he went into retirement in 1936, al-
4.17 as the daughter of H:ananyah ben Teradyon) and seven
though he lectured until 1939. From 1945 until his death
times in the Babylonian Talmud.
he was visiting professor of the history of religions at his
Beruryah’s contemporary importance lies in her promi-
home university in Basel. He died in the hospital of Mün-
nence as one of the only female scholars accepted in the
sterlingen, Switzerland.
male-dominated rabbinic culture. David Goodblatt (1977)
Bertholet was appointed doctor honoris causa of the uni-
believes that Beruryah exemplifies the possibility, though
versities of Strassburg and Lausanne and of the Faculté Libre
quite uncommon, that a woman might receive formal educa-
de Théologie Protestante de Paris. He was a fellow of the
tion within rabbinic society. Goodblatt argues, however, that
academy of Göttingen and an honorary member of the
the traditions that ascribe rabbinic learning to Beruryah ap-
American Society of Biblical Literature and Exegesis. He or-
pear to be late accounts that do not reflect the situation 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
844
BESANT, ANNIE
Roman Palestine, where Beruryah is said to have lived, but
and Evolution; when she became a Theosophist they were
rather the situation in Sasanid Baylonia, where the traditions
the Masters and the Solar Logos) could create the millennial
were formulated during the process of Talmudic com-
condition of collective well-being on Earth. In 1908 Besant
pilation.
added messianism to her thought, and groomed a young In-
Whether historical or not, rabbinic tradition portrays
dian, J. Krishnamurti, to be the physical vehicle for the Lord
Beruryah as a sensitive yet assertive figure. The Talmud re-
Maitreya, a messiah who would usher in the millennial New
counts anecdotes illustrating her piety, compassion, and wit.
Civilization. Besant believed that Krishnamurti as the
In one source she admonishes her husband MeDir not to be
World-Teacher would present a teaching that would become
angry with his enemies and not to pray for their deaths. In-
the next world religion, and thus raise humanity’s awareness
stead, she suggests, he should pray that their sins cease and
of spiritual unity and create the “New Civilization.” Much
that they repent (B.T., Ber. 10a). When two of her sons died
of Besant’s progressive millennialism, including its messianic
one Sabbath she delayed telling her husband until Saturday
themes, were perpetuated in the written works of Alice Bailey
night when he had finished observing the Sabbath in peace
(1880–1949), another British Theosophist. Bailey was
(Midrash Mishlei on Prv. 31:10). The Talmud also recounts
among the first to use the terms New Age and the Age of
Beruryah’s sharp tongue. When Yose the Galilean asked her
Aquarius, making Annie Besant an important source for the
for directions on the road she derided him for speaking too
New Age movement.
much with a woman (B.T., EEruv. 53b).
EARLY LIFE. Annie Wood was born and raised in London
by parents with a predominantly Irish background. She was
The drama of her life climaxes in the so-called Beruryah
raised in the Anglican faith and received an education in the
Incident. A story preserved by the eleventh-century exegete
home of a maiden lady. She married Frank Besant, an Angli-
Rashi (in his commentary to B.T., EA.Z. 18b) says that Be-
can priest, in 1867. They had a son and a daughter, but the
ruryah mocked a misogynistic rabbinic tradition that labeled
marriage failed, in part due to her intellectual questioning
women as flighty. To test her own constancy, MeDir sent one
and rejection of Christian doctrines and the Bible. The cou-
of his students to tempt her to commit adultery. According
ple separated but a divorce was never granted.
to the legend, she committed suicide after submitting to the
student’s advances.
ATHEISM AND SOCIALISM. After a brief passage through the-
ism, Besant found an intellectual home in Charles Bra-
B
dlaugh’s National Secular Society in 1874, where she became
IBLIOGRAPHY
David M. Goodblatt, in “The Beruriah Traditions,” in Persons and
an atheist and Freethinker. Besant and Bradlaugh had a close
Institutions in Early Rabbinic Judaism, edited by William S.
relationship. She became a vice-president of the National
Green (Missoula, Mont., 1977), pp. 207–229, translates and
Secular Society, and she and Bradlaugh formed the Free-
analyzes all the materials relating to Beruryah in rabbinic lit-
thought Publishing Company. Besant became a noted public
erature.
speaker, questioning Christianity and the Bible and advocat-
New Sources
ing social reform and women’s rights. In 1877 Besant be-
Bacon, Brenda. “How Shall We Tell the Story of Beruriah’s End?”
came the first woman to be prosecuted for disseminating in-
Nashim 5 (2002): 31–239.
formation on birth control when she and Bradlaugh were
prosecuted for publishing a pamphlet on contraception. Bes-
TZVEE ZAHAVY (1987)
Revised Bibliography
ant subsequently published her own booklet on contracep-
tion that was translated and sold internationally.
In the late 1870s Besant studied science at London Uni-
BESANT, ANNIE. Annie Besant (1847–1933) was a
versity, but did not receive a degree. Besant’s atheism was a
British activist with many facets to her life: Anglican; atheist
monistic materialism—she believed that the one universal
and Freethinker; socialist; Theosophist; educator, reformer,
substance was matter—but she had a lively interest in the
and politician in India; and prophetic announcer of the com-
study of world religions and philosophies, as manifested in
ing World-Teacher and New Civilization. Besant’s monism
a magazine titled Our Corner she founded in 1883.
and her desire to serve humanity were the unifying themes
In 1885 Besant joined the Fabian Society of socialists,
in her diverse efforts. She accomplished pioneering and in-
and maintained her commitment to nonrevolutionary social-
fluential work in Britain and India, and exerted an interna-
ism for the rest of her life. In 1888 Besant and Herbert Bur-
tional influence in her political and religious work. As the
rows organized the Bryant & May match girls strike, and
second president of the Theosophical Society (1907–1933),
subsequently the strikes of other workers, marking the for-
Besant popularized Theosophical concepts around the world
mation of the trade union movement.
through her lectures and writings, putting the concepts artic-
THEOSOPHY. Besant joined the Theosophical Society in
ulated by Helena P. Blavatsky into accessible language.
1889 after reviewing Helena P. Blavatsky’s The Secret Doc-
Besant possessed a progressive millennial outlook, be-
trine (1888). The two thick volumes of The Secret Doctrine
lieving that human effort guided by superhuman agents or
titled “Cosmogenesis” and “Anthropogenesis” purport to re-
forces (when she was an atheist she defined them as Nature
veal the secrets of progressive evolution of consciousness 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
BESANT, ANNIE
845
the universe and humanity. Blavatsky claimed that his com-
As a result of her work for Home Rule, Besant and some
plex philosophy was revealed to her by elusive Masters of
of her colleagues were interned in 1917 by the colonial gov-
Wisdom, described as men in physical bodies possessing
ernment. Besant’s internment increased the Indian public’s
highly evolved awareness who directed evolution on this
awareness of the agitation, and at age seventy Besant was
planet. Besant went to meet Blavatsky, then residing in Lon-
elected president of the Indian National Congress. She
don. She took the ailing Blavatsky, who was much belea-
promptly turned the office into a base for political activism.
guered by critics skeptical of the existence of the Masters and
Historian Nancy Fix Anderson has written that Besant was
their appearances and communications, into her home,
the “primary instigator of the organised Indian nationalist
where she resided until the end of her life. Becoming a The-
movement,” and that she worked “for a sense of inclusive In-
osophist marked Besant’s shift from monistic materialism to
dian identity” (p. 36). Besant’s career as Indian politician was
a monism that affirmed the reality of a spiritual dimension
quickly eclipsed by that of Mohandas Gandhi, who called for
to life. Theosophy’s assertion that spiritual reality could be
complete independence from the British empire, which Bes-
investigated and confirmed by the development of new facul-
ant opposed.
ties of perception appealed to her rationalism.
THE WORLD-TEACHER. In 1908, just after becoming presi-
When Blavatsky died in 1891 a power struggle ensued
dent of the Theosophical Society, Besant and her colleague
within the Theosophical Society, with Besant and Henry
in psychic investigations, Charles W. Leadbeater, began lec-
Steel Olcott, the Society’s president, on one side, and Wil-
turing on the imminent appearance of the Lord Maitreya,
liam Q. Judge on the other. Judge led the American Section
the Master who was said to hold the office of the bodhisattva.
in its succession from the Theosophical Society. His organi-
Drawing on Buddhist and Christian expectations, Besant
and Leadbeater added messianism to the progressive millen-
zation was inherited by Katherine Tingley upon Judge’s
nialism of Theosophy. Besant adopted a twelve-year-old In-
death in 1896, and she created the Point Loma community
dian boy, J. Krishnamurti, and raised him to be the vehicle
of Theosophists. A new American Section of the Theosophi-
of the World-Teacher (jagadguru). She believed that Krish-
cal Society was built up, boosted by lecture tours by Annie
namurti as the World-Teacher would present teachings that
Besant, which is now called the Theosophical Society in
would become a new religion and raise humanity’s awareness
America. Besant was elected the second president of the in-
of spiritual unity, thereby creating the millennial New Civili-
ternational Theosophical Society, headquartered in Adyar,
zation. Besant created an international organization known
Chennai (Madras), in 1907 after Olcott’s death.
as the Order of the Star in the East, with about thirty-
WORK IN INDIA. Annie Besant first visited the international
thousand members who anticipated the coming of the
headquarters of the Theosophical Society in India in 1893,
World-Teacher. She purchased a home for Krishnamurti in
and she made the country her home in 1895. In India Besant
Ojai, California, along with additional land she named the
worked to build Hindu pride and worked for educational
Happy Valley. Besant believed that the “new race” of aware
and social reform and Indian Home Rule. Olcott had
human beings would develop in southern California, Austra-
worked to revive Buddhism in Sri Lanka (then Ceylon) in
lia, and New Zealand. The many New Age and Theosophical
an attempt to counteract the demoralizing effects of colonial-
groups that continue in the Ojai valley carry on Besant’s ex-
ism and Christian missionaries. Besant was determined to do
pectations.
the same for Hinduism in India. She believed that she had
Beginning in 1922, Krishnamurti had experiences that
been a Hindu in previous incarnations and regarded India
led him to conclude that his consciousness had blended with
as her homeland.
that of the Lord Maitreya. He began speaking publicly as the
Lord Maitreya in 1925. Eventually, however, Krishnamurti
Among the schools founded by Besant and other Theos-
concluded that people were not hearing his Zen-like message
ophists in India were the Central Hindu College for boys,
advocating personal effort in achieving “choiceless aware-
which was founded in 1897 and in 1916 became the Benares
ness,” and instead were relying on him for salvation. In 1929
Hindu University, and the Central Hindu Girls’ School,
Krishnamurti dissolved the Order of the Star and distanced
founded in 1904. In 1914 Besant began speaking out for so-
himself from the Theosophical Society and his role as the
cial reform in India and working for Indian Home Rule
World-Teacher. Krishnamurti never denied being the
within the British Commonwealth. Besant believed that a
World-Teacher, and he went on to become an international-
self-ruling India as part of the Commonwealth would con-
ly known teacher. Annie Besant maintained her faith in Kr-
tribute to the ultimate unity of humanity in the New Civili-
ishnamurti as the World-Teacher until her death in 1933.
zation. She founded daily and weekly newspapers to promote
her political efforts. She also founded associations to pro-
CONCLUSION. The stages of Annie Besant’s life were held to-
mote patriotism among young Indians, and started the Indi-
gether by her commitment to the service and betterment of
an Boy Scouts Association. In 1916 Besant founded her
humanity and by her monism. She was a strong believer in
Home Rule League. She also worked for women’s rights in
the Victorian doctrine of progress, believing that humans
India, and in 1917 helped found the Women’s Indian Asso-
working according to a higher plan could create a collective
ciation and later the All-India Women’s Conference.
salvation on Earth (the millennial kingdom). She found it
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
846
BESHT
frustrating that despite all her hard work society remained
sity of Berlin in the 1890s (under Adolf von Harnack, Otto
imperfect. So in 1908 she added messianism to her progres-
Pfleiderer, and Wilhelm Dilthey), where he obtained his
sive millennialism; the World-Teacher would accomplish the
Ph.D. in 1898 with a dissertation entitled “Die Grundan-
New Civilization. After Krishnamurti distanced himself
schuungen Schleiermachers in seinem ersten Entwurf der
from her messianic plans in 1929, the Theosophical Society
philosophischen Sittenlehre”; he became an instructor of sys-
gave up messianism while maintaining its progressive millen-
tematic theology at Berlin in 1901. Five years later he moved
nial orientation, although many individual Theosophists re-
to Vienna and served at the university there, first as a lecturer
mained intensely interested in Krishnamurti’s teachings.
and from 1908 onward as a full professor. The political de-
Annie Besant’s hope for a New Civilization accomplished by
velopments that in 1938 brought an end to his academic ca-
a critical mass of people developing a consciousness of spiri-
reer in Europe led him to emigrate to the United States in
tual unity under the guidance and influence of Masters, and
the following year. He served on the faculty of Meadville-
including the possible return of the Christ, continues to in-
Lombard Theological School in Chicago from 1941 to 1944,
fluence the New Age movement, especially through the writ-
teaching the history of religions, a field that was a primary
ings of Alice Bailey, a former member of the Theosophical
concern for him at several points in his life.
Society.
As early as 1901 in his inaugural address at Berlin, he
S
argued that the study of the general history of religions—not
EE ALSO Blavatsky, H. P.; Judge, William Q.; Theosophi-
cal Society.
merely the study of the religious environment of early Chris-
tianity—was necessary for understanding and defining the
B
essence of Christianity. Shortly after he gave this address, he
IBLIOGRAPHY
Anderson, Nancy Fix. “‘Mother Besant’ and Indian National Poli-
received a travel stipend that enabled him to visit areas
tics.” Journal of Imperial and Commonwealth History 30, no.
around the Mediterranean under Greek and Turkish control,
3 (2002): 27–54. Describes Besant’s impact on the Indian
and the acquaintances he made with Christians living in
Home Rule movement.
these regions led to his publication of an account of Eastern
Besant, Annie. Autobiographical Sketches. London, 1885. Initial
Orthodox Christianity that opened the way for a new under-
autobiographical account written prior to becoming a Theos-
standing of it among European Protestants (Die orientalische
ophist.
Christenheit der Mittelmeerländer, 1902; see also his article
Besant, Annie. Annie Besant: An Autobiography. London, 1908.
“Orthodox-anatolische Kirche” and several related entries in
Revision of Autobiographical Sketches after her conversion to
the second edition of Religion in Geschichte und Gegenwart,
Theosophy.
1929–1932).
Jayakar, Pupul. Krishnamurti: A Biography. San Francisco, 1986.
In the decade following 1902 much of Beth’s work fo-
The first biography of Krishnamurti that revealed he thought
cused on the issue of Christianity and modern thought (e.g.,
of himself as the World-Teacher until the end of his life.
Das Wesen des Christentums und die moderne historische Denk-
Nethercot, Arthur H. The First Five Lives of Annie Besant. Chica-
weise, 1904, and Die Moderne und die Prinzipien der Theolo-
go, 1960.
gie, 1907). During this period he also dealt with specific is-
Nethercot, Arthur H. The Last Four Lives of Annie Besant. Chica-
sues such as the significance of the notion of evolution for
go, 1963. These two books by Nethercot remain the most
Christian theology (comparing it, in Der Entwicklungsge-
thoroughly researched biographical treatments.
danke und des Christentum, 1909, with the significance of the
Sloss, Radha Rajagopal. Lives in the Shadow with J Krishnamurti.
idea of logos fifteen hundred years earlier) and with historical-
London, 1991. An eye-opening biography of Krishnamurti.
critical questions regarding Jesus (in Hat Jesus gelebt?, 1910).
Wessinger, Catherine Lowman. Annie Besant and Progressive Mes-
In the following years some of his major studies were
sianism. Lewiston, N.Y., 1988. An intellectual biography of
again in the history of religions, particularly his book on reli-
Besant that traces her evolving millennialism.
gion and magic, Religion und Magie bei den Naturvölkern:
Wessinger, Catherine Lowman. “Annie Besant and the World-
Ein religionsgeschichtlicher Beitrag zur Frage nach den Anfän-
Teacher: Progressive Messianism for the New Age.” Quest
gen der Religion (1914), in which he stresses Ehrfurcht
(spring 1989): 60–69. Short description of Besant’s progres-
(“reverence” or “awe”) as a constituent element of religion,
sive millennialism and her influence on the New Age
draws a sharp contrast between religion and magic, and as-
movement.
sumes the existence of a historical stage preceding both. (He
CATHERINE WESSINGER (2005)
rejected James G. Frazer’s hypothesis that magic was the
forerunner of religion.) Also significant were his Einführung
in die vergleichende Religionsgeschichte (1920) and his study
BESHT SEE BAEAL SHEM TOV
on faith and mysticism (particularly within Christianity),
Frömmigkeit der Mystik und des Glaubens (1927).
A third major field of involvement for Beth was the psy-
BETH, KARL (1872–1959), German historian of reli-
chology of religion. He helped to establish the Research In-
gions and Christian thinker. Karl Beth studied at the Univer-
stitute for Psychology of Religion in Vienna in 1922, was ed-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BEVERAGES
847
itor of the Zeitschrift für Religionspsychologie from 1927 to
yssey 10.519), while a potion known as hermesias was drunk
1938 (during which period he published more than twenty
by women before conception and while nursing in order to
articles in that journal), and was instrumental in the organi-
obtain children who were “excellent in soul and beautiful of
zation of the First International Psychology of Religion Con-
body,” that beverage being a symbolically charged mixture
gress, held in Vienna in 1931 on the theme of the psychology
of milk, honey, pine nuts, myrrh, saffron, and palm wine
of unbelief.
(Pliny, Natural History 24.166).
In the hermesias concoction, we have come a long way
BIBLIOGRAPHY
from the simplicity and familiarity of milk, although the as-
Sources of biographical data include Beth’s autobiographical essay
sociations of milk—maternal nurturance and the gift of
in Die Religionswissenschaft der Gegenwart in Selbstdarstellun-
gen, vol. 2, Karl Beth, edited by Eric Strange (Leipzig, 1926),
life—provide the symbolic starting point for a grander elabo-
and Erwin Schneider’s article “Das Lebenwerk Karl Beths,”
ration. Another simple beverage that came to be invested
in Theologische Literaturzeitung 78 (1958): 695–698, which
with a profound religious significance is tea, the preparation,
is followed by an extensive bibliography of Beth’s publica-
distribution, and consumption of which are regarded as con-
tions.
stituting nothing less than a master art and a way of knowl-
W
edge and liberation in Japan, as is expressed in the common
ILLEM A. BIJLEFELD (1987)
term chado¯ (“the way of tea”); the second element, do¯, is the
Japanese equivalent of the Chinese word dao, a term reserved
for a select set of religio-aesthetic pursuits: painting, poetry,
BEVERAGES. In addition to their nutritional role, all
calligraphy, archery, flower arranging, and above all, tea.
beverages are invested with a certain amount of symbolic and
Originally used as a medicine in China, tea later came to be
affectional content, and it seems likely that there is no bever-
a more common beverage, the highly ritualistic preparation
age that has not taken on a profound religious significance
of which—with twenty-four carefully specified imple-
somewhere or other in the world. Intoxicants and hallucino-
ments—was already systematized by Lu Yü (d. 804) in his
gens seem particularly well suited to this role, given the ways
Ch Ea ching (Classic of tea). Although there are indications
in which they open up startling new areas of experience to
that some tea may have come to Japan as early as the ninth
those who imbibe them, including ecstasy, enthusiasm, and
century, its serious introduction came with Eisai (1141–
vision. Yet it is not just those drinks that are most extraordi-
1215), the founder of the Rinzai sect of Zen Buddhism in
nary in their effects that come to be celebrated in myth, ritu-
Japan, who also brought tea seeds and a knowledge of tea cer-
al, and sacred speculation, for often those drinks that are
emonial with him after a period of study in China.
most ordinary—that is, most commonly used as a part of the
normal diet and most unremarkable in their physiological
Although it is obvious from the title of Eisai’s work on
and neurological effect—come to be invested with religious
the art of tea—Kissayo¯jo¯ki (The account of drinking tea and
significance. Thus, for instance, among the Maasai and other
prolonging life)—that he was interested in the medico-
cattle-herding peoples of East Africa, cow’s milk is a staple
physiological effects of the drink, this never became a major
part of the diet, but it is nevertheless regarded with the great-
part of the Japanese celebration of tea. Rather, as developed
est of respect, for unlike virtually all other food items, milk
and explicated by such renowned tea masters as Daio¯ (1235–
can be obtained without causing the death of any living
1308), No¯ami (1397–1471), Ikkyu¯ (1394–1481), Shuku¯
thing, animal or vegetable. For this reason, milk is set in
(1422–1502), and above all Rikyu¯ (1521–1591), it is the
marked contrast to beef, a food which has the same source
utter simplicity, serenity, and austere beauty of the tea cere-
as milk—cattle—but the procurement of which entails the
mony (cha no yu) that were the foremost concerns. For with-
violent death of the animal from which it is taken. The equa-
in the small tearooms, meticulously cleansed of all impurities
tion is explicitly drawn: milk is to meat as life is to death,
and equipped with perfectly chosen utensils and decorations,
and the two are not to be mixed within the same meal. The
tea masters sought to create nothing less than a perfect mi-
same prohibition is encountered in rabbinic law (itself an ex-
crocosm, a thoroughly harmonious environment in which
tension of the biblical prohibition, stated in Exodus, against
one might take refuge from the tribulations of the external
cooking a kid in its mother’s milk), perhaps arrived at by a
world and encounter the buddha-nature that lies beyond the
similar line of reasoning.
conflicts and fluctuations of life in the material world. Along
these lines, the tea master Takuan observed:
To be sure, milk is understood as a perfect or paradisia-
cal fluid in many passages of the Hebrew scriptures, as for
The principle of cha-no-yu is the spirit of harmonious
instance in those that refer to Israel as “the land of milk and
blending of Heaven and Earth and provides the means
for establishing universal peace. . . . The way of cha-
honey” (Ex. 3:8 et al.), honey being—like milk—a nourish-
no-yu, therefore, is to appreciate the spirit of a naturally
ing and delicious food that may be obtained without doing
harmonious blending of Heaven and Earth, to see the
violence to any living thing. Greek and Roman ritual also
pervading presence of the five elements by one’s fire-
employed this symbolism, albeit in different fashion, for a
side, where the mountains, rivers, rocks, and trees are
libation offering of a fluid composed of milk and honey,
found as they are in nature, to draw the refreshing water
called melikraton, had the power to reanimate the dead (Od-
from the well of Nature, to taste with one’s own mouth
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
848
BEVERAGES
the flavor supplied by nature. How grand this enjoy-
for the yagé vessel is homologized to the mother’s body, its
ment of the harmonious blending of Heaven and Earth!
opening to her vagina, and its interior to her womb. To
(Suzuki, 1959, p. 278)
drink yagé is thus to enter into sexual relations with one’s
Yet for all that the tea ceremony possesses a cosmic dimen-
mother and also to reenter her womb, becoming an embryo
sion and can be nothing less than a vehicle for full enlighten-
once more. Ultimately, as one emerges from the trance in-
ment, these lofty significances notwithstanding, it remains
duced by the drug, one is felt to be reborn, re-created, re-
always also a celebration of the simple pleasures of the drink
newed.
of tea. A celebrated poem of Rikyu¯, the greatest of all the re-
The myth of the creation of yagé is also of interest, for
corded tea masters, stresses this point:
it exhibits a different kind of feedback process whereby de-
The essence of the tea ceremony is simply to boil water,
tails of the drug’s physiological effects are appropriated to
To make tea, And to drink it—nothing more! Be sure
construct a mythic narrative. The story tells of the entrance
you know this. (Ludwig, 1974, p. 41)
of a primordial Yagé Woman into the first maloca, where the
In contrast, intoxicants are rarely regarded with such utter
first ancestors of all the peoples of the Amazon were gath-
serenity and simplicity, given the drama, power, and even vi-
ered. Yagé Woman gave birth to a child outside the maloca,
olence of their transformative effects. “Ale,” observes one Ice-
and carried the infant inside. There, this child—who is yagé
landic text, “is another man” (Jómsvikingasaga 27). One may
personified —shone radiant, white and yellow and red, those
consider, for instance, the hallucinogenic decoction of vines
colors which are first seen during the phosphenic phase of
called yagé, used throughout the upper Amazon; its use has
yagé visions. Upon seeing this child, those gathered all experi-
been described at length by Gerardo Reichel-Dolmatoff
enced the various sensations brought on by yagé: nausea, be-
(1975 and 1978). Yagé is ritually consumed; it produces nau-
wilderment, and a sense of “drowning.” According to Rei-
sea, vomiting, and diarrhea but also—aided by such other
chel-Dolmatoff’s informants, the entrance of Yagé Woman
stimuli as torchlight and musical rhythms—induces brilliant
and her child into the maloca is the high point of the myth,
visions that take regular and predictable forms to which in-
but there follows a curious episode. When Yagé Woman
terpretations based on mythic references are attached.
asked who was the father of the babe, all the assembled men
claimed this honor, and fought over the rights to the child.
According to Reichel-Dolmatoff, the visions produced
Finally, all turned upon him and dismembered him, each
by yagé unfold in different stages, an initial phase of phosp-
taking a different part of his body. These bodily members
henic patterns (i.e., colors and geometric shapes only) being
then became the different vines used by the different peoples
followed by one or more coherent images of a hallucinatory
of the Amazon to prepare their own particular forms of yagé.
nature. Indigenous interpretation of the first phase attaches
specific iconographic meanings to given shapes—a diamond
This same motif—the creation of an intoxicant from the
with a point in it represents an embryo in the womb, for ex-
body of a primordial divine being—is found in numerous
ample—and also makes use of color symbolism. Yellow and
other religious traditions, not least of which is the foundation
white are thus considered cold colors, and—more impor-
of the Christian Eucharist. For at the end of the last supper,
tantly—the embodiment of seminal and solar fertilizing en-
according to the Synoptic Gospels, Jesus gave wine to his dis-
ergy. Red is considered hot, being associated primarily with
ciples, saying: “Drink of it, all of you; for this is my blood
the womb, fire, and menstrual blood. Finally, blue is an asex-
of the covenant, which is poured out for many for the for-
ual color, being also morally ambiguous. A “good” vision in
giveness of sins. I tell you I shall not drink again of this fruit
this first phase depends upon a proper balance of red and
of the vine until that day when I drink it new with you in
yellow, which is to say, of male and female, hot and cold
my Father’s kingdom” (Mt. 26:27–29 and parallels).
principles.
Throughout the history of the church, there has been dis-
agreement as to how literally this passage ought to be inter-
Interpretation of the visions within the hallucinatory
preted, a disagreement which is at the heart of the theological
phase is somewhat more complex, and Reichel-Dolmatoff
debate over transubstantiation in the Mass.
(1975) emphasizes the social nature of these visions and their
imputed meanings: “The individual hallucinations do not
Another account in which intoxicants derive from a
constitute a private world, an intimate or almost secret expe-
quasi-sacrificial victim is the Iranian story of the origin of
rience; they are freely discussed, and anyone will ask ques-
wine, which tells how the vine came into being from the
tions and solicit answers.” There is, then, a process of feed-
blood of the primordial bovine when that animal was killed.
back, or reinterpretation and elaboration. This feedback
Crushing grapes thus constitutes a reenactment of the bull’s
process continually refers visions to the creation myths in
death, and the wine thereby produced is seen to be nothing
order to make sense of them, myths which tell of the primor-
less than the blood of the bull, which bestows the bull’s
dial incest of the Sun and his daughter. Through one’s vi-
strength, energy, and vital force upon one who drinks it
sions, one is felt to return to the time and place of creation,
(Za¯dspram 3.46), just as one who drinks sacramental wine
becoming a witness to and a participant in these events.
takes Christ’s essential nature and very blood within his or
Moreover, the ritual consumption of yagé is itself understood
her own body, given a full-blown theory of transubstan-
as a sexual experience of an incestuous and creative nature,
tiation.
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BEVERAGES
849
Yet again one encounters a myth of intoxicants created
to the warrior, and long life to any who may drink it. Going
from the blood of a murdered primordial being in the Norse
still further, it was claimed that soma or haoma could grant
account of the origin of mead, a story related by the god of
freedom from death (Skt., amr:ta, literally “nondeath”; often
poetry, Bragi, in response to the question “Whence came the
incorrectly translated as “immortality”) both to gods and to
art called poetry?” (Skáldskaparmál 2). The story begins at
humans, as for instance, in the exultant R:gveda 8.48.3:
that moment when the two major groups of gods, the Æsir
and Vanir, concluded their treaty of peace by spitting into
We have drunk soma; we have become free from death.
a single vat and letting their saliva mingle. From the mixture,
We have gone to the light; we have found the gods!
What now can joylessness do to us? What, truly, can the
there grew a man by the name of Kvasir—who himself incar-
evil of mortality do, o you who are free from death?
nates an intoxicant known in Russia as kvas, if his name is
any indication—an individual gifted with exceptional wis-
Going further still, soma and haoma were considered nothing
dom, indeed, omniscience itself. Kvasir was subsequently
less than the universal life essence, the fluid that vivifies and
murdered by two dwarfs, who mixed his blood with honey
invigorates all living beings. Moreover, the sacrificial offering
and made from it the first mead, a mead so powerful that
of this elixir came to be regarded as the means to effect circu-
it is said that “whoever drinks from it becomes a poet or a
lation of life energy throughout the entire cosmos. For in the
scholar.”
last analysis, soma and haoma were not merely drinks, nor
were they the plants from which drinks were made; rather,
Other stories pursue the fate of this “mead of poetry,”
they were only temporary forms or incarnations of the life
telling how it fell first into the hands of the dwarves, then
essence, of which there were many others. To pursue but one
giants, from whom it was finally rescued by the wisest of
line of analysis found in the Indic manuals of esoteric specu-
gods, Odin himself, who assumed the form first of a serpent
lation upon sacrificial ritual, we see that the juice extracted
and then of an eagle in order to gain the precious mead. This
from some plants, when poured into the sacrificial fire, as-
myth of the mead’s theft has important correspondences to
cends to heaven in the form of smoke. This smoke coalesces
myths elsewhere in the Indo-European world (see, for in-
to form clouds, from which the rains pour down to earth.
stance, the Indic text R:gveda 4.26) but it is that portion of
Smoke, clouds, and rain—like soma juice—are all forms of
the story that recounts the origin of the mead which provides
the universal energizing fluid, and when rain falls upon the
a religious rationale and legitimation for its miraculous ef-
earth it brings forth plants (among them soma, the “king of
fect: that is, mead can bestow knowledge and inspiration be-
plants,” but all the others as well). These plants, in turn, are
cause in origin and essence it is nothing less than the blood
eaten by grazing animals. Having passed through rain and
of the wisest of men and also the spittle of the gods.
plants, in the bodies of male animals the elixir becomes
The highly formalized, even solemn, consumption of
semen, and in females, milk, both of which are but further
mead, beer, ale, and/or wine has been a regular feature of
transformations of soma. By eating plants, drinking water or
banquets in Europe since antiquity, and may be seen to have
milk, humans also absorb soma into their bodies, gaining life
a ritual origin and significance. As we have seen, such drinks
and energy thereby. But in all its various forms, soma is ulti-
as these are often felt to partake of divinity, and also demon-
mately and inevitably destined for the sacrificial fire, for not
strably enable those who imbibe to transcend the limits of
only are plants, water, and milk offered along with the soma
their ordinary human condition, bestowing upon them ex-
liquid proper, but the cremation fire is also a fire of sacrifice
traordinary powers of speech, intellect, physical strength, and
that returns the life fluids left in the corpse to the cosmic
well-being. Such potent fluids are also regularly offered as
cycle.
sacrificial libations, through which the same gifts are con-
ferred upon gods, demigods, spirits of the dead, or the natu-
This is but one system of symbolic speculation centering
ral order itself.
on soma; numerous others have also enjoyed currency, such
as that which homologized the waxing moon to a vessel filled
Nowhere, however, have intoxicating drinks been ele-
with the sacred fluid and the waning moon to a libation for
vated to a loftier position of religious significance than
the benefit of all the waters and plants (see, e.g., S´atapatha
among the Indo-Iranian peoples, who knew both a profane
Bra¯hman:a 11.1.5.3). Ultimately, the symbolic importance of
intoxicant known as sura¯ in India and hura¯ in Iran and a sa-
soma came to overshadow its use as an intoxicant, such that
cred drink (Indic soma, Iranian haoma), the latter of which
it mattered relatively little when either supplies of the origi-
was invested with both the status of a deity and a stunningly
nal soma plant were cut off or the knowledge of its original
complex set of symbolic elaborations. At the most concrete
identity was lost. For centuries the soma sacrifice has been
level, this beverage—prepared by pressing the sap from a spe-
performed with a substitute, the Ephedra plant, which has
cific plant to obtain a juice that is mixed with water, milk,
no hallucinogenic effect whatsoever, but which is treated
or honey in different ritual contexts—had powerful halluci-
with the same reverence as was its more potent predecessor.
nogenic effects, but beyond this, it was understood to be an
Although numerous attempts have been made to identify the
all purpose intensifier, which enhanced all human capabili-
original plant—the psychotropic mushroom Amanita mu-
ties, giving health to the sick, children to the barren, elo-
scaria being the most recent candiate—most Indologists con-
quence to the poet, vision and insight to the priest, strength
sider it unlikely that it will ever be located.
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850
BEZA, THEODORE
In Iran, the haoma cultus developed somewhat differ-
ny (Rutland, Vt., 1962) provides a detailed description, but
ently, but Iranian data support the same general conclusion
little in the way of analysis or interpretation. For these, see
as do those from India: the symbolic possibilities of the drink
D. T. Suzuki’s Zen and Japanese Culture, 2d ed., rev. & enl.
were far more important than its physiological effects in the
(1959; reprint, Princeton, 1970), pp. 269–328; and Theo-
long run. The earliest mentions of haoma in any Iranian text
dore M. Ludwig’s “The Way of Tea: A Religio-Aesthetic
are ringing condemnations of the intoxicating beverage.
Mode of Life,” History of Religions 14 (1974): 28–50. For an-
other excellent example of the religious valorization of a fa-
These are two verses within the most ancient and prestigious
miliar beverage, see G. Mantovani’s “Acqua magica e acqua
portions of the Avesta, attributed by the Zoroastrian tradi-
di luce in due testi gnostici,” in Gnosticisme et monde hellénis-
tion and most modern scholars to Zarathushtra himself
tique, edited by Julien Ries (Louvain, 1982), pp. 429–439.
(Yasna 32.4 and 48.10). In the latter of these, the speaker
For use of intoxicants in the Amazon, the best sources to date are
calls directly to Ahura Mazda¯, the Wise Lord, pleading,
the writings of Gerardo Reichel-Dolmatoff, especially The
“When will you strike down this piss of an intoxicant, with
Shaman and the Jaguar (Philadelphia, 1975) and Beyond the
which the Karapan-priests and the wicked lords of the lands
Milky Way: Hallucinatory Imagery of the Tukano Indians (Los
evilly cause pain?”
Angeles, 1978). On the Germanic usage and mythology of
mead, see the splendid work of Renate Doht, Der Rausch-
Expert opinion is divided on whether this implies a
trank im germanischen Mythos (Vienna, 1974).
blanket condemnation of haoma, or only a rejection of cer-
On myths of the theft of an “immortality fluid,” see the diverging
tain abuses of the drink. What is clear is that by the Achae-
interpretations in Adalbert Kuhn’s Die Herabkunft des Feuers
menid period haoma once again stood at the center of Iranian
und des Göttertranks (Berlin, 1859); Georges Dumézil’s Le
cult, as is attested by hundreds of inscriptions at Persepolis.
festin d’immortalité (Paris, 1924); and David M. Knipe’s
Later Zoroastrian texts also grant a privileged position to
“The Heroic Theft: Myths from Rgveda IV and the Ancient
haoma as a sacred beverage, an elixir of life, and a deity who
Near East,” History of Religions 6 (May 1967): 328–360. On
is celebrated with his own hymn, the famous Ho¯m Yasht
fluids of immortality in general, but with primary emphasis
(Yasna 9–11), a text that deserves much more careful and de-
on the Greco-Roman world, the old work of W. H. Roscher,
tailed study than it has received to date. This hymn appears
Nektar und Ambrosia (Leipzig, 1883), retains value.
to be a highly successful attempt to rehabilitate the haoma
There are numerous discussions on soma and haoma, the most
cultus, purifying it of the unseemly elements that led to
valuable for its attention to the rich symbolism of these cult
beverages being Herman Lommel’s “König Soma,” Numen
Zarathushtra’s denunciation while retaining many aspects of
2 (1955): 196–205. The attempt to identify soma with the
its symbolic significance, and reintegrating it into Zoroastri-
mushroom Amanita muscaria was made in R. Gordon Was-
an worship. And to this day, the solemn preparation, con-
son’s Soma: Divine Mushroom of Immortality (New York,
sumption, and offering of haoma—now a drink devoid of in-
1968) but has been soundly refuted in John Brough’s “Soma
toxicating effect—is the central Zoroastrian ritual.
and Amanita Muscaria,” Bulletin of the School of Oriental and
African Studies 34 (1971): 331–362.
To these few examples, countless others might well be
added, not least of which would be the clear magico-religious
New Sources
symbolism evident in advertisements for commercial soft
Armstrong, David E. Alcohol and Altered States in Ancestor Venera-
tion Rituals of Zhou Dynasty China and Iron Age Palestine: A
drinks, as for instance “Come alive with Pepsi Cola,” a slogan
New Approach to Ancestor Rituals. Lewiston, N.Y., 1988.
ineptly translated for the Taiwanese market as “Pepsi brings
Bologne, Jean-Claude. Histoire morale and culturelle de nos bois-
your ancestors back to life.”
sons. Paris, 1991.
S
Elkart, Martin. The Secret Life of Food: A Feast of Food and Drink
EE ALSO Elixir; Haoma; Psychedelic Drugs; Soma.
History, Folklore, and Fact. New York, 1991.
Graham, Patricia Graham. Tea of the Sages: The Art of Sencha. Ho-
BIBLIOGRAPHY
nolulu, 1988.
To date, there is no satisfactory general summary of the variety of
Kueny, Kathryn. The Rhetoric of Sobriety: Wine in Early Islam. Al-
religious uses and significances of beverages. Rather, the liter-
bany, 2001.
ature exists in scattered form, most of it in languages other
than English.
Poo, Mu-chou. Wine and Wine Offerings in the Religion of Ancient
Egypt. New York, 1995.
On the symbolic value of milk among the Maasai, see John G.
Saoshitsu, Sen. The Japanese Way of Tea: From Its Origins in China
Galaty’s “Ceremony and Society: The Poetics of Maasai Rit-
to Sen Rikyu. Translated by V. Dixon Morris. Honolulu,
ual,” Man 18 (June 1983): 361–382. On milk in antiquity,
1998.
see Karl Wyss’s Die Milch im Kultus der Griechen und Römer
Tanaka, Sen’O. The Tea Ceremony. New York, 1977.
(Giessen, 1914), and specifically on milk and honey, note the
still useful article of Hermann Usener, “Milch und Honig,”
BRUCE LINCOLN (1987)
Rheinisches Museum für Philologie 57 (1902): 177–195. On
Revised Bibliography
wine, see Karl Kirchner’s Die sakrale Bedeutung des Weines im
Altertum (Giessen, 1910).
Regarding the Japanese tea ceremony, several useful treatments are
BEZA, THEODORE (1519–1605), Reformed theolo-
available. A. L. Sadler’s Cha-no-yu, the Japanese Tea Ceremo-
gian and successor to John Calvin as moderator of the Vener-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BHAGAVADG¯ITA¯
851
able Company of Pastors in Geneva, Switzerland. Born Thé-
Elizabeth’s support for the Huguenots and for plague-ridden
odore de Bèze and raised in Paris, he was trained as a lawyer
and besieged Geneva.
(at Orléans) but preferred the company of humanists. His
As has been true of Calvin studies, Beza scholars dispute
first publication, Poemata, evidenced considerable poetic tal-
the degree to which the doctrine of predestination underlies
ent. Upon his conversion from Catholicism to Protestantism
all of Beza’s theology. Scholars also disagree on the influence
in 1548, Beza fled France and, as a professor of Greek, joined
of Beza’s work on the development of Reformed scholasti-
Pierre Viret at the academy in Lausanne, Switzerland. Mean-
cism in the seventeenth century. Beza’s original contribution
while, the French Parlement declared Beza an outlaw, confis-
regarding the doctrine of the Lord’s Supper, in which he
cated his goods, and burned his effigy in Paris. It was at Lau-
taught the presence of Christ through the category of “rela-
sanne that Beza wrote A Tragedie of Abraham’s Sacrifice
tion” rather than of “substance,” went unnoticed until the
(1559; Eng. trans., 1575), the first biblical tragedy (a genre
1960s. Beyond dispute, however, is the contribution Beza
later utilized by Racine), as well as his theologically signifi-
made to the stability of the church and the Academy of Ge-
cant Tabula praedestinationis (1555), translated the following
neva for nearly forty years following Calvin’s death.
year as A Briefe Declaraccion of the Chiefe Poyntes of the Chris-
tian Religion, Set Forth in a Table of Predestination. The sub-
BIBLIOGRAPHY
ject of predestination created such heated disputes that Viret
Beza’s works are largely unavailable except as rare books. Most of
and Beza left Lausanne in 1558. John Calvin then appointed
his major treatises were rapidly translated into English and
Beza rector of the newly founded Academy of Geneva, a post
can be found in sixteenth-century editions. Beza collected his
that he held formally from 1559 to 1562, but Beza effectively
own most significant theological treatises in three volumes:
directed the academy until he retired as professor of theology
collectively titled Theodori Bezae Vezelii, they are Vol. tracta-
in 1599. Beza began three other significant works in Lau-
tionum theologicarum (Geneva, 1570); Vol. alterum tracta-
tionum theologicarum (Geneva, 1573); and Vol. tertium trac-
sanne, which he continued in Geneva: the completion of the
tationum theologicarum, 3 vols. in 1 (Geneva, 1582). Beza’s
translation of the Book of Psalms, begun by the French poet
correspondence is being meticulously edited in Geneva and
Clément Marot; his New Testament commentaries; and his
published by Librairie Droz, 24 vols. to date (Geneva,
Confession of the Christian Faith (Fr., 1559; Lat., 1560).
1960–).
Beza’s confession of faith was translated into every major Eu-
A bibliography of Beza’s works, which omits his biblical commen-
ropean language and had a wide influence as a simple expres-
taries, has been gathered in Frédéric L. Gardy’s Bibliographie
sion of Reformed belief.
des œuvres théologiques, littéraires, historiques et juridiques de
Théodore de Bèze (Geneva, 1960). The standard biography
In 1561, Beza was the primary spokesman for the
is Paul F. Geisendorf’s Théodore de Bèze (Geneva, 1967).
French Reformed churches at the Colloquy of Poissy, sum-
moned by Catherine de Médicis in the vain hope of prevent-
JILL RAITT (1987)
ing the bloody Wars of Religion, which broke out in 1563.
In 1564, the dying Calvin designated Beza to succeed him
as moderator of the Venerable Company of Pastors in Gene-
BHAGAVADG¯ITA¯. The Bhagavadg¯ıta¯ is perhaps the
va, and Beza began his long career as the most influential pas-
most widely read and beloved scripture in all Indian religious
tor of the Genevan church and therefore of the Reformed
literature. Its power to counsel and inspire its readers has re-
French churches, for which Geneva trained pastors. From
mained undiminished in the almost two thousand years since
1564 to 1599, Beza held the only regular chair in theology
its composition.
at the academy. His work included lectures, sermons, polem-
ical and systematic publications, and numerous colloquies
The Bhagavadg¯ıta¯ (Song of the Blessed Lord) is sacred
with Lutherans and Roman Catholics. Beyond his professo-
literature, holy scripture—it is a text that has abundant
rial and pastoral duties in Geneva, Beza advised the French
power in its persistence and its presence. The pious Hindu,
Huguenot leaders, including Henry of Navarre (Henry IV),
even if his piety is mild, will inevitably have access to the
traveled to defend Reformed theology and church discipline,
book or will be able to recite, or at least paraphrase, a few
and, almost singlehandedly, kept the academy functioning
lines from it. The devout turn to it daily; they read it ritually,
during the sieges of Geneva by Savoy.
devotionally, with a sense of awe. The text is intoned during
the initiation ceremony wherein one becomes a sam:nya¯sin
Out of his efforts to assist the Huguenots came his On
(renunciant); teachers and holy men expound upon it; pro-
the Right of Magistrates (1574), an important treatise for the
fessors translate it and write about it; the more humble listen
history of political theory that supported the God-given right
to the words that, though heard countless times before, re-
of the people through their magistrates to rebel against royal
main vibrant. The text is read by all Hindus, esteemed by
leaders if these latter were seriously misleading and mistreat-
S´aivas as well as by Vais:n:avas, venerated by the lower caste
ing the people. While with the Huguenot troops, Beza dis-
as well as by the high, savored by villagers as well as by the
covered what was at that time considered the oldest extant
more urbane. Many times each day in India the consoling
New Testament manuscript (the Codex Bezae), which Beza
words of the G¯ıta¯ are read or whispered into the ear of some-
later sent to Cambridge University in an effort to gain Queen
one who, with eyes looking to the south in fear or hope 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
BHAGAVADG¯ITA¯
852
both, awaits death: “And whoever remembers Me alone
By the time the Bhagavadg¯ıta¯ was incorporated into the
when leaving the body at the time of death attains to My sta-
story of the great war (probably during the third century
tus of being” (8.5).
BCE), a conception of this world as a dreadful, burning round
of death, a tedious prison in which we are trapped by trans-
One may dispute whether the Bhagavadg¯ıta¯ teaches the
migration, had taken hold and with it renunciatory ideals
dualistic Sa¯m:khya philosophy or the nondualistic Veda¯nta,
and impulses for liberation challenged more ancient, hieratic
whether it is a call to action or renunciation; but what is be-
ideals of ritual action and aspirations for heavenly domains.
yond dispute is that it teaches devotion to god as a means
The G¯ıta¯ provided a synthesis of conflicting ideals and past
to liberation, whether that liberation is understood as release
and present norms. It harmonized Brahmanic values with a
from the world or freedom in the world: “Hear again My su-
warrior’s code, reconciled a traditional pantheism with a
preme word, the most secret of all: thou are greatly beloved
seemingly new theistic religiosity, and coalesced a variety of
by Me, hence I will speak for thy good. Center thy mind on
differing and potentially dissentient philosophical trends.
Me, be devoted to Me, sacrifice to Me, revere Me, and thou
This synthetic or syncretic quality of the text invested it with
shalt come to Me. I promise thee truly, for thou art dear to
a pan-Indian appeal that it has retained.
Me” (18.64–65).
Ancient Indian religious literature was formally classi-
THE TEXT IN CONTEXT. The Bhagavadg¯ıta¯ occupies a very
fied as either a “revelation” (´sruti—that which has been sac-
small part of the Maha¯bha¯rata—it is but one of the Hundred
ramentally “heard,” the eternally existent Veda) or a “tradi-
Minor Books of that enormous epic, that elephantine tale of
tion” (smr:ti—that which has been “remembered” from
the great war between the Kauravas and the Pa¯n:d:avas, two
ancient times—the epics, Pura¯n:as, and various su¯tras and
descendant branches of the Kurus, the Lunar Race.
´sa¯stras). As a book within the Maha¯bha¯rata, the
Yudhis:t:hira, the righteous leader of the Pa¯n:d:avas, having lost
Bhagavadg¯ıta¯, like Kr:s:n:a’s later discourse, the Anug¯ıta¯, and
his family’s portion of the kingdom to the Kauravas in a
like the other didactic and philosophical portions of the epic,
crooked game of dice, was forced, together with his four
has the technical status of smr:ti. But the Bhagavadg¯ıta¯ has
brothers, into forest exile for thirteen years. Afterward
attained the functional status of a gospel. S´an˙kara (eighth
Yudhis:t:hira asked for the just return of the kingdom, or at
century), the major proponent of the Advaita Veda¯nta school
least five villages, one for each of the brothers. When this was
of philosophy, quite typically begins his exegesis of the text
refused, the great war became inevitable.
with the comment that the G¯ıta¯ contains the very quintes-
Both armies sought allies. Kr:s:n:a, the princely leader of
sence of the Veda and that a knowledge of it leads to moks:a,
the Vr:s:n:is, another branch of the Lunar Race, in an attempt
liberation from the bonds of worldly existence. Ra¯ma¯nuga
to remain neutral and loyal to both families, offered his
(eleventh century), who qualified the nondualistic position
troops to the Kauravas and his service as charioteer and coun-
of Veda¯nta in order to expound his theology of a supreme
selor to his friend Arjuna, one of Yudhis:t:hira’s younger
and loving god, understood the G¯ıta¯ as the actual revelation
brothers.
of the word of that god under the mere pretext of a discourse
with Arjuna. And the Bengali saint Ramakrishna (1836–
The battle was ready to begin: “Conches and kettle-
1886), like so many other modern commentators, declared
drums, cymbals and drums and horns suddenly were struck
the book to be “the essence of all scriptures” (The Gospel of
and the sound was tumultuous” (1.13). Suddenly, seeing his
Sri Ra¯makrishna, New York, 1949, p. 772). The
own kinsmen—teachers, fathers, uncles, cousins, and in-
Bhagavadg¯ıta¯, particularly after the great flowering of the de-
laws—arrayed for battle, Arjuna decided that he was unable
votional strain within the Hindu tradition, became accepted
to fight. Realizing that to kill them would destroy the eternal
as revelation within tradition. The text transcended its
laws of the family and uncaring as to whether or not he him-
context.
self would be slain, “Arjuna cast away his bow and arrow and
sank down on the seat of his chariot, his spirit overcome by
THE PHILOSOPHY OF THE TEXT. The individual human
grief” (1.47).
being, according to the Bhagavadg¯ıta¯, is at once natural (a
product of nature caught up in lawlike relations and filled
In this dramatic setting the teachings of the
with desires and longings) and spiritual (an embodiment of
Bhagavadg¯ıta¯ begin. Kr:s:n:a must show Arjuna why he must
the divine). The individual is not, however, a walking dual-
fight in this terrible war and, in so doing, he reveals the na-
ism, for the spiritual aspect is one’s higher nature and one
ture of reality and of himself. Military counsel becomes spiri-
must come to realize that one’s natural existence, taken in
tual instruction; the heroic charioteer discloses his divinity.
itself, is only provisional and has meaning only from the
Kr:s:n:a-Va¯sudeva is God, the highest reality and eternal self,
standpoint of the spiritual.
beyond the world and yet of it as a preserver, creator, and
destroyer. In the midst of the theophany Arjuna cries out:
The individual human being, Kr:s:n:a tells Arjuna early
“Thou art the imperishable, the highest to be known; Thou
on in the text, is immortal. Possessed of an eternal, unchang-
art the final resting place of this universe; Thou are the im-
ing spirit, a person can only appear to be an autonomous
mortal guardian of eternal law; Thou are the primal spirit”
actor in the natural world. This appearance derives from an
(9.18).
ignorance of the true self. Normally identifying himself 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
BHAGAVADG¯ITA¯
853
an ego self-sufficiently working within the conditions of his
actor but that “I” am at one with a divine reality, and that
psychophysical nature, a person must reidentify himself at
my ultimate freedom comes from bringing my actions into
a deeper level of integrated selfhood and thereby understand
accord with that reality. “Everyone,” the G¯ıta¯ says, “is made
his true role as a social being.
to act helplessly by the gun:as born of prakr:ti” (3.5). “I” can
become a true actor only when my actions get grounded in
Following the already traditional understanding of the
a divine will. Freedom (moks:a) is thus not a transcendence
ideal organization of society into classes (varn:as), the codi-
of all action but rather calls for my being a social persona ful-
fied stages of life (a¯´sramas) and aims in life (purus:a¯rthas), the
filling my dharma without ego-attachment, at one with the
Bhagavadg¯ıta¯ places much emphasis on one’s need to follow
or fulfill one’s dharma (“social duty” or “role”) as it is defined
divine.
relative to one’s place in the larger social order. The universe
The realization of this aim of life is at the heart of the
is sustained by dharma. Ideally each person works out his so-
Bhagavadg¯ıta¯’s teaching, and has been the most controversial
cial career according to the dictates of his own nature (svad-
among both modern and traditional interpreters of the text.
harma) as this is itself a product of past experience. Dharma,
Following S´an˙kara, whose commentary is one of the oldest
karman (“action” or “work”), and sam:sa¯ra (“rebirth”) belong
to have survived, many have argued that the central yoga put
together: action carried over innumerable lives must be in-
forward by the Bhagavadg¯ıta¯ is the way of knowledge,
formed by a sensitivity to the obligations one has in virtue
jña¯nayoga: it alone provides the insight into reality that al-
of one’s interdependence with others. Arjuna is a member
lows for genuine self-realization. Taking the position of
of the warrior class and must fulfill the duties of this social
Ra¯ma¯nuja, others have argued that bhaktiyoga, the discipline
position—he must fight.
of devotion, remains the highest way for the G¯ıta¯; bhakti, in
But what is the nature of reality that makes this both
his understanding of the text, provides the basis for a salvific
possible and imperative? The G¯ıta¯’s answer to this is that re-
relationship between the individual person and a loving god
ality, in its essence, is the presence of a personalized brahman,
with absolute power and supremacy over the world. Still oth-
something higher than the impersonal brahman, the absolute
ers have seen the G¯ıta¯ as a gospel of works, teaching most
reality described in the Upanis:ads. “There are two spirits in
centrally karmayoga, the way of action—of acting without at-
this world,” Kr:s:n:a explains, “the perishable and the imper-
tachment to the fruits of one’s acts. This multiplicity of in-
ishable.” The perishable is all beings and the imperishable is
terpretations results from the fact that the Bhagavadg¯ıta¯ does
called ku¯t:astha (“the immovable”). But there is another, the
extol each of these ways at various times. Each discipline or
Highest Spirit (purus:ottama), called the Supreme Self, who,
respective integration is said to have value. The text com-
as the imperishable Lord, enters into the three worlds and
bines and assimilates the central features of the various paths.
sustains them. “Since I transcend the perishable and am
The yoga of the Bhagavadg¯ıta¯ demands that actions be
higher even than the imperishable, I am renowned in the
performed without attachment to their results, for otherwise,
world and in the Veda as the highest Spirit” (15.16–18).
with attachment, comes bondage, not freedom. Actions, the
This “Highest Spirit” then is not the nonpersonal, un-
G¯ıta¯ says, must be performed as sacrifice (yajña), which
differentiated, unchanging brahman of Advaita Veda¯nta, but
means that actions must be performed in a spirit of rever-
rather that being who while enjoying its status as a supreme
ence, with loving attention to the divine. But to do this one
reality, actively engages worlds of its creation. It has its higher
must understand how nature, as the lower status of the di-
and lower statuses as creative spirit and as the manifest natu-
vine, acts according to its own necessity and that the individ-
ral world.
ual actor is merely an expression of the gun:as. This under-
standing is the work of a preliminary jña¯na—intellectual,
In its analysis of the lower status of the divine, the G¯ıta¯
philosophical analysis—which must then develop into a
draws heavily upon the Sa¯m:khya system of thought. Nature
deeper insight into the nature of the self, one which allows
(prakr:ti) is seen as an active organic field constituted by vari-
for that discrimination between the higher and lower nature
ous strands (gun:as), which can best be understood as energy
of both the human and the divine. It is only with this jña¯na
systems. Everything in nature, and particularly every individ-
that actions can be carried out according to one’s dharma,
ual human being, is constituted by a combination of these
for that insight brings a fundamental axiological change.
forces. Sattva represents a state of subtle harmony and equi-
One sees the value of everything relative to the supreme value
librium which is exhibited as clear intelligence, as light. At
of reality itself. But according to the Bhagavadg¯ıta¯, this
the other extreme is darkness, tamas, the state of lethargy, of
knowledge is not sufficient for the realization of complete
heaviness. In between is rajas, agitation, restlessness, passion,
freedom, as it fails to provide a motivation or justification
the motivating force for actions. The purus:a (“the individual
for any particular action. Jña¯na must then recombine with
spirit”) caught up in prakr:ti, is driven by the gun:as and is de-
bhakti at its highest level, which has as its object the divine
luded into thinking that, as a given phenomenal fact, it is
in its own deepest personal nature. “Those who renounce all
their master and not their victim.
actions in Me and are intent on Me,” Kr:s:n:a reveals, “who
The aim of human life in the Bhagavadg¯ıta¯ is to attain
worship Me with complete discipline and meditate on Me,
a self-realization that “I” am not a separate, autonomous
whose thoughts are fixed on Me—these I quickly lift up 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
BHAGAVADG¯ITA¯
854
the ocean of death and rebirth” (12.6–7). With the realiza-
quotes from, résumés of, or eulogistic references to, the
tion that one is entirely at one with an active, creative spiritu-
Bhagavadg¯ıta¯; the Padma Pura¯n:a (eighth century) contains
al vitality, one can then imitate the divine—one can act ac-
a glorification of the book, the G¯ıta¯ma¯ha¯tmya, a paean to the
cording to its nature and realize thereby one’s destiny. One
text as the perfect distillation of supreme truth. The text
rises above the ocean of death.
about devotion became itself an object of devotion. It is car-
ried like a talisman by many a wandering holy man.
With such awareness Arjuna announced that his confu-
sion and despair had passed. He picked up his bow and ar-
Throughout Indian history the Bhagavadg¯ıta¯ has pro-
rows: “I stand firm with my doubts dispelled; I shall act by
vided social theorists with axioms whereby political issues
Thy word” (18.73). The battle on the field of righteousness
and problems could be understood in religious and tradition-
began.
al terms. Bal Gangadhar Tilak (1856–1920), one of the most
T
important nationalist leaders of the modern Hindu renais-
HE PERSISTENCE OF THE TEXT. By the eighth century the
Bhagavadg¯ıta¯ had become a standard text for philosophical
sance, for example, while in prison in Mandalay for sedition,
and religious exposition. The normative commentary of
wrote the G¯ıta¯ rahasya, an interpretation of the ancient text
S´an˙kara generated subcommentaries and inspired responses,
as a revolutionary manifesto, a call to the Indian people to
new interpretations, new commentaries and more subcom-
take up arms against the British. Gandhi, on the other hand,
mentaries. Ra¯ma¯nuja’s theistic exegesis set forth devotional
who first became acquainted with the Bhagavadg¯ıta¯ through
paradigms for understanding the text which were to be elab-
British Theosophists in London, asserted, without a trace of
orated by medieval Vais:n:ava scholiasts. These latter com-
self-consciousness, that the Bhagavadg¯ıta¯ taught nonvio-
mentators do not seem to have distinguished between the he-
lence. He urged his followers to read it assiduously and to
roic Kr:s:n:a-Va¯sudeva of the Maha¯bha¯rata and the originally
live by it. He often referred to the book as Mother Gita, and
distinct, erotic Kr:s:n:a-Gopa¯la of the Puranic and literary tra-
would say, “When I am in difficulty or distress, I seek refuge
ditions. With the amalgamation of various Kr:s:n:as into one
in her bosom” (Harijan, August, 1934).
supreme God, the cool and detached bhakti of the
The Bhagavadg¯ıta¯ changes with each reader, fluctuates
Bhagavadg¯ıta¯ became subsumed into the emotional and pas-
in meaning with each successive generation of interpreters,
sionate bhakti exemplified by the milkmaid lovers of Kr:s:n:a,
which is to say, it lives. This vitality constitutes its sacrality.
the cowherd in the Bhagavata Pura¯n:a. The meaning of the
Caitanya (1486–1533), the ecstatic founder of Bengal
text changed—Madhva’s commentary (thirteenth century)
Vaisnavism, once came upon a man reading the
explains that Kr:s:n:a, the supreme lord, can only be ap-
Bhagavadg¯ıta¯ aloud in a temple, and as he read everyone
proached or apprehended by the way of bhakti which is love
laughed at him, for he mispronounced all of the words. The
(sneha), a love that is attachment.
man himself was weeping and trembling, and Caitanya asked
Unabashedly classifying the overtly Vais:n:ava
him which words made him cry so. “I don’t know the mean-
Bhagavadg¯ıta¯ with their own ritual texts, the Agamas, S´aiva
ing of any of the words,” the man confessed, “but as I sound
exegetes produced their own corpus of commentarial litera-
them out I see Kr:s:n:a in Arjuna’s chariot. He is holding the
ture. In the G¯ıta¯rthasan˙graha of the Kashmir S´aiva philoso-
reins in his hands and he is speaking to Arjuna and he looks
pher Abhinavagupta (eleventh century), which purports to
very beautiful. The vision makes me weep with joy.” Cai-
reveal the “hidden meaning of the text,” Kr:s:n:a is described
tanya smiled: “You are an authority on the Bhagavadg¯ıta¯.
as a protector of dharma and a guide to a moks:a which is ex-
You know the real meaning of the text” (Caitanyacarita¯mr:ta
plicitly defined in the prefatory verses as “merger in Lord
of Kr:s:n:ada¯sa Kavira¯ja, Madya-l¯ıla¯ 9.93–103).
S´iva.”
It has not always been important for readers or hearers
Beyond the exegetical tradition, the Bhagavadg¯ıta¯ be-
of the Bhagavadg¯ıta¯ to understand all the words; rather, what
came the prototype for a genre of devotional literature in
has been crucial for many Hindus has been to feel or experi-
which an Arjuna-like student is urged by a particular sectari-
ence the text, to participate in it, to allow the Bhagavadg¯ıta¯
an deity to absorb himself in the worship of that deity. So
to sanctify their lives and console them in death.
in the S´ivag¯ıta¯ (eighth century), for example, Ra¯ma is too
S
disconsolate over his separation from Sita to go into battle
EE ALSO Abhinavagupta; Arjuna; Bhakti; Caitanya; Devo-
tion; Dharma, article on Hindu Dharma; Kr:s:n:aism; Madh-
with Ra¯van:a; S´iva counsels and instructs him just as Kr:s:n:a
va; Maha¯bha¯rata; Ra¯ma¯nuja; Sa¯m:khya; S´an˙kara;
did Arjuna. In the ¯I´svarag¯ıta¯ (ninth century) S´iva explains
Vais:n:avism; Veda¯nta; Yoga.
the paths to self-realization, the methods of liberation, to as-
cetics in a hermitage, in more or less the same words as were
B
uttered in the prototype. The form and style of the original
IBLIOGRAPHY
The passages from the Bhagavadg¯ıta¯ cited in this article are from
Bhagavadg¯ıta¯ seem to have imbued these later g¯ıta¯s with au-
the translation of the text by Eliot Deutsch (New York,
thority and legitimacy. Many of these texts are embedded
1968). Since Charles Wilkins published his The
within the Pura¯n:as (e.g., the S´ivag¯ıta¯ in the Padma Pura¯n:a,
Bha˘gva˘t-g¯e¯eta¯, or, Dialogues of Kr˘e˘eshna˘ and A˘rjo˘o˘n in Eigh-
the ¯I´svarag¯ıta¯ in the Ku¯rma Pura¯n:a, the Devig¯ıta¯ in the
teen Lectures, with Notes in 1785 literally hundreds of transla-
Dev¯ıbha¯gavata Pura¯n:a). The later Pura¯n:as commonly give
tions of the text have been made into European languages.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BHAIS:AJYAGURU
855
Gerald J. Largon has thoughtfully surveyed the stylistic and
BHAIS:AJYAGURU, the Buddha named Master of
interpretive trends as exemplified by many of these transla-
Healing, is an important member of the Maha¯ya¯na Buddhist
tions in “The Song Celestial: Two Centuries of the Bhagavad
pantheon. He has been worshiped predominantly in East
G¯ıta¯ in English,” Philosophy East and West 31 (October
and Central Asian traditions of Buddhist practice.
1981): 513–541. Of the readily available translations, Frank-
lin Edgerton’s (1925; reprint, Oxford, 1944) is the most lit-
Concepts of healing played a fundamental role in early
eral, so literal in its attempt to preserve the Sanskrit syntax,
Buddhism: S´a¯kyamuni Buddha was sometimes given the epi-
in fact, that, for the sake of balance, it was originally pub-
thet “supreme physician,” and the Buddhist teachings were
lished together with Sir Edwin Arnold’s transformation of
termed the “king of medicines” for their ability to lead beings
the text into Victorian poesy (Cambridge, Mass., 1944).
out of suffering. In early Buddhist teachings, as in later times,
Though Edgerton’s always reliable translation is difficult to
the enlightenment process was equated with the healing pro-
read, his lengthy commentary is masterful scholarship. The
interpretive notes that accompany the translation by W.
cess. Further, many monks were healers and physicians; such
Douglas P. Hill (London, 1927) remain an important con-
persons played a significant role in the spread of Buddhist
tribution to the literature. Étienne Lamotte’s Notes sur la
teachings. Thus, when the Maha¯ya¯na pantheon began to
Bhagavadg¯ıta¯ (Paris, 1929) is a fine example of rigorous exe-
take form in the centuries directly before and after the begin-
gesis and reflection.
ning of the common era, several key figures were associated
R. C. Zaehner’s lucid translation (Oxford, 1969) is a pleasure to
especially with healing abilities, both metaphorical and liter-
read and his analyses are as judicious as they are sensitive;
al. Master of Healing ultimately was viewed as the most im-
Zaehner introduces the insights of S´an˙kara and Ra¯ma¯nuja
portant figure of this group.
where they are appropriate and he admits his penchant for
the theistic interpretation of the latter. For a more detailed
The principal scripture written about this Buddha, enti-
understanding of Ra¯ma¯nuja’s understanding of the text, see
tled Scripture on the Merits and Original Vows of the Master
J. A. B. van Buitenen’s Ra¯ma¯nuja on the Bhagavadg¯ıta¯ (The
of Healing, the Lapis Lazuli Radiance Tatha¯gata, is a work
Hague, 1953). Van Buitenen’s own translation, The
that eventually became best known in the Chinese version
Bhagavadg¯ıta¯ in the Maha¯bha¯rata (Chicago, 1981), is heroic
translated by Xuanzang in 650 CE (T.D. no. 450). As in
scholarship, translation at its best, and his introductory essay
other works of this type, most likely composed in the early
is no less insightful. The very important exegesis of S´an˙kara
centuries of the common era in the northwest borderlands
has been translated into English by Alla¯di Mahadeva Sastri:
of India, the historical Buddha S´a¯kyamuni serves as a pivot
The Bhagavad-Gita with the Commentary of Srî
S´an˙karachâryâ, 5th ed. (Madras, 1961). And the interesting
between the human realms and celestial spheres, in this in-
commentary of Abhinavagupta, the G¯ıta¯rthasan˙graha, has
stance revealing to his listeners the existence of the enlight-
been well translated into English and perceptively introduced
ened celestial being Bhais:ajyaguru. Following a pattern often
by Arvind Sharma (Leiden, 1983).
seen in such texts, the Buddha and his pure land are de-
For significant examples of modern Indian interpretations of the
scribed, his vows to aid all beings are detailed, and various
text, see The Gospel of Selfless Action, or the Gita According to
methods are explicated for invoking his beneficent force.
Gandhi, edited and translated by Mahadev Desai (Ahmad-
Here, Master of Healing is described as lord of a spirit realm
abad, 1948); S´rimad Bhagavadg¯ıta¯ Rahasya, edited by B. G.
located to the east, a land named Pure Lapis Lazuli, with level
Ti-lak (Poona, 1936); and Aurobindo Ghose’s Essays on the
ground made of that radiantly blue stone, marked by roads
Gita (Calcutta, 1926).
of gold and various structures built of precious substances.
New Sources
Like the celestial fields of other Buddhas such as Amitabha,
Chaturvedi, Laxmi Narayan. The Teachings of Bhavagad Gita.
this realm is a refuge from suffering; it is an ideal site to listen
New Delhi, 1991.
without distraction to the pure principles taught by its lord,
Lipner, Julius, ed. The Fruits of Our Desiring: An Enquiry into the
the Master of Healing, in association with the two leaders
Ethics of the Bhagavadgita for Our Times: Essays from the Inau-
of his bodhisattva assembly, Sunlight (Su¯ryaprabha) and
gural Conference of the Dharam Hinduja Institute for Indic Re-
Moonglow (Candraprabha).
search, Cambridge University. Calgary, 1997.
MacKenzie, Matthew D. “The Five Factors of Action and the De-
Master of Healing’s twelve vows, first made when he set
centring of Agency in the Bhavagad Gita.” Asian Philosophy,
out to gain enlightenment, cover a wide range of benefits to
11 (November 2001): 141–151.
sentient beings. The most widely known is the sixth vow, a
Patel, Ramesh. Philosophy of the Gita. New York, 1991.
pledge to alleviate the sickness and suffering of all beings.
Rambachan, Anatanand. The Hindu Vision. New Delhi, 1992.
The fulfillment of this pledge forms the subject of much of
Sartwell, Crispin. “Art and War: Paradox of the Bhavagad Gita.”
the scripture. Yet, while Master of Healing has pledged to
Asian Philosophy 3 (1993): 95–103.
aid all beings who are sick and suffering, he must be called
Teschner, George. “Anxiety, Anger and the Concept of Agency in
upon in order to invoke this potent aid. According to the
the Bhavagad Gita.” Asian Philosophy 2 (1992): 61–78.
scripture, methods of effective invocation range from the
Verma, C. D. The Gita in World Literature. New Delhi, 1990.
simple expedient of calling out his name to special rites in-
E
volving prayer and worship before his image. In the case of
LIOT DEUTSCH (1987)
LEE SIEGEL (1987)
life-threatening disease, a complex rite is outlined in the
Revised Bibliography
scripture (and described in great detail in special ritual texts)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
856
BHAKTI
in which forty-nine cartwheel-shaped lamps are burned be-
can be found in my “Seeking Longevity in Chinese Bud-
fore seven images of the Buddha for forty-nine days, with
dhism: Long Life Deities and Their Symbolism,” in Myth
many other ritual acts performed in units of seven or forty-
and Symbol in Chinese Tradition, edited by Norman Girardot
nine. The number seven (and its square, forty-nine) is espe-
and John S. Major, a special issue of the Journal of Chinese
cially important in the Buddhist healing cults, most likely re-
Religions 13 (1985). A comprehensive cross-cultural essay on
lating to the number of days in the intermediate state
Buddhist medical theory and healing traditions is admirably
set forth in Paul Demiéville’s “Byo¯ (Disease),” in Ho¯bo¯girin,
(antara¯bhava) between death and rebirth.
fasc. 3 (Paris, 1937), pp. 224–270; Mark Tatz has translated
A fundamental feature of the healings bestowed by
this monographic study into English under the title Bud-
Bhais:ajyaguru is the transformation of karman, that is, a con-
dhism and Healing: Demiéville’s Article “Byo¯” from Ho¯bo¯girin
cern for eradicating the patterned causes as well as the visible
(Lanham, Md., 1985).
symptoms of suffering. This sense of transformation per-
New Sources
vades the scriptural and ritual traditions associated with the
Hassnain, F. M., and Tokan Sumi. Bhaisajya-guru-sutra: Original
cult. In this context, Master of Healing is especially impor-
Sanskrit Text with Introduction and Commentary. New Delhi,
tant for his work in assisting beings to reach a momentous
1995.
spiritual turning point known as the “aspiration to attain en-
Willemen, Charles. “The Medicine Buddha Bhaisajyaguru.” In
lightenment,” at which the drifting life is cast aside in order
Oriental Medicine: An Illustrated Guide to the Asian Arts of
to seek spiritual fulfillment.
Healing, edited by Jan Alphen and Anthony Aris,
pp. 261–265. Boston, 1997.
Standard images of Master of Healing depict him as a
seated Buddha in monk’s garb, either having skin the rich
Williams, Paul. Maha¯ya¯na Buddhism: The Doctrinal Foundations.
London, 1989.
blue color of lapis lazuli or having a golden complexion with
a halo and mandorla of lapis lazuli-colored rays. The Buddha
RAOUL BIRNBAUM (1987)
holds a bowl or covered medicine jar on his lap with his left
Revised Bibliography
hand, while his right hand, resting on his right knee with
palm outward, offers the medicinal myrobalan fruit; some-
times he is standing, holding the medicine jar in his left
BHAKTI. The Sanskrit term bhakti is most often translat-
hand, with right hand upraised in the gesture of the banish-
ed in English as “devotion,” and the bhaktima¯rga, the “path
ment of fear. He is flanked by his bodhisattva assistants, Sun-
of devotion,” is understood to be one major type of Hindu
light and Moonglow, who stand in princely garb. Encircling
spiritual practice. The bhaktima¯rga is a path leading toward
them are twelve yaks:a generals, each of whom is said to com-
liberation (moks:a) from material embodiment in our present
mand seven thousand troops, all in aid of the Buddha’s heal-
imperfect world and the attainment of a state of abiding
ing work. In some East Asian traditions, these twelve generals
communion with a personally conceived ultimate reality.
are clearly depicted as lords of the twelve hours of the day
The word devotion, however, may not convey the sense of
and the twelve years of the Jupiter-based cycle. The cosmic
participation and even of mutual indwelling between the
wholeness of this scene is striking: with lapis lazuli at the cen-
devotees and God so central in bhakti. The Sanskrit noun
ter that radiates like the depths of space, together with the
bhakti is derived from the verbal root bhaj, which means “to
two luminaries who are encircled by lords of time, it points
share in” or “to belong to,” as well as “to worship.” Devotion,
to the profound nature of internal and external healing pro-
moreover, may not suggest the range of intense emotional
vided by this Buddha.
states so frequently connoted by bhakti, most of which are
A somewhat later tradition, introduced to China in the
suggested by the inclusive English word love. God’s love,
early eighth century and eventually popular among Tibetans
however, whether answering or eliciting the devotee’s love,
and Mongolians, focuses on seven brothers identified as heal-
is denoted with other words than bhakti. Thus bhakti is the
ing Buddhas, the senior physician among them being Bhaisa-
divine-human relationship as experienced from the human
jyaguru. This group is often depicted with S´a¯kyamuni Bud-
side.
dha, thus turning back to the roots of the Healing Buddha
While bhakti is sometimes used in a broad sense to cover
cult in the early tradition of S´a¯kyamuni as spiritual healer.
an attitude of reverence to any deity or to a human teacher,
S
the bhaktima¯rga is understood to be a “path” of exclusive de-
EE ALSO Celestial Buddhas and Bodhisattvas; Healing and
Medicine.
votion to a divine or human figure representing or embody-
ing ultimate reality, a path whose goal is not this-worldly
benefits but supreme blessedness. Those who follow the path
BIBLIOGRAPHY
believe that ultimate reality is the personal Lord (¯I´svara) who
The only extended study of Bhais:jyaguru is my The Healing Bud-
dha (Boulder, Colo., 1979), which includes full translations
both transcends the universe and creates it. Bhakti is thus
from Chinese scriptures on this Buddha. This work provides
theistic and can be distinguished, not only (1) from those re-
a cross-cultural view of the cult, emphasizing its scriptural
ligious movements that deny the reality of ¯I´svara (including
foundations and iconographic manifestations. Further infor-
those of Buddhists and Jains), but also (2) from polytheistic
mation specific to the context of Chinese practice traditions
beliefs in a number of deities within a divine cosmos, 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
BHAKTI
857
(3) from philosophies that see ¯I´svara as an ultimately illusory
great Power (S´akti) whose devotees sing her praises as the
appearance of the reality that transcends personal qualities,
giver of both destruction and well-being.
nirgun:a brahman.
Those who worship Vis:n:u (in any of his incarnations
In practice the boundaries of the bhaktima¯rga are indis-
but particularly as Kr:s:n:a and Rama) as the supreme deity are
tinct and its forms are many and diverse, and it is differently
known as Vais:n:avas; likewise those who accord the supreme
defined by various sectarian communities. Nonetheless,
place to S´iva are called S´aivas, and those who are devotees
there are some important common features found in differ-
of the Goddess, conceived not as the subordinate consort of
ent expressions of bhakti, and there is a discernible “history”
S´iva but as the ultimate Power, are termed S´a¯ktas. Each
of bhakti during the last fifteen hundred to two thousand
“sect” is in practice divided into a large number of groups
years.
marked by allegiance to particular forms of the supreme
Modern historical approaches to Indian religion gener-
deity, to particular lineages of teachers and teachings in char-
ally recognize some traces of bhakti in a few of the classical
acteristic sectarian organizations, which usually include some
Upanis:ads and see it strikingly present in large sections of the
form of initiation.
epics (including notably the Bhagavadg¯ıta¯). The earliest de-
The major forms of bhakti are described by Hindus
votional poetry is considered that in praise of the Tamil god
themselves, not only by their special relation to particular
Murukan, beginning about 200 CE, followed between the
¯
forms of deity, but also according to the various moods of
fifth and ninth centuries by the works of many poets in two
the devotee. The classifications vary slightly; some are closely
distinct bodies of Tamil poetry, one in praise of S´iva, the
related to classical Indian aesthetic theory according to which
other in praise of Vis:n:u. According to the traditional ac-
a particular raw emotion (bha¯va) is transformed in drama
counts, however, the Tamil poet-saints are scattered through
into a refined mood or essence (rasa). Each combination of
the first five thousand years of the fourth and most degener-
bha¯va and rasa uses a particular human relationship: servant
ate age, the kaliyuga. This traditional dating fits a frequent
to master or child to parent (respectful subordination),
theme, that bhakti is an easier path to salvation appropriate
friend to friend (joking familiarity), parent to child (maternal
to an age of diminished spiritual capacities, but another
affection and concern), and beloved to lover (combining ele-
theme sometimes crosses this: the assertion that the triumph
ments of the other three relationships in passionate love). In-
of bands of singing and dancing devotees marks the breaking
dividual devotees as well as larger sectarian movements differ
of the power of the demon Kali, and thus the end of Kali’s
in their personal preference and doctrinal ranking among
evil age and the restoration of the age of spiritual perfection.
these relationships, but all are generally accepted as appropri-
From a modern historical standpoint the flowering of
ate devotional stances.
bhakti is the coming together of considerably earlier theistic
When passionate attachment to the Lord is stressed,
tendencies in three major religious traditions of ancient
bhakti is a striking contrast to yoga and other ascetic paths
India: (1) the sacrificial cult of the invading Aryans and the
to salvation that stress detachment and the overcoming of all
recitation by bra¯hman:a priests that became the foundation
passions, positive as well as negative. Yet many forms of
of the Vedas; (2) the practice of bodily mortification and
bhakti also stress the detachment from all worldly beings that
spiritual withdrawal by individuals and groups known as
must accompany attachment to the Lord, or, like the
´sraman:as, probably continuing traditions of earlier inhabi-
Bhagavadg¯ıta¯, which speaks of bhaktiyoga, they use the lan-
tants of India but soon adopted and adapted by some of the
guage of ascetic philosophy to extol the path of bhakti.
Aryans; and (3) the pre-Aryan cults of spirits and village god-
desses inhabiting trees and rocks and protecting special
The bhakti movements generally stand religiously in be-
places or special groups.
tween the more extreme ascetic paths and popular Hindu re-
ligiosity. (Less extreme forms of asceticism are often incorpo-
All three traditions were subject to one type of reinter-
rated within the bhakti movements.) Bhakti generally shares
pretation that emphasized the great results of effective prac-
the ascetic concern for moks:a: release from finite existence
tice and a second type of reinterpretation that concentrated
and the realization of transcendent beatitude. What is prima-
on the intuitive knowledge of the deities or ultimate powers
ry, however, is communion with the Lord, and if bhaktas
of that tradition. There was also a third type of reinterpreta-
think of moks:a as anything else than such communion, they
tion, however, that ascribed omnipotence to a particular
will reject it as a goal that would deprive them of the very
deity, more or less personally conceived, and advocated sin-
communion for which they fervently yearn.
gle-minded devotion to this supreme deity. In the case of the
Vedic tradition it was increasingly Vis:n:u who was regarded
A few bhaktas make the total commitment of time and
as both the essential core and the lord of the sacrifice. Some
style of life characteristic of Hindu “renouncers,” spending
of the ´sraman:as sometimes regarded S´iva as the great yogin,
whole days in chanting and singing the praise of their Lord.
paradoxically lord of fertility and sexual plenitude as well as
Most, however, must find time for their devotion in the
of sexual abstinence. The more popular and polytheistic tra-
midst of their daily occupations, whether high or low, but
ditions have also had their bhakti forms, in which local god-
may become “full time” devotees temporarily during a
desses are conceived as manifestations of the Mother, the
lengthy pilgrimage. Their being bhaktas is sometimes shown
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
858
BHAKTI
by the sectarian marks on their foreheads or by other signs
treme asceticism, the dominant note in bhakti is community,
that they have been initiated into a particular community.
between generations as well as among fellow devotees of the
same generation. Within this devotional community there
Bhakti often shares with popular Hinduism the basic rit-
is usually both a hierarchical relationship between teacher
ual of pu¯ja¯: worship of the deity in some image form with
and disciple and a more egalitarian relationship between fel-
vegetables, fruits, and flowers, which are spiritually con-
low disciples.
sumed—or worn—by the deity and then returned to the
worshiper as prasa¯da, material substance filled with the
The English word movement is particularly appropriate
Lord’s grace. Such pu¯ja¯ may take place in one’s home shrine
for most bhakti movements, for there is a spiritual movement
or local temple, or it may be done as the culmination of a
between the divine and the human, an emotional movement
lengthy and arduous journey to a center of pilgrimage. Most
affecting or even engulfing any particular community of dev-
Hindus perform such pu¯ja¯ in order to win the deity’s favor
otees, and a movement through time celebrated in sacred
for some request, or, in the case of a vow (vrata), to fulfill
story. The stories about the bhakti saints help to define par-
a promise made at the time of a request since favorably an-
ticular devotional communities and sometimes to extend
swered. True bhaktas, however, perform the very same ritual
them. While the sacred history of many devotional move-
acts in a different spirit: in thanksgiving for divine gifts freely
ments is of interest only to their own members, there has also
granted, in petition for the supreme gift of God’s presence,
been, especially in North India since the fifteenth century,
sometimes expressed as the privilege of doing God some ser-
a combination of hagiographies known as the Bhaktama¯la
vice, in obedient performance of duties to the deities God
(The garland of devotees). The present evil age, the kaliyuga,
has ordained, which include sacrificial worship for the main-
is considered to be the one, in the vast recurring cycle of the
tenance of the universe. Bhaktas recognize that the Lord they
four ages, in which the human capacity to live rightly is at
serve also grants worldly gifts to those who seek them, and
its lowest. Yet this cycle of stories assumes that the present
moreover, even grants requests made to lower deities. This
age is also the bhaktika¯la, the time for devotion. The worst
means that they often can practice common Hindu forms of
of times becomes the best of times for those who join togeth-
worship and support temple establishments. On the other
er in fervent praise. Those who remember the Lord (as con-
hand, some bhakti movements have at one time been or con-
tinuously as the flow of oil, in Ra¯ma¯nuja’s definition of bhak-
tinue to be sharply critical of popular religion and/or the
ti) have already in this life a foretaste of the eternal
temple establishment. This was strikingly true of the
communion that is their final goal and, in many Vaisnava
V¯ıra´saiva poets in Karnataka from the twelfth to the four-
communities, the expected goal at the end of their present
teenth century CE. In North India Kab¯ır and Na¯nak (the first
earthly life. Bhaktas thus share in a movement from eternity
Sikh guru¯) were sharply critical both of popular piety and of
through time back to eternity.
the religious establishments, Hindu as well as Muslim.
Philosophically, Vaisnava bhakti has expressed itself in
There are also distinctive bhakti rituals: the singing
a range of positions between the “pure nondualism”
(sometimes communal) of hymns and chants, the perfor-
(´suddha¯dvaita) of Vallabha and the “dualism” (dvaita) of
mance of dramas, dances, and recitals of the heroic deeds or
Madhva, and S´aiva bhakti ranges from the monistic philoso-
erotic sports of Vis:n:u’s incarnations or of the mysterious ap-
phy of Kashmir S´aivism to the dualistic or pluralistic position
pearances of Lord S´iva. Stories about the Lord may thus lead
of the Tamil S´aiva Siddha¯nta, yet almost all of these philo-
to stories about the great bhaktas. The recounting of their
sophical positions agree both on the infinitely superior quali-
lives is almost as popular as the singing of their songs.
ty of the divine reality and on some kind of subordinate reali-
ty for finite souls and material things.
Here, too, there is a strong difference in emphasis be-
tween devotional and ascetic paths, for the distinctive rituals
The common goal of communion with the Lord can
of bhaktas are generally not reserved for the few qualified ini-
also be understood more or less monistically. One classifica-
tiates but open to all, whatever their motives or their qualifi-
tion distinguishes between four degrees of communion: (1)
cations in the socioreligious hierarchy. This egalitarian thrust
sa¯lokya, being in the same heaven with a continuous vision
of bhakti, although it has not always penetrated in practice
of the Lord; (2) sa¯m¯ıpya, residing close to the Lord; (3)
to the untouchables, is usually praised in song and story. It
sa¯ru¯pya, having the same form, understood to be the privi-
is not the equality of modern Western individualism, but the
lege of the Lord’s intimate attendants, whose external ap-
openness to a divine seeking that transcends or even reverses
pearance is similar to the Lord’s; and (4) sa¯yujya, complete
the order of human society, sometimes precisely because hu-
union through entering the body of the Lord.
mility is the necessary qualification for receiving the Lord’s
In terms of religious practice and religious experience
grace.
there is a somewhat comparable range of positions between
Bhakti means not only “sharing” with God but also
the affirmation of the constant divine presence both within
some form of sharing or mutual participation among God’s
finite realities and surrounding them, on the one hand, and
devotees. While there is a heroic loneliness in the lives of
the lamenting of God’s absence from the devotee’s experi-
some of the great bhaktas corresponding to or even com-
ence in this present life. The typical bhakti position is some-
bined with the physical and spiritual isolation of more ex-
how to affirm both God’s presence and God’s absence, but
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BHAKTI
859
there is considerable difference in emphasis, not only be-
the humble servant and the intimate companion of the
tween different sects and different individuals, but also with-
Lord—not only the Lord’s instrument but the Lord’s bride?
in the experience of the same bhakta. The moments of expe-
Since we recognize that these are no more than an outsider’s
rienced union (sam:´sles:a) and anguished separation or
“translation” of the bhaktas’ own questions, we must add a
desolation (vi´sles:a or viraha) alternate, but the bhakta’s expe-
third, what we might call a hermeneutical question: how can
rience is still more complicated: the realization of the fleeting
the outside student of Hindu bhakti (whether non-Hindu or
character of the experience of union may intrude into it,
non-bhakta) understand any particular form of Hindu bhak-
while, on the other hand, the grief at separation is sharpened
ti? How can divine-human “sharing” be understood without
by the memory of previous shared delight. That grief itself,
sharing in it? While most of the Hindu tradition would find
if it passes the moment of despair, expresses itself as a pas-
it difficult to imagine such external understanding as the
sionate yearning for a new moment of divine presence or as
question implies, and those in the Western Platonic tradition
a more serene confidence in the final goal of unending com-
would reject the separation of loving and knowing, most
munion with God.
Western study of religion in general and of Hindu bhakti in
particular assumes that reasonable understanding is possi-
Those who express a devotion of passionate attachment
ble—enough to write this article, for example—without per-
to the Lord, especially when the Lord is conceived as Kr:s:n:a,
sonally participating as a scholar in the bhakta’s experience.
are sometimes dissatisfied with merely spiritual union after
The very nature of bhakti as experienced participation, how-
this earthly life. They yearn for the Lord’s physical embrace
ever, is a continuing challenge to the strong tendency of
of their present embodied selves. Bhaktas differ as to whether
Western notions of understanding, especially the Western ef-
such union of the human devotee’s body with the Lord’s
fort to “capture” all human experience in carefully crafted
body is possible. Within this life, however, ecstatic moments
objective concepts.
of perceived union are fleeting. Permanent union brings with
it an end to the bhakta’s life in this world, as is dramatically
To understand an alien experience we need to remem-
portrayed in the stories of the merger of two of the Tamil
ber partially similar experiences familiar to us. Bhakti has
Vaisnava saints (A¯n:t:a¯l and Tiruppa¯n A¯lva¯r) into the Lord’s
both appealed to and puzzled Western students because they
¯
image incarnation, Rangana¯tha. Similar stories are told of the
see in its central features Western monotheism combined
Ra¯jpu¯t woman saint M¯ıra¯ Ba¯¯ı, absorbed with Kr:s:n:a’s image
with other elements that seem different or even totally alien.
at Dvarka, and of Caitanya, who, according to the local
Many features of Hindu bhakti are also found in the more
Oriya tradition in Puri, was absorbed into the image of
popular aspects of Jainism and Buddhism, and Pure Land
Jaganna¯tha.
Buddhism has incorporated much of bhakti at its very core.
The Indian expressions of both Islam and Christianity,
For the more monistic bhakti that regards permanent
moreover, have developed their own bhakti poets and saints.
union as the end of the finite self’s distinct personal exis-
In the case of Islam, bhakti has provided a bridge for a mutu-
tence, the state of separation may actually be preferred as en-
al interpenetration with Hindu piety that has given the piety
suring the continued bittersweet experience of the Lord’s ab-
of Muslims in South Asia a distinctive character; yet Islamic
sence. Certainly for bhaktas in many schools and sects, the
and Hindu bhakti did not merge. In the case of Christianity
moments of absence are conveyed in poetry of great intensity
in the modern era, bhakti provided the basic vocabulary for
and beauty. There our common human experience of separa-
Christian prayer and hymnody in most modern Indian lan-
tion from the infinite source of being is transfigured by the
guages, yet Christian bhakti has usually been so distinctive
special experience of that rare human being who has felt the
as to be unaware of its debt to the Hindu tradition. Perhaps
divine presence or known the divine rapture and then experi-
bhakti, although distinctively Hindu, may be appropriated
enced even more intensely the pain of separation from this
and developed, if not by the proud at least by the humble,
incredibly beautiful and desirable Lord.
in a great variety of religious and cultural communities.
In the South Indian Vaisnava bhakti of Ra¯ma¯nuja, how-
ever, separation and union are coordinated in a hierarchical
SEE ALSO Bhagavadg¯ıta¯; Caitanya; Devotion; ¯I´svara; Kab¯ır;
vision in which the Lord enters the heart of all finite beings
M¯ıra¯ Ba¯¯ı; Moks:a; Na¯nak; Poetry, article on Indian Reli-
as their inner controller, without obliterating the distinct ex-
gious Poetry; Pu¯ja¯, article on Hindu Pu¯ja¯; Ra¯ma¯nuja;
istence and moral responsibility of the finite person. Here
S´aivism, article on V¯ıra´saivas; Yoga.
longing for God and belonging to God are not alternatives
but mutually reinforcing coordinates in intensifying the
BIBLIOGRAPHY
bhakta’s experience.
Dhavamony, Mariasusai. Love of God according to S´aiva Sidd-
hanta. Oxford, 1971.
From an outside vantage point the meaning of bhakti
may be conveyed by two questions. One is a theological
Hardy, Friedhelm. Viraha Bhakti: The Early Development of Kr:s:n:a
question: how can the infinite Lord be independent of all fi-
Devotion in South India. Oxford, 1981.
nite reality and yet be dependent on his devotees? Most bhak-
Hawley, John Stratton. Su¯r Da¯s: Poet, Singer, Saint. Seattle, 1984.
tas affirm both propositions. The second is the correspond-
Hawley, John Stratton, and Donna M. Wulff, eds. The Divine
ing anthropological question: how can the bhakta be both
Consort: Ra¯dha¯ and the Goddesses of India. Berkeley, 1982.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
860
BHA¯VAVIVEKA
Hein, Norvin J. “Hinduism.” In A Reader’s Guide to the Great Re-
that current understanding of the Ma¯dhyamika in general
ligions, edited by Charles J. Adams, pp. 106–155. New York,
has suffered from a one-sided perspective that relies solely on
1977. See pages 126–140.
Candrak¯ırti’s rival school, the Pra¯san˙gika-Ma¯dhyamika.
Ramanujan, A. K., trans. Speaking of S´iva. Harmondsworth,
However, contemporary scholarship no longer neglects Ti-
1973.
betan sources, and thus a more balanced approach has en-
Ramanujan, A. K., trans. Hymns for the Drowning. Princeton,
sued, one that reads Na¯ga¯rjuna’s seminal writings through
1981.
the commentaries of both the Pra¯san˙gikas and the
Sva¯tantrikas.
Schomer, Karine, and W. H. McLeod, eds. The Sants: Studies in
a Devotional Tradition of India. Berkeley and Delhi, 1985.
Nagarjuna, especially as read through the commentaries
Yocum, Glenn E. Hymns to the Dancing S´iva. New Delhi and Co-
of Buddha¯palita (c. 470–550 CE), was characterized by many
lumbia, Mo., 1982.
Indian philosophers as a vaitan:d:ika, a nihilist who refused
Zelliot, Eleanor. “The Medieval Bhakti Movement in History: An
to assume any thesis (pratijña¯) in the course of the ongoing
Essay on the Literature in English.” In Hinduism: New Essays
dialogue between Hindu thinkers of various schools and the
in the History of Religions, edited by Bardwell L. Smith,
Buddhists. While Ma¯dhyamika thought had not asserted any
pp. 143–168. Leiden, 1976.
claim about ultimate truth/reality (parama¯rthasatya),
Bha¯vaviveka’s independent reasoning (svatantra-anuma¯na)
New Sources
Bhakti Religion in North India: Community Identity and Political
was applied to conventional truth/reality (samvr:tisatya) as a
Action. Edited by David N. Lorenzen. Albany, 1995.
means of rescuing logico-linguistic conventions (vyavaha¯ra)
from a systematic negation (prasan˙ga) that opened the school
Devotion Divine: Bhakti Traditions from the Regions of India:
to charges of nihilism. While Bha¯vaviveka accepted the
Studies in Honour of Charlotte Vaudeville. Edited by Diana
L. Eck and Françoise Mallison. Groningen, 1991.
Ma¯dhyamika view that ultimately (parama¯rthatah:) no enti-
ties could be predicated with any form of existence, he was
Haberman, David L. Acting as a Way of Salvation: A Study of Ra-
willing to employ such predication on a conventional level.
ganugabhakti Sadhana. New York, 1988.
In order to maintain the reality and utility of traditional
Love Divine: Studies in Bhakti and Devotional Mysticism. Edited
Buddhist categories for talking about the path of spiritual
by Karel Werner. Durham indological series no. 3. Rich-
growth while denying the ultimate reality of such categories,
mond, Surrey, 1993.
he employed a syllogistic thesis (pratijña¯), a philosophic
Tripathi, S. K. Music and Bhakti. Varanasi, 1993.
strategy that was nearly incomprehensible to scholars of the
J
Ma¯dhyamika, who knew this school only through
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Revised Bibliography
Candrak¯ırti’s Pra¯san˙gika systematization.
In order to affirm a thesis on the conventional level
while denying it ultimately, Bha¯vaviveka creatively reinter-
BHA¯VAVIVEKA (c. 490–570 CE), also known as
preted the key Ma¯dhyamika doctrine of the two truths
Bhavya or (in Tibetan) Legs ldan Dbyed pa; Indian Buddhist
(satyadvaya). In his Madhyama¯rthasam:graha, he propounds
philosopher and historian, and founder of the
two levels of ultimacy: a highest ultimate that is beyond all
Sva¯tantrika-Ma¯dhyamika school. Born to a royal family in
predication and specification (aparya¯ya-parama¯rtha), in con-
Malyara, in South India (although some Chinese sources
formity with all Ma¯dhyamika teachings, and an ultimate that
claim it was in Magadha, in North India), Bha¯vaviveka stud-
can be inferred logically and specified meaningfully
ied both su¯tra and ´sa¯stra literatures during his formative
(parya¯ya-parama¯rtha); this latter level was a bold innovation
years. Having excelled in the art of debate, especially against
in the history of Ma¯dhyamika thought. Of course, such a dis-
Hindu apologists of the Sa¯m:khya school, he is said to have
tinction was operative only within the realm of conventional
been the abbot of some fifty monasteries in the region of
thought. Again one must employ Bha¯vaviveka’s crucial ad-
Dhanyakata, in South India. His chief influences were the
verbial codicil, parama¯rthatah:, and follow him in claiming
writings of Na¯ga¯rjuna (second century CE), the founder of
that such a distinction, like all distinctions, is ultimately un-
the Ma¯dhyamika, and treatises on logic from the traditions
real although conventionally useful.
of Buddhism (especially Digna¯ga’s works) and Hinduism
Bha¯vaviveka’s two main philosophic contributions—his
(especially the Nya¯yaprave´sa). His chief philosophical contri-
affirmation of a thesis on a conventional level and his reinter-
bution was his attempt at formulating a synthesis of
pretation of the two-truths doctrine—are evaluated diversely
Ma¯dhyamika dialectics and the logical conventions of his
by contemporary scholars. Those unsympathetic to him see
time.
his work as an unhappy concession to the logical conventions
As all of Bha¯vaviveka’s works are lost in the original San-
of his day, a concession that dilutes the rigor of the
skrit and preserved only in Tibetan translations, the scholarly
Ma¯dhyamika dialectic. Those with more sympathy see his
world came to know of him only through Candrak¯ırti (c.
contributions as a creative surge that rescued Buddhist reli-
580–650 CE), who refuted Bha¯vaviveka’s position in the first
gious philosophies from those dialectical negations that
chapter of the Prasannapada¯. It could therefore be argued
threatened the integrity of the Buddhist path itself.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BHAVE, VINOBA
861
Within the evolved Tibetan Buddhist tradition,
unavailable to this author: Donald Lopez’s “The
Bha¯vaviveka is especially known for two other contributions.
Sva¯tantrika-Ma¯dhyamika School of Maha¯ya¯na Buddhism”
His refutations of the rival Yoga¯ca¯ra school are considered
(Ph.D. diss., University of Virginia, 1982).
to be among the clearest ever written. The fifth chapter of
NATHAN KATZ (1987)
his Tarkajva¯la¯, the “Yoga¯ca¯rattvavini´scaya,” refutes both the
existence of the absolute and the nonexistence of the conven-
tional, both seminal Yoga¯ca¯ra positions.
BHAVE, VINOBA (1895–1982), Indian social and re-
He is also the forerunner of the literary style known as
ligious reformer. Vinayak Narhari Bhave was closely associat-
siddha¯nta (Tib., grub mtha D), which became enormously
ed with Mohandas Gandhi, who bestowed upon him the af-
popular within Tibetan scholarly circles. A siddha¯nta text de-
fectionate epithet Vinoba (Mar., “brother Vino”). He is
votes ordered chapters to analyzing the philosophic positions
generally acclaimed in India as the one who “stepped into
(siddha¯ntas) of rival schools, both Buddhist and Hindu. His
Gandhi’s shoes.” As a young man Bhave studied Sanskrit and
Tarkajva¯la¯ contains systematic critiques of the positions held
the Hindu religious tradition in Varanasi. It was here that
by the Hinayana and the Yoga¯ca¯ra, both Buddhist schools,
he read accounts of Gandhi’s patriotic speeches. Attracted by
and the Sa¯m:khya, Vaisesika, Veda¯nta, and M¯ıma¯m:sa¯
Gandhi’s ideas, Bhave joined Gandhi as his disciple in 1916
schools of Hindu philosophy.
and soon became one of his close associates. In 1921 Gandhi
Bha¯vaviveka was also a keen historian. His Nika¯yab-
had Bhave move to a new ashram (retreat center) in Wardha
hedavibhan˙gavya¯khya¯na remains one of the most important
in the state of Maharashtra. Here he began experimenting
and reliable sources for the early history of the Buddhist
with many Gandhian ideas designed to implement self-rule
order, and for information on the schisms within its ranks.
for India. His main goal was to engage in village service for
the benefit of the Indian masses. As a result, he became a
SEE ALSO Buddhist Philosophy; Ma¯dhyamika; S´u¯nyam and
skillful farmer, spinner, weaver, and scavenger. Many of
S´u¯nyata.
these activities were later incorporated into several of his
plans for the moral and spiritual uplift of all humanity. Im-
BIBLIOGRAPHY
pressed with his political and religious dedication, his spiritu-
The most important philosophical works by Bha¯vaviveka are his
al way of life, and his belief in nonviolent methods of social
commentary on Nagarjuna’s Mu¯lamadhyamakaka¯rika¯, the
action, Gandhi chose him in 1940 as the first satya¯grah¯ı (one
Prajña¯prad¯ıpa; his verse work, the Madhyama-
who uses nonviolent means to bring the opponent to the
kahr:dayaka¯rika¯, with the autocommentary the Tarkajva¯la¯;
point of seeing the truth) in a protest against British rule.
his Madhyama¯rthasan˙graha; and his Karatalarat:na. All these
works can be found in volumes 95 and 96 of The Tibetan
After India’s independence Bhave emerged from the
Tripit:aka, edited by D. T. Suzuki (Tokyo, 1962).
shadow of his teacher as he began his pad ya¯tra¯ (“journey on
Bha¯vaviveka’s work on the history of the Buddhist order, the
foot”) to meet the people of India. The famous Bhooda¯n
Nika¯yabhedavibhan˙gavya¯khya¯na, is included in volume 127.
(“land gift”) movement was born when on one such journey
Bha¯vaviveka’s biography can be found in Khetsun Sangpo’s Rgya
he sought a donation of land in order to distribute it among
gar pan: chen rnams kyi rnam thar ngo mtshar padmo Di Ddzum
the landless poor. Later he designed a program to collect fifty
zhal gsar pa (Dharamsala, India, 1973). Perhaps the most de-
million acres of land for the landless. For the rest of his life,
finitive study of Bha¯vaviveka is Malcolm David Eckel’s “A
he tirelessly worked for gra¯m swara¯j (“village self-rule”) to
Question of Nihilism: Bha¯vaviveka’s Response to the Funda-
free the people from the rich and the powerful. He retreated
mental Problems of Ma¯dhyamika Philosophy” (Ph.D. diss.,
to his ashram in Paunar, near Wardha, in 1970 and died
Harvard University, 1980). Shotaro Iida’s Reason and Empti-
there in 1982.
ness: A Study in Logic and Mysticism (Tokyo, 1980) studies
Bha¯vaviveka from the perspective of medieval Tibetan
INFLUENCES. Bhave’s influence was greatest in his promotion
sources. Louis de La Vallée Poussin’s essay “Bha¯vaviveka,” in
of Gandhian principles. He became the chief exponent of the
volume 2 of Mélanges chinois et bouddhiques (Brussels, 1933),
Sarvodaya (“welfare of all”) movement and executed Gan-
pp. 60–67, is the statement of classical Buddhology on the
dhi’s nonviolent philosophy through a series of activities
subject. Kajiyama Yuichi’s “Bha¯vaviveka and the Pra¯san˙gika
known as “constructive works.” These included such pro-
School,” Nava-Nalanda-Mahavihara Research Publication
grams as promotion of kha¯d¯ı (“self-spun cloth”), na¯ı tal¯ım
1 (n.d.): 289–331; my own “An Appraisal of the
(“new education”), str¯ı ´sakti (“woman power”), cow protec-
Sva¯tantrika-Prasamgika Debates,” Philosophy East and West
tion, and ´sa¯nti sena¯ (“peace brigade”). He created the Sarva
26 (1976): 253–267; Peter Della Santina’s “The Division of
Seva Sangha (“society for the service of all”) in order to carry
the Madhyamika System into the Pra¯san˙gika and Sva¯tantrika
out the work of Sarvodaya, and served as its spiritual adviser.
Schools,” Journal of Religious Studies 7 (1979): 40–49;
and Ichimura Shohei’s “A New Approach to the
Bhave also launched a series of movements connected with
Intra-Ma¯dhyamika Confrontation over the Sva¯tantrika and
the Land Gift movement in order to tackle the problem of
Pra¯san˙gika Methods of Refutation,” Journal of the Interna-
exploitation of the farmers by their landlords. Although
tional Association of Buddhist Studies 5 (1982): 41–52, exem-
through these movements he sought to accomplish socioeco-
plify contemporary scholarship. One important source was
nomic reform, for him they were part of a spiritual struggle
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
862
BIANCHI, UGO
to establish ra¯m ra¯j (“kingdom of God”) through gra¯m
There are numerous secondary sources on Bhave. For a detailed
swara¯j. To this end, he adopted and promoted the Gandhian
biography, Vinoba: His Life and Work (Bombay, 1970) by
model of Sarvodaya. Bhave took the concept of “giving”
Shriman Narayan is considered most authoritative. Vinoba
(da¯n) further and asked that people donate their money,
and His Mission (Kashi, 1954) by Suresh Ramabhai is less
labor, intellect, and life for the work of Sarvodaya.
biographical, but it gives a thorough description of the origin
and progress of the movement started by Bhave. Vasant Nar-
Bhave organized village councils (gra¯m sabha¯s) to over-
golkar’s The Creed of Saint Vinoba (Bombay, 1963) attempts
see the village development program. His aim was not only
to analyze Sarvodaya as interpreted by Vinoba. Among re-
to bring self-sufficiency to the villages but also to establish
cent works, Selections from Vinoba, edited by Vishwanath
a nonviolent society based on religious ideals. Through the
Tandon (Varanasi, 1981), presents the “essential Vinoba.”
constructive programs of Sarvodaya, Bhave sought to create
Finally, Vinoba: The Spiritual Revolutionary, edited by R. R.
a moral force in Indian society. The aim of his movement
Diwakar and Mahendra Agrawal (New Delhi, 1984), pres-
ents Vinoba Bhave as others see him. It contains a series of
was not to promote the greatest good for the greatest num-
articles by several scholars and close associates of Bhave cov-
ber, but the greatest good for all people. The goal of Sarvo-
ering a variety of topics dealing with Vinoba Bhave’s
daya philosophy can be summarized as follows: in the social
thought.
realm it advocates a casteless society, in politics it shares a
democratic vision of the power of the people, in economics
ISHWAR C. HARRIS (1987)
it promotes the belief that “small is beautiful,” and in religion
it asks for tolerance for all faiths. Its final goal is to promote
peace for all humankind.
BIANCHI, UGO. Ugo Bianchi (1922–1995) was an
The failure of many of Bhave’s plans to come to fruition
Italian historian of religions. Born at Cavriglia (Arezzo) of
ultimately led to dissension in the Sarvodaya. In the 1960s
a Tuscan mother and Roman father who was a parastatal em-
Jai Prakash Narayan, a Marxist-turned-Gandhian activist
ployee, he attended primary and secondary school in Rome.
and an associate of Bhave, sought to steer the Sarvodaya
He then studied in the Faculty of Arts at the University of
movement in other directions. The controversy arose over
Rome, graduating in 1944 with a degree in the history of re-
the issue of whether Sarvodaya workers should participate in
ligions, under the mentorship of Raffaele Pettazzoni. Subse-
politics in order to initiate change in Indian society. Disen-
quently, he completed specialized studies of Roman religion
chanted with Bhave’s nonpartisan religious approach and the
(1947), ethnology (1949–1951) and ancient history (1951–
slow moving program of gra¯m swara¯j, Narayan began taking
1956) at the same university. After receiving the degree of
an active part in contemporary politics. By the 1970s this led
libero docente (teaching qualification for university) in 1954
to a serious split within the organization of the Sarva Seva
and a professorship in 1958, Bianchi attained the chair (pro-
Sangha (the work agency of Sarvodaya) and the parting of
fessorship) of history of religions at the University of Messina
ways of these two giants of the Gandhian movement. The
(1960–1971). Subsequently, he taught at the University of
conflict brought into focus various ideological differences
Bologna (1970–1974) and the University of Rome (1974–
that existed within the Sarvodaya movement. However,
1995). Given his deep Christian and Catholic convictions,
Bhave’s supporters continued to maintain that his was a
he was logically chosen for teaching the same discipline at
movement to “change the hearts of the people” through
the Università Cattolica del Sacro Cuore in Milan (1974–
moral force and nonpartisan alliances. Since Bhave’s death,
1991) and religious ethnology at the Urbanian University of
many programs for social reform are still being carried out
Propaganda Fide in Rome (1977–1995). Because of his inde-
within the Sarvodaya movement by the lok sevaks (“servants
pendence, however, he never became an official figure of the
of the people”) whom he inspired.
Catholic establishment (although for a short time he was a
consultant of the Vatican Secretariat for the Non-
SEE ALSO Gandhi, Mohandas.
Christians).
BIBLIOGRAPHY
Bianchi’s entire life was dedicated to his family (he mar-
Vinoba Bhave wrote relatively few books. However, many of his
ried Adriana Giorgi in 1956 and had four children), to the
talks and speeches have been compiled into books and pam-
teaching of a host of disciples, to scholarly research, to the
phlets. Most of these works are published by the Sarva Seva
elaboration of historically founded typologies (with the co-
Sangha. The majority of his writings deal with the Bhooda¯n
operation of international specialists convened in confer-
and Gramdan movements, but he also wrote on a variety of
ences), and to the promotion of the study of religions in
topics related to Sarvodaya. His major English titles include
scholarly organizations both national (he was first secretary
Bhooda¯n Yajna (Ahmadabad, 1953), Swaraj Sastra: The Prin-
and then president of the Società italiana di storia delle reli-
ciples of a Non-Violent Political Order, translated by Bharatan
Kumarappa (Wardha, 1955), From Bhoodan to Gramdan
gioni for thirty-five years) and international. Elected a mem-
(Tanjore, 1957), Thoughts on Education, translated by Mar-
ber of the International Committee of the International As-
jorie Sykes (Madras, 1959), Talks on the Gita (New York,
sociation for the History of Religions (IAHR) at the
1960), Democratic Values (Kashi, 1962), and Steadfast Wis-
organization’s 1965 congress at Claremont, California, he
dom, translated by Lila Ray (Varanasi, 1966).
became a member of the IAHR executive board in 1975 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
BIANCHI, UGO
863
the Lancaster, England, Congress after the retirement of An-
Besides research on specialized topics, he produces three
gelo Brelich and Alessandro Bausani. In 1980 at Winnipeg,
general surveys that summarize his experience in his respec-
Canada, he was elected IAHR vice president, and in 1990
tive fields: Storia dell’etnologia (History of ethnology; 1964;
he became president of the IAHR at the Rome congress of
2d ed., 1971); La religione greca (Greek religion; 1962; 2d
which he had been the convener. In 1967 and again in 1992
ed., 1971); and The History of Religions (1975). He dedicated
he was involved in events concerning university competitions
the latter years of his life mainly to promoting conferences
that caused serious problems in the Italian academy, hamper-
on the themes for which he cared most: Gnosticism (1966);
ing cooperation among scholars of religion for years to come.
Mithraism (1978); the soteriology of Oriental cults in the
These circumstances, however, did not diminish his indefati-
Roman Empire (1979); asceticism in early Christianity
gable activity. He was a tenacious man with adamantine con-
(1982); and the concept of religion (1990). Bianchi had a
victions and a quasi-missionary vocation for organizing the
clear-cut scholarly agenda in mind: he sought papers that
field of religious studies.
avoided both pointless erudition and theoretical verbiage
OEUVRE. The years between the time he received his first de-
that was not supported by hard evidence. As a result, all of
gree in 1944 to the time when he won tenure in 1959 were
these conferences marked a milestone in their respective
marked by hectic activity. It was during these years, at the
fields of scholarly research.
height of the Cold War, that Pettazzoni—a secular scholar
LEGACY. Bianchi applied to the study of religious phenome-
who was nevertheless mindful of the autonomy of religious
na the historical-comparative method inherited from his
phenomena—left his onerous legacy as historian of religions
mentor, Pettazzoni, a method that was only partially equiva-
to the Catholic Bianchi, the communist Ernesto de Martino,
lent to that adopted by his fellow disciples Angelo Brelich
and the maverick leftist Angelo Brelich. Bianchi studied cult-
(1913–1977), Vittorio Lanternari (1918–), and Dario Sab-
related aspects of Roman religion (a minor but never entirely
batucci (1923–2003). He opposed this method to radical
neglected interest in his subsequent activity). But most of all
historicism (with its entailed form of reductionism) and phe-
he dedicated himself to investigating fundamental features
nomenology, both of which have, said Bianchi, “a univocal
of theology and mythology in Greece, Iran, and the ancient
conception of religion located within a preconceived frame
Near East by pinpointing the three interconnected areas
of reference” (1987, vol. 6, p. 400). Instead, according to
around which he would later focus his reflection: Fate, Hu-
Bianchi, the frame of reference inside which religious phe-
mankind, and Godship, as indicated in the subtitle of his
nomena should be placed and studied is that of a “historical
first monograph, Dios aisa (1953), as well as in the title of
typology of religions,” “a multidimensional map of the actual
his monograph on Zoroastrianism, Zaman i Ohrmazd
religious terrain” (1987, vol. 6, p. 402). Such a map, if well
(Time-Fate as determined by the supreme divinity; 1958).
structured and used with due caution, will prevent the schol-
At the same time, Bianchi, starting from—but going be-
ar from falling into the double trap set by the a priori con-
yond—the analysis and the results of the Religionsgesch-
structions of phenomenology on the one hand and the no
ichtliche Schule and of historical ethnology (as practiced by
less a priori reductionism of historicism on the other. What
the Vienna and Frankfurt Schools), endeavored to represent
is needed to avoid these opposing traps when approaching
“religious dualism” as an almost universal historical typology
religious subjects is recourse to two opposing “holisms.” For
in the work, Il dualismo religioso (1958), which was destined
one thing, the historian of religions must advocate cultural
to become a classic in the field.
holism; that is, he must, as Bianchi wrote, study all phenom-
ena “within the specific contexts that give them their full
As a corollary of this wide-ranging research, he pro-
meaning” (1987, vol. 6, p. 402). For another, Bianchi con-
duced a type of guide to the history of religions with a title
tinued, he must also take note of religious holism, that is,
representative of his particular frame of mind, Problemi di
of “those partial (analogical, not properly univocal) ‘reli-
storia delle religioni (Problems of the history of religion;
gious’ continuities which cross, not always in the same direc-
1958). The word problems is appropriate because each topic
tion, the limits of the different cultures” (1991, p. 260).
is approached in an argumentative manner, even though
none is left without answers (answers that generally reflect
In practice, Bianchi’s method, when applied to an idio-
original views that Pettazzoni regarded as “too personal” (so
graphic analysis of historico-religious phenomena, pursued
read the minutes of the competitive exam of 1958 for the
the typically nomothetic aim of providing a very accurate
professorship). A similar style characterizes the booklet Teo-
definition of the different kinds of religious experience to be
gonie e cosmogonie (Theogonies and cosmogonies; 1960),
tackled. The first definition at which he worked unceasingly
which discusses in a cross-cultural key recurrent motifs of
is precisely the definition of religion itself. On the one hand,
mythology (trickster, cosmogonic egg, and so on), in close
when his epistemological interest prevails, he defines religion
debate with the views of his predecessors (i.e., Pettazzoni,
in a merely operative way: religion in itself is an “analogon,”
Mircea Eliade, Leo Frobenius and his school), which he
not an univocal concept. In other words, Bianchi conceives
counteracts with proposals of his own. In the following years
religion as a “concrete (i.e., historical) universal, studied by
he had an ever-growing concern for determining a typology
history, rather than as a generic universal resulting from a
of religious phenomena and a methodology of the history of
theoretic option” (Bianchi, History of Religions, 1975,
religions.
p. 200; cf. pp. 6 and 214–215). On the other hand, when
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
864
BIANCHI, UGO
his existentialist animus emerges, he recurs to an Eliadean
storia delle religioni (Rome, 1958; German transl. Göttingen,
formula, religion as “rupture de niveau,” (break of level)
1964); Teogonie e cosmogonie (Rome, 1960); Storia
which he explains as a relationship “with a supra and a prius”
dell’etnologia (Rome, 1964; 2d ed. 1971); La religione greca
(above and before) (Problemi di storia delle religioni, 1958,
(Turin, 1975); The History of Religions (Leiden, 1975); The
pp. 116–117) or as a concern “with the widespread human
Greek Mysteries (Leiden, 1976); Prometeo, Orfeo e Adamo. Te-
tendency to identify a ‘beyond’” (1994, p. 920). It is, there-
matiche religiose sul destino, il male, la salvezza (Rome, 1976);
Selected Essays on Gnosticism, Dualism and Mysteriosophy (Lei-
fore, tangibly clear that Bianchi’s historicist empiricism ad-
den, 1978); Saggi di metodologia della storia delle religioni
justed itself to a certain amount of a priori hermeneutics, de-
(Rome, 1979). He has been the main editor of twelve collec-
spite his explicit denials.
taneous works. To be cited: Le origini dello gnosticismo (Lei-
All the multifarious subjects investigated by Bianchi es-
den, 1967); Storia delle religioni (5 vol.; Turin, 1971; still one
sentially converged on a single problem: the problem of des-
of the best handbooks of history of religions); Problems and
Methods of the History of Religions (Leiden, 1972); Mysteria
tiny, evil, and salvation—in other words, the problem of hu-
Mithrae (Leiden and Rome, 1979); La soteriologia dei culti
manity’s relationship with God, or theodicy, to which
orientali nell’impero romano (Leiden, 1981); La tradizione
Bianchi dedicated his last course of lectures at Rome Univer-
dell’enkrateia (Rome, 1985); Transition Rites: Cosmic, Social
sity in 1991 and 1992. In his painstaking handling of all the
and Individual Order (Rome, 1986); The Notion of “Religion”
themes connected with this triadic concern, he practically
in Comparative Research (Rome, 1994); Orientalia sacra urbis
turned his attention to all the religious words of the ancient
Romae. Dolichena et Heliopolitana (Rome, 1996). See also
Mediterranean region, offering meticulous contributions to
two articles which are important from the methodological
very specific subjects a synthesis of which is given in his Pro-
point of view: “History of Religions,” in this Encyclopedia of
meteo, Orfeo e Adamo (1976). Most influential was his defini-
Religion; “Between Positivism and Historicism: The Position
tion of the category of dualism as a widespread phenomenon
of R. Pettazzoni,” in Religionswissenschaft und Kulturkritik,
with ethnic roots all over the world. Dualism means the doc-
ed. by H. G. Kippenberg and B. Luchesi, Marburg, 1991,
trine of the two principles that, coeternal or not, cause the
pp. 259–263. A complete and well-organized bibliography
was compiled by his son Lorenzo Bianchi, “Bibliografia di
existence of that which exists or seems to exist in the world.
Ugo Bianchi,” in Ugo Bianchi. Una vita per la storia delle reli-
Despite all the criticisms it has drawn, his typology is still
gioni, edited by Giovanni Casadio (Rome, 2002),
valid in historical research. Also notable, notwithstanding a
pp. 469–496.
certain rigidity, is the three-pronged typology that he applied
to some conspicuous religious phenomena of antiquity. The
In the above-mentioned volume, topics of the history of ancient
triad comprises mysticism, mystery cults, and mysterioso-
religions and methodological issues to which Bianchi dedi-
cated his attention are analyzed critically by specialists, disci-
phy, where the last two types are alternative specifications of
ples and colleagues (e.g., Sanzi, Giuffré, Casadio, Chiodi,
the first one, which is more inclusive. Last, but not least, the
Antes, Mander, Panaino, Albanese, Aronen, Pachis, Gasapar-
investigation of the origin and definition of Gnosticism is
ro, Ciattini, Cerutti, Brezzi, Terrin, Giusti, Spineto,
perhaps the topic that, more than any other, made Bianchi
Gothoni). The aim is to contribute to the methodological
famous in the academic world. At the same time, however,
debate on the study of religion by pointing out the interrela-
it garnered him his harshest criticism.
tion between the historical data and the motivations behind
the interpretive discourse. There are other critical evaluations
Bianchi’s system for testing and ultimately perfecting
of aspects of his work and methodology, and more general
his definitions and typologies was gathering around itself se-
profiles (especially in the form of obituaries). The following
nior and junior scholars who might contribute fresh materi-
are worth mentioning. Franco Bolgiani, Il dualismo in storia
als and discussions on subjects whose scope Bianchi firmly
delle religioni (Turin, 1974), points out the difficult balance
delimited. During his life he managed to organize as many
between history and phenomenology in Bianchi’s interpreta-
as thirteen conferences, and he succeeded in having the pro-
tion of dualism. Ursula King, “Historical and Phenomeno-
ceedings of all of them published. In sum, apart from the im-
logical Approaches,” in F. Whaling (ed.), Contemporary Ap-
portance of his personal contribution to the study of Meso-
proaches to the Study of Religion, vol. 1, The Humanities
potamian, Iranian, Egyptian, Greek, Roman, and Christian
(Berlin, New York, and Amsterdam, 1984), pp. 83–85 and
religions, Bianchi has represented in the history of twentieth-
97–98, is superficial in her criticism. Aldo Natale Terrin,
century religious studies the figure who advances science
“Ugo Bianchi,” in P. Poupard (ed.), Grande dizionario delle
religioni (Assisi and Turin, 1988), pp. 215–216, writes from
using both dialogue and steadfastness as his weapons.
the point of view of phenomenology. Julien Ries, “Un régard
sur la méthode historico-comparative en histoire des reli-
SEE ALSO Brelich, Angelo; History of Religions.
gions,” in G. Sfameni Gasparro (ed.), Agathe Elpis. Studi
storico-religiosi in onore di Ugo Bianchi (Rome, 1994),
BIBLIOGRAPHY
pp. 121–148, describes accurately Bianchi’s method and
The following books of Bianchi can be mentioned: Dios aisa. Des-
sympathizes with it. Likewise, Kurt Rudolph, “In memoriam
tino, uomini e divinità nel’epos, nelle teogonie e nel culto dei
Ugo Bianchi,” Numen 42 (1995): 225–227, is unanimous in
Greci (Rome, 1953); Zaman i Ohramzd. Lo zoroastrismo nelle
his approach. Giovanni Filoramo, “In memoria di Ugo
sue origini e nella sua essenza (Turin, 1958); Il dualismo re-
Bianchi,” Rivista di storia e letteratura religiosa 32 (1996):
ligioso. Saggio storico ed etnologico (Rome, 1958); Problemi di
487–489, is appreciative but with some nuance (see also 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
BIBLICAL EXEGESIS: JEWISH VIEWS
865
Filoramo and Carlo Prandi, Le scienze delle religioni, Brescia,
Hebrew or as a result of their prolixity, by the popularity of
1997, pp. 57–59 and 305–306). Giulia Sfameni Gasparro,
Avraham ibn EEzraD. In fact, what influence they exerted was
“Ricordo di Ugo Bianchi: tappe di un percorso scientifico,”
largely due to their citation by Ibn EEzraD. Included among
in Destino e salvezza. Itinerari storico-religiosi sulle orme di Ugo
these are commentators like ShemuDel ben H:ofni (d. 1013),
Bianchi, edited by Gasparro (Cosenza, 1998), pp. 15–36 (see
Yehudah ibn BalEam, Mosheh ha-Kohen ibn Giqatilla; gram-
also “Ugo Bianchi and the History of Religions,” in Themes
marians like Yehudah ibn Hayyuj and Yonah ibn Janah; and
and Problems of the History of Religions in Contemporary Eu-
Karaite exegetes like Yefet ben EEli, who are generally treated
rope, edited by Gasparro, Cosenza, 2003, pp. 19–30) gives
an exhaustive presentation from the viewpoint of a faithful
neutrally by Ibn EEzraD, except with regard to crucial polemi-
disciple.
cal texts such as Leviticus 23:15, which divided the Karaites
from the Rabbinites.
GIOVANNI CASADIO (2005)
The peripatetic Ibn EEzraD wrote on almost all of the
Bible, often writing multiple commentaries on the same
book, not all of which have been published. Occasionally en-
BIBLICAL EXEGESIS
gaging in philosophical asides (e.g., Ecclesiastes 5 and 7), he
This entry consists of the following articles:
is nonetheless committed to the straightforward interpreta-
JEWISH VIEWS
tion of the text, governed by the principles of grammar. He
CHRISTIAN VIEWS
is often skeptical of Midrashic elaboration upon the narra-
tive, typically remarking, “If it is a tradition, we shall accept
BIBLICAL EXEGESIS: JEWISH VIEWS
it.” Regarding legal matters, he asserts his agreement with the
The shift from rabbinic hermeneutics to medieval exegesis
oral law whenever its views are no less plausible than possible
is marked by discrimination between different types of inter-
alternatives; otherwise, he accepts the oral law only as a nor-
pretation. It has been suggested, though not established, that
mative legal tradition that has been attached to the verse.
this occurred, in the Arabic-speaking world, under the impe-
The quest for exegetical simplicity led Ibn EEzraD to criti-
tus of Karaism which, by rejecting the authority of rabbinic
cize some earlier approaches to the text. Thus he rejects Ibn
tradition, forced proponents and opponents alike to consider
Jannah:’s view that the same Hebrew word can express con-
the literal meaning of the biblical text. The development of
tradictory meanings, as well as his willingness to transpose
Arabic grammar and rhetoric may also have encouraged sys-
words or to substitute words for those in the text. By the
tematic study of the literal meaning.
same token, he sees no need to employ the rabbinic listing
The first major figure of medieval biblical exegesis is the
of tiqqunei soferim (euphemistic emendations of phrases re-
Babylonian rabbinic leader SaEadyah Gaon (d. 942), who,
ferring to God). He is troubled neither by variations of
like his successors, engaged in translation into Arabic and
phrase, so long as the meaning is conserved (for example, he
commentary written in the same language. SaEadyah insisted
considers the differences between Exodus 20 and Deuterono-
on literal interpretation, but discussed four circumstances in
my 4 insignificant), nor by orthographical inconsistencies.
which deviation from the obvious literal meaning of the bib-
Ibn EEzraD has been regarded as a precursor of the Higher
lical text is justified: (1) when the literal meaning contradicts
Criticism which began with Barukh Spinoza (1632–1677).
reason (e.g., “God is a consuming fire” [Dt. 4:24] must be
Several cryptic passages in his commentary (e.g., on Gn.
interpreted metaphorically); (2) when the literal meaning
12:7, Dt. 1:2) allude to anachronisms in the Torah that have
contradicts sense-experience (e.g., Eve was not the “mother
since been interpreted either as signs of a post-Mosaic hand
of all living beings” [Gn. 3:21] but rather the mother of
(as first suggested by Yosef Bonfils in the fourteenth century)
human life); (3) when the literal meaning contradicts anoth-
or as consequences of prophetic familiarity with the future.
er biblical passage (e.g., “Thou shalt not test the Lord” seem-
Attention has also been given his obscure remarks about the
ingly contradicts “Test me and see,” thus necessitating rein-
postexilic historical setting of Isaiah 40–66.
terpretation); (4) when the literal meaning contradicts the
oral tradition (e.g., “Thou shalt not seethe a kid in its moth-
FRANCO-GERMAN EXEGESIS. The commentary of Rashi
er’s milk” [Ex. 23:19, 34:26; Dt. 14:21] is to be interpreted
(Shelomoh ben Yitsh:aq, 1040–1105) to the Torah is the
in conformity with the rabbinic view that this verse refers to
most influential work of Jewish exegesis. Combining philo-
all cooking of milk with meat).
logical sensitivity with generous quotations from rabbinic lit-
erature, it became, at the popular level, almost inseparable
The polemical thrust in SaEadyah’s exegesis manifests it-
from the biblical text itself: until the nineteenth century no
self in various ways. For example, his insistence that Psalms
text of the Pentateuch was published with any commentary
is a prophetic rather than a devotional book is meant to con-
that did not include Rashi’s as well. Rashi’s popularity, as
trovert Karaite dismissal of rabbinic liturgy as a superfluous
well as his laconic presentation, inspired hundreds of super-
innovation.
commentaries. The most important of these (e.g., Eliyyahu
SaEadyah and the writers who succeeded him over the
Mizrah:i and Yehudah Löw in the sixteenth century, David
next century, under the sway of Islam, were to a great degree
ha-Levi in the seventeenth, and the eclectic Shabbetai Bass)
eclipsed, whether because they wrote in Arabic rather than
constitute a significant contribution to biblical exegesis 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
866
BIBLICAL EXEGESIS: JEWISH VIEWS
their own right. The contemporary leader of Lubavitch Hasi-
and Job, his concern for the symbolic functions of biblical
dism, Menah:em Mendel Schneerson, has devoted the lion’s
imagery finds expression in an elaborate doctrine of prophe-
share of his voluminous output to an investigation of Rashi’s
cy and a tendency to allegorize many narratives. Lastly, his
nuances.
views on the “reasons for the commandments” occasionally
emphasize the literal sense of the text at the expense of its
Rashi several times distinguishes the literal meaning
normative application (e.g., the literalist rationale for the lex
(peshat:) from the homiletical (derash), identifying his own
talionis in Guide 3.41), and more than occasionally justify
method, despite its heavy use of aggadah, with the former
the commandments in utilitarian terms relevant to the his-
(e.g., on Gn. 3:8). His interpreters have generally inferred
torical situation of Israel at the time of Moses (e.g., the pur-
from this that all comments not explicitly labeled as Mid-
pose of the incense is fumigation of the Temple; many sacri-
rashic (and perhaps even these) are evoked by some peculiari-
ficial and agricultural commandments are intended to
ty in the text that Rashi seeks to resolve. Reworking of and
counteract idolatrous practices).
deviation from standard rabbinic exegesis occur both in nar-
rative and in legal passages (for the latter, see, for example,
The philosophical emphasis in Jewish biblical commen-
Exodus 23:2). In his philology, Rashi is limited by his depen-
tary flourished during the thirteenth to fifteenth centuries.
dence on those grammarians who wrote in Hebrew
Maimonides’ views spread in commentaries on the Prophets
(Menah:em ben Saruq and Dunash ibn Labrat), employing,
and Psalms written by both David Kimh:i (known as Radak;
for example, the doctrine of the two-letter root, later super-
early thirteenth century) and Menah:em MeDiri (late thir-
seded by the idea of a three-letter root. Among Rashi’s pre-
teenth century) of Provence. His terminology and concerns
decessors, mention must also be made of Menah:em ben
deeply affect the work of the antiphilosopher Yitsh:aq Arama
H:elbo.
(early fifteenth century) and the more ambivalent exegete
and commentator on the Guide, Isaac Abravanel. Maimoni-
Among Rashi’s contemporaries and successors, Yosef
des is also discussed by Moses Nahmanides (Mosheh ben
QaraD and ShemuDel ben Meir (Rashbam) are the most influ-
Nah:man, thirteenth-century Spain) and the exegetical tradi-
ential. The latter, who was Rashi’s grandson, reflected on the
tion stemming from him. Yosef Albo’s Sefer ha- Eiqqarim
innovation in the study of peshat: (see digression at Genesis
(Book of principles), in which the greatest doctrinal affinity
37:2): earlier generations, in their piety, had been concerned
is to Albo’s teacher H:asdai Crescas, a trenchant critic of Mai-
with the legal and moral lessons of scripture, leaving room
monides, should be cited for several homiletical sections.
for the “ever new facets of peshat: that are every day discov-
ered.” Rashbam is more reluctant than Rashi to erect his exe-
The prolific Yosef ibn Kaspi (fourteenth-century Pro-
gesis on rabbinic tradition, and he is more prone to seek exe-
vence and Spain) displays a Maimonidean interest in the alle-
getical alternatives in the legal passages (e.g., his preface to
gorization of prophetic stories (e.g., Jonah and the fish) along
Exodus 21). Thus he asserts that day precedes night in Genesis
with strikingly original speculations (e.g., on the differences
1:5, in contradiction to the halakhic exegetical tradition.
between Samuel, Kings, and Chronicles).
Other Franco-German scholars of note are Yosef Be-
Levi ben Gershom (Gersonides; fourteenth-century
khor Shor, EliEezer of Beaugency, and Rashbam’s brother
Provence), a major Jewish philosopher, and more consistent
YaEaqov Tam (primarily for his grammatical remarks). Their
an Aristotelian than Maimonides, is a major biblical com-
works were overshadowed by Rashi’s and did not enjoy wide
mentator as well. Limiting divine providence, he offered ra-
circulation. More often republished are various collections
tionalistic explanations of the stopping of the sun by Joshua
of tosafistic exegetical works (e.g., Da Eat zeqenim) that are
and maintained that it was not Lot’s wife but Sodom that
homiletical in nature and often refer to Rashi. Also notewor-
became a pillar of salt. Like Maimonides before him, he in-
thy are the many biblical exegetical comments found in tosa-
terprets the Song of Songs as an allegory of God and the indi-
fot to the Talmud. A significant manifestation of biblical
vidual soul, not, as Rashi and Ibn EEzraD did, as an allegory
study is found in Jewish-Christian polemical literature, such
of God’s relationship with the Jewish people. Following Mai-
as the anonymous Sefer nitstsah:on yashan.
monides, he unraveled the speeches of Job and his friends as
MEDIEVAL PHILOSOPHICAL EXEGESIS. Philosophical con-
presentations of philosophical positions on providence. Ger-
cerns play a role in the work of SaEadyah (who participates
sonides affixed to his commentaries a list of to Ealiyyot
in Kalam philosophy) and the Neoplatonist Ibn EEzraD.
(“lessons”) to be derived from scripture.
Bah:ye ibn Paquda’s ethical treatise Duties of the Heart and
ECLECTIC COMMENTARIES: THIRTEENTH–FIFTEENTH CEN-
Yehudah ha-Levi’s Kuzari also contain remarks pertinent to
TURIES. David Kimh:i combines philological-grammatical
biblical study. It is, however, with the Guide of the Perplexed
perspicuity with liberal quotations from rabbinic literature,
of Moses Maimonides (Mosheh ben Maimon; 1135/8–
discussions of the Targum and its variants, fealty to Mai-
1204) that the philosophical approach to scripture becomes
monides, and references to Rashi, Ibn EEzraD, Yosef Kimh:i,
central. Maimonides’ doctrine of religious language leads
who was his father, and his brother Mosheh (author of pseu-
him to reinterpret anthropomorphisms and anthropopa-
do-Ibn EEzraD on Proverbs and Ezra-Nehemiah). Given the
thisms more rigorously than his predecessors. In addition to
paucity of Rashi on Prophets, it is not surprising that Kimh:i
his interpretations of such sections as Genesis 1, Ezekiel 1,
is perhaps the most popular of medieval exegetes on the
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BIBLICAL EXEGESIS: JEWISH VIEWS
867
Prophets. A polemical contention with Christianity fre-
anic and is quick to respond to christological interpretations
quently comes to the fore, for example, contra the christolog-
(e.g., Is. 7, 34).
ical reading of the Immanuel prophecy (Is. 7). He evinces se-
THE SIXTEENTH–EIGHTEENTH CENTURIES. The centuries
rious concern for variations in the received Masoretic text.
following the expulsion of the Jews from Spain have been er-
Nahmanides, like Rashi, is a major Talmudist who de-
roneously characterized as a stagnant era for Jewish biblical
voted himself to a commentary on the Torah; its impact over
study. M. H. Segal, in his survey of Jewish Bible study, in-
the centuries is second only to Rashi’s. He attends to philolo-
cludes only the Metsuddat David and Metsuddat Tsion (by
gy and law and comments on theological issues and psycho-
the Altschuler family, late seventeenth-century Germany), a
logical factors. Reaching the Land of Israel in his old age, he
generally unoriginal selection from Rashi, Ibn EEzraD, and
is occasionally able to draw upon an acquaintance with its
Kimh:i that became a standard accompaniment to the study
geography and realia. A qabbalist, he is the first major com-
of the Prophets and Hagiographa. Jewish exegesis of this pe-
mentator in whose work qabbalistic hints are common.
riod, unlike that of Rashi, Ibn EEzraD, Maimonides, and
Thus, by the fourteenth century, in the aftermath of Mai-
Kimh:i, does not exercise an impact on Christian scholarship.
monides and Nahmanides, we encounter the fourfold divi-
It innovates little of value as regards philology and grammar,
sion of biblical interpretation—PaRDeS—in which remez
beyond the achievements of the medievals (more specifically,
(hint) and sod (esoterica) join the familiar peshat: and derash.
the eleventh–thirteenth centuries). Moreover, the lack of
Nahmanides frequently quotes and discusses Rashi, particu-
willingness to develop alternatives to previous commentaries
larly in legal sections, less frequently, Ibn EEzraD, toward
and rabbinic tradition brings innovation in reading the legal
whom he adopts an attitude of “open rebuke and hidden
sections to a virtual standstill (despite the isolated examples
love.” He cites Maimonides, sometimes lauding his views,
culled by contemporary scholars). Typical of this change,
but on several crucial matters he disagrees sharply, for exam-
which reflects the failure of the leading Talmudists of the pe-
ple, on the meaning of the sacrificial cult (Lv. 1:9) and the
riod to make the Bible a major preoccupation, is Ibn Kaspi’s
role of angels in prophecy (Gn. 18:1).
preface to Exodus 21, in which he disclaims his own compe-
tence and defers to Rashi’s exegesis of the legal matters.
Nahmanides also employs typological interpretation to
explain apparent superfluities in Genesis. While this method
Pace Segal, however, one cannot gainsay several contri-
has its roots in Midrash (“the acts of the fathers are a sign
butions of the period. EOvadyah Sforno (sixteenth-century
for the sons”), it does not enjoy the popularity among Jewish
Italy), writing on the Torah and other biblical books, stresses
medieval commentators that it attained in Christian exegesis.
both literal and philosophical interpretation. He follows
Of the Spanish commentators of import who flourished in
Nahmanides in regarding the stories of Genesis as a typologi-
the fourteenth and fifteenth centuries, several were strongly
cal “blueprint” of history. He is particularly concerned about
influenced by Nahmanides. Bah:ye ben Asher includes a larg-
the placement of legal sections among narrative units (e.g.,
er quota of homiletical and qabbalistic material. YaEaqov ben
the laws pertinent to the Land of Israel that follow the story
Asher’s Perush ha-t:tur ha-arokh avoids such digressions. Nis-
of the spies, Nm. 15). Other major figures generally present
sim of Gerona, whose 12 Derashot (Twelve homilies) and
their comments within a homiletical framework, with a not-
commentary to Genesis 1–23 are occasionally critical of Nah-
infrequent mystical tendency. Efrayim of Luntshits’s Keli
manides, nonetheless belongs to his sphere of influence.
yaqar, the work of a sixteenth-century Polish preacher, and
the mystically oriented Or ha-h:ayyim of H:ayyim ibn Attar
Isaac Abravanel (Spain and Italy, d. 1508) represents the
(eighteenth-century Morocco) have become enshrined in
last stage of classic medieval commentary. Loquacious in
many editions of Miqra Dot gedolot, the standard rabbinical
style, he makes liberal use of the work of his predecessors,
Bible textbook, as have excerpts from the commentaries of
ranging over the philological, philosophical, and homiletical
the sixteenth-century Greek preacher Mosheh Alshekh. The
approaches. His psychological-political sense is keen; his phi-
aforementioned works find their continuation in nineteenth-
losophy, while tending toward fideism, is rooted in an ex-
and twentieth-century homiletical literature, of which the
tended and passionate involvement with Maimonides’
most outstanding examples are the classic works of the Ha-
Guide; philological originality, however, is not his strong
sidic movement, such as YaEaqov Yosef of Polonnoye’s Tole-
suit. His prefaces to the biblical books are more elaborate
dot Ya Eaqov Yosef and Elimelekh of Lizhensk’s No Eam Eli-
than his predecessors’, often devoting detailed attention to
melekh in the eighteenth century, and Sefat emet (by Alter of
the authorship and provenance of the text; here he is willing
Gur) or Shem mi-Shemu Del (by ShemuDel of Sochatchov) in
to challenge rabbinic ascriptions, for example, attributing the
the late nineteenth to early twentieth century.
Book of Joshua to Samuel instead of Joshua.
Abravanel makes use of such Christian scholars as Je-
It should be noted that this period also marks the hey-
rome and Nicholas of Lyra. His piety finds clear expression
day of the major supercommentaries on Rashi, which appar-
in his eschatological emphasis. Against Ibn Giqatilla, who in-
ently offered an outlet to rabbis interested in extending the
terpreted most prophecies of redemption as references to the
medieval methods of study.
Second Temple period, and Ibn EEzraD, who took a middle
TRADITIONAL DEVELOPMENTS IN THE MODERN PERIOD.
view, Abravanel is eager to read all such prophecies as messi-
Beginning in the late eighteenth century there is a renewal
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868
BIBLICAL EXEGESIS: JEWISH VIEWS
of interest, evident from several Torah commentaries, in the
Midrash to derive a lesson illustrative of rigorous moral stan-
interaction between traditional rabbinic exegesis and extra-
dards. There is also a quasi-exegetical literature seizing the
traditional exegesis. This renewal may derive from increased
text as an opportunity for halakhic analysis (e.g., Beit ha-Levi
availabililty of the full panoply of rabbinic exegesis (i.e.,
by the nineteenth-century Yosef Dov Soloveichik; Tsafenat
Sifra D, MekhiltaD, Sifrei, the Jerusalem Talmud, and eventual-
pa Eaneah: by the early-twentieth-century Yosef Rosin). Sam-
ly Mekhilta D de Rabbi Shim Eon and Sifrei Zut:aD), which drew
son Raphael Hirsch, who as rabbi in Frankfurt contended
attention to hermeneutical results other than those preserved
with Reform, maintained in his German commentaries to
in the Babylonian Talmud. Whatever its sources, it is clearly
Torah and Psalms that the written law was dependent on the
motivated by a desire to defend the authenticity of the oral
oral, as a set of notes is dependent on the lecture. Rabbinic
law against its skeptical (“enlightened” or Reform) detractors
hermeneutic, then, is less a matter of correct philology than
by showing the connection between the “text and tradition”
of access to a code. In seeking to interpret the text, both nar-
(the title of YaEaqov Mecklenburg’s nineteenth-century com-
rative and legal, and justify tradition regarding the latter,
mentary Ketav ve-ha-qabbalah).
Hirsch resorted to an idiosyncratic etymological method (oc-
casionally used by Mecklenburg as well), whereby phoneti-
One may distinguish between two types of works pro-
cally similar consonants are interchanged in order to locate
duced by these authors. The eastern Europeans, such as Eliy-
the “essential” meaning of the word. Hirsch strongly criti-
yahu ben Shelomoh Zalman, known as the gaon of Vilna
cized Maimonides’ approach to “reasons for the command-
(now Vilnius; d. 1796), Naftali Tsevi Berlin (d. 1892), and
ments.” Instead he offered a system of symbolic interpreta-
MeDir Simh:ah of Dvinsk (now Daugavpils; d. 1926) often
tion in which, for example, the upper half of the altar
present their own novel interpretations. Those who were
represents the higher nature of man, while the lower half
most exposed to the aforementioned external challenges, in
symbolizes the lower aspects of human nature. Hirsch’s ra-
Germany (Mecklenburg and Samson Raphael Hirsch) or
tionales, unlike those dominant in the medieval literature,
Romania (Malbim), are reluctant to propose legal interpreta-
sought to explain not only the general purpose of the laws
tions contrary to tradition. Eliyyahu ben Shelomoh Zalman’s
but their particular features as well, including those that are
treatment of the Bible is displayed in his commentary to
derived through rabbinic interpretation.
Proverbs, to sections of other books, and in notes to others.
He seeks an integration of all dimensions of Torah study,
In contrast with Hirsch, Malbim proclaimed rabbinic
from the literal to the mystical. This involves the unification
hermeneutics to be the correct grammar of biblical Hebrew.
of oral and written laws but also precipitates an awareness
From his premise about the perfection of biblical Hebrew he
of the differences between them. As an example of the latter
concludes that the Bible contains no redundancies of style
one may point to his comment on Leviticus 16, where he rec-
or language: every seeming redundancy must be explained.
ognizes two strata: 1–28 (referring to Aaron and oblivious
Thus, Malbim (following Eliyyahu ben Shelomoh Zalman
to the Day of Atonement) and 29–34 (referring to the high
and others) discovers many fine distinctions among the syno-
priest and specifying the Day of Atonement). Both are, of
nyms in biblical parallelism, rejecting the approach of Kimh:i
course, Mosaic: the former pertaining to Aaron’s priesthood;
and the Metsuddot that “the content is repeated in different
the latter, to the period after his death. Like his eastern Euro-
words.” Malbim’s identification of rabbinic exegesis with
pean successors, he interprets many verses as allusions to the
philology is symbolized in his commentary to biblical law,
value of Torah study.
where his independent commentary becomes, instead, a
commentary to the corpus of halakhic midrashim, insofar as
Berlin, in his Ha Eameq davar on Torah as well as his
the latter provides the literal meaning of scripture.
commentaries to halakhic midrashim and the Shei Dltot of
Ah:aDi Gaon (eighth century), continues to cultivate both the
Illustrative of the differences between Malbim and some
unification and differentiation of peshat: and derash. His work
of his major medieval predecessors is his treatment of qeri
on narrative sections is distinguished by psychological perspi-
(vocalization) and ketiv (Masoretic text). Ibn EEzraD had
cuity that is enhanced rather than diminished by his reliance
viewed the qeri as instructive of how the ketiv is to be read.
on the qabbalistic typology that identifies the patriarchs with
Kimh:i had proposed that qeri/ketiv in the Prophets generally
particular sefirot. MeDir Simh:ah’s Meshekh h:okhmah is valued
reflects alternative textual traditions, both of which were re-
both for its insightful homiletical pieces and for his com-
tained by the editors (“the men of the Great Assembly”) out
ments on, and alternatives to, classic rabbinic tradition.
of uncertainty. Abravanel had gone so far as to suggest that
the plethora of qeri/ketiv in Jeremiah derives from that
Connected with these developments are such works as
prophet’s orthographic deficiencies. For Malbim, however,
Barukh Epstein’s Torah temimah, an anthology of rabbinic
both qeri and ketiv are divinely ordained and so must be in-
material with eclectic notes (1903) and Menah:em Mendel
terpreted.
Kasher’s Torah shelemah, a heavily annotated encyclopedia
work of the same nature. In addition one must note the
Both Hirsch and Malbim had enough awareness of bib-
aforementioned Hasidic exegesis and the homiletical litera-
lical criticism to address such problems as the doublets in
ture produced by the Musar movement (e.g., Natan Finkel’s
biblical narrative through literary analysis. They are both
Or ha-tsafun), generally interpreting the text in the light of
oblivious, however, to the data provided by comparative Se-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIBLICAL EXEGESIS: JEWISH VIEWS
869
mitics or knowledge of the ancient Near East. David Tsevi
weig’s German translation, particularly the notion of
Hoffmann (d. 1922), the last great traditional biblical exe-
Leitworten, and Buber’s own biblical studies have exerted an
gete of western Europe, is fully aware of contemporary bibli-
important influence, as has MeDir Weiss’s method of “total-
cal scholarship and its ancillary disciplines. In his German
interpretation.” It is too early to assess the impact of Abra-
commentaries to Leviticus, Deuteronomy, and Genesis and in
ham Joshua Heschel’s The Prophets, André Neher’s theologi-
Die wichtigsten Instanzen gegen die Graf-Wellhausensche Hy-
cal studies, or Joseph B. Soloveitchik’s (mostly unpublished)
pothese he marshaled his arguments against non-Mosaic dat-
existential homilies.
ing of the Torah. A leading Talmudic authority, he concen-
The last generation has also seen a revival of interest, on
trated on biblical law, attempting to establish that the laws
the part of Jewish biblical scholars, in traditional exegesis.
ascribed to the P and D sources could best be understood
The teaching and writing of Nehama Leibowitz have made
within the context of Israel’s desert experience, in the order
the traditional corpus attractive beyond the Orthodox camp.
narrated by the Torah, and that these laws were available in
This development has further encouraged literary and theo-
their present form during the First Temple period.
logical concerns. It is not surprising to find scholars like
ENLIGHTENMENT AND ITS AFTERMATH. The second half of
Moshe Greenberg and Uriel Simon who, like Segal before
the eighteenth century also marks the entry of Jewish exegesis
them, combine research in the Bible with research in the his-
into the world of general European culture. The founding
tory of exegesis. Thus the turn toward literature and, to a
father of the Jewish Enlightenment was Moses Mendelssohn
lesser extent, theology and the significant place accorded to
(d. 1786), whose elegant German translation of the Torah
Jewish exegesis have created a scholarly style that transcends,
was the first by Jewish hands; the translation was accompa-
to some degree, the gap in belief between Orthodox and
nied by a commentary (the Bi Dur) authored by Mendelssohn
non-Orthodox.
and his associates. This commentary follows in the footsteps
Within the modern Orthodox community, two devel-
of the classical medieval exegetes but is quite conservative in
opments must be marked. The Da Eat miqraD series (which
accepting rabbinic tradition regarding the legal sections; it
does not include the Torah) offers a semipopular commen-
is also concerned with aesthetic features of the text. That the
tary that incorporates the data of modern investigations into
Bi Dur was banned in many Orthodox circles had little to do
the framework of traditional scholarship. The somewhat id-
with its content.
iosyncratic work of Mordecai Breuer proclaims that the
Nineteenth-century scholars like the Italian ShemuDel
Torah, from a human point of view, speaks in multiple
David Luzzatto (d. 1865) accepted the principles of contem-
voices whose relation to one another must be clarified, along
porary biblical scholarship—up to a point—reluctant as they
the lines of Hoffmann. Breuer also seeks to investigate textu-
were to apply critical results to the text of the Torah. Luzzat-
al variants with an eye to grasping the meaning of the canon-
to was willing to propose emendations outside the Torah. He
ized text.
stoutly resisted the thesis of postexilic authorship for Isaiah
40–66 on internal, not merely theological, grounds (though,
BIBLIOGRAPHY
by the turn of the century, Hoffmann’s Orthodox colleague
While several modern exegetical works have appeared in Western
Jakob Barth recognized internal evidence for the later dat-
languages, such as those of Samson Raphael Hirsch and
ing). Resistance to the Documentary Hypothesis continued,
David Hoffmann, which were published in German, most
beyond Orthodox circles, into the twentieth century. The
of the primary literature has appeared in Hebrew. However,
German Liberal rabbi Benno Jacob insisted on the literary
several primary sources are available in English translation.
integrity of the Torah and rejected textual emendation. The
A mildly bowdlerized translation of Rashi’s commentary on
notes to British Chief Rabbi Joseph Hertz’s popular English
the Pentateuch was prepared and annotated by M. Rosen-
baum and A. M. Silbermann under the title Pentateuch with
translation of the Pentateuch contain a lively attack on
Targum Onkelos, Haphtaroth and Rashi’s Commentary, 5 vols.
Higher Criticism. Umberto Cassuto and M. H. Segal, both
(New York,1934). C. B. Chavel’s Ramban (Nachmanides):
professors at the Hebrew University in Jerusalem, rejected
Commentary on the Torah, 5 vols. (New York, 1971–1976)
the Documentary Hypothesis without accepting the Ortho-
is a complete and annotated translation of Nahmanides’
dox position: Cassuto spoke of the post-Mosaic writing
commentary on the Pentateuch.
down of oral traditions, while Segal posited a significant
Other medieval biblical exegetes whose works have been translated
number of interpolations. Their stances have been furthered
into English include Avraham ibn EEzraD on Isaiah (The Com-
by their more conservative student Y. M. Grintz. Such views
mentary of Ibn Ezra on Isaiah, translated by Michael Fried-
maintain an attraction and influence among Jewish students
länder, vol. 1, London, 1873); David Kimh:i’s commentary
of the Bible.
on Isaiah (The Commentary of David Kimh:i on Isaiah [1926],
translated by Louis Finkelstein, reprinted, New York, 1966),
CONTEMPORARY TRENDS. Philosophical and literary contri-
as well as his work on Hosea (The Commentary of Rabbi
butions have also affected contemporary study. Yeh:ezkel
David Kimhi on Hosea [1929], translated by Harry Cohen,
Kaufmann’s insistence on the radical success of biblical mo-
reprinted, New York, 1965), and on Psalms, chaps. 120–150
notheism is a theological as well as historical thesis. The liter-
(The Commentary of Rabbi David Kimh:i on Psalms CXX-CL,
ary sensitivity exhibited by Martin Buber and Franz Rosenz-
translated by Joshua Baker and E. W. Nicholson, Cam-
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870
BIBLICAL EXEGESIS: CHRISTIAN VIEWS
bridge, 1973); Levi ben Gershom’s commentary on Job
TYPES OF CHRISTIAN EXEGESIS. In the earliest phase of exe-
(Commentary of Levi ben Gerson on the Book of Job, translated
gesis the main strands of doctrine and ethics were established
by A. L. Lassen, New York, 1946).
and we find interpretation oscillating between the contrast-
A complete listing of all editions of exegetical works written prior
ing approaches of the literal and the allegorical. In the medi-
to 1540 is to be found in M. Kasher and Jacob B. Mandel-
eval period much of this polarity was continued, but one
baum’s Sarei ha-elef, 2d ed., 2 vols. (Jerusalem, 1978). Neha-
major development arose as a result of the interpretation of
ma Leibowitz’s studies on each book of the Pentateuch have
Apocalypse and the departure from the Augustinian consen-
been translated into English and adapted by Aryeh Newman
sus found in the work of Joachim of Fiore (twelfth century)
in six volumes (Jerusalem, 1972–1980) and provide an excel-
and his successors in which the Bible as whole offered a phi-
lent guide to traditional Jewish commentary. Moshe Green-
losophy of history which reflected the trinitarian nature of
berg’s Understanding Exodus (New York, 1969) integrates a
God. By the time of the Reformation a distinct preference
generous amount of traditional exegesis.
had developed for the plain sense of Scripture over the mani-
M. H. Segal’s Parshanut ha-miqra D, 2d ed. (Jerusalem, 1971) is a
fold meanings that had been worked out in medieval exege-
fine survey of Jewish exegesis. Ezra Zion Melamed’s Mefar-
sis, itself largely dependent on the work of the patristic peri-
shei ha-miqra D, 2 vols. (Jerusalem, 1975), covers Rashi, She-
od. Scripture, within Protestantism, moved from being one
muDel ben MeDir, Ibn EEzraD, Kimh:i, Nahmanides, and the
exegesis of rabbinic Targum in detail.
important component in discerning the divine will to be-
come the central means of Christian life and thought. At the
Some aspects of exegesis between SaEadyah and Ibn EEzraD are dealt
Enlightenment, the importance of human experience and in-
with by Uriel Simon in Arba D gishot le-sefer Tehillim (Ramat
tellectual reflection and the expansion of historiography at
Gan, Israel, 1982). The exegesis of the medieval Franco-
German Jewish scholars is described by Samuel Pozananski
the time of the Enlightenment reflected a resistance to au-
in his edition of Eli’ezer of Beaugency’s Perush Yeh:ezqe Dl ve-
thoritative texts and institutions, and led to a shift from
Terei EAsar (Warsaw, 1909).
studying the literal meaning of texts to considering them
within their supposed historical contexts.
An extensive bibliography of recent literature can be found in the
Entsiqeloppedyah miqra Dit (Jerusalem, 1982), in the lengthy
Literal exegesis. Literal exegesis of scripture is in fact
entry on biblical exegesis that appears in volume 8
a limited enterprise in which the basic tasks, such as consulta-
(pp. 649–737).
tion of the best manuscripts and accurate construal and
SHALOM CARMY (1987)
translation of passages in the original, enable a reader to
know what the text actually says and means. The task of un-
derstanding meaning almost always moves beyond the literal
through recourse to analogies, such as parallels drawn from
BIBLICAL EXEGESIS: CHRISTIAN VIEWS
other texts, whether inside or outside the Bible, or through
Biblical exegesis involves the interpretation, explanation, and
historical reconstruction.
exposition of the Bible’s various books, in relation either to
the time of their composition, or to their meanings for read-
Figurative and allegorical exegesis. There has always
ers in subsequent centuries. The basis of biblical exegesis is
been a dialectic between literal interpretation and those
translation and the detailed study and explanation of gram-
forms of interpretation in which another referent becomes
matical meaning. It has been linked in the modern period
a factor. This latter kind of interpretation presupposes that
with the elucidation of the historical context of biblical texts,
the letter of the text points to another level of reality and
though there is nothing in the word that would confine it
other dimensions of meaning. The literal sense of Scripture
to such study. Indeed, the cognate verb (exegesato) is found
yields a “deeper,” “transcendent” meaning in the contrast be-
in the New Testament at John 1:18, where Christ is de-
tween two cities and two covenants (e.g., Gal. 4:24). Paul
scribed as one who explains or expounds the unseen God (cf.
refers to this kind of method in 2 Corinthians 3:6 as a con-
Heb. 1:1). John 1:18 suggests a definition broader than mere
trast between the letter and the spirit. Allegorical exegesis,
verbal paraphrase or grammatical explanation, as it asserts
therefore, involves the ability of the interpreter to discern in
that the practical demonstration of meaning—through living
a piece of biblical text subject matter different from the ap-
out the meaning of biblical words—is equally, if not more,
parent subject, even though it may be suggested by the latter.
important.
Textual and social context. Context in exegesis can be
Christian exegesis is not a homogeneous entity. There
provided by something as basic as reference to the occurrence
are clearly discernible methodological strands in the history
of synonyms, or thematic parallels, in a single document or
of Christian biblical interpretation, but there are also many
in multiple parts of the Bible. In the modern period, howev-
features that Christian exegesis shares with other religious
er, context is also understood in a broader sense as, firstly,
traditions (especially Judaism). This has remained so
the situation of the original writer and recipients, and, sec-
throughout the history of the church. There is not much that
ondly, the effects of social context on the interpreter. The
can be called distinctively Christian, other than those very
impact of social situation upon exegesis is something already
deliberate attempts to relate passages from the Hebrew Bible
deeply rooted in Jewish exegesis, as the application of the
to the person and work of Jesus Christ (e.g., Matt. 1:23).
Torah in new circumstances led to interpretative approaches
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BIBLICAL EXEGESIS: CHRISTIAN VIEWS
871
that either amplified, or were determined by, social context.
be addressed by God. This is well illustrated by some famous
Consciousness of the extent to which social context influ-
lines that summarize Christian exegesis: “The literal sense
ences interpretation has been a feature of all exegesis influ-
teaches what happened, allegory what you are to believe, the
enced by the theology of liberation.
moral sense what you are to do, anagogy [interpretation]
where you are going” (Nicholas of Lyra, thirteenth century).
From Christian tradition to ancient history. The
The point of the interpretation of Scripture is also well illus-
modern period witnessed a significant shift at the end of the
trated in the following quotation from Augustine’s De doc-
eighteenth century with the rise of the historical method.
trina christiana:
This meant that a method of interpretation based on the re-
ceived wisdom of the Christian tradition was over time re-
The student who fears God earnestly seeks his will in
placed with a form of interpretation that either had only
the Holy Scriptures. Holiness makes him gentle, so that
loose ties to the earlier tradition, or rejected it completely.
he does not revel in controversy; knowledge of lan-
In the place of traditional exegesis, there emerged an inter-
guages protects him from uncertainty over unfamiliar
pretative approach in which the exegesis of specific biblical
words and phrases, and a knowledge of certain essential
things protects him from ignorance of the significance
texts was based primarily on establishing relationships be-
and detail of what is used by way of imagery. . . .
tween those texts and others that were contemporaneous
Once close consideration has revealed that it is uncer-
with them. The emergence of the historical method as a he-
tain how a passage should be punctuated and articulat-
gemonic mode of biblical interpretation in the academy and
ed, we must consult the rule of faith, as it is perceived
then the church meant that there was a significant caesura
through the plainer passages of the scriptures and the
with earlier patterns of interpretation. That difference is
authority of the church (iii.1).
more apparent than real, however, as some of the underlying
CHRISTIAN IDENTITY AND THE JEWISH BIBLE. A major issue
interpretations at work are quite similar, in that historical
in nascent Christianity was difference from other Jews and
study is driven by a desire to ascertain what really went on
the contrasting interpretations of shared scriptural texts. The
and not to rely on what the text actually says.
messianism which lies at the heart of Christian belief and
AUTHORITY. It is because the biblical writings have been
which stresses qualitative difference and discontinuity always
deemed to be fundamental for the existence of the Christian
has the effect of downplaying the importance of the past in
religion that their interpretation has been a matter of central
its preference for the new and the revelatory. The title New
significance from the very start. In one important respect,
Testament indicates something of this character. It suggests
however, largely determined by the form of the biblical mate-
a relationship to another covenant that is now considered ob-
rial, neither Judaism nor Christianity has been able to resort
solete and underlines the newness of what is being offered
to their authoritative texts as unambiguous sources of au-
(1 Cor. 11:25; 2 Cor. 3; Heb. 8–9; cf. Exod. 24 and Josh. 24).
thority in matters of doctrine and ethics. Even legal texts are
It also reveals a primary concern with the relationship of its
too imprecise to allow readers to know exactly what is re-
convictions to the traditions of the past (see, e.g., Matt. 1:1;
quired of adherents: How does one know how to keep the
Acts 28:25ff.; Rom. 9–11). In early Christian writings this is
Sabbath holy when all one is give is a general command with
dealt with in various ways: with Christ comes the “end”
little detail regarding what is involved? Much of Jewish tradi-
(telos) of the Law (Rom. 10:4), promise and fulfillment (1
tion is an attempt to relate contemporary circumstance to a
Cor. 10:11; Matt. 1:23), or obsolescence (Hebrews). Other
tradition of case law and scripture. With its connections to
passages contrast one dispensation in the divine purposes
the Jewish Bible so loose, early Christianity could never be-
with the new, decisive one in Christ (Luke 16:16), posit es-
come a religion of the book. Other factors were always re-
sential continuity between Christians and the traditions with
quired (tradition, a rule of faith, even charismatic or prophet-
the clear assumption that Jews had misunderstood those tra-
ic inspiration) to guide readers as they sought to use the Bible
dition (Acts 7), claim that literal interpretation or application
in connection with their religion.
of the Bible is misguided (Epistle of Barnabas), or dismiss the
Bible as the product of an inferior divinity (Marcion). Be-
EXEGESIS AND THE LIFE OF FAITH. In the modern period
cause of the belief that the Jewish scriptures found their ful-
there has often been a tense relationship between church and
fillment in Jesus, the meaning of the Hebrew text was there-
academy in regards to the interpretation of the Bible. For
by reduced to a reference to Christ. While there is often the
most of Christian history the interpretation of the Bible was
sense that the scriptures have already been fulfilled in Christ
part of the life of faith. That is not to suggest that it was an
and the church, there can also be a degree of open-endedness,
uncritical activity. There was, however, a widespread recog-
such as is found in 1 Corinthians 9:8–12, in which the bibli-
nition that the interpretation of Scripture was not an end in
cal text can have an ongoing application to the life of the
itself but part of an education in the life of faith. The study
reader without the fulfillment in Christ closing down inter-
of the Bible was for the purpose of hearing God addressing
pretative possibilities.
the church and also the individual. A variety of interpretative
techniques contributed to the fulfillment of this goal, in
In the New Testament there is a tension between the
order that even the most apparently inhospitable parts of
belief that a messianic deliverer has already come, thereby
scripture could provide a means whereby the believer could
fulfilling the scriptures, and the belief that the final coming
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BIBLICAL EXEGESIS: CHRISTIAN VIEWS
to establish what he has already started is still awaited. This
engaged in an exegesis of the Scriptures detached from the
tension is at the heart of much of the theology and interpre-
practice of faith. Earlier scriptures had to be read in the light
tation of Christianity and it is this tension, or dialectic,
of convictions about Jesus Christ. God spoke directly
which in various forms can be seen to be characteristic of
through Spirit in revelations (1 Cor. 14:26), and Scripture
Christian exegesis down the centuries. It is exemplified in the
and tradition provided a secondary support for insight ob-
Gospel of John in which tension between past revelation on
tained by other means.
the one hand and present or future revelation on the other
THE FOUNDATIONS. The earliest Christian interpretations of
hand is left unresolved in the departing words of Jesus (John
the Bible take many forms. The true meaning of the text is
14:26; 16:13). The bulk of the Spirit-Paraclete’s sayings are
demonstrated in relation to the key stories of the emerging
retrospective: the Paraclete’s role is to point to Jesus, but
Christian tradition (e.g., Matt. 1:23). This has its analogies
there is some evidence of continuing inspiration (e.g., John
in the Jewish interpretative tradition as is evident in treat-
16:13). In Christian history there have always been many
ment of the Dead Sea Scrolls, especially the Habakkuk Com-
movements that have stressed the importance of present in-
mentary (1 Qp. Hab.), in which the meaning of the prophet-
spiration in preference to the patient interpretation of words
ic oracles, opaque to the original writer, is now revealed to
from the past. One such was Montanism, which in the sec-
an inspired interpreter. An apologetic, Christological con-
ond century claimed to represent the ongoing activity of the
cern became a hallmark of attempts—from the writings of
Spirit-Paraclete in their own prophetic activity—and was
Justin (second century) onwards—to prove that the Chris-
thereby the pioneer of many similar claims throughout the
tian message had its origins in the prophetic material of the
history of the church (e.g. in the claims to new revelation and
past.
spiritual renewal found in the radical Franciscan movement
of the thirteenth century and in the Radical Reformation).
Typology and allegory were both used to serve these
In Christian exegesis there is a constant dialectic between the
ends. Typology is the juxtaposition of types (including peo-
announcing of something new and the fact that what is new
ple, institutions, or events), and is employed in exegesis when
is going to follow the contours of what has been said and
a biblical scene or figure is taken up and viewed as an inter-
done by Jesus. This retrospective element has always pushed
pretative analogy for a contemporary belief or practice. The
Christian interpreters back to their scriptures and to the
relationship between type and antitype is suggested by the
events to which they bear witness. The importance of that
accumulation of points of correspondence between two (or
underlying historical referent has always been a matter for
more) narratives. The type and the antitype are not identical
debate: Did it matter whether the events described actually
and cannot be one and the same person, institution, or event,
took place, or is the story itself of value as a means of moral
since, by definition, typology is describing one thing in terms
or spiritual improvement? Such matters were central to de-
of another. The correspondences can be based on difference
bates between emerging Christian orthodoxy, whose adher-
as well as similarity. Thus Paul in 1 Corinthians 10 can see
ents wanted to hang onto the historical referent, and those
an analogy between what had happened to the disobedient
who saw the words themselves as of more existential than his-
people of Israel in the wilderness and the Corinthian Chris-
torical import.
tians with whom he has to deal. The type functions, there-
fore, as a warning to readers not to pursue a path similar to
There is obviously a close relationship between the theo-
that followed in the original story. Typological exegesis be-
logical ideas and practices outlined in the New Testament
came a favorite device as analogies between the Old and
and what one finds in the Hebrew Bible. The extent of the
New Testaments were taken up as a way of asserting divine
relationship has been a mater of debate, however. There are
providence.
those who maintain that one cannot understand the New
Testament without an intimate knowledge of the original
Allegory differs from typology in one key respect.
context of elements taken from the Hebrew Bible, whereas
Whereas typology depends for its success on the interplay be-
others assume that the original context of material alluded
tween figures or incidents—Isaac and Christ, for example,
to does not determine the meaning of a New Testament pas-
or the serpent lifted up by Moses versus the Son of man being
sage. The evidence suggests that New Testament writers were
lifted up in John 3:14—allegory opens up another, “deeper”
much more constrained by their convictions about the new
level of meaning latent within a text’s literal sense. In the
life in Christ than by the actual details of the text of the He-
complex reference to allegorical exegesis made by Paul in Ga-
brew Bible. The scriptural texts are made to serve the emer-
latians 4:24, the Sarah-Hagar story of Genesis 16 and 21 be-
gence of a different kind of religion. Scriptural passages had
comes a gateway into another understanding: what the text
become part of a different religious system, which subtly
really means is that the two women represent two covenants
shifted the meaning of the original scriptural texts. Chris-
or two cities, Sinai and the new covenant, or two cities, the
tians gave Scripture a new meaning, appropriate to their own
Jerusalem below and the Jerusalem above. The literal sense
time, reusing it in new and creative ways, to provide a way
of the text in allegorical exegesis becomes a signifier of anoth-
of understanding present experience that could be at variance
er dimension of meaning. This device, already thoroughly
with the Scriptures’ original purpose. The New Testament
explored in the writings of the Jewish philosopher Philo Ju-
writers (and even more so their readers) were not, therefore,
daeus (first century CE), has been taken up by Christian writ-
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873
ers down the centuries as they seek to find meaning in some
Letter to the Hebrews, inevitably raised the question of wheth-
of the most unlikely and problematic places in the scriptures.
er the scriptures had much or indeed any importance for the
new revelation. In the mid-second century this question was
In the New Testament there is a concerted attempt to
raised with peculiar clarity by Marcion of Sinope (d. c. 160),
offer a reading of the Hebrew Bible that challenges the ac-
who not only contrasted the two revelations but also formed
cepted understanding of its meaning. What Paul offers in the
a collection of authoritative writings to support the superiori-
Letter to the Galatians, for example, is a reading of the Abra-
ty of the new revelation in his Gospel (the Gospel of Luke)
ham story that harnesses it to the convictions of a minority
and Apostle (a collection of Paul’s letters which omitted the
community as it struggles for its identity. The true children
Pastoral Epistles). Later judgments of Marcion have been
of Abraham are not the Jewish nation (which turns out to
based on the polemic of his opponents (as none of his own
be the children of Hagar, who is ejected from Abraham’s
home). The Christians are the children of promise (Gal.
writings are extant). Marcion picked up on important
3:29). In this approach to the Genesis account we see a way
themes in the New Testament (not least in Acts 7) and in
of entering into the Scriptures that becomes central for sub-
texts like the Epistle of Barnabas to argue the qualitative dif-
sequent interpretation. What is essential for interpreting the
ference of the revelation in Christ. This view has always been
biblical text is not so much attention to the details, as it is
an integral part of Christian exegesis. Marcion’s opponents
the fundamental conviction that experience of the Christ is
in the emerging orthodoxy refused, however, to let go of the
the foundation on which the text should be read (2 Cor. 3:6).
Jewish scriptures as an essential framework for the Christian
message and for the understanding of salvation history.
Such attitudes are paralleled elsewhere in the New Tes-
tament, not least in the deconstruction of the sacrificial sys-
The tradition of figurative and allegorical exegesis was
tem in the Letter to the Hebrews and particularly in the early-
pioneered in particular by Origen (c. 185–254), one of the
second-century text the Letter of Barnabas, in which an
founders of the Alexandrian school of exegesis. Despite his
acceptance of Jewish laws and institutions as literal expecta-
reputation as an allegorical exegete, Origen was a careful phi-
tions of the divine will is rejected in favor of figurative inter-
lologist, who made use of the best critical methods of his day
pretation. There were similar radical rereadings of the Bible
(as evidenced, for example, in his Hexapla, a critical compari-
in the Gnostic texts, in which there emerged a complete re-
son of different versions of the Old Testament). In many
jection of the theological value of the Jewish scriptures,
ways, he anticipates modern exegesis. For all his critical bril-
which were seen as the product of some lesser divine being.
liance, however, Origen was not interested in philological or
The Christian church rejected such a radical solution, and
historical analysis for its own sake, but in how it could serve
yet the roots of such radicalism lie deep within the New Tes-
a more important goal: the training of the soul so as to lead
tament. Because the early Christian writers continued to use
it back to God. He emphasizes the usefulness of Scripture,
the Hebrew Bible, however freely, in the service of their eth-
that is, how it can benefit the human soul. Origen sees the
ics and community identity, rather than relying solely on
Scriptures both as a record of God’s revealing himself to the
present revelation and authoritative advice, the Jewish scrip-
saints in the past and as the locus of divine pedagogy in
tures became a fundamental focus of the emerging theologi-
the present, the way the divine Logos addresses individual
cal tradition, albeit in a manner in which literal interpreta-
souls and gradually leads them up to perfection. In On First
tion was always subordinated to the figurative.
Principles 4:1–3, he speaks of three different levels of mean-
ing in scripture: literal, moral, and allegorical—
As we have seen, from the very beginning of Christian
corresponding to body, soul, and spirit (1 Thess. 5:23). The
exegesis the Jewish scriptures were mined to enable readers
most important meaning is the spiritual. Not all Biblical
to understand that what had happened in Jesus had been pre-
texts exist on all three levels, but all have a spiritual meaning.
dicted by ancient writers in the divinely inspired scriptures.
The Holy Spirit deliberately places difficulties in the text in
Thus, we find that the famous description of the suffering
order to point the reader toward the spiritual meaning, and
prophetic figure in Isaiah 53 is seen in Acts 8:32–34 and 1
this meaning can be understood only with the help of divine
Peter 2:21–23 as a prediction of the sufferings of the messiah.
assistance—the interpreter must have the “mind of Christ”
The appeal to the Bible was not unproblematic, however, as
(1 Cor. 2:16).
the way in which passages were interpreted by Christians, as
referring either to their identity as the people of God or to
The excesses of allegorical interpretation led to a signifi-
the events of Christ’s life, was rejected by most Jews. What-
cant reaction. Followers of the so-called Antiochene school
ever its exact relationship to history, the Dialogue of Justin
of exegesis (e.g., Theodore of Mopsuestia, c. 350–428)
with Trypho represents the Christian side of the debate: in
sought to drag Christian biblical interpretation back to the
it, a Christian writer seeks to prove why it is that contempo-
letter of the text. Antiochenes had a concern with literal sense
rary Jewish interpretation of the shared scriptures is misguid-
that included reference to historical context as well as purely
ed. The second century proved to be a critical one for Chris-
spiritual exposition. This concern with literal sense was af-
tian attitudes toward what would later be termed the Old
firmed in medieval exegesis by exegetes such as Hugh of
Testament. The relativizing of its significance in parts of the
Saint-Victor (d. 1142), who in his Didascalion stressed literal
New Testament, such as the Letter to the Galatians and the
meaning, reference to Jewish history, and the Hebrew text
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BIBLICAL EXEGESIS: CHRISTIAN VIEWS
of the Bible (he also worked out elaborate techniques for
of the variety of exegetical methods. Luther stressed the im-
memorization and the imaginative meditation on Scripture).
portance of the plain statement of the gospel, with what con-
Origen’s influence is evident in the exegetical work of Jerome
stituted the heart of the Christian message and by which all
who developed facility in Hebrew. An important example of
else in the Bible and Christian interpretation should be
early Christian interpretation is Augustine’s De doctrina
judged. For him the letters of Paul and the Gospel of John
christiana, in which both literal and figurative exegesis are
offered the essence of Scripture. On the radical wings of the
discussed, along with the need for criteria in determining be-
Reformation Anabaptist, interpreters like Hans Denck
tween readings of biblical texts.
(1495–1527) went further and anticipated the modern ten-
dency to question the propriety of obedience to the letter of
The issue of criteria soon became important in the de-
the text of the Bible as the cornerstone of the Christian reli-
veloping tradition of Christian exegesis, particularly as
gion in favor of engagement with the spirit of the text—
emerging orthodoxy sought to distinguish its own approach
which suited their conviction that scripture was only a wit-
to Scripture from rival interpretations. Appeal to visionary
ness to the Living Christ at work in the hearts and lives of
experience, such as we find in Paul’s Letter to the Galatians
all people.
(1:12–16), was declared inadequate by the orthodoxy, even
as secret revelation as a source of authority became a favorite
With the coming of the Enlightenment, a significant
means in what have come to be known as Gnostic scriptures.
shift occurred away from the long tradition of interpretation
In the face of conflicting interpretations of the Scriptures,
based on ecclesiastical teaching, towards a focus on historical
there emerged the rule of faith, a concise summary of the
contextualization that drew on ancient texts written contem-
basic articles of the faith, the origins of which can be found
poraneously with the Bible. There are a variety of reasons for
in New Testament passages.
this change. A move away from reliance on the Vulgate ne-
cessitated knowledge of Greek literature to enable the trans-
As in Jewish exegesis (for example, the rules [middoth]
lation of biblical texts. The Christian tradition of Hebrew
attributed to Hillel), Christian interpreters formulated exe-
scholarship led to an appreciation of the value of certain parts
getical rules to assist with interpretation and to set the
of the corpus of rabbinic literature, whether for apologetic
bounds of interpretative possibility. Often these were formu-
or illustrative purposes. The awareness of the different manu-
lated in connection with the interpretation of Apocalypse,
script traditions of the Greek Bible emerged and with it a re-
which throughout the history of interpretation had pres-
alization that the Holy Scriptures were a mélange of texts
ented problems for interpreters because of the allusiveness of
with a multitude of differences. This was accompanied by a
its figurative language. The earliest set of exegetical rules was
growing interest in texts that were contemporaneous with
developed by Tyconius, the great fifth-century Donatist exe-
the New Testament. Thus, for example, the Apocalypse of
gete. The exegesis of Tyconius had a profound effect on Au-
Enoch, brought back from Ethiopia, where it had been pre-
gustine: Tyconius claims that a biblical text has a dual per-
served by the Ethiopian Church, was first published at the
spective, as is appropriate for a Bible with two testaments.
beginning of the nineteenth century. The points of contact
His interpretation of Apocalypse and his general biblical in-
of parts of this book with the New Testament gospels has
terpretation were closely intertwined. The seven interpreta-
meant that it has been a pivotal text in New Testament exe-
tive rules outlined in his Book of Rules allow the possibility
gesis ever since.
of multiple references in Scripture. For Tyconius, the biblical
text is a tool that facilitates moral and spiritual discernment.
By far the most important aspect of Enlightenment
His method allows him to apply even obviously eschatologi-
thinking, in relation to the ways in which biblical text was
cal passages to the present life of the church as present and
interpreted, was the growing suspicion of authoritative insti-
future are always mingled. Seeing the world as divided into
tutions. The primacy of history and human reason as a basis
two opposed societies, he finds references this duality
for theology led to a very different enterprise which needed
throughout Scripture. The struggle between the demonic
to be undertaken from first principles. It was no longer suffi-
and the divine is evident in both the individual and society.
cient to accept the Bible’s authority on the basis of tradition,
as it too needed to be vindicated by human reason. This new
The Reformation saw a reaction against dominant
attitude, when taken in the context of philological and his-
trends in exegesis that in some ways resembled the earlier re-
torical developments, led to a growing recognition that the
action against the allegorical exegesis of Origen. John Cal-
parts of the Bible were historically various and by no means
vin’s (1509–1564) commentaries take up grammatical and
homogenous.
historical matters, with careful attention paid to context.
Martin Luther’s (1483–1546) interpretative concerns are
The interpretation of the Pentateuch, for example, rep-
more overtly theological and interpretative, as he sought to
resents a typical feature of Enlightenment criticism. Recogni-
find a basic principle for interpreting scripture. The empha-
tion of differences and tensions within the text of Genesis did
sis on the letter of the text as opposed to deeper spiritual or
not only start with modernity. Philo Judaeus in the first cen-
moral readings forms the heart of the protestant reaction to
tury CE noted the differences between the creation narratives
the exegetical methods that had been developed over centu-
(Gen. 1 and 2 in his Allegorical Interpretation of the Laws).
ries. This reaction often took the form of a vigorous rejection
Such differences provided him with a reason to engage in a
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BIBLICAL EXEGESIS: CHRISTIAN VIEWS
875
theological disquisition, rather than tempting him to offer
addressed. Thus, in the Hebrew Bible the period of the Exile,
an explanation that resorts to source criticism. The modern
when the elite of Jerusalem ended up in forced exile in Baby-
interpreter would explain the differences as stemming from
lon, was seen as a period of great soul-searching and intellec-
the collation of texts coming from very different periods and
tual creativity—during which the traditions of the past were
with multiple sources and different agendas. Thus, Genesis
examined and systematized and the disasters of previous dec-
1 is an account of the creation which represents the interests
ades understood in the light of the primary theological con-
of priestly groups at the time of the Exile in Babylon in the
victions. In the New Testament the hints of difficulties that
sixth century BCE, whereas the creation in Genesis 2 is a story
emerge briefly in Paul’s letters were regarded as a symptom
which emerged in the court of the Judean kings three or four
of an underlying tension between different strands of Chris-
centuries earlier.
tianity in the earlier period. In the hands of Ferdinand Chris-
Enlightenment biblical criticism further considered
tian Baur and his Tübingen school of the mid-nineteenth
questions that had been raised for centuries about different
century, these hints revealed tensions between a form of
parts of Scripture (for example about the Pauline authorship
Christianity linked with Peter and James, which maintained
of Hebrews and the Johannine authorship of the Apocalypse).
the basic contours of Jewish practice, and a different form
Differences between texts that were attributed to Paul, par-
of religion pioneered by Paul, which has a looser relationship
ticularly the difference in vocabulary and tone between the
to Jewish law. Here conflict was the motor of religious devel-
so-called Pastoral Epistles (1 and 2 Tim. and Titus) and the
opment, a concept in part inspired by Hegelian views of his-
mainstream Pauline texts like Romans 1 and 2 Corinthians
tory. The various books in the New Testament could be plot-
and Galatians, led to questions being raised about Pauline
ted according to where they stood in this ideological struggle,
authorship of the former. Similarly apostolic authorship of
or, as in the case of texts like Luke and Acts, how they
the gospels was widely questioned, with the central problem
contributed to the reconciliation between these antithetical
being the difference in style, chronology, and content be-
positions.
tween the first three gospels (often called the Synoptic Gos-
This kind of exegesis of biblical texts has provided the
pels because their material can be examined “synoptically”
basis of much modern interpretation. Literary remains form
in parallel columns) and the Gospel of John. This problem
the basis of imaginative reconstructions of the life of commu-
remains at the heart of modern criticism and the understand-
nities. Characters in narratives become ciphers for different
ing of the relationship between the two streams of tradition
groups. In this approach the fabric of the text and its form
seems scarcely any nearer resolution.
become a kind of window through which (with varying de-
Typical of modern historical interpretation has been the
grees of distortion) the situation behind the text, that other
fascination with the search for the real Jesus behind the gos-
story which allegory seeks to expose, can be laid bare. The
pel narratives. G. E. Lessing (1729–1781) published the
gospels contain indications that we cannot read them with-
fragments of a work on reason and the Bible by H. S. Rei-
out attention to another level of meaning (Matt. 28:15 is a
marus (1694–1768), which helped initiate a new age in in-
good example). It is that other story which an interpretation
terpretation of the gospels. While the variety of attempts to
suspicious of the credibility of religious texts, for whatever
recover the Jesus of history has been testimony to the ongo-
reason, has been intent on laying bare.
ing interest in the subject, there has been a basic similarity
in the kinds of portraits that have been constructed. Such
In another respect the contrasting emphasis between the
portraits have often involved sophisticated source analysis,
words and that to which they bear witness has been a thread
and a concerted attempt to reconstruct the earliest writings
that links the first century and the modern world. The two
of Christianity that bear witness to Jesus.
giants of modern biblical interpretation, Karl Barth and Ru-
dolf Bultmann, differed over the emphasis they gave to the
The basic outlines of the various modern interpretations
words of scripture. The former saw them as witnesses to the
of the historical Jesus were already in place by the beginning
Divine Word who in some way stood behind the text (e.g.
of the twentieth century. There have been three major
Church Dogmatics 1/1: 125–6), whereas Bultmann consid-
ways of construing the Jesus of history in the modern period.
ered that the words themselves were the very medium of that
First (and most venerable, as it is the hypothesis of Reimarus)
meeting with the Divine Word. There has always been a
is the view that Jesus was a Jewish messianic pretender, whose
need to move beyond the detail of the text to grasp the essen-
attempts to bring about God’s kingdom on earth led to his
tial thrust of the texts’ meaning. In modern criticism this has
execution at the hands of the Romans. Second is the view
taken a very distinctive turn. Sachkritik is a form of interpre-
that Jesus was a prophet of the end of the world. Third is
tation in which a reading of a text is offered in the light of
the picture of Jesus as a teacher, or holy man, who was part
what its modern interpreter deems to be its essential subject
of a nonconformist fringe in Second Temple Judaism.
matter: the interpreter, therefore, tells us what the text is
Interest in history led to another important develop-
really about. Thus, the interpreter grasps the nature of the
ment in modern interpretation. The various texts seemed to
book and by focusing on particular verses to interpret the
open a window onto the life and disputes of the religious
whole, offers other readers insight into what the critic con-
communities which produced them and to whom they were
siders the fundamental subject matter.
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BIBLICAL EXEGESIS: CHRISTIAN VIEWS
Another distinctive aspect of the Enlightenment’s his-
Gadamer (1900–2002) have recognized the importance of
torical study of the Bible, and one that, arguably, has thrown
the interpretation of the Bible in the history of critical reflec-
the most light on its interpretation, was the location of the
tion on the different ways of reading.
Bible in the study of the history of religions. Much of this
There has been a gradual recognition that the history of
study has concentrated on the history of ideas, so that biblical
influence has a crucial part to play in the understanding of
creation myths are compared with those from Babylonia, or
Christian exegesis of the Bible. The important work of Ga-
the gospel parable with the multitude of examples that are
damer has stressed the way in which any reading contains
to be found in the corpus of Jewish rabbinic literature. What
within it some traces of the previous history of the interpreta-
emerged in the last decades of the twentieth century, howev-
tion of that text. The understanding of the original setting
er, was a greater concern with the social implications of those
of the text has always, therefore, to be seen within the context
ideas. With the emergence of a Marxist approach to the study
of the contribution of culture and received wisdom as that
of ideology, less emphasis has been placed on the influence
which has conditioned the present form of interpretation. A
of individual ideas and more on social movements and the
glance at most modern interpretations of biblical texts reveals
complex interests and power relations which lead to the tri-
how little attention is given both to the pre-Enlightenment
umph of particular ideas and of particular social and eco-
interpretation of these texts and to the wider cultural appro-
nomic forces that supported them. Thus, critic Karl Kaut-
priation of the texts in non-religious writing and other
sky’s (1854–1938) work on the origins of Christianity differs
media, which collectively exhibit an influence whose impor-
markedly from much mainstream biblical exegesis in the way
tance for exegesis should not be neglected. In reaction, there
in which he tries to interpret the early Christian texts within
have arisen a variety of attempts to reacquaint exegesis with
the context of the socioeconomic history of the Greco-
the history of interpretation and the history of the effects of
Roman world.
the text, as both are seen as crucial components of the exeget-
In an environment in which the human origin of bibli-
ical task. This has in part been an appeal to tradition (though
cal texts was being asserted more and more, there was a need
the appeal to tradition is always double-edged as tradition it-
to reassert their divine authority, particularly in the case of
self, like the notion of what is a classical text, is a highly con-
Protestants, for whom the central authority of the Bible was
troverted concept). An openness to the varieties of effects of
crucial for the maintenance of religious community. In one
biblical texts also puts Christian exegesis in touch with wider
sense, of course, the authority of the texts themselves was
intellectual currents in the humanities, so that literature, art,
common to both sides of the argument. The extraordinary
and music become part of its purview.
character of the engagement with the Bible was a recognition
There have been moves away from the preoccupation
of its authority and of its dominance in culture and theology.
with biblical text as witness to ancient history and toward an
However, a stronger argument for biblical authority was nec-
engagement solely with the text itself—with its structure and
essary to justify a subservience of human will to the letter of
form and with the issues that the readers themselves bring
Scripture. Some conservative views of the inspiration and au-
to their interpretation. This reflects a suspicion of the diffi-
thority of the Scriptures maintain the infallibility of the
culties attendant on much of the historical reconstruction
words of human authors as the means by which Almighty
that has been regarded as an indispensable basis for exegesis.
God chose to communicate with humanity, thereby guaran-
It has led to interpretations in which the text itself is deemed
teeing the necessity of human interpreters to attend to the
to be the focus of meaning, without reference to external
exact meaning of these words as the vehicle of divine truth.
sources of comparison. This kind of textual analysis does not
take into consideration any data external to the text, such as
So far nothing has been written explicitly about herme-
the intention of the author or the nature of the likely audi-
neutics and yet the preceding pages have all been about her-
ence, any events to which the text refers, or the sources which
meneutics. Hermeneutics is the study of the principles of in-
might lie behind the text as we now have it. In this kind of
terpretation, and is best used as a way of describing a
interpretation the exposition of a text’s meaning is worked
critically reflective activity concerned with the interpretation
out through contrasts and connections within the text,
of texts. The interpretation of the Bible has played a signifi-
through the exploration of characters and the way they
cant if not central role in the history of hermeneutics, as the
interact.
reflection on reading and interpretation of texts (or for that
matter any artifact) was given impetus by discussions about
Another reaction to historical exegesis appeared in the
the authority of the Bible, and by questions raised by its in-
last decades of the twentieth century with the emergence of
terpretation. From the very start of Christian exegesis, her-
a variety of contextual theologies in the developing nations,
meneutics was a vital issue, as the early Christians sought to
and with the formation of an influential feminist interpreta-
understand their own relationship with the scriptures that
tion. It should be noted that to label this kind of theology
they shared with the Jews. Modern hermeneutics has become
contextual is to make a false distinction between supposedly
largely independent of biblical interpretation, however, even
neutral exegesis and committed exegesis, as all interpretation
if it owes its origins to debates about the interpretation of
has a context and a tradition of interpretation which condi-
the Bible. Key interpreters like Paul Ricoeur and Hans Georg
tions its approach. What has emerged in liberationist exegesis
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIBLICAL EXEGESIS: CHRISTIAN VIEWS
877
and feminist and related interpretations is a conscious avowal
ways in which the liberative traditions in the Bible have been
of the importance of the ways in which readers’ contexts de-
taken up and employed by the elite in the service of a more
termine exegesis.
repressive and restrictive religion, whose effects on society
have been deleterious and from which an enlightened, libera-
Liberation theology emerged from Roman Catholic the-
tive reading can hope to emancipate people. Feminist exege-
ology based on the Second Vatican Council, and the encycli-
sis, for example, has patiently explored the occasional incli-
cals associated with it. It developed in the context of the
nation in the texts to reclaim the voice of women in historical
emergence of the Basic Ecclesial or Christian Communities
situations in which women were denied or were losing
(the CEBs). In the basic communities the Bible has become
power. Such liberative approaches have many antecedents
a catalyst for the exploration of pressing contemporary issues.
long before the twentieth century where interpretation of the
Understanding the Bible takes place in the dialectic between
Bible has been at the heart of struggles for justice among rad-
the Bible as a witness to the memory of the struggles for jus-
ical groups throughout the history of the church.
tice of the people of God on the one hand and the issues of
Christian exegesis of the Bible at the beginning of the
the contemporary world on the other. Thus, the emphasis
twenty-first century is increasingly polarized. The principal
is not placed on the text’s meaning in itself, but rather on
positions, however, share much in common with earlier ap-
the meaning the text has for the people reading it. It is an
proaches in the history of exegesis. On the one hand, there
interpretation that is passionate and committed and chal-
is an appeal to the letter of the Bible as the basis for doctrine
lenges a widespread view that exegesis is primarily about let-
and ethics. On the other hand, there is a willingness to allow
ting the text speak for itself, unencumbered by contemporary
for a modern interpretative framework in which the insights
issues. Connections are made between contemporary de-
of the modern world are given their theological due. Appeals
mands and bible stories. This can take various forms. Bible
to Christian exclusivism appear ever more fragile in an in-
study can go straight to the text with no concern for its origi-
creasingly multicultural world. Nevertheless, the claim to ex-
nal historical context. This method Clodovis Boff describes
clusiveness underlying the key element of Christian doctrine,
as an example of correspondence of terms, in which persons or
the coming of the messiah in the person of Jesus, seems to
events function in a kind of typological relationship with
leave little room for debate. In one respect, however, the
scriptural analogies. Alternatively, bible study may also in-
New Testament does leave open the door for a more liberal
clude outlines of the historical and social contexts of biblical
and inclusive approach. Fundamental to the understanding
texts, so that the struggles facing the people of God at anoth-
of the Christian revelation is the belief that Christians live
er time and place may be discerned. The experience of pover-
by faith, not by sight, and that in this age one “sees in a glass
ty and oppression is regarded as being as important a text as
darkly” and not yet “face to face.” That suggests the possibili-
Scripture itself. In this approach to the Bible, which is rooted
ty of an approach to difference that may seem excluded by
in the needs of the people, there emerges an authentic Chris-
some of the more assertive claims of contemporary Chris-
tian praxis leading to the transformation of society. So, exe-
tianity.
gesis is not neutral, and participation in the struggle for a bet-
ter life is key to the discovery of the meaning of texts. Practice
BIBLIOGRAPHY
itself stimulates understandings that would only with diffi-
Barr, James. Holy Scripture: Canon, Authority, Criticism. Oxford,
culty have emerged through the calm reflection of academy
1983.
or church. The implication is that academic analysis might
Barton, John. People of the Book? The Authority of the Bible in
not, in some instances at least, offer the best or most appro-
Christianity. London, 1988.
priate understanding of a text, and that one who is engaged
Bauman, Clarence. The Spiritual Legacy of Hans Denck: Interpreta-
in the struggle for political justice for the poor and outcast
tion and Translation of Key Texts. Leiden, 1991.
might, in certain circumstances, better capture the spirit of
Boff, Clodovis. Theology and Praxis: Epistemological Foundations.
the text. This way of reading the Bible has affinities with ear-
Translated by Robert R. Barr. Maryknoll, N.Y., 1987.
lier methods in the opportunity offered for an imaginative
Bradstock, Andrew, and Christopher Rowland. Radical Christian
interface between the biblical text and the existential situa-
Writings: A Reader. Oxford, 2002.
tion of the interpreters.
The Cambridge History of the Bible. Vol. 1, From the Beginnings
to Jerome, edited by Peter Ackroyd and Christopher Francis
The exponents of this kind of exegesis, which stresses
Evans; vol. 2, The West from the Fathers to the Reformation,
the conscious recognition of the events of one’s life and the
edited by G. W. H. Lampe; vol. 3, The West from the Refor-
circumstances in which one lives as ingredients in the exeget-
mation to the Present Day, edited by S. L. Greenslade. Cam-
ical process, attach great interpretative importance to the fact
bridge, U.K., 1963–1970.
that what one undergoes and learns thereby informs the un-
Carruthers, Mary. The Book of Memory: A Study of Memory in Me-
derstanding of the text. In different ways this has been key
dieval Culture. Cambridge, U.K., 1990.
to all kinds of feminist exegesis and Black Theology. Some-
Ebeling, Gerhard. Luther: An Introduction to His Thought. Trans-
times this has led to a much more critical attitude towards
lated by R. A. Wilson. London, 1972.
the liberative value of the text. Using historical tools of analy-
Fowl, Stephen E., ed. The Theological Interpretation of Scripture.
sis, liberationists have sought to disentangle and describe the
Oxford, 1997.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
878
BIBLICAL LITERATURE: HEBREW SCRIPTURES
Gottwald, Norman K., and Richard A. Horsley. The Bible and
to Jews is the Hebrew term miqra D, widely used in the Mid-
Liberation: Political and Social Hermeneutics. Maryknoll,
dle Ages, but most likely going back to Nehemiah 8:8. Liter-
N.Y., 1993.
ally meaning “reading,” this name underscores the fact that
Houlden, J. L., ed. The Interpretation of the Bible in the Church.
the public reading of the scriptures constituted the core of
London, 1995.
the Jewish liturgy. Another term commonly used among
Kovacs, Judith, and Christopher Rowland. Revelation: The Apoca-
Jews is tanakh, the acronym (TaNaKh) composed of the ini-
lypse of Jesus Christ. Oxford, 2004.
tial consonants of the names of the three parts into which
Kümmel, Werner Georg. The New Testament: The History of the
the Hebrew Bible is customarily divided: the Torah (Penta-
Investigation of Its Problems. Translated by S. McLean Gil-
teuch), the Nevi’im (Prophets), and the Ketuvim (Writings,
mour and Howard C. Kee. London, 1973.
Hagiographa).
Lubac, Henri de. Medieval Exegesis: The Four Senses of Scripture.
2 vols. Translated by Mark Sebanc and E. M. Macierowski.
Among Christians, the Hebrew Bible has traditionally
Grand Rapids, Mich., 2000.
been referred to as the Old Testament (i.e., Covenant), in
McGinn, Bernard. The Calabrian Abbot: Joachim of Fiore in the
contradistinction to the New Testament—theological appel-
History of Western Thought. London, 1985.
lations based upon a Christological interpretation of Jeremi-
McKim, Donald K. Historical Handbook of Major Biblical Inter-
ah 31:30–34. In recognition of the partisan nature of this
preters. London, 1998.
title, and under the impact of the ecumenical movement of
recent times, many scholars have increasingly preferred in-
Metzger, Bruce M. The Canon of the New Testament: Its Origin,
Development, and Significance. Oxford, 1987.
stead to refer to the Hebrew Bible or Hebrew scriptures.
Morgan, Robert, with John Barton. Biblical Interpretation. Ox-
CANON. As generally used in scholarly parlance, the term
ford, 1988.
canon relates particularly to the received and definitively
Murray, Stuart. Biblical Interpretation in the Anabaptist Tradition.
closed nature of the sacred corpus. The noun derives from
Kitchener, Ont., Canada, 2000.
the Greek kano¯n, itself borrowed from a Semitic word mean-
O’Neill, J. C. The Bible’s Authority: A Portrait Gallery of Thinkers
ing “cane” or “measuring rod.” The word was employed fig-
from Lessing to Bultmann. Edinburgh, 1991.
uratively in Classical Greek, a usage adopted by the church
Pagels, Elaine. Adam, Eve, and the Serpent. London, 1988.
fathers in the fourth century for a norm of faith or doctrine
Thiselton, Anthony C. New Horizons in Hermeneutics. Grand
and applied by them to the collection of sacred scriptures.
Rapids, Mich., 1992.
The completed canon of the Hebrew Bible exerted a
Young, Frances M. Biblical Exegesis and the Formation of Christian
profound influence, first upon the Jewish people that pro-
Culture. Cambridge, U.K., 1997.
duced it, and then upon a large section of the rest of humani-
CHRISTOPHER ROWLAND (2005)
ty. It was the major factor in the preservation of the unity
of the Jews at a time of desperate national crisis after the de-
struction of their state in the year 70 (or 68) CE and their
BIBLICAL LITERATURE
subsequent wide dispersion. The wholly new and unique ex-
This entry consists of the following articles:
perience of Judaism as a book-centered religion became the
HEBREW SCRIPTURES
direct inspiration for Christianity and its New Testament,
APOCRYPHA AND PSEUDEPIGRAPHA
NEW TESTAMENT
while both religions served as the acknowledged analogue for
the rise and development of Islam, based upon its own sacred
book, the kano¯n.
BIBLICAL LITERATURE: HEBREW SCRIPTURES
The terms Hebrew scriptures and Hebrew Bible are synonyms
Contents. The tripartite division of the Hebrew Bible
here restricted to that received, definitive corpus of ancient
roughly describes its variegated contents, although, admit-
literature, written in Hebrew except for some sections in Ara-
tedly, some of the books of the third part would not be out
maic (Genesis 31:47, Jeremiah 10:11, and parts of Daniel and
of place in the second.
Ezra), that has been traditionally accepted by Jews and
Christians alike as having been divinely inspired and, as such,
The Torah. More fully called the Torah of Moses, the
authoritative in shaping their respective faiths and practices.
Torah comprises the first five books of the biblical canon,
usually known in English as the Pentateuch: Genesis, Exodus,
The word Bible is ultimately of Greek derivation and
Leviticus, Numbers, and Deuteronomy. These names, derived
passed into many languages of the world through the medi-
from the Greek, may translate Hebrew titles that were cur-
um of Latin. It meant simply “the Books” par excellence, the
rent among the Jews of Palestine. They more or less epito-
way in which the Jews of the Hellenistic world referred to
mize the subject matter of the books. Another system of des-
their sacred scriptures, apparently in literal translation into
ignation, long in popular use among Jews, and probably
Greek of the earliest known Hebrew designation current in
earlier than the foregoing, is based upon the opening words
Palestine. This latter is already reflected in Daniel 9:2.
of each book, a practice characteristic of ancient Mesopota-
Other names for the corpus that were current in ancient
mian literature: Bere Dshit, Shemot, Va-yiqraD, Be-midbar, and
times are “Holy Books” and “Holy Writings.” More specific
Devarim.
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
879
The Hebrew term torah, usually, but inaccurately, ren-
The Ketuvim. The Writings, often also called Hagiogra-
dered “law,” means “instruction, teaching.” In the present
pha in English, are actually a miscellany of sacred writings
context, the Pentateuch comprises a continuous narrative
of several genres of literature, as the nonspecific nature of the
from the creation of the world to the death of Moses in
name indicates. There is religious poetry (Psalms and Lamen-
which is embedded a considerable amount of legal and ritual
tations); love poetry (the Song of Songs); wisdom or reflective
prescription. Genesis constitutes a distinct work within the
compositions (Proverbs, Job, and Ecclesiastes); historical
Torah corpus in that its first eleven chapters deal with uni-
works (Ruth, Esther, Ezra-Nehemiah, and Chronicles); and
versal history up to the birth of Abraham, and the rest of the
apocalypse (Daniel).
book is devoted to the fortunes of a family, the ancestors of
the people of Israel. Deuteronomy, too, forms a discrete enti-
Tripartite canon. It is widely held that the tripartite na-
ty, in that it is largely the summarizing discourses of Moses
ture of the canon represents three successive stages of canon-
and is marked by its own characteristic style and theological
ization of the separate corpora. Repeated reference to this
tendency. The intervening three books deal with two genera-
threefold division comes from the literature of the period of
tions of the people of Israel from the period of the Egyptian
the Second Temple. Ben Sira 39:1, probably written around
oppression and the Exodus through the wanderings in the
180 BCE, mentions the “law of the Most High, the wisdom
wilderness. This section makes up the bulk of the Torah lit-
of all the ancients . . . , and . . . prophecies.” About fifty
erature and comprises the record of the Egyptian oppression,
years later, Ben Sira’s grandson, who translated the work into
the liberation, and the arrival at Mount Sinai (Ex. 1–18),
Greek, writes in his prologue about “the law and the proph-
God’s self-revelation to Israel at this site with the divine legis-
ets and the others that came after them,” which last are also
lation mediated there through Moses (Ex. 19–Nm. 10:10),
called “the other books of our fathers” and “the rest of the
and the events of the people’s wanderings in the wilderness
books,” while 2 Maccabees (2:2–3, 2:13) has reference to “the
until they arrive at the plains of Moab ready to cross the Jor-
law, the kings and prophets and the writings of David.” In
dan River into the Promised Land (Nm. 10:11–chap. 36).
Alexandria, Egypt, the Jewish philosopher Philo Judaeus
(d. 45–50 CE) mentions, besides “the law,” also “the prophets
It is not certain how this corpus was materially preserved
and the psalms and other writings” (De vita contemplativa
in early times. Two separate systems have survived. For con-
3.25). The Jewish historian Josephus Flavius (37–c. 100 CE)
venience of study, the material was written on five separate
tells of the Pentateuch of Moses, the “prophets” and “the re-
scrolls, but for ideological reasons, in order both to delimit
maining books” (Against Apion 1.39–41). Similarly, in the
the Torah as a closed corpus and to emphasize its being a dis-
New Testament, the Gospel of Luke speaks of “the law of
tinct unified composition, the Torah was also written on a
Moses and the prophets and the psalms” (24:4). This persis-
single scroll. It is solely in this form that it has played a role
tent allusion to the threefold division of the Hebrew scrip-
in the Jewish synagogal liturgy.
tures, and the lack of any uniform title for the third collec-
tion of writings, in addition to the heterogeneous nature of
The Nevi Dim. The prophetic corpus naturally divides
that corpus, all argue in favor of two closed collections—the
into two parts. What has come to be known as the Former
Torah and the Prophets—with a third being somewhat
Prophets continues the historical narrative of the Torah, be-
amorphous and having no uniform name, undoubtedly a
ginning with Joshua’s succession to leadership of Israel after
sign of its late corporate canonicity.
the death of Moses and the conquest of Canaan, and closing
with the destruction of the First Temple in Jerusalem, the
Of course, the closing of a corpus tells nothing about
end of the monarchy, and the Babylonian exile of the Jude-
the canonical history of the individual books within it. Some
ans up to the year 560 BCE. This material is contained in the
parts of the Ketuvim, such as the Psalms, for instance, would
books of Joshua, Judges, Samuel, and Kings. They are incorpo-
most likely have achieved canonical status before some of
rated into the prophetic corpus because they contain much
those included within the Nevi’im.
information about the activities of prophets, and particularly
because they constitute, in reality, a theological interpreta-
Samaritan canon. The religious community centered
tion of the fortunes of the people of Israel presented from
on Nablus (ancient Shechem) that calls itself Benei YisraDel
the perspective of prophetic teaching and judgment.
(“children of Israel”) or Shomrim (“keepers,” i.e., of the
truth), and that is known by outsiders as Samaritans, claims
The second part of the Nevi’im, the Latter Prophets,
to be directly descended from the Israelites of the Northern
comprises the works of the literary prophets in Israel and
Kingdom who escaped deportation at the hands of the Assyr-
Judah from the eighth to the fifth centuries BCE. These are
ian kings who destroyed it in 722/1 BCE (2 Kgs. 17:5–6,
Isaiah, Jeremiah, and Ezekiel, and “the Book of the Twelve,”
17:24–34, 17:41). Their canon consists solely of the Penta-
known in English as the Minor Prophets: Hosea, Joel, Amos,
teuch, excluding the Prophets and the Writings. This fact has
Obadiah, Jonah, Micah, Nahum, Habakkuk, Zephaniah,
not been satisfactorily explained. The older view, that the
Haggai, Zechariah, and Malachi. It should be noted that the
final breach between the Samaritans and the Jews occurred
adjective minor characterizes only the relative brevity of these
in the time of Ezra and Nehemiah (fifth century BCE), before
works, and is by no means intended to be a judgment on
the canonization of the rest of the Hebrew Bible, is no longer
their degree of importance.
tenable because both documentary and archaeological evi-
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
dence leads to the conclusion that the schism was the culmi-
munity equal with that of the standard Hebrew canonical
nation of a gradual process of increasing estrangement. A
books. (6) In sum, the evidence so far at hand does not justify
major step was the construction of a Samaritan shrine on
the assumption that Qumran sectarians had a concept of
Mount Gerizim early in the Hellenistic period; the destruc-
canon different from that of their Palestinian Jewish
tion of the temple on that site by John Hyrcanus in 128 BCE
brethren, although the opposite too cannot be proven.
completed the rupture.
Alexandrian canon (Septuagint). To meet the needs
Canon at Qumran. The discovery of a hoard of more
of worship and study, the populous Hellenized Jewish com-
than five hundred manuscripts in the region of the sectarian
munity of Alexandria produced a Greek translation of the
settlement at Khirbat Qumran, northwest of the Dead Sea,
Hebrew Bible known as the Septuagint, begun in the third
has raised the question of the nature of the biblical canon rec-
century BCE and completed before about 132 BCE. As it has
ognized by that community, which came to an end about 70
come down to us, it differs from the traditional Hebrew
CE. The question is legitimate both in light of the variant
Bible (the canonized books of the Masoretic text) both in
canon preserved by the Greek Septuagint, as discussed
content and form, and often textually (see “Greek Transla-
below, and because copies of extrabiblical books, apocryphal
tions,” below). It includes works that rabbinic Judaism re-
and pseudepigraphical works such as Tobit, Ben Sira, the Let-
jected as noncanonical, and in it the books of the Prophets
ter of Jeremiah, 1 Enoch, and Jubilees, not to mention the
and Writings are not maintained as separate corpora but are
sect’s own productions, were included among the finds.
distributed and arranged according to subject matter: histori-
cal books, poetry and wisdom, and prophetic literature. This
A variety of factors combine to render a decisive conclu-
situation has given rise to a widely held hypothesis of an Al-
sion all but impossible in the absence of a list that would de-
exandrian or Hellenistic canon; that is to say, the Septuagint
termine contents and sequence. This lack is aggravated by
is said to represent a variant, independent concept of canon
the practice at that time of writing each biblical book on a
held by Diaspora Jewry. Alternatively, it is suggested that it
separate scroll, and by the very fragmentary form of the over-
derives from a rival canon that circulated in Jewish Palestine
whelming majority of extant scrolls. Furthermore, since the
itself.
manuscripts had generally been hidden in the caves in great
disorder, we cannot be sure whether we are dealing with a
The evidence for either view is indecisive. First of all,
living library or a genizah, a storeroom of discarded works.
it must be remembered that all extant complete manuscripts
of the Septuagint—the Sinaiticus, the Alexandrinus, and the
The following items of evidence are pertinent to the dis-
Vaticanus—are Christian in origin and are not earlier than
cussion: (1) With the exception of Esther, fragments of all
the fourth century CE. There is a gap of at least four hundred
the books of the Hebrew Bible have turned up; hence the
years in our knowledge, which fact raises the possibility that
Qumran canon would have included at least almost every
the divergencies in content and arrangement from the tradi-
book of the Hebrew Bible. (2) The category of Qumran liter-
tional Hebrew Bible may have originated with the church.
ature known as the pesharim, or contemporizing interpreta-
Moreover, there is no uniformity in the Greek manuscripts
tions of prophetic texts, is, so far, exclusively restricted to the
themselves in respect to the additional books included. Fur-
books of the standard Hebrew canon. (3) The Manual of
thermore, the separate collections of the Torah and the
Discipline (Serekh ha-yah:ad, 1QS IX:11) expresses the hope
Prophets were definitely known in Alexandria in the second
for the renewal of prophecy, the same as is found in 1 Macca-
century BCE, as is clear from the prologue to Ben Sira (which
bees 4:46. This suggests that the Qumran community recog-
even speaks of their translation into Greek), as well as from
nized a closed corpus of prophetic literature. (4) The great
2 Maccabees 2:13 and 15:9. At the same time, Ben Sira, his
psalms scroll (11QPsa), on the other hand, exhibits not only
grandson who wrote the prologue, and Philo clearly distin-
a deviant order of the standard psalms, but also contains
guish between the books that make up the Hebrew Bible and
other compositions, largely deriving from Hellenistic times.
other works of Jewish origin. In short, the problem of the
This scroll circulated in more than one copy, and several
origin of the contents and sequence in the Greek Bible can-
other Qumran manuscripts of psalms also vary in sequence
not be solved in the present state of our knowledge.
and contents. At first glance it would seem that this phenom-
enon proves that the Qumran community could not have
Christian canon. The Christian canon of the Jewish
had a concept of a closed canon. However, it may be pointed
scriptures differs in three ways from the Bible of the Jews.
out that the compiler of 11QPsa certainly was dependent on
First, its text is not that of the received Hebrew, usually
a Hebrew book of psalms much the same as that of the He-
called the Masoretic text, but is based on the Greek and Latin
brew Bible, and he may simply have been putting together
versions. This fact is grounded in historical, not theological
a liturgical collection, not creating or copying a canonical
considerations. The early church functioned and missionized
work. Moreover, the caves of Qumran have yielded numer-
in a Greek-speaking environment, and thereafter took over
ous psalters that contain only known canonical psalms, ap-
the Jewish scriptures in their most readily available and con-
parently without any deviation from the standard sequence.
venient form, namely the (Greek) Septuagint version. Later,
(5) As to the presence of noncanonical works, we have no
the Latin translation became authoritative. Second, although
means of knowing whether these had authority for the com-
all the books officially recognized as canonical by the Jews
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
881
were also accepted by the Christian church, many segments
(1534) included them as a group between the two Testa-
of the latter also included within its canon additional Jewish
ments, with the following rubric: “Apocrypha: these are
works that date from the days of the Second Temple. These,
books which are not held equal to the sacred Scriptures and
generally termed “deuterocanonical” by theologians of the
yet are useful and good for reading.” Luther’s view became
Roman Catholic Church, are books of historical and didactic
standard Protestant doctrine. The Thirty-Nine Articles of
content, composed in Hebrew or Aramaic. They were not
Religion of the Church of England (1563) asserted their
sectarian in origin, and they circulated widely in both Pales-
worth for private study and edification but denied them any
tine and the Greek-speaking Jewish Diaspora in their origi-
doctrinal value; and the Westminster Confession (1647),
nal language and in Greek translation long after the close of
which established the confession of faith of English-speaking
the Hebrew canon. Such books were often included in early
Presbyterians, definitively decreed that they were not divine-
manuscripts of the Septuagint, not as a separate group but
ly inspired, are to be excluded from the canon of scripture,
appropriately interspersed among the undoubtedly canonical
and are devoid of authority. The King James Bible of 1611
works. The books in question are 2 Ezra (called 3 Esdras in
had grouped the apocryphal books together before the New
the Vulgate), Tobit, Judith, additions to Esther, the Wisdom
Testament, but in 1827 the British and Foreign Bible Society
of Solomon, Ben Sira, 1 Baruch, together with the Letter of
decided not to circulate the Apocrypha in whole or part.
Jeremiah, additions to Daniel, and Maccabees. It is to be
noted that Esther, Judith, Wisdom, 1 and 2 Maccabees, 1 Ba-
The third way in which the Christian canon diverges
ruch, chapters 1–5, and the Septuagint additions to Daniel
from the Jewish canon relates to the order of the books. The
and Esther have not yet turned up among the Dead Sea finds.
Hebrew tripartite division, clearly attested in Luke 28:44,
was disregarded, and the contents were regrouped, as in the
The presence of the extra compositions in the manu-
manuscripts of the Septuagint, according to literary catego-
scripts of the Septuagint long engendered controversy, and
ries—legal, historical, poetic-didactic, and prophetic. It is
their status remained ambivalent. The authors of the New
possible that the church selected one of the pre-Christian
Testament books were certainly familiar with them and used
rival traditions already current in Palestine and the Diaspora.
them, but it remains a fact that New Testament citations
At any rate, the variant sequence was best suited to express
from them are minimal. Further, the early lists of the Fathers
the claim of the church that the New Testament is the fulfill-
emphasize a twenty-two-book canon identical with that of
ment of the Hebrew scriptures of the Jews. The closing of
the Jews. In general, the Western church held the deuteroca-
the canon with Malachi’s prophecy of the “day of the Lord”
nonical books in high esteem, while the Eastern church
to be heralded by the return of Elijah provides a transition
downgraded them. The synods of the North African church
to the New Testament with John the Baptist as the new Eli-
held at Hippo (393 CE) and Carthage (397, 419 CE) con-
jah acclaiming his Messiah.
firmed the practice of the Western church. The powerful in-
fluence of the church theologian Augustine (354–430)
Number of books. Until the sixth century CE, it was
weighed heavily in according the entire Septuagint equal and
customary among Jews for the scribes to copy each biblical
identical divine inspiration with the Hebrew Bible. The ad-
work onto a separate scroll. The number of books in the bib-
ditional books remained in the Latin Vulgate, which became
lical canon therefore relates to the number of scrolls onto
the official version of the Roman Catholic Church at the
which the completed Hebrew Bible was transcribed, and
Council of Trent (1545–1563).
which were physically kept together as a unit. Josephus
(Against Apion 1. 39–41, ed. Loeb, p. 179) is emphatic that
On the other hand, the Latin father Jerome (347–420)
there were no more than twenty-two such. What is not clear
did not recognize them as authoritative scripture, although
is whether this figure was arrived at by conjoining books,
he did concede them to be “ecclesiastical” or spiritually edify-
such as Judges and Ruth, and Jeremiah and Lamentations, or
ing, and he did translate them into Latin. The Syrian church
whether two books were not yet included in his canon, per-
utilized only the Jewish canon. It later succumbed to the in-
haps the Song of Songs and Ecclesiastes. The former suggestion
fluence of the Septuagint, a move resisted by the Nestorian
seems more likely because this figure of twenty-two biblical
(Chaldean or East Syrian) branch. In the Greek Orthodox
books represents a widespread tradition in Palestine to which
church, the question remains unresolved to the present day,
there are many Christian witnesses for several hundred years.
while it was not until the nineteenth century that the theolo-
It appears in a Hebrew-Aramaic list of titles that derives from
gians of the Russian Orthodox Church unanimously exclud-
the first half of the second century CE, and is repeated by sev-
ed the extra books from the canon.
eral church fathers, such as Melito, bishop of Sardis in west-
The period of the Reformation and the Protestant ap-
ern Asia Minor (d. 190), Origen, theologian of Caesarea in
peal to the authority of the Hebrew Bible generated a re-
southern Palestine (c. 185–c. 254), Eusebius, bishop of Cae-
newed attack on their canonicity. John Wyclif (c. 1330–
sarea (c. 260–339), who equates it with the number of letters
1384), forerunner of the Reformation, who initiated the first
of the Hebrew alphabet, Cyril, bishop of Jerusalem (d. 386),
English translation of the Bible, omitted them entirely. Mar-
and the celebrated scholar Jerome. All of the aforementioned
tin Luther, in his debates with Johann Maier of Eck (1519),
either visited Palestine or lived there for many years, and
denied their canonical status. His translation of the Bible
there can be no doubt that they reflect contemporary local
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
Jewish practice. They all include the Song of Songs and Eccle-
that the priests and scribes played an important role in the
siastes in the canon.
preservation and organization of literature. Hence, the for-
mation of the biblical canon should not be viewed as a late
A variant tradition counting twenty-four books eventu-
development in Israel but as an ongoing process that is coex-
ally prevailed among Jews. This is first found in 2 Esdras
tensive with the biblical period itself.
14:45, written circa 100 BCE. The books are listed by name
in a text that antedates 200 BCE cited in the Babylonian Tal-
The definition of canon should, furthermore, be extend-
mud (B.B. 14b). Thereafter, this figure is explicitly given,
ed beyond the purely historical, external, formal aspects re-
and it becomes standard in rabbinic literature (cf. B.T.,
lating just to the end result of a process, to which it is usually
Ta Ean. 5a). Whether the number has any significance is un-
restricted. In Israel, the conviction that the texts record the
certain. In the case of Homer’s Odyssey and Iliad, which are
word of God or were divinely inspired, however these con-
also each divided into twenty-four books, the division came
cepts were understood, would have been a decisive factor in
about in the third century BCE because a scroll of more than
their preservation. For the same reason, they would have
a thousand verses was found to be too cumbersome to han-
been periodically read or recited, and the very force of repeti-
dle, and twenty-four is the number of letters in the Greek
tion would inevitably and powerfully have informed the col-
alphabet. It is of interest that the Old Babylonian bilingual
lective mind and self-consciousness of the community. This,
lexical series known as Har-ra-Hubullu is inscribed on twen-
in turn, would have subtly shaped and reshaped both the ex-
ty-four tablets, the Mesopotamian Epic of Gilgamesh on
isting literature and new compositions in a continual process
twelve tablets, the Greek Theogony of Hesiod comes in twelve
of interaction between the community and its traditions. A
parts, and the old Roman law code was eventually codified
text that appears to be directed to a specific situation in time
as the Twelve Tablets (of wood). At any rate, in Jewish tradi-
and space acquires a contemporizing validity and relevance
tion, the biblical books become twenty-four by treating all
that is independent of such restrictive dimensions and devel-
the twelve Minor Prophets as one, since they were written
ops a life of its own.
on a single scroll, and by regarding Ezra and Nehemiah as
The earliest testimony to the canonizing process of the
a single work.
Torah literature comes from Exodus 24:1–11, which de-
English Bibles (English version) have thirty-nine books
scribes how Moses mediated the divine commands to the en-
because Samuel, Kings, and Chronicles are divided into two
tire people assembled, how the people orally bound them-
books each for reading convenience, and Ezra and Nehemiah
selves to obedience, how Moses then put the stipulations into
are counted as separate works, as is each of the twelve Minor
writing, and how a cultic ceremony was held at which the
Prophets.
written record of the covenant just made was given a public
C
reading. This was followed by a collective pledge of loyalty
ANONIZING PROCESS. The available sources are silent
about the nature and identity of the validating authorities,
to its stipulations.
about the criteria of selectivity adopted in respect of the
Another important text is Deuteronomy, chapter 31
books included and excluded, and about the individual cru-
(verses 9–13, 24–26). Here, too, Moses writes down the
cial stages in the history of the growth of the Hebrew biblical
Teaching (Torah), this time entrusting the document to the
canon. This deficiency is aggravated by the fact that the liter-
ecclesiastical authorities for safekeeping, with provision for
ature that has survived represents at least six hundred years
its septennial national public reading in the future. What is
of literary creativity, in the course of which Israelite society
then called “this book of the Torah” is placed beside the ark
underwent far-reaching, indeed metamorphic, change, much
of the covenant. In this case, the sanctity of the book is taken
of it convulsive. Such a state of affairs militates against the
for granted, as is its permanent validity and authority, inde-
likelihood of uniformity in the processes involved or of un-
pendent of the person of Moses.
broken consistency in the considerations that swayed deci-
The only other record of a preexilic public reading of
sionmaking about individual works and collections of works.
Torah literature comes from near the end of the period of
For these reasons, any reconstruction of the history of the
the monarchy. 2 Kings 22–23 (cf. 2 Chr. 34) recounts the
phenomenon of the canonization of biblical literature must
chance discovery of “the book of the Torah” in 622 in the
of necessity remain hypothetical.
course of the renovations being carried out at the Temple in
Nonetheless, it should be noted that well before the year
Jerusalem at the initiative of Josiah, then king. The scope of
1000 BCE, the libraries of the temples and palaces of Mesopo-
this work cannot be determined from the narrative, but the
tamia had organized the classical literature into a standard-
royal measures taken as a consequence of the find prove be-
ized corpus in some kind of uniform order and with a more
yond cavil that it at least contained Deuteronomy. What is
or less official text. In similar manner, by order of Peisistra-
of particular significance is that it had long been stored in
tus, tyrant of Athens, the Homeric epics were codified in the
the Temple, that its antiquity, authenticity, and authority
sixth century and endowed with canonical authority. The
were recognized at once, and that its binding nature was con-
idea of a canon was thus well based in the ancient world.
firmed at a national assembly. The ceremony centered upon
There is every reason to assume that in Israel, too, temples
a document that had already achieved normative status, but
served as the repositories of sacred texts from early times, and
the impact of the event—the thoroughgoing religious refor-
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
883
mation that it generated and sustained ideologically—left an
of God to the people; all laws are presented as divine commu-
indelible imprint on the subsequent literature and religion
nications to Moses; there are no collections of binding laws
of Israel and constituted a powerful stimulus to the elevation
outside of the Torah. He is also the first person to whom the
of the Torah literature as the organizing principle in the life
act of writing is ascribed. There can be no doubt that in a
of the people. In this sense, the developments of 622 are an
very real sense the Pentateuch would have been unthinkable
important milestone in the history of canonization. Between
were it not for his activity.
this year and 444 the process gathered apace. It is reasonable
COMPILATION AND REDACTION. The composite nature of
to assume that it was consummated in the Babylonian exile
the biblical, especially the Pentateuchal, literature has long
after 587/6, for it is impossible to explain the extraordinary
been recognized (see Nm. 21:14, Jos. 10:13). By the applica-
survival of the small, defeated, fragmented community of Is-
tion of analytical criteria of consistent variations in style,
raelites, bereft of the organs of statecraft, deprived of its na-
phraseology, and theological viewpoint, of doublets and in-
tional territory, living on alien soil amid a victorious, presti-
consistencies, of breaks in continuity with the obvious
gious civilization, other than through the vehicle of the book
presence of connectives that conjoin separate homogeneous
of the Torah, which preserved the national identity.
sections, critical research has concentrated on the disentan-
glement and isolation of the constituent literary strands.
In the period of the return to Zion (the Land of Israel)
and beyond, after 538 BCE, the convention of attributing the
The early founders of modern biblical criticism were
entire Torah to Moses is frequently attested—in Malachi,
Barukh Spinoza (1632–1677) and Jean Astruc (1684–1766).
Ezra-Nehemiah, Daniel, and Chronicles. It also appears in
In the course of the nineteenth century, several important
Joshua (8:32, 23:6) and in 1 Kings (2:3) and 2 Kings (14:6,
contributions were made by Wilhelm M. L. De Wette, Wil-
23:25), but many scholars maintain that these references re-
helm Vatke, and Heinrich Ewald. It was Julius Wellhausen,
sult from a later revision of these works. At any rate, by the
however, who popularized what is known as the Documenta-
year 444 the “Torah of Moses” had received popular accep-
ry Hypothesis. He systematized and developed the work of
tance. Nehemiah 8–10 records that in that year a public, na-
his predecessors in several influential treatises: Die Composi-
tional assembly took place in Jerusalem at which the people
tion des Hexateuchs (Berlin, 1876), Geschichte Israels (Berlin,
requested that “the scroll of the Torah of Moses with which
1878), and Prolegomena zur Geschichte Israels (Berlin, 1883).
the Lord had charged Israel” be read to them. This was done
The Documentary Hypothesis isolated four primary
by Ezra, who is himself described as “a scribe, expert in the
collections of traditions (sources) that it labeled J (because
Torah of Moses,” “a scholar in matters concerning the com-
it employs the divine name Jehovah, in Hebrew, YHVH), E
mandments of the Lord and his laws to Israel . . . a scholar
(because it uses Elohim for God), D (Deuteronomy), and P
in the law of the God of heaven” (Ezr. 7:6, 7:11–12, 7:21).
(Priestly). The isolation of the D and P sources, each with
It is quite evident that the stress is on the teaching, dissemi-
its distinctive content, style, and perspective, was less compli-
nation, interpretation, and reaffirmation of the Torah, long
cated than determining the literary parameters of J and E,
popularly recognized and accepted, not on its promulgation
on which there has been much difference of opinion. It be-
anew. Ezra had been commissioned by the Persian king Arta-
came clear that the provenance, historical setting, and chro-
xerxes I “to regulate Judah and Jerusalem according to the
nological sequence of these sources would yield the materials
law of God,” which was in his care (Ezr. 7:14). True, the
for reconstructing the history of the religion of Israel in bibli-
texts do not define the scope of this literature, but it can be
cal times. Accordingly, J, which was believed to have origi-
safely assumed that it was little different from the Pentateuch
nally constituted the skeleton of the continuous narrative of
that has come down to us, for the author of Chronicles who
Genesis through 1 Kings, chapter 2, was assigned to the peri-
composed his history about 400 repeatedly refers to the
od of the united Israelite kingdom of David and Solomon
“Torah of Moses,” and it can be shown that this phrase in
in the tenth century and was thought to have derived from
context applies comprehensively to the entire Pentateuch.
Judea. E was considered to be northern Israelite or Ephraim-
In the Pentateuch itself, however, there is no statement
ite from the ninth to eighth centuries. It was fused with J to
unambiguously asserting Mosaic authorship of the entire
become JE. D was regarded as the product of the reformation
work, nor can the use of the term torah be shown to refer
of Josiah in 622, and P as having been compiled in the Baby-
lonian exile, between 587 and 560. The entire Pentateuch
comprehensively to the complete Pentateuch. Rather, its ap-
was taken to have reached its final form before Ezra’s journey
plicability changes considerably, being variously restricted to
to Jerusalem in 458.
an individual law, to a specific and limited collection of tra-
ditions, or to a large literary unit. The background to the tra-
This hypothesis, with its evolutionary presuppositions,
dition ascribing the authorship of the Pentateuch to Moses
has been considerably modified since its systematic presenta-
lies in the fact that, in biblical literature, Moses is the divinely
tion in the nineteenth century. The major sources have
chosen individual through whose instrumentality a social-
themselves been dissected, and serious challenge has been
religious revolution is effectuated. He is the leader par excel-
posed to the dating and sequence of the reconstructed docu-
lence, preeminent beyond compare; his is the only name asso-
ments. Furthermore, it has been recognized that a distinction
ciated with the term torah; he is the sole mediator of the word
must be made between the age of the traditions, which may
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
be of great antiquity, and the time of their assemblage and
ty, and it is the former that accords the Israelite productions
final editing. It has been noted that literary strands become
their claim to singularity.
interwoven, and sources tend to interact one with another,
This point is illustrated by the fact that whereas all the
thus making the identification of the original documents far
diverse literary genres of the Bible are to be found in
less secure. In addition, the creative work of the redactor(s)
the neighboring cultures, the reverse is not the case, and the
has come to be increasingly appreciated as an important fac-
omissions are highly instructive. The huge literature belong-
tor in the development of biblical literature by scholars en-
ing to the worlds of astrology and magic, omens, divination,
gaging in “redaction criticism.”
and the like, and the considerable body of mythical texts,
Scholars of the school of “tradition criticism” have also
have no counterpart in the Hebrew scriptures (although the
paid attention to the process by which traditions were pre-
texts preserve evidence of these customs) because they are in-
served and transmitted. It has been pointed out that much
compatible with Israel’s fundamental monotheism. More-
of the written material may well have had an oral prehistory.
over, it is apparent that what was drawn upon from the com-
Traditions would have been recited in a cultic context at
mon Near Eastern stock was thoroughly refined and
local and regional shrines, such as Bethel, Shiloh, Shechem,
reshaped to bring it into conformity with the national reli-
and Jerusalem (cf. Dt. 27:1–10). A series of major themes,
gious ideology.
like the divine promises to the patriarchs, the Exodus, the
The primeval history in Genesis, chapters 1–11, well ex-
covenant of Sinai, and the wanderings in the wilderness
emplifies this situation. The genealogies, for instance, belong
would have been given public expression on sacral occasions
to the same type of document as the Sumerian king-list, but
to form the core of the Israelite religion. These units of tradi-
they are used both as connectives to bridge the gap between
tion would become the focus of expansive tendencies, would
narrative blocks and for theological purposes. Thus, ten gen-
be written down, assembled, and serve as the building blocks
erations are delineated to span the period between Adam and
of extensive and complex narratives presented in a continu-
Noah, and another ten between Noah and Abraham, the
ous form. The nature and characteristic properties of oral tra-
symmetry being intended to convey the idea that history is
dition, poetic or prose, its antiquity, reliability, and tenacity,
the unfolding of God’s predetermined plan for humankind.
its vicissitudes in the course of transmission, and the kinds
The Flood story has manifold and detailed points of contact
of transformation it undergoes when reduced to writing have
with the corresponding episode in the Mesopotamian Epic
all been the subjects of intensive study, for they have direct
of Gilgamesh and with its parent version, the Atrahasis epic.
bearing on the understanding of the development of biblical
But the biblical version has a singularly didactic function and
literature.
is uniquely placed within a spiritual and moral framework.
Finally, it has been acknowledged that any analysis that
The law collection in the Pentateuch is another case in
ignores the primary nature and function of the material must
point. No less than six law codes have survived from the an-
be incomplete. The formation of the scriptures was not moti-
cient Near East, the earliest probably deriving from about
vated by literary, aesthetic considerations, or by the desire to
seven hundred years before Moses. All these, plus innumera-
write objective history. Rather, the literature is essentially re-
ble documents of law-court proceedings, leave no doubt of
ligious, its purposes being theological interpretation and di-
the existence of a common legal culture in the area that
dactic function. This fact imposes considerable restraint on
found expression in a similarity of content, legal phraseology,
the simple application to it of the accepted literary-critical
and literary form that Israel shared. Nevertheless, the scrip-
method.
tural exemplar features some fundamental and original de-
T
partures from the general norm. The source and sanction of
HE BIBLE AND THE ANCIENT NEAR EAST. The recovery of
law are conceived in Israel to be entirely the revelation of di-
the languages and cultures of the lands of the ancient Near
vine will. The law is taken to be the expression of the cove-
Eastern world demonstrate that the people of Israel arrived
nant between God and Israel. There is no dichotomy, as else-
on the scene of history rather late, long after the great civili-
where, between the secular and the religious. Social, moral,
zations of Mesopotamia, Egypt, and the Hittite area had al-
ethical, and cultic precepts are all equally and indiscriminate-
ready passed their prime and produced a classical literature.
ly encompassed within the realm of the law. Also, there is
Moreover, it is clear that this region, often referred to as the
an overwhelming preoccupation with the human person and
Fertile Crescent, constituted a cultural continuum, although,
with human life, and a lesser concern with matters of proper-
to be sure, each constituent, local entity possessed its own
ty, which is the reverse of the situation in the traditional
distinctive features. It is not surprising, therefore, that there
codes. Finally, the biblical laws are encased within a narrative
exist numerous, close affinities in subject matter and form
framework and are not isolated documents.
between the biblical writings and the literatures of the an-
cient Near East. This phenomenon is not necessarily to be
The genre that was truly an international phenomenon
explained in terms of dependency or borrowing, but more
is that of biblical wisdom literature. It deals with observa-
likely as a result of the sharing of a common cultural heritage.
tions on human behavior and the world order, drawn from
Furthermore, correspondences and parallels are not the same
experience. One such category has the individual as its focus
as identity. Contrast is as important a dimension as similari-
of interest and is essentially pragmatic and utilitarian, con-
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
885
taining precepts for success in living. Its artistic forms are
one and the same composition as early as the period of
mainly the maxim, the proverb, the pithy question, and the
the formation of biblical literature itself.
riddle. The other is reflective in nature and is more con-
2. Citations from the scriptures are found in the Jewish liter-
cerned with the human condition, and with the wider issues
ature of Second Temple times, such as the extracanoni-
of divine-human relationships. Here the literary unit is much
cal books, the works of Philo Judaeus and the writings
longer. Both Egypt and Mesopotamia produced an extensive
of Josephus, as well as in the New Testament. In all
body of literature of this type, and the analogues with Prov-
these sources, there can be no doubt that the citations,
erbs, Job, and Ecclesiastes are striking. Yet here, again, al-
though in translation, often present genuine variant
though these latter are mostly devoid of national or special
readings from an underlying Hebrew text that is inde-
Israelite content, they are distinctive in their uncompromis-
pendent of the Masoretic text and of the Septuagint.
ing monotheism, in the absence of dream interpretation as
an attribute of the sage, and in their insistence on the fear
3. The Samaritan Pentateuch exhibits many variants from
of the Lord as being the quintessence of wisdom.
the Masoretic text, the great majority of which relate to
insignificant details, and even its manuscripts are not
The Book of Psalms and the rich psalmody of Egypt and
uniform. Although many of the disagreements are clear-
Babylon are closely related in both style and motifs. Both can
ly the result of sectarian or dogmatic redactions and exe-
be categorized under the more or less same limited number
getical and editorial expansions, there remain several
of literary genres. Although no Canaanite psalm has yet been
genuine variants, a goodly number of which coincide
recovered, the abundance of affinities with the poetry from
with Septuagint readings.
ancient Ugarit (modern Ras Shamra) by way of poetic form,
fixed pairs of words, the use of stereotyped phrases and of
4. Several ancient translations were made directly from the
parallelism, is impressive. It is clear that biblical psalmody
original texts. None of these is identical in every respect
did not arise in cultural isolation from the neighboring civili-
with the Masoretic Hebrew. They are important be-
zations. However, unlike the Mesopotamian psalms, the He-
cause they were made prior to the emergence of one au-
brew scriptural compositions do not contain any cult-
thoritative Hebrew text. (See “Aramaic Translations”
functional information, nor do they feature spells and incan-
and “Greek Translations” below.)
tations. Moreover, their conspicuous citation of history is
5. Rabbinic sources which supply rich and varied data make
unique, as are the spiritual experience and the soul-life of the
up the fifth type of testimony. Traditions, essentially
Israelites that they mirror.
anomalous ones, and hence of plausible credibility, have
HISTORICAL COMPLEXITY OF THE TEXT. The model for
been preserved relating to the activities of the scribes in
printed editions of the Hebrew Bible was the second “Great
transmitting the sacred texts. These tell of “scribal cor-
Rabbinic Bible” published at Venice by Daniel Bomberg,
rections” and of divergent readings in different scrolls.
1524–1525, and edited by YaDaqov ben Hayyim ibn Adoniy-
In addition, there are reports of the existence of an offi-
yah. All printed editions, as well as all extant medieval He-
cial Temple model scroll from which other scrolls were
brew manuscripts of the Bible—the earliest deriving from
corrected and of a class of “book-correctors” whose sala-
the ninth century CE—represent a single textual tradition,
ries were paid from Temple funds (e.g., B.T., Ned. 376,
known as the Masoretic (“received”) text (MT). This stan-
Ket. 106a; J.T., Ta Ean. 4.2, 5.1; J.T., Suk. 3.2, Sheq.
dard text comprises three distinct elements: the Hebrew con-
4.3). A medieval source has retained a list of textual vari-
sonants, vocalization signs, and accentuation marks. The last
ants deriving from a Torah scroll deposited in the Seve-
two components are relatively late additions. Their purpose
rus Synagogue (or public building) in Rome and said
is to preserve the proper traditional pronunciation and can-
to have been taken to Rome from Jerusalem after the
tillation of the text for purposes of study and synagogue lec-
destruction of the Second Temple, circa 70 CE (Midrash
tionary.
Bere Dshit Rabbati, ed. C. Albeck, Jerusalem, 1940,
p. 209, 45.8). Rabbinic literature also contains hun-
This normative uniformity notwithstanding, there is
dreds of citations from the Hebrew Bible that feature
abundant evidence for a far more complex history of the He-
variants from the Masoretic text. While many of these
brew consonantal text than is suggested by the aforemen-
may be discounted as having been caused by lapse of
tioned manuscripts and the printed editions. Several differ-
memory on behalf of the tradent or by the errors of me-
ent categories of testimony bear witness to an earlier era
dieval scribes, many also represent genuine variants. In
of textual transmission that was characterized by much
addition, there are several examples of rabbinic exegesis
diversity.
based on consonantal texts not identical with the Maso-
retic text (see B.T., San. 4b).
1. Internal evidence is represented by the duplication of
several passages within the scriptures. These duplicates
6. The Dead Sea Scrolls are the last and most important,
may display differences in content and arrangement,
because the most direct, type of evidence. They consist
linguistic or grammatical variants, and orthographic di-
of the Hebrew scrolls and fragments found in the Jude-
versity, testifying to the existence of divergent texts of
an desert in modern-day Israel, which are now the earli-
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
est extant manuscripts of the period extending from the
By the end of the first century CE this text tradition be-
second half of the third century BCE to the fall of Jerusa-
came authoritative and displaced all others. The process is
lem to the Romans in 70 (or 68) CE. The oldest of these
clearly visible in the phenomenon of a revision at this time
antedate by about a thousand years the earliest Hebrew
of the Septuagint to bring it into conformity with the proto-
Bible manuscripts hitherto known. Some 180 separate
Masoretic text (see below, “Greek Translations”). The bibli-
manuscripts of biblical books have come to light in vari-
cal manuscripts found at Masada are all but identical with
ous states of preservation, together with thousands of
our received texts from Wadi Murabbaat, deriving from the
fragments. Every book of the Hebrew Bible, except Es-
period of Bar Kokhba Revolt (132–135 CE).
ther, is represented, several in multiple copies. Some
The manuscript evidence for the development of a sin-
Pentateuchal books, as well as Job fragments, are written
gle authoritative text can be supplemented by secondary tes-
in the Paleo-Hebrew script, a derivative of the ancient
timony. The recorded disputes between the Sadducees and
Hebrew script in use prior to the Babylonian exile of
the Pharisees never once center on or reflect differences in
587/6 BCE.
the text of scripture. Similarly, the Christians in the times
The great importance of these scrolls and fragments lies in
of the New Testament do not claim a superior or different
the fact that they supply unimpeachable evidence for a de-
text from that used by the Jews. Also, early Christian-Jewish
gree of textual diversity that exceeds the limited three major
polemics frequently involved differences between Jewish and
witnesses previously known: the Masoretic text, the Septua-
Christian citations of the Bible, but it was the Hebrew text
gint, and the Samaritan Pentateuch. In fact, each biblical
of the Jews as against the Latin version of Jerome, not versus
book displays a variety of individual texts that agree now
a different Hebrew existing text, that was the subject of dis-
with one of the above versions, now with another. It is to
pute. This is in accord with another phenomenon of major
be emphasized, however, that none of the Hebrew scrolls
importance. No differences of opinion regarding biblical
from Qumran so far published can be seen to be actually
readings appear in rabbinic literature, only varying interpre-
identical in all respects with either the Septuagint or the Sa-
tations of the same text. In fact, the above-cited rabbinic ma-
maritan tradition. Particularly interesting and instructive are
terial that bears witness to the one time existence of divergent
the direct citations from the Pentateuch found in the Qum-
texts constitutes at the same time testimony to the tendency
ran “Temple Scroll.” These often agree with the Septuagint
to reduce the plurality of readings; it communicates a desire
and occasionally with the Samaritan against the Masoretic
to produce conformity to one text.
text, but they differ from both more frequently than they
agree with them.
The above-mentioned existence of Temple-supported
“book-correctors,” of a model scroll kept in the Temple
DEVELOPMENT OF THE MASORETIC TEXT. Examination of
court, and of a hermeneutical derivation of a legal decision
the evidence from the Judean desert yields the general con-
from the presence of a redundant conjunctive letter vav
clusion that the profusion of variants increases in proportion
(“and”) in the biblical text (Sot:. 5.1) by a scholar who be-
to the antiquity of the manuscripts and decreases with the
longed to the generation of the destruction of the Temple—
progression of time. Further, this diminution of variants
all presuppose a text fixed unalterably in spelling and con-
works overwhelmingly in favor of the textual tradition close
tent. The same conclusion is to be drawn even more emphat-
to that which eventually came to be known as Masoretic.
ically from the reports of the literary activity of the sofrim
This tradition is characterized, in the main, by a very conser-
(official scribes). This term is interpreted to mean “tellers”
vative approach to the consonantal text that expresses itself
by the rabbis because the sofrim kept count of the number
in a minimum of expansiveness and harmonization. Difficult
of letters in the Torah and marked its middle consonant, its
readings and archaic spellings and grammatical forms are
middle words, and its middle verse to ensure the exact trans-
carefully preserved. Matres lectionis, that is, the use of the
mission of the Hebrew text. They did the same for the Book
weak letters (alef, heD, vav, and yud) as vowel indicators, is
of Psalms (B.T., H:ag. 15b, B.T., Kid. 30a).
sparsely employed. In the hoards of manuscripts from the Ju-
dean desert, the Masoretic-type exemplars are more numer-
Two other sources confirm that the concept of an offi-
ous than the other text traditions. For instance, there are
cial, fixed scriptural text was well rooted in Jewish learned
present no less than fourteen copies of Isaiah that are very
circles. The Greek Letter of Aristeas (late second century BCE),
close to our received Hebrew version.
which purports to tell of the origin of the Septuagint, knows
of inaccurate copies of the Torah and reports an official Alex-
These facts unmistakably point to the high prestige en-
andrian request of the high priest in Jerusalem to supply an
joyed by this particular tradition. Since there is no evidence
accurate Hebrew copy from which a Greek translation may
for the biblical scrolls being a product of the Qumran com-
be made. In the same vein, Josephus boasts that the Jews have
munity, this situation must reflect the text-type that eventu-
always venerated their scriptures to the degree that none
ated in the Masoretic text, which was not only present very
would dare to add, to remove, or to alter a syllable of the text
early at Qumran but was also already highly and widely es-
(Josephus, Against Apion, 1.6, 1.8).
teemed in Palestine in Second Temple times. This implies
its patronage by powerful and respected circles that could
The process by which the Masoretic text type achieved
only have been located in the Temple at Jerusalem.
supremacy over all others and eventually supplanted them
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
887
entirely is unclear. There is absolutely no evidence for an of-
These Aramaic translations are known as targumim
ficial promulgation on the subject by rabbinical authorities.
(“translations”; sg., targum). Their origins are ascribed in
The most plausible explanation for the phenomenon is that
rabbinic sources to the time of Ezra and Nehemiah (fifth
the very concept of a sacred canon of scripture on the basis
century BCE). Nehemiah 8:8 is adduced in support of this the-
of which Jewish communities established their identity, and
sis (J.T., Meg. 4.1, 74d et al.). This tradition undoubtedly
the reading and studying of which formed the core of the or-
preserves a historical kernel, for the process certainly arose
ganized public liturgy, would naturally tend toward the pro-
in connection with the public liturgical lectionary, most like-
motion of a stabilized, normative text. The specific text fa-
ly with the glossing in Aramaic of difficult Hebrew words
vored by scholarly and hierarchical circles in Second Temple
and phrases. In the course of time, there arose the institution
times would acquire high prestige and serve as a model for
of the meturgeman, the official translator into Aramaic who
less elitist groups. The trend toward uniformity would be
stood beside the one who read the scriptural portion in He-
hastened by the destruction of the Temple and the ever-
brew. According to rabbinic sources, the Aramaic had to be
widening Jewish Diaspora because a common text would act
rendered extemporaneously, without the aid of a written text
as a vital cohesive force. Laymen would cease to order and
and without even a glance at the Torah scroll. The purpose
scribes would desist from copying any but the “official” text.
was to ensure the exclusive authority of the original Hebrew
All others would be discarded, and, being written on organic
text, and to prevent it from being superseded by a trans-
material, would perish—except for chance preservation in
lation.
unusually favorable environmental conditions such as obtain
The existence of established Targums for private use is
in the Judean desert.
attested for the period of the Second Temple. The Genesis
A
Apocryphon from Qumran is a typical aggadic Targum, that
RAMAIC TRANSLATIONS. The extensive imperial campaigns
of the Assyrian kings during the eighth and ninth centuries
to Job from the same locale is a literal exemplar. The Greek
translation of Job, probably made during the first century
BCE began the process that culminated in the Aramaization
of the Jewish people. Arameans and Chaldeans came to con-
BCE, concludes with an addendum that seems to point to the
existence of an earlier “Syriac” (probably Aramaic) Targum
stitute a significant and powerful segment of the population
to that book. Another early written Targum to Job is men-
under Assyrian domination. The diffusion of Aramaic was
tioned in rabbinic sources (Tosefta, Shab. 13.2–3 et al.).
doubtless facilitated by the convenience and efficiency of the
Jesus’ citation of Psalms 22:1 in Aramaic, rather than in He-
alphabet as opposed to the cumbersome cuneiform writing.
brew, at his crucifixion (Mt. 27:46, Mk. 15:34) testifies to
The Aramaic language finally became the language of diplo-
a well-rooted tradition of Aramaic translation of Psalms, but
macy and international trade throughout the neo-Assyrian
whether it existed in oral or written form cannot be deter-
empire (see 2 Kings 18:26). The fall of the northern kingdom
mined.
of Israel in 722 to the Assyrian armies, and the subsequent
large-scale population exchanges carried out by the conquer-
The almost total aramaization of the Jews of Palestine
ors, brought into Samaria and the Galilee various ethnic
and the eastern Diaspora, and the unremitting retreat of He-
groups that seem to have had Aramaic as a common lan-
brew as a spoken language, made the Aramaic Targums to
guage. The importance of Aramaic was further enhanced
the scriptures a vital and effective tool of mass education. All
during the days of the neo-Babylonian empire (626–539
resistance to their commitment to writing broke down. Some
BCE). The destruction of the southern kingdom of Judah in
achieved official recognition to the extent that the private
587, and the resultant Babylonian exile, soon caused a weak-
reading of the Targum together with the Hebrew text was
ening of Hebrew and the adoption of Aramaic as the vernac-
actually prescribed (B.T., Ber. 8a–b).
ular of the exiles. The return to Zion in the late sixth century
Pentateuchal Targums. Targums to all books of the
BCE meant an influx into Judaea of Aramaic-speaking Jews
Hebrew Bible except Daniel and Ezra-Nehemiah have sur-
who reinforced the existing bilingual situation. Throughout
vived. Three that translate the Pentateuch are particularly
the Persian empire (539–333 BCE), Aramaic was the official
important.
language of the administration, and by the end of the period
it was most likely the vernacular of a majority of Jews. While
Targum Onkelos. Targum Onkelos was the official and
Hebrew still enjoyed pride of place as a literary language, this
single universally accepted Targum to the Torah. The ascrip-
situation changed with the deteriorating fortunes of the orga-
tion of its authorship is based on a passage in the Babylonian
nized Jewish rebellions against Roman rule in Palestine. The
Talmud that refers to “Onkelos the proselyte” (B.T., Meg.
center of Jewish life shifted at the end of the first century
3a). From the corresponding passage in the Palestinian Tal-
from Judaea, where Hebrew had still managed to maintain
mud (J.T., Meg. 1.11, 71c) it is clear that the original refer-
its hold, to the Galilee, where Aramaic was the dominant lan-
ence was to the Greek translation of Aquila, a name pro-
guage. The Jewish communities of Palestine and the wide-
nounced “Onkelos” in the dialect of Babylonia. Because
spread Diaspora of the East were now thoroughly Aramaized.
nothing was known about this Greek version in the East, that
The emergence of Aramaic translations of the Hebrew scrip-
translation was there confused with the one to the Torah in
tures was an inevitable development.
Aramaic.
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
Identifying the dialect of Targum Onkelos presents a
to mention of the “six orders of the Mishnah” (Targ. Jon.,
problem. It shares features characteristic of both Eastern and
Ex. 26:9) that were edited only around 200 CE, to the pres-
Western Aramaic, and is close to Middle Aramaic (200 BCE
ence of Khad¯ıjah, wife of Muh:ammad (some texts read
to 200 CE), whose place of origin seems to have been Pales-
“Ayesha,” another of his wives) and Fat:imah, his daughter
tine, which would point to a Palestinian provenance for Tar-
(Targ. Jon., Gn. 21:21), to references to Ishmael and Esau
gum Onkelos. This conclusion is reinforced by linguistic evi-
as masters of the world (Targ. Jon., Gn. 49:26, Dt. 33:2),
dence. In addition, its aggadah and halakhah, or homiletical
which can only refer to Islam and Byzantium of the seventh
and legal traditions, show unmistakable influence of the
century CE at the earliest. A reference to Constantinople in
school of the Palestinian rabbi EAqivaD ben Yosef.
the Targum on Numbers 24:19 seems to allude to the war
of the caliph Sulayma¯n against the Byzantine capital in 716–
On the other hand, Targum Onkelos vanishes from Pal-
718 CE.
estinian Jewish records for many hundreds of years after the
end of the third century CE. It exhibits morphological fea-
A curious feature of this Targum is the number of pas-
tures that are typical of Eastern Aramaic, and it was the offi-
sages in which the exegesis contradicts normative rabbinic
cial Targum of the academies of Babylon. It was transmitted
halakhah (e.g., Targ. Jon., Lev. 18:21, cf. Meg. 4.9), and in
with a Babylonian vocalization and a masorah, a text-critical
several cases agrees with that of Philo and the sect of Karaites
apparatus that, written in the margins of the manuscript, re-
(eighth century CE on). As a result it is extremely hazardous
flects the Babylonian traditions regarding the form of the
to date this version. Its language is essentially Galilean Ara-
text, the spelling of words, directions for pronunciation, and
maic, and its origins certainly go back to Second Temple
other lexicographic details.
times. Innumerable accretions and the influence of Targum
Onkelos on it have vastly complicated the task of recon-
In light of the above data, it seems safe to assume that
structing the history of its transmission.
this Targum originated in Palestine and was brought to Bab-
ylon at the end of the second century CE. There it underwent
Targum (Pseudo-) Jonathan was first printed at Venice,
a local, systematic redaction and was given official ecclesiasti-
1591. A British Museum manuscript was edited by Moses
cal recognition. It is a work composed of numerous and var-
Ginsburger (Berlin, 1903) and published in a corrected edi-
ied layers that represent a time span of hundreds of years.
tion by David Rieder (Jerusalem, 1974).
Generally speaking, Targum Onkelos was executed with
Neofiti 1. An early sixteenth-century manuscript known
great care as a straightforward, literalistic rendering of the
as Neofiti 1 represents a third Galilean Aramaic Targum to
Hebrew source. It departs from this approach in the difficult
the Pentateuch. Discovered in the Vatican Library in 1956
poetic sections of the Pentateuch, as well as in those passages
by Diez-Macho, it has since been published in five volumes
in which its pedagogic goals, namely, the Aramaic translation
(1968–1978). The codex is complete and well preserved. It
as an instrument for mass education, required change or ex-
features a large number of marginal and interlinear variants
pansion. Here it incorporated oral traditions, halakhic and
and notes written in rabbinic script by different hands, the
aggadic, and it used circumlocutions and euphemisms to
source of which may well be parallel readings in various Tar-
avoid misunderstanding on the part of the public as to the
gums, since they often coincide with fragments preserved in
monotheistic concept of God, changing anthropomorphisms
the Cairo Genizah.
and anthropopathisms, and texts that might be misconstrued
The dating of this Targum presents complex problems.
as suggesting direct physical contact between man and God.
Linguistic and other aspects point to the early centuries CE.
Targum Onkelos was first printed at Bologna in 1482.
It undoubtedly contains valuable textual variants paralleled
The Sabbioneta text of 1557 served as the basis of Abraham
in other ancient versions. It differs, however, in orthography,
Berliner’s edition (Leipzig, 1877). A new edition, based on
grammar, and the extent of paraphrastic material from the
old Yemenite manuscripts and printed texts, was edited by
other Galilean Targums, and there is good reason to believe
Alexander Sperber in 1959.
that the original underwent later revision. Another Palestin-
ian Aramaic translation exists that is sometimes referred to
Targum Jonathan. A second popular Targum to the
as Targum Yerushalmi or Fragmentary Targum. It was first
Pentateuch was the Targum Jonathan (Heb., Yonatan). The
printed in the Bomberg Rabbinic Bible of 1517–1518, and
name is a misnomer arising from a mistaken interpretation
subsequently, with additions, by Moses Ginsburger (Berlin,
of an abbreviation, “T. Y.,” which actually denotes Targum
1899). These fragments cover only about 850 of the 5,845
Yerushalmi (Jerusalem Targum). An earlier, widespread
verses of the Pentateuch, and it is not clear whether it was
name for this translation was Targum of the Land of Israel.
ever complete.
This Targum is also characterized by an aversion to an-
thropomorphisms, but it is free and expansive, replete with
The Samaritan Targum (or Targums). The Samaritan
aggadic and halakhic material. Biblical toponyms are mod-
community produced for its own use a Targum based upon
ernized. Its history is problematic. Internal evidence for its
its recension of the Pentateuch. The dialect is that of the area
dating ranges from mention of the high priest John Hyr-
of Shechem and the central highlands, very close to Galilean
canus (135–104 BCE) in the Targum to Deuteronomy 33:1,
Aramaic. Linguistic criteria suggest an original date of com-
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
889
position sometime between the second and third centuries
The style of the Targum, especially to the Latter Proph-
CE. Generally, the Samaritan Targum is characterized by ex-
ets, is paraphrastic and expansive, probably because of the
treme literalism even to the extent of reproducing anthropo-
difficulties in translating the poetic oratory, which is replete
morphisms.
with figurative language. It shares with Targum Onkelos to
A serious problem is the fact that the Samaritans never
the Torah the general aversion to anthropomorphisms. Frag-
produced a definitive edition of their Targum, with the result
ments of the Targum from Codex Reuchlinianus were edited
that every manuscript exhibits its own peculiarities, the vari-
by Paul de Lagarde as Prophetae Chaldaice (1872). A critical
ants frequently reflecting changes and developments in their
edition of the Targum Jonathan to the Prophets was pub-
Aramaic dialect. Moreover, the later scribes, who did not
lished by A. Sperber (1959, 1962).
know Aramaic, introduced numerous errors into their
Citations from another Palestinian Targum to the
copies.
Prophets appear in the biblical commentaries of Rashi
The first edition printed in the West was that of the
(Shelomoh ben Yitsh:aq, 1040–1105) and David Kimh:i (c.
Paris Polyglot (1645), but it is now clear that it was made
1160–c. 1235) and in the rabbinic dictionary of Natan ben
from a decidedly inferior manuscript dating to 1514. Wal-
Yeh:iDel of Rome (1035–c. 1110), known as the Arukh, as
ton’s London Polyglot of 1657 (vol. 6) reprinted this, but
well as in the above-mentioned Codex Reuchlinianus. They
with numerous corrections. A version based on various
have been collected by Lagarde and Sperber. While the Ara-
manuscripts found in the Samaritan synagogue in Shechem
maic is Palestinian, the influence of the Babylonian Talmud
was begun by Heinrich Petermann in 1872 and completed
upon this Targum is clear.
by Caroli Vollers in 1893, but the copies used were unre-
Targums to the Ketuvim. Ever since the Venice edition
liable.
of 1518, rabbinic Bibles have carried Targums to all the
Targum to the Prophets. Traditionally, the official
books of the Ketuvim (Hagiographa) except Daniel, Ezra,
Targum to the Prophets is ascribed to Jonathan son of Uzz-
and Nehemiah. Lagarde edited the series in Hagiographa
iel, based on a single Talmudic passage (B.T., Meg. 3a),
Chaldaice (1873), and a critical edition was published by
which also makes him a contemporary of Haggai, Zechariah,
Sperber in 1964. These Targums are composed in the Pales-
and Malachi (sixth century BCE). However, another rabbinic
tinian Aramaic dialect, and presumably originate in Pales-
text (B.T., Suk. 28a) has him a student of Hillel the Elder
tine. Each is distinctive, and there is no uniformity of style.
(end of first century BCE–beginning of first century CE). It
None of them ever became authoritative or underwent for-
has been noted that the name Jonathan (Yonaton) is a He-
mal redaction. Those to Psalms and Job share in common
brew rendering of the Greek name Theodotion. One of the
several distinctive features.
second-century Greek versions of the Bible was executed by
Rabbinic sources make clear that a Targum to Job al-
a certain Theodotion, and it is conjectured that in Babylo-
ready existed in Second Temple times (Tosefta, Shab. 13.2
nian Jewish circles he was confused with Jonathan ben Uzz-
et al.). The remains of such a one have been recovered from
iel, who was then credited with translating the Prophets into
Qumran Cave 11, but whether it has any relationship to the
Aramaic.
former cannot be determined. The language of this Targum
The Aramaic of the Targum to the Prophets is close to
is close to biblical Aramaic and seems to go back to the late
biblical Aramaic and to the Palestinian Jewish dialect. Its af-
second century BCE.
finities with the Pesher Habakkuk (a commentary on Habak-
kuk) from Qumran and the exegetical traditions it shares in
The Targum to Job that appears in the printed editions
common with Josephus testify to the antiquity of some of
has no relation to the preceding and appears to be a compila-
its layers. At the same time, a definite dependence on Tar-
tion from different periods. The Targum to Proverbs is
gum Onkelos to the Torah can be established. In assessing
unique in that it bears strong resemblance to the Peshitta,
the date of Targum Jonathan’s composition, account must
or Syriac version, leading to the most likely conclusion that
also be taken of the fact that the Babylonian Talmud con-
both renderings go back to a common, older, Aramaic trans-
tains numerous citations of Aramaic renderings of passages
lation or to the influence of a Jewish transliteration of the
from the Prophets, which are identical with those in Targum
Peshitta into Hebrew characters.
Jonathan, and which are given in the name of the Babylonian
There are Targums to the Five Scrolls, but these are so
amora Yosef ben H:iyyaD (d. 333 CE). These indicate that they
expansive and paraphrastic that they are more collections of
were composed at least a generation earlier (B.T., San. 94b
midrashim than true Targums. They were edited with an in-
et al.).
troduction by Bernard Grossfeld in 1973.
It is possible that Yosef ben H:iyyaD may have been con-
GREEK TRANSLATIONS. The history of the Jewish communi-
nected with one of the revisions. At any rate, it is certain that
ty in Egypt can be traced back at least to the beginning of
the Targum is not the work of a single individual or of one
the sixth century BCE. There Jews spoke Aramaic and knew
period but has undergone much revision over a long period
Hebrew, but the influx of Greek-speaking settlers had far-
of time, until it reached its definitive form, by the seventh
reaching effects on their cultural life. With the conquest of
century CE.
Egypt by Alexander the Great, the local Jewish population
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
890
BIBLICAL LITERATURE: HEBREW SCRIPTURES
was swelled by a great wave of immigration attracted there
is often indifferent to Greek idiom. Neologisms are compara-
by the opportunities afforded by the Ptolemies. The Jews
tively rare, but the translators frequently forced the meaning
concentrated mainly in Alexandria, where they formed an
of common Greek words by using a standard rendering of
autonomous community with its own synagogues and so-
a Hebrew term without regard to context. Further, Aramaic
ciocultural institutions, and where they came to form a sig-
was still widely used, and the translators sometimes gave Ara-
nificant segment of the population. They soon adopted
maic rather than Hebrew meanings to certain words. On oc-
Greek as their everyday language.
casion, they rendered the original by Greek words that were
similar in sound but quite dissimilar in meaning. Quite clear-
By the third century BCE, both liturgical and education-
ly they injected Palestinian exegetical traditions into their
al considerations dictated the need for a Greek translation
translations. All in all, the Septuagint was generally compe-
of the scriptures, at least of the Pentateuch. The version
tently rendered. If its style is not consistent throughout, this
known as the Septuagint was revolutionary in its conception,
is partly due to the multiplicity of translators and partly to
its execution, and its impact. No lengthy Eastern religious
the revolutionary nature of the undertaking in that the trans-
text had previously been translated into Greek, nor had a
lators had neither experience nor real precedent to fall
written translation of the Jewish scriptures been made hither-
back on.
to. The Septuagint was one of the great literary enterprises
of the ancient world, and it served to fashion and shape a dis-
The rest of the Greek Bible displays a wide variety of
tinctively Jewish-Hellenistic culture, which attempted to
styles and techniques ranging from the literal to the free and
synthesize Hebraic and Greek thought and values. Eventual-
the paraphrastic. This is due to the piecemeal nature of the
ly, it became a powerful literary medium for the spread of
translations, to the long period of time it took to complete
early Christianity throughout the far-flung Greek-speaking
the entire scriptures—several hundred years—and to the fact
world, thereby transforming the culture and religion of a
that the books of the Prophets and Hagiographa were appar-
goodly segment of humanity.
ently privately executed. At least, no traditions about them
have been preserved. The result was considerable fluctuations
The Septuagint (“seventy”) received its Latin name
in the quality of the translations.
from a legend current among the Jews of Alexandria that it
was executed by seventy-two scholars in seventy-two days.
The Septuagint as it has come down to us often reflects
Originally applicable only to the translation of the Penta-
readings at variance with the Masoretic Hebrew text. Two
teuch, this abbreviated title was gradually extended to the
factors complicate the scholarly use of this version as a tool
complete Greek rendering of the entire Jewish scriptures. In
for biblical research. The first relates to its early external
the course of time, the origins of the Septuagint came to be
form, the second to its textual history.
embroidered in legend and enveloped in an aura of the mi-
With the spread of Christianity and the pursuit of mis-
raculous. The Letter of Aristeas, Philo’s Moses (II, v–vii, 25–
sionary and polemical activity on the part of the church, the
40) and rabbinic writings (e.g., B.T., Meg. 9a; Avot de Rabbi
inconvenience of the traditional scroll format for the sacred
Natan, ms. b, 37) are the principal witnesses to this develop-
books became more and more pronounced. The church,
ment, whereby the initiative for the translation was said to
therefore, early adopted the codex or “leaf-book” format for
have come from Ptolemy II Philadelphus (r. 285–246 BCE).
its Bible, perhaps being additionally motivated by a con-
The fullest and most popular version of the legend is
scious desire to differentiate its own from Jewish practice,
that found in the first of the above-mentioned sources. That
which adhered to the scroll form for study purposes until at
the Letter is a fiction is apparent from internal evidence, and
least the sixth century CE. Those who produced the early co-
it has been shown to have been composed by a hellenized Jew
dices of the Greek Bible must have had great difficulty in as-
writing in the second half of the second century BCE, about
sembling uniform copies of the individual scrolls that made
a hundred years after the publication of the original Septua-
up the scriptural canon. Accordingly, various scrolls of a het-
gint. It is certain that it was the needs of the Alexandrian Jew-
erogeneous nature were used by the copyists for their arche-
ish community that called forth the translation in the course
types. A badly copied scroll might have been the only one
of the third century BCE. It is not impossible, however, that
available to the compiler.
the project did receive royal approval, given the known inter-
The second factor concerns the tendency of later schol-
est and activities of the Ptolemies as patrons of culture. Fur-
ars to rework the original Greek translation. Scholars re-
thermore, it is quite likely that the translators did come from
worked translations because the manuscripts before them
Palestine and worked in Egypt.
had been poorly made, or because the literary quality of the
The Greek of the Septuagint is essentially the Koine,
Greek rendering was deemed to be in need of improvement,
that form of the language commonly spoken and written
or, what is most important, because the Greek reflected an
from the fourth century BCE until the middle of the sixth
underlying Hebrew text at variance with that current at the
century CE by the Greek-speaking populations of the eastern
time, so that editors would attempt to bring the translation
Mediterranean. Hence, the Septuagint stands as a monu-
in line with the current Hebrew. As a result, multiple text
ment of Hellenistic Greek. However, it is distinctive in many
traditions of the Septuagint arose, and the problem of recov-
ways. It abounds with lexical and syntactical Hebraisms and
ering the pristine translation is a formidable one. Each book
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIBLICAL LITERATURE: HEBREW SCRIPTURES
891
of the Septuagint must first be individually examined both
cursive writing. From the eleventh century, this type com-
in terms of its translation technique and style and of its own
pletely replaces the other. The minuscules were mainly in-
textual history and transmission. As a result, a rendering that
tended for private reading, and hundreds are extant. Their
appears to reflect a variant Hebrew text may turn out to be
value for Septuagint studies is small.
nothing of the sort and may be accounted for on quite differ-
The adoption of the Septuagint instead of the Hebrew
ent grounds. On the other hand, the Qumran scrolls often
as the Bible of the church was itself a source of discomfort
clearly display a Hebrew reading that the Septuagint transla-
to Greek-speaking Jews. That the Greek rendering frequent-
tors must have had before them.
ly departed from the by then universally recognized Hebrew
The problems relating to Septuagint studies are exacer-
text constituted additional and decisive cause for its rejection
bated by the large number of witnesses available, consisting
by the synagogue. Doubtless, the conviction on the part of
of citations in the works of Philo Judaeus, Josephus, the writ-
the Jews that Christological changes had been introduced
ers of New Testament, and the Church Fathers; the manu-
into the original Septuagint also played a role. This reversal
scripts of the Septuagint itself; and the acknowledged revi-
of attitude to the Septuagint on the part of the Jewish reli-
sions of it. Many of the variant quotations may, in fact, be
gious authorities is strikingly reflected in rabbinic literature.
independent personal renderings of the authors or not even
The Palestinian minor tractate Soferim (1.7) asserts, “The
be original to the works cited, having been tampered with
day that the Torah was rendered into Greek was as disastrous
by later copyists or editors. In the case of the New Testa-
for Israel as the day in which the Golden Calf was made, for
ment, there is also the possibility of their having been ren-
the Torah could not be adequately translated.”
dered into Greek from an Aramaic version rather than the
On the Christian side, the lack of uniformity and con-
Hebrew. Nevertheless, there still remains a respectable resi-
sistency within the Greek manuscripts themselves were to be
due of genuine Septuagint quotations that differ from the
an embarrassing disadvantage to Christian missionaries in
manuscripts. As to these last, the material is very extensive
their theological polemics with Jews. This situation would
and stretches from the middle of the second century BCE
be exacerbated by the discrepancies between the translation
(with the Dead Sea Scrolls material) to the age of printing.
used by Christian disputants and the Hebrew text, which was
The turning point in the production of Greek Bibles
the only authoritative form of the scriptures recognized by
comes in the fourth century
Palestinian Jews. Exegetical debate could proceed only on the
CE attendant upon the conver-
sion to Christianity of Constantine (c. 280–337) and the
basis of a mutually acknowledged text, which in this case had
conferring upon that religion of a privileged position in the
to be the only Hebrew text tradition accepted by the Jews.
Roman Empire. An order from Constantine in 332 for fifty
All the aforementioned factors led to conscious attempts
vellum Bibles for use in the new churches he was erecting
by Jews and Christians to revise the Septuagint in order to
in Constantinople afforded an immense stimulus to the cre-
bring it into closer harmony with the Hebrew. In the second
ation of the great and handsome Greek Bibles known techni-
century CE, three systematic revisions of the Greek transla-
cally as majuscules or uncials (“inch high”) because of the
tion took place, namely, those of Aquila, Theodotion, and
practice of the scribes to employ capital-size letters without
Symmachus. Aquila, a Jewish proselyte from Pontus, Asia
ligatures. The three most important codices of this type that
Minor, apparently worked under rabbinical supervision
have come down to us in a reasonably complete state are the
(J.T., Meg. 1.11, 70c). He adopted a mechanical, artificial
Codex Sinaiticus (usually designated for scholarly purposes
technique of consistently using fixed Greek equivalents for
by S or by the Hebrew letter alef), the Codex Alexandrinus
Hebrew terms, and he coined words or forms to this end.
(given the siglum A), and the Codex Vaticanus (indicated by
This extreme literalness, to the extent of reproducing even
the initial B). The Sinaiticus, executed in the fourth century
minutiae of the original, yielded a recension that was often
CE, is not complete and in places has been seriously damaged
alien to one who knew no Hebrew. Aquila’s motivation was
by the action of the metallic ink eating through the parch-
to underline the authority of the standardized consonantal
ment. Despite the often careless orthography, the manuscript
Hebrew text and to produce a Greek version that would be
is witness to a very early text tradition. The Vaticanus, also
absolutely faithful to it. His work replaced the Septuagint in
produced in the fourth century, is nearly perfect and consti-
the synagogues of Greek-speaking Jews, and was used there
tutes the oldest and most excellent extant copy of the Greek
for the lectionaries well into the sixth century CE. It has sur-
Bible, even though it is not of uniform quality throughout.
vived only in part.
It was used as the basis of the Roman edition of 1587, the
commonly printed Septuagint. The Alexandrinus, contain-
It is not certain whether Theodotion was an Ebionite
ing practically the entire Bible, was probably copied in the
Christian or a Jewish proselyte. At any rate, he, too, displays
early fifth century. Its text is frequently at variance with that
excessive literalness. At times, he even transliterates Hebrew
of the Codex Vaticanus. It too has suffered damage from cor-
words into Greek letters, possibly for the benefit of Jews. His
rosive ink.
translation was not preserved in Jewish circles, but was highly
regarded by the church. His Greek was readable, and his
Up to the eighth century, only uncials were produced,
Daniel was incorporated into the Septuagint, displacing the
but thereafter appear the minuscules, written in small-size
inferior original Greek version of that book.
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
The third revision in the course of the second century
TRANSLATIONS BASED ON THE SEPTUAGINT. The great pres-
CE was done by Symmachus. His origins are obscure. While
tige that the Septuagint acquired as the official, authoritative
he used the existing translations, his work has an indepen-
Bible of the church generated a number of secondary transla-
dent quality about it. The style of the Greek is superior to
tions as Christianity spread to non-Greek-speaking lands and
that of the other two. He also exhibits a tendency to soften
the churches had to accommodate themselves to the native
anthropomorphisms, as well as a marked influence of rabbin-
language. Whereas the early translations had been the work
ic exegesis. Very little of his work has survived.
of scholars who knew Hebrew, this was now no longer a re-
quirement. The Greek itself served as the base for subsequent
The climax of a process of revision for the benefit of
translations. Such was the case in respect to the Coptic, Ethi-
Christian missionaries and polemicists against the Jews was
opic, Armenian, Georgian, Gothic, and Old Latin versions,
the work of the great church theologian of Caesarea, Origen
all of which have little bearing on the history of the Hebrew
(c. 185–257). He attempted both to provide a textbook for
text but are of lesser or greater importance for the study of
the study of Hebrew and to reduce the variety of Septuagint
the Septuagint itself.
versions to order, taking as his base the standardized Hebrew
text current among the Palestinian Jewish communities of
The most important of all the secondary renderings of
his day. This was a bold step, for it made the Hebrew text
the Bible is the Latin. This language advanced with the ex-
superior to, and more authoritative than, the Septuagint,
pansion of Roman power, first throughout Italy, then into
which the church had officially adopted and canonized. To
southern Gaul and throughout the Mediterranean coastal re-
achieve his goal, he arranged texts in six parallel columns.
gions of Africa. In Rome itself, Greek remained the cultural
This bulky work, the product of prodigious industry, has
language of the church until the third century, but in the Af-
come to be known as the Hexapla (“sixfold”).
rican communities Latin was very popular, and it is most
probable that the earliest translations thereinto emanated
The first column of the Hexapla, the consonantal text-
from these circles. The needs of the liturgy and the lectionary
in Hebrew characters, has wholly vanished, but the second,
dictated renditions into the vernacular, which at first re-
a Greek transliteration of the former, testifies to the fact that
mained oral and by way of interlinear glosses. It is not impos-
it was practically identical with the Masoretic Hebrew text.
sible but cannot be proven that the earliest such efforts were
Origen’s aim was apparently to indicate how to vocalize the
made by Jews directly from the Hebrew. At any rate, by the
consonants of the first column. Aquila’s translation for the
middle of the second century
third column was the logical sequence since it was closest to
CE, an Old Latin version, in
the colloquial form of the language, based on the Septuagint,
the current Hebrew text, and that of Symmachus came next,
was current. Whether we are speaking here of a single text
apparently because it seems to have been based to a large
or a plurality of translations is a matter of dispute because
extent upon Aquila, and it made that rendering more in-
of the great variety of readings to be found in extant manu-
telligible.
scripts and citations. These divide roughly into African and
It is in the fifth column, a revised Septuagint, that Ori-
European types, but it must be remembered that the two in-
gen invested his main energies. In attempting to produce a
teracted with each other.
“corrected” Greek translation, in the sense that it would
Despite the fact that the Old Latin is a translation of
faithfully represent the Hebrew of his first column, he de-
a translation, and for that reason must be used with extreme
vised a system for indicating to the reader the substantive dif-
caution for text-critical studies, it is nevertheless important
ferences between the latter and the Septuagint, and for reme-
since it was made from a pre-Hexaplaric Greek text. For ex-
dying the “defects.” The codex of Origen’s Hexapla vanished
ample, it has much in common with the Lucianic recension
completely sometime in the seventh century. However, his
and with the Vatican and Sinaitic codices. In the case of Job
“restored” Septuagint text had been independently published
and Daniel, it has renderings that presuppose a Greek read-
and received wide circulation. In this way it considerably in-
ing that has not otherwise been preserved and that, in turn,
fluenced subsequent copies of the Septuagint. Unfortunate-
indicates an original Hebrew text not identical with that re-
ly, future scribes either neglected or carelessly reproduced the
ceived. The psalms, in particular, are significant for the nu-
system of critical symbols, with the result that the text be-
merous texts available as a consequence of their having been
came chaotic and Origen’s work was ruined.
used in the liturgy, although they were frequently reworked.
One other edition of the Greek Bible is that of the
Vulgate of Jerome. By the close of the fourth century,
Christian theologian Lucian of Antioch (c. 240–312). Lu-
the confused state of the Old Latin texts had become acute,
cian was heir to a still earlier Greek version that can now be
a source of embarrassment to the church in the lands of the
shown, on the basis of Qumran readings, to have reflected
West where Latin was the language of the intelligentsia and
an ancient Hebrew text. Where Samuel and Kings are con-
of literature. A stable and standardized Bible in that language
cerned, at least, the “Proto-Lucian” was an early Jewish revi-
was a desideratum. At the papal initiative of Damasus I (c.
sion of the original Greek translation of which both Theodo-
382), Jerome undertook to revise the Old Latin version.
tion and Aquila seem to have known, if not the original itself,
as some have claimed. At any rate, Lucian apparently revised
The Roman Psalter (384), a limited revision of the
this version on the basis of Origen’s fifth column.
Psalms based on the Greek, seems to have been the first fruit
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
893
of Jerome’s labors in the Hebrew scriptures, although his au-
by Clement VIII. This latter remained the one official text
thorship has been disputed by some scholars. This version
of the church until the twentieth century.
was officially adopted into the church liturgy at Rome. It was
In 1907, a new critical edition of the Vulgate was com-
soon generally superseded by the Gallican Psalter, so called
missioned by Pius X, and the task of preparation was entrust-
because it was first accepted by the churches of Gaul. This
ed to the Benedictine order. About eight thousand manu-
was Jerome’s revision of the Old Latin on the basis of the
scripts were consulted, and it began to appear in 1926. By
fifth column of the Hexapla, a rendering therefore very close
1981, fourteen volumes had been published covering most
to the Hebrew text of his day. This version, produced in
of the books of the Hebrew Bible. A two-volume edition
Bethlehem, achieved preeminent status and is the one in-
based on the foregoing was issued at Stuttgart in 1975, with
cluded in editions of the Vulgate to the present time, even
a second edition in 1980.
though the fresh translation from the Hebrew more accurate-
ly reflects the original.
The importance of the Vulgate as a major factor in the
cultural and religious life of Western civilization cannot be
Jerome’s involvement with Origen’s Hexapla convinced
overestimated. For a thousand years, it was the Bible of the
him of the superiority of the Hebrew text over the Greek,
churches of western Europe and served as the base at first for
and he set about creating a fresh Latin translation of the He-
all translations into the respective developing vernaculars.
brew scriptures, directly from the Hebrew text (the Hebraica
veritas, the “Hebrew truth”). Doubtless, another motivation
Syriac versions. Syriac is an Eastern Aramaic dialect
was the recognition that Christian theological polemic with
within the Semitic group of languages that was current in
Jews could not be conducted on the basis of a text, the Septu-
southeastern Turkey and the Euphrates Valley. It was an im-
agint in this case, which had no authority for one of the
portant literary and liturgical language within the Christian
parties.
church from the third century until the Arab Muslim inva-
sion of the area. The Hebrew Bible was several times translat-
Jerome completed his translation in 405, having en-
ed into Syriac, the many renderings necessitated by dialectic
joyed the assistance of both Jewish converts to Christianity
and theological considerations.
and rabbinical scholars. Indeed, elements of rabbinic tradi-
tion and exegesis are embedded in his work, and it is evident
It is quite likely that there existed an early Syriac render-
that he was also influenced by Aquila’s translation. Con-
ing that was the basis of the many later versions, most of
scious of the implications of his audacious disregard of the
which are extant only as fragments. The one complete trans-
Septuagint that the church had canonized, Jerome was care-
lation to survive is the standard and most important recen-
ful to employ the terms and phrases of the Old Latin that
sion, known since the ninth century as the Peshitta. This
had achieved wide currency, particularly those in the New
term means the “simple [version],” a designation it acquired
Testament that had doctrinal coloration.
either because of its popular style or, more likely, to contrast
it with the more complicated renderings that were equipped
The new Latin translation, known since the sixteenth
with a text-critical apparatus. Ever since the third century,
century as the Vulgate, or “common” edition, met with
the Peshitta has been the official Bible of the Syrian church,
strenuous opposition, especially on the part of Augustine,
common in one form or another to all its different branches.
but owing to its elegance and superior intelligibility it made
headway, so that by the eighth century its preeminence was
The Peshitta is theoretically of the utmost significance
undisputed. However, because the Vulgate existed for several
for the textual criticism of the Hebrew Bible, since it was exe-
centuries side by side with the Old Latin, the two versions
cuted directly from the original long before the fixing of the
interacted with each other so that the manuscripts of the
Hebrew masoretic system, and because it is in a language
Vulgate became corrupted. Various attempts in the Middle
closely related to Hebrew, in contrast to the Greek versions.
Ages to produce a corrected and revised edition are recorded,
This importance, however, is diminished by the facts that the
but none gained lasting success.
version possesses a long complex history as yet imperfectly
reconstructed, that the hundreds of manuscripts housed in
The invention of printing finally made possible the
the Western libraries display a large number of variants, and
long-sought goal of a standardized text, but this goal was not
that all existing printed editions are unreliable.
achieved at once. Jerome’s Vulgate may have the distinction
of being the first book printed from movable type to issue
No early trustworthy data about the provenance and
from Gutenberg’s press at Mainz (1456), but it took almost
date of the Peshitta or of the identity of the translators have
another century of sporadic attempts at revision before a de-
been handed down. Weighty evidence has been adduced to
finitive, official edition was achieved. The achievement of a
prove both a Jewish and a Christian origin. If the former, the
definitive edition was an outgrowth of the decision of the
work would have originated in a Syriac-speaking community
Council of Trent in 1546 to proclaim Jerome’s Vulgate to
that maintained close relationships with Jerusalem. This im-
be the authoritative Bible of the Catholic Church. The hasti-
mediately suggests the district of Adiabene in the upper re-
ly prepared three-volume edition of Sixtus V (1590), the
gion of the Tigris, situated between the rivers Great Zab and
“Sixtine Bible,” proved to be unsatisfactory, and it was soon
Little Zab, where a Jewish kingdom existed in the first centu-
replaced by the “Clementine Bible” of 1592, promulgated
ry CE (Josephus, Antiquities 20.2.1–20.4.3, Loeb ed. XX.17–
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
894
BIBLICAL LITERATURE: HEBREW SCRIPTURES
96). On the other hand, a Christian provenance can also be
Finally, there is the attempt of Jacob (c. 640–708), bish-
argued, since Christianity early took firm hold in the region
op of Edessa, to modernize and popularize the style of the
of Adiabene, which already had Christian bishops by 123 CE.
Syro-Hexapla while retaining the text-form of the former.
The ecclesiastical authorities, in preparing a version of scrip-
For the first time, chapter divisions were introduced, and the
ture for the needs of the local Christian community, could
Syrian Masoretic apparatus was utilized.
have made use of earlier Jewish Aramaic translations and
Arabic translations. Jewish and Christian communities
could have entrusted the task to Jewish Christians, whose
existed in the Arabian Peninsula many centuries before the
presence in the area is attested. There is also the possibility
dawn of Islam, engaging in missionary activities among the
that the Christian elements may be the result of the later re-
pagan Arabs, often in competition with one another. In
daction of an earlier Jewish work. It is impossible to general-
Yemen, in southwestern Arabia, the last of the Himyarite rul-
ize about the nature of the translation, which is the work
ers, Dhu¯ Nuwa¯s, even converted to Judaism (517 CE). The
of many hands and different periods and which lacks con-
buffer state of Al-H¯ırah was a center of Arab Christianity be-
sistency.
tween the third and sixth centuries. The Jews used their He-
Early in the fifth century, the Syriac church experienced
brew Bible, the Christians either the Syriac or Greek transla-
a schism, dividing into Nestorians in the East and Jacobites
tions. Since both religious communities were well integrated
in the West, with each group developing its own form of the
into Arabian life and culture, while retaining their distinc-
Peshitta. Because of the relative isolation of the former, polit-
tiveness, it seems plausible that at least parts of the Bible had
ically and geographically, in the area of Nisibin in southern
been rendered into Arabic, if only in oral form, in pre-
Anatolia, the Eastern or Nestorian texts are regarded as hav-
Islamic days, much the same way as Aramaic oral renderings
ing been less vulnerable to revisions on the basis of Hebrew
long antedated the first written translations in that language.
or Greek sources.
It was the Muslim invasions of western Asia and the concom-
itant Arabization of the populace that prompted the system-
The most important Peshitta manuscripts are those cop-
atic, written translation of the Bible into Arabic. The fore-
ied before the tenth century when the standardized Syriac
most Christian scholar and translator, H:unayn ibn Ish:a¯k
biblical masorah was finally fixed.
(Johannitus, 808–873), is said to have produced such a ver-
A Syriac version that is second in importance only to
sion, basing himself on the Septuagint, but if there was such
the Peshitta is the Syro-Hexapla. This is a rendering of the
a version, it has not survived.
Septuagint version of the fifth column of Origen’s Hexapla.
The first and most celebrated translation made directly
It was commissioned to serve political and theological ends,
from the Hebrew was that of SaEadyah Gaon (882–942),
and it was most likely executed in a Syrian monastery in
leader of Babylonian Jewry. It has come down only in He-
Egypt by Paul, bishop of Tella, together with associates, and
brew script, and its appearance constituted a major turning
completed in 617. It never achieved its purpose of displacing
point in the development of Judeo-Arabic culture. SaEadyah
the Peshitta, but it has its own inherent worth and is most
tried to conform in his style to the genius of the Arabic lan-
valuable as a tool for reconstructing the lost column of the
guage. He sought to eliminate anthropomorphisms and he
Hexapla on which it was based.
rendered geographical names into contemporary usage.
Another version of the Syriac Bible is the Syro-
The impact of SaEadyah’s translation was immense. It
Palestinian. This version has only partially survived. Its script
has continued to enjoy high prestige and to be read weekly
is distinctive, in that it used the Estrangela (“round script”)
by Yemenite Jews to the present day. It even influenced the
type, as is also its dialect, which is a West Palestinian Aramaic
Samaritan and Karaite communities, both of which pro-
spoken by a Christian community in certain areas of the Ju-
duced their own Arabic versions of the Hebrew scriptures.
dean hills. This is a development of the dialect spoken by
The first Samaritan translator of the Pentateuch, Abu¯ SaE¯ıd
Jews who converted to Christianity around the year 400, and
(thirteenth century), based himself on it; at the end of the
who intermingled with the Melchite church. The version
tenth century, the foremost Karaite scholar, Yafet ben Eli,
bears close affinities with Jewish Aramaic Targums. Moshe
rendered the entire Bible anew into Arabic, which translation
H. Goshen-Gottstein together with H. Shirun assembled all
remained the standard text for all Karaite communities in the
printed remnants of this version as well as some unpublished
East. It, too, was indebted to SaEadyah, even though its style
material. The Pentateuch and the Prophets in Hebrew char-
and language were updated, more popular, and excessively
acters appeared in 1973.
literal.
Still another Syriac version, the Philoxenian, was com-
Christian translations were generally not made from the
missioned by the leader of the Jacobite Monophysite church,
Hebrew but were variously based on the Greek, Syriac, Latin,
Philoxenus, bishop of Mabbug-Hierapolis, near Aleppo,
and Coptic versions, sometimes on more than one. In the
Syria, in 507–508. This version was not a revision of the
sixteenth century, attempts were made to assemble a com-
Peshitta, but a new translation based on the Lucianic version
plete Bible in Arabic, but the different translators individual-
of the Greek. Only fragments of Isaiah and Psalms have sur-
ly used different versions as their base. The resulting codex
vived.
was a mixed text. The Paris Polyglot of 1629 first featured
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BIBLICAL LITERATURE: HEBREW SCRIPTURES
895
an almost complete Arabic text of the Bible, which was fol-
subject is The Canonization of Hebrew Scripture: The Tal-
lowed by the London Polyglot of 1657, but here again the
mudic and Midrashic Evidence (Hamden, Conn., 1976). Ex-
result was a mixed text.
tensive citations from rabbinic literature are given both in
their original form and in translation. The work is enhanced
In the course of the nineteenth and twentieth centuries,
by copious notes, bibliography, and indexes.
as a result of renewed interest in the Arab world on the part
of Western powers, Protestant and Catholic organizations set
The new concept of canon as a process is explicated by James A.
about producing translations into modern Arabic for mis-
Sanders in his Torah and Canon (Philadelphia, 1972) and in
his essay “Available for Life: The Nature and Function of
sionary purposes. The most frequently used is that by the
Canon,” in Magnalia Dei’, The Mighty Acts of God: Essays on
American Protestant mission in Beirut, completed in 1864,
the Bible and Archaeology in Memory of G. Ernest Wright, ed-
and made from the Hebrew. The most widely used Catholic
ited by Frank Moore Cross et al. (Garden City, N.Y., 1976),
translation is that in three volumes (1876–1880) made by
pp. 531–560. Introduction to the Old Testament as Scripture
the Jesuits in Beirut with the assistance of Ibra¯h¯ım al-Ya¯zijt.
by Brevard S. Childs (Philadelphia, 1979) seeks to describe
the form and function of each book of the Hebrew Bible in
In sum, the Arabic translations, apart from that of
its role as sacred scripture, and to understand the literature
SaEadyah, are relatively late and are mostly secondary, so that
in that context. It contains detailed bibliographies. Contem-
they have no value for textual studies of the Hebrew original.
porary concerns with canonical criticism are examined by
They are, however, useful sources for the history of biblical
James Barr in his Holy Scripture, Canon, Authority, Criticism
exegesis, as well as witnesses to the earlier translations such
(Philadelphia, 1983).
as the Greek, the Aramaic, and the Syriac.
Ernst Würthwein’s The Text of the Old Testament, translated from
S
the German by Peter R. Ackroyd (Oxford, 1957), is a useful
EE ALSO Biblical Exegesis, article on Jewish Views; Canon;
key to the critical apparatus of the Kittel edition of the He-
Chanting; Dead Sea Scrolls; Israelite Law; Israelite Religion;
brew Bible. The text is illustrated by forty-four plates. The
Oral Tradition; Prophecy, article on Biblical Prophecy;
most detailed and readable work is that by Bleddyn J. Rob-
Psalms; Samaritans; Wisdom Literature, article on Biblical
erts, Old Testament Text and Versions (Cardiff, 1951). How-
Books.
ever, some of the data need to be updated in light of research
into the Dead Sea Scrolls. The best all-around discussion of
BIBLIOGRAPHY
these last-mentioned is The Ancient Library of Qumrân and
The most reliable and comprehensive work on the Bible is The
Modern Biblical Studies, rev. ed. (Garden City, N.Y., 1961),
Cambridge History of the Bible, 3 vols., edited by Peter R. Ac-
by Frank Moore Cross. This work is supplemented by a col-
kroyd (Cambridge, 1963–1970). It summarizes the current
lection of scholarly essays assembled by the same author to-
state of scholarship in nontechnical language and each chap-
gether with Shemaryahu Talmon in Qumran and the History
ter is written by a specialist in the field. The excellent bibliog-
of the Biblical Text (Cambridge, Mass., 1975). Paul E.
raphies are arranged by topic. For more concise introduc-
Kahle’s The Cairo Genizah, 2d ed. (New York, 1959), exam-
tions to the issues and approaches involved in the
ines and evaluates the impact of the hoard of manuscripts
contemporary study of the Hebrew scriptures there are Her-
found in the bibliocrypt of the synagogue in Old Cairo and
bert F. Hahn’s The Old Testament in Modern Research, 2d
in the caves of Qumran on the scholarship relating to the his-
exp. ed., with a survey of recent literature by Horace D.
tory of the biblical Hebrew text and the ancient translations,
Hummel (Philadelphia, 1966), and John H. Hayes’s An In-
as well as on the ancient pronunciation of Hebrew. The his-
troduction to Old Testament Study (Nashville, 1979). The lat-
tory and critical evaluation of the methodology of textual
ter work notes only items in English in the useful bibliogra-
criticism is given by M. H. Goshen-Gottstein in “The Textu-
phies that precede each chapter. Two most frequently used
al Criticism of the Old Testament: Rise, Decline, Rebirth,”
comprehensive traditional introductions to the Bible con-
Journal of Biblical Literature 102 (September 1983):
taining extensive bibliographies are Otto Eisfeldt’s The Old
365–399.
Testament: An Introduction, translated from the third Ger-
A basic introduction to the Greek versions, their history, charac-
man edition by Peter R. Ackroyd (New York, 1965), and
ter, and the problems they present, is provided by the collec-
Georg Fohrer’s Introduction to the Old Testament (Nashville,
tion of thirty-five essays assembled by Sidney Jellicoe, Studies
1968).
into the Septuagint: Origins, Recensions, and Interpretations
Two classic works on the history of the canon are Frants Buhl’s
(New York, 1974). Another important work for nonspecial-
Canon and Text of the Old Testament, translated from the
ists is Bruce M. Metzger’s Manuscripts of the Greek Bible: An
German by John Macpherson (Edinburgh, 1892), and H. E.
Introduction to Greek Palaeography (Oxford, 1981). Of a
Ryle’s The Canon of the Old Testament: An Essay on the Grad-
more technical and advanced nature is Imanuel Tov’s The
ual Growth and Formation of the Hebrew Canon of Scripture,
Text-Critical Use of the Septuagint in Biblical Research (Jerusa-
2d ed. (London, 1892). Both contain ample references to
lem, 1981). Henry Barclay Swete’s An Introduction to the Old
and quotations from rabbinic and patristic sources. The
Testament in Greek, 2d ed. (Cambridge, 1902), still remains
Canon and Masorah of the Hebrew Bible, edited by Sid Z. Lei-
standard. Harry M. Orlinsky’s essay “The Septuagint as
man (New York, 1974), provides an indispensable collection
Holy Writ and the Philosophy of the Translators,” Hebrew
of thirty-seven essays by as many scholars relating to various
Union College Annual 46 (1975): 89–114, contributes im-
aspects of the biblical canon; all but four are in English. The
portant insights into the nature of this version. A Classified
work lacks an index. Leiman’s original contribution to the
Bibliography of the Septuagint by Sebastian P. Brock, Charles
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
896
BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
T. Fritsch, and Sidney Jellicoe (Leiden, 1973) is an indis-
scripts that are translations of lost originals. Since the
pensable scholarly tool.
discovery of the Dead Sea Scrolls and the renewed apprecia-
For Targumic studies, there is Bernard Grossfeld’s A Bibliography
tion of the diversities of thought at the time, scholars have
of Targum Literature, 2 vols. (Cincinnati, 1972–1977).
agreed that the history of Early Judaism (250 BCE–200 CE)
and Early Christianity (first–fourth centuries) cannot be
The Bible and the Ancient Near East: Essays in Honor of William
Foxwell Albright, edited by G. Ernest Wright (Garden City,
written without consulting these bodies of so-called extraca-
N.Y., 1961), contains fifteen studies by as many different
nonical writings, the Apocrypha and Pseudepigrapha.
scholars summarizing the course taken by scholarly research
THE APOCRYPHA. The Apocrypha has been variously de-
in various areas of Near Eastern studies bearing on the Bible.
fined, for there is, of course, no set canon of either the Apoc-
J. B. Pritchard has edited a superb collection, Ancient Near
rypha or the Pseudepigrapha. The word apokrypha is a trans-
Eastern Texts relating to the Old Testament, 3d ed. (Princeton,
literation of a Greek neuter plural that means “hidden.” By
1969), which gives translations of pertinent texts drawn from
the fourth century CE the term apocrypha no longer denoted
all genres of literature, together with brief introductory notes
hidden esoteric secrets (cf. Daniel 12:9–10 and 4 Ezra
and also indexes of names and biblical references. This col-
lection is supplemented by The Ancient Near East in Pictures
14:44–48), but it was often used to name a category of dis-
relating to the Old Testament, 2d ed. (Princeton, 1969), by
carded, heretical books. Jerome (c. 342–420), however, used
the same author, which is arranged by topics, and is equipped
the term to denote extracanonical, not heretical, documents.
with a descriptive catalogue giving in concise notation the
This position is the one adopted by Protestants today;
significant details of each picture, and an index. Near Eastern
Roman Catholics, since the Council of Trent (during session
Religious Texts relating to the Old Testament, edited by Walter
4 on April 8, 1546), consider these works “deuterocanonical”
Beyerlin, translated from the German by John Bowden
and inspired, as do most Eastern Christians. These books are
(London, 1978), is more restricted in scope, but includes sev-
in the official Catholic canon because they are in the Vulgate
eral texts available only since 1969. The accompanying notes
(of the thirteen works in the Apocrypha, 2 Ezra, which is 3
are fuller than in the preceding work. Another useful collec-
Esdras in the Vulgate, is not included in the Catholic canon).
tion of this type, though far more limited in scope, and less
up to date, is D. Winton Thomas’s Documents from Old Tes-
Since the first century CE, Jews and Christians have had
tament Times (New York, 1961). Theodor H. Gaster’s Myth,
widely divergent opinions regarding the Hellenistic literature
Legend, and Custom in the Old Testament (New York, 1969)
collected into the Apocrypha and Pseudepigrapha of the He-
is a comparative study based on James G. Frazer’s Folk-Lore
brew scriptures. It is essential now, while appreciating the va-
in the Old Testament, 3 vols. (London, 1919). The copious
rying status of each work in different religious denomina-
notes are especially valuable. A concise yet comprehensive in-
tions, to establish a set list of books in each collection,
troduction to the geographical and historical settings of the
without delving into normative value judgments. It is best
Hebrew Bible is provided by Martin Noth in his The Old
to limit the documents included in the Apocrypha to those
Testament World, translated by Victor I. Gruhn (Philadel-
phia, 1966). Frederick G. Kenyon’s Our Bible and the An-
contained in the fourth-century Greek codices of the He-
cient Manuscripts, revised by A. W. Adams, with an introduc-
brew scriptures (these codices of the Septuagint contain more
tion by Godfrey R. Driver (New York, 1965), is particularly
documents than the Hebrew scriptures) and to include docu-
useful for a survey of the ancient versions.
ments occasionally found in some expanded collections of
the Apocrypha under the larger collection called the Pseud-
NAHUM M. SARNA (1987)
epigrapha. The Apocrypha, then, contains thirteen writings,
and the Pseudepigrapha contains fifty-two documents. In the
following discussion, these writings will be arranged accord-
BIBLICAL LITERATURE: APOCRYPHA AND
ing to loosely defined genres and then presented according
PSEUDEPIGRAPHA
to the most probable chronological order.
Well known are the documents canonized as the Hebrew
The thirteen works in the Apocrypha have been dated
scriptures (Old Testament) and dated from approximately
by experts over a wide period, from the fourth century BCE
950 to 165/4 BCE. Less well known are the bodies of writings
to the late first century CE; most scholars today correctly date
cognate to the Hebrew scriptures, called the Apocrypha and
all of them from circa 300 BCE to 70 CE, when the Temple
the Pseudepigrapha, and written by Jews during the Helle-
was burned by the Romans. Almost all were written in a Se-
nistic and Roman periods. Closely related to the thirty-nine
mitic language, except the Wisdom of Solomon and 2 Macca-
Old Testament books canonized by Jews and Christians and
bees, which were probably written in Greek. There probably
sometimes related to the twenty-seven New Testament
is a consensus that none was written in Babylon, that all but
books canonized by Christians, these documents were very
two were written in Palestine, and that these two, the Wis-
influential and were frequently considered inspired by many
dom of Solomon and 2 Maccabees, were written in Egypt. In
Jewish and Christian communities. When the canons of
contrast to the Pseudepigrapha, the Apocrypha contains no
scripture were closed, first by Jewish and then by Christian
examples of three literary genres—namely, apocalypses, tes-
authorities, these writings were not included, and they quick-
taments, and prayers, psalms, and odes. (The expanded
ly began to lose their influence and importance. Consequent-
Apocrypha, however, does include an apocalypse, 4 Ezra, a
ly, these documents are usually preserved only in late manu-
prayer, the Prayer of Manasseh, and a psalm, Psalm 151.)
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BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
897
Legends, romantic stories, and expansions of the He-
Combining two ancient folk legends, those of the
brew scriptures. Nine documents of the Apocrypha can be
Grateful Dead and the Dangerous Bride, the author, in four-
regarded as forming a group of legends, romantic stories, and
teen chapters, weaves a deeply religious story. Tobit, a righ-
expansions of the Hebrew scriptures: the Letter of Jeremiah,
teous man in exile in Nineveh, risks the king’s wrath and cer-
Tobit, Judith, 2 Ezra, the additions to Esther, the Prayer of
tain death by collecting the corpses of fellow Israelites and
Azariah and the Song of the Three Young Men, Susanna, Bel
giving them an honorable burial. Forced to sleep outside, be-
and the Dragon, and 1 Baruch.
cause of his impurity one night, he is blinded by sparrows’
dung. After an altercation with Anna, his wife, he prays to
Letter of Jeremiah. The Letter of Jeremiah, probably
God to die. Also praying to die on that same day is Sarah,
composed in Hebrew or Aramaic, is the oldest writing in the
whose seven bridegrooms had perished on their wedding
Apocrypha. A Greek fragment dating from around 100 BCE
night, slain by Asmodeus, a demon (his name means “de-
was found in Qumran Cave VII, and this discovery only dis-
stroyer”).
proves conjectures regarding a late date, such as Edgar J.
Goodspeed’s claim in The Story of the Apocrypha (Chicago,
Remembering ten talents of silver (a wealthy sum) he
1939, p. 105) that the Letter of Jeremiah was written late in
had left in Media with a certain Gabael, Tobit sends his son
the first century
Tobias to Gabael. In words reminiscent of a “testament,”
CE. Carey A. Moore (1977, pp. 327–329)
concludes that the Letter of Jeremiah reflects the social setting
Tobit instructs his son regarding his duties to his parents and
of Palestine in the late fourth century
to the Law and avows practical wisdom regarding daily life.
BCE. A date between
323 and 100
Tobias sets off on his journey accompanied by Raphael
BCE seems possible; perhaps around 300 is most
likely (see Antonius H. J. Gunneweg, Der Brief Jeremias,
(whose name means “God heals”), God’s angel disguised as
Gütersloh, 1975, p. 186). A Palestinian provenience is rela-
an Israelite. He captures a fish and removes its gall, heart,
and liver. With these magical potents and Raphael’s advice
tively certain (not Alexandrian, as Goodspeed contends in
and help, Tobias successfully defeats Asmodeus. He then
The Story of the Apocrypha, p. 105).
marries Sarah, at whose home they rested. Raphael collects
The document is “a letter” (epistole) pseudonymously
Tobit’s money. Tobias and Sarah return to Nineveh, with
attributed to Jeremiah (verse 1); it contains seventy-two or
Tobit’s talents and half of Sarah’s father’s wealth. Tobias
seventy-three verses. The work is not a letter but a passionate
heals his father’s eyesight with the gall of the fish. Offered
sermon or plea to fellow Jews not to fear or worship idols;
half the riches, Raphael respectfully declines, affirming that
it is inspired by Jeremiah 10:1–16 (cf. Isaiah 44:9–21 and
prayer and alms are superior to riches, and reports that God
Psalms 115:3–8, 135:15–18), which is also a polemic against
had sent him, one of the seven angels, to heal Tobit and
idolatry. The literary facade may have been stimulated by
Sarah (Tb. 3:17). Raphael ascends; Tobit and Anna live a full
Jeremiah’s letter to the exiles in Babylon (Jer. 29:1–23).
life and are honorably buried by their son, who moves from
(wicked) Nineveh to Ecbatana, Sarah’s hometown.
Tobit. Written in a Semitic language, probably Arama-
ic, around 180
Judith. The dramatic and didactic story of Judith was
BCE, and in Palestine—not in Egypt (pace
D. C. Simpson, in Charles, 1913, p. 185)—Tobit is not a
written in Hebrew around 150 BCE in Palestine, not in the
historical book, as some earlier critics claimed. It is a roman-
Diaspora (not Antioch, pace Solomon Zeitlin in The Book
tic story that attempts to edify the reader and to illustrate
of Judith, Leiden, 1972, p. 32). The sixteen chapters can be
divided into a description of the attack upon the Jews by
that God is efficacious and helps the righteous. The author
Holofernes, the general of the Assyrian king Nebuchadrezzar
fills the text with striking anachronisms: the tribe of Naphtali
(chaps. 1–7), and then the deliverance of the nation by God
was exiled by Tiglath-pileser, not Shalmaneser (Tb. 1:2);
through Judith, who decapitates Holofernes (chaps. 8–16).
Shalmaneser’s successor was Sargon, not Sennacherib (Tb.
Judith is reminiscent of numerous biblical heroines, notably
1:15); Nineveh was captured by Nabopolassar and Cyaxares,
Jael (Jgs. 4:17–22, 5:2–31), Deborah (Jgs. 4:4–5:31), and Es-
not Nebuchadrezzar and Ahasuerus (Tb. 14:15). These er-
ther (esp. Est. 2:15–8:17).
rors may have served to warn the attentive reader that the
work is intended to be taken not as a history but as a folktale,
This literary masterpiece—a classic example of an an-
or fictional short story. Likewise, the angel Raphael’s declara-
cient short story—was written in order to encourage fellow
tion that he appears before men not corporally but in a vision
Jews to resist the evil enemy, and to exhort them to obey the
(Tb. 12:19) may indicate the author’s refusal to play on the
Law strictly (see especially Achior’s prophecy and celebration
credulity of the simple, or it may perhaps reflect a theology
of the people “in the hill country,” Jdt. 5:5–21). God’s effica-
that is against belief in angels. The author is learned, borrow-
ciousness depends upon observance of the Law. Since the
ing from the Hebrew scriptures (the Pentateuch and the
story circulated shortly after the beginning of the Maccabean
Prophets especially), from the Pseudepigrapha (notably from
revolution, which began in 167 BCE, it would have served to
Ahiqar, who is mentioned explicitly in Tobit 1:21–22, 2:10,
encourage the Jews who not only faced superior military
11:18, and 14:10), and perhaps from the fable of the Grate-
forces but were weakened internally by the bewitching attrac-
ful Dead (Simpson, in Charles, 1913, p. 188; Pfeiffer, 1949,
tiveness of Greek culture. God is proclaimed in Judith’s song
pp. 269–271).
as “the Lord who shatters wars” (Jdt. 16:2). During the early
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
898
BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
decades of the Maccabean revolution this thought character-
F. the interpretation of Mordecai’s dream (10:3a–3l or
ized those zealous and faithful to the Law; they would have
10:4–11:1).
been encouraged also by Judith’s victorious shout: “With us
These additions amount to 107 verses not found in the
still is God, our God, to effect power in Israel and strength
Hebrew scriptures.
against our enemies” (Jdt. 13:11).
2 Ezra (1 Esdras in the Septuagint, 3 Esdras in the Vul-
Four of these additions reflect a Hebrew original, but
gate). Probably written in Hebrew or Aramaic, this work is
additions B and E, the two letters, were probably composed
a reproduction and rewriting of parts of the Hebrew scrip-
in Greek (see Moore, 1977, p. 155). Modern scholars tend
tures, especially 2 Chronicles 35:1–36:23, all of Ezra, and Ne-
to accept the authenticity of the ending of the additions,
hemiah 7:38–8:12. Although very difficult to date, the work
which dates them before 114 BCE and situates them in Jeru-
may derive from the late second century, or around 150–100
salem (“In the fourth year of Ptolemy and Cleopatra’s reign
BCE. It certainly must predate 100 CE; Josephus Flavius used
. . . the preceding Letter of Purim . . . had been translated
it, and not the Septuagint parallels, as his source for the peri-
by Lysimachus, son of Ptolemy, [who is among those Egyp-
od 621–398 BCE in his Jewish Antiquities (esp. 11.1.1–
tians living] in Jerusalem,” 31 or 11:1). Moore (1977,
11.5.5).
pp. 161, 165–167) argues (unconvincingly) that the letters,
additions B and E, postdate 114 and may have originated in
Although this document is, of all the apocryphal writ-
Alexandria. The date of the Hebrew sections (A, C, D, and
ings, the one most closely connected to the Hebrew scrip-
F) is now an open issue: do they appreciably predate 114
tures, it contains one section that is without parallel therein.
BCE? Hans Bardtke in Historische und legendarische Erzählun-
This passage, chapters 3:1–5:6, is not dependent on any bib-
gen: Zusätze zu Esther (Gütersloh, 1973, p. 27), argues that
lical book, and it may be a rewriting and adaptation of an
the date of the additions to Esther is between 167 and 161
earlier Babylonian tale. It describes a great feast after which
BCE, because 2 Maccabees 15:36, which refers to “Mordecai’s
three young guardsmen attempt to ascertain which of three
day,” probably postdates these additions, and the celebration
potents is strongest: wine, the king, or women. To these an-
on this day was for the defeat and death of Nicanor in 161.
swers a fourth is appended at the end of the chapter (4:33–
41; plus 4:13b); it shifts the answer from “women” to “truth”
The purposes of these imaginative additions seem clear.
and has all the earmarks of being a Jewish editorial addition
First and foremost, they supply the religious dimension so
in order to bring the climax of the account to an acceptable
singularly lacking in Esther. Second, they provide color and
Jewish affirmation: “Great is truth, and strongest of all” (cf.
detail to the story. Third, they contain a strong apologetic
Vulgate: “Magna est veritas et praevalet”).
for Judaism (see especially E and F): “We find the Jews are
While the purpose of the nine chapters in the document
not evildoers, but they are governed by the most just
is unclear, some characteristics are notable. The author ele-
laws. . . . Permit the Jews to live by their own laws.”
vates Ezra and refers to him as “high priest” (“Esdras ho ar-
Prayer of Azariah and the Song of the Three Young
chiereus,” 9:40; cf. 9:49). He puts considerable emphasis on
Men. Three additions to Daniel are collected into the Apoc-
the Temple and its cult, which is reflected in the numerous
rypha. Two of these, the story of Susanna and the story of
references to the Temple and in the magnification of Zeruba-
Bel and the dragon, are separate, self-contained works in the
bel, the winner of the contest, who is the only guardsman
Daniel cycle; the third, the Prayer of Azariah, like the addi-
identified (4:13; 4:13b is an editorial addition). Zerubabel
tions to Esther, should be read as an insertion of sixty-eight
is linked closely with King Darius, who commends him as
verses into the Book of Daniel; in the Septuagint these verses
“the wisest” (sophoteros, 4:42) and rewards him by providing
are numbered from 3:24 to 3:90 (hence, the addition begins
for the rebuilding of the Temple (see Myers, 1974,
after 3:23).
pp. 8–15).
All three additions were probably written originally in
Additions to Esther. The additions to Esther are not a
Hebrew, or possibly in Aramaic, and not in Greek as many
separate book; they are six extensive expansions to the Greek
early scholars concluded. The date of the additions is diffi-
version of the Book of Esther:
cult to discern; in their present form all, of course, must post-
A. Mordecai’s dream and his exposure of a conspiracy
date 164/5, the date of the Book of Daniel. A date between
against King Artaxerxes (1:1a–1r or 11:2–12:6),
164/5 and 100 BCE is a reasonable guess for all three addi-
B. a letter by Artaxerxes, who orders the extermination
tions, provided we acknowledge the possibility that one or
of the Jews (3:13a–13g or 13:1–7),
more, especially Bel and the Dragon, could have been added
C. prayers by Mordecai and Esther (4:17a–17z and
in the early decades of the first century BCE. The three addi-
5:2a–2b or 13:8–15:16),
tions are probably from different times. It is possible that all
three, or portions of them, originally reflected a setting dif-
D. Esther’s radiant and successful audience before the
ferent from their present place in the Septuagint. In the sec-
king (5:1a–1f., 5:2a–2b or 15:1–16),
ond century BCE there probably existed two rival versions of
E. a second letter by Artaxerxes, who rescinds his former
Daniel in Hebrew, one that is represented in the present He-
edict and praises the Jews (8:12a–12x or 16:1–24), and
brew Bible (Masoretic text), and the other a later Hebrew re-
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BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
899
cension, which was translated into Greek (of which today
the pit. The shout of the king is significant for the purpose
there are two recensions, the Septuagint and the The-
of these two stories: “You are great, O Lord God of Daniel,
odotion).
and there is no other but you” (v. 41). These stories lack the
polish and brilliance of Tobit and Judith; their purpose is to
Two caveats are necessary. First, these additions may
ridicule idolatry and affirm the importance of worshiping
originally have been composed without Daniel in mind;
God alone.
Moore (1977, pp. 26–29) argues that parts of the Prayer of
Azariah come from the liturgy of the Temple or the syna-
1 Baruch. O. C. Whitehouse (in Charles, 1913,
gogue, and that Susanna and Bel and the Dragon originally
pp. 572–573) argued that 1 Baruch had been written in
had “nothing at all to do with the prophet Daniel” (esp.
Greek; but his editor, R. H. Charles, appended a significant
pp. 26, 109). Second, while this possibility deserves careful
footnote (pp. 573–574) in which he claimed it had been
examination, these three additions are now clearly related to
composed in Hebrew. Modern scholars have concluded that
Daniel and should be studied in light of the Danielic cycle,
at least parts of this document were composed in Hebrew,
represented by previously unknown documents found
others in Hebrew or perhaps Greek. Although the precise
among the Dead Sea Scrolls, especially the Prayer of Na-
date of the document in its present form is unknown, there
bonidus (4QPsDan ar a–c; cf. 4QPsDan Aa, 4QPrNab ar). A
is wide agreement that it dates from the second or first centu-
Palestinian provenience seems most likely for the additions.
ries BCE. W. O. E. Oesterley (An Introduction to the Books
of the Apocrypha, New York, 1935, p. 260) and Whitehouse
The Prayer of Azariah, clearly composed in Hebrew (see
(in Charles, 1913, p. 575) were certainly wrong to have
Otto Plöger, Züsatze zu Daniel, Gütersloh, 1973, p. 68), em-
dated 1 Baruch after 70
phasizes that there is only one God and that he is always just.
CE. The provenience may be Pales-
tinian.
This addition to Daniel shifts the focus from the evil king
and his golden idol to three potential martyrs and their faith-
The document is a composite: 1:1–3:8 is a prose com-
fulness in prayer.
position and contains a confession of sins and a plea for
God’s compassion after the destruction of Jerusalem (cf.
Susanna. The colorful tale of Susanna, told in only
Deuteronomy 28–32 and Daniel 9:4–19); 3:9–4:4, by anoth-
sixty-four verses (in the Theodotion), may originally have
er writer, is in poetry and praises wisdom (cf. Ben Sira 24
been independent of the Danielic cycle and is perhaps con-
and Job 28:12–28); 4:5–5:9, probably by the second writer,
siderably earlier than the Book of Daniel. It describes how a
describes how Jerusalem’s lament was heard. In The Poetry
beautiful woman, Susanna, is brought to court, because she
of Baruch: A Reconstruction and Analysis of the Original He-
refuses to submit to two aroused influential men (elders, pres-
brew Text of Baruch 3:9–5:9 (Chico, Calif., 1982), David G.
buteroi, and judges, kritai), who approached her while she
Burke argues that the second section, the poem on wisdom,
was bathing. Her scream and the men’s lies land her in court.
is the earliest portion of the work and that the compilation
There her fate is sealed; the people and judges condemn her
dates somewhere from 180 to 100
without hearing her. As she is being led to be stoned, the
BCE; he also attempts to
reconstruct the original Hebrew of 3:9–4:4. This document
Lord hears her cry (verse 44) and arouses a youth, Daniel,
is an example of Hellenistic Jewish theology, but noticeably
who asks the judge to cross-examine the accusors. The story
absent are references to a messiah, eschatological or apoca-
illustrates how God hears and helps the faithful and virtuous
lyptic ideas, beliefs in a resurrection, and any signs of a
woman, and it demonstrates the wisdom of God in Daniel.
dualism.
This story, however, does not permit us to claim unequivo-
cally either that witnesses were privately cross-examined in
Wisdom and philosophical literature. Two books in
court in the second century BCE or that the worth of the indi-
the Apocrypha are from the wisdom school of Hellenistic Ju-
vidual—even women—was accorded first priority in courts
daism, but while each is written by a single author, they are
in Hellenistic Judaism.
very different. Ben Sira, written in Hebrew, is by a conserva-
tive traditionalist from Palestine, perhaps even Jerusalem.
Bel and the Dragon (Bel and the Snake). This story of
The Wisdom of Solomon, written in Greek, is by a liberal
forty-two verses contains two separate tales. The first, one of
thinker, thoroughly open to and influenced by non-Jewish
our earliest examples of a detective story, describes how Dan-
ideas and philosophy—reminiscent to a certain extent of
iel, by pointing out footprints in the ashes he had strewn on
Philo Judaeus of Alexandria and 4 Maccabees; it comes from
the floor of a temple, reveals to the king that the priests, their
Egypt, probably Alexandria.
wives, and children had been eating the food offered to Bel,
the Babylonian idol. The king recognizes he has been duped,
Ben Sira (Sirach, Ecclesiasticus). The author addressed
becomes enraged, sees the secret doors used by the priests,
his work to fellow Jews and wrote it probably around 180
and orders their deaths. Daniel is told to destroy the idol and
BCE. Fragments of the Hebrew original of 39:27–43:30 were
its temple. The second story tells how Daniel destroys an
discovered in 1964 in an eastern casemate wall at Masada.
idol, which is shaped like a great dragon (drako¯n, v. 23), and
These twenty-six leather fragments must predate 74 CE, the
is subsequently thrown into a lions’ den. He survives, and
date of the destruction of Masada, and paleographically they
Habakkuk, with angelic aid, zooms to Babylon and feeds
are from circa 125–25 BCE; they are middle or late Has-
Daniel. The king releases Daniel and casts his enemies into
monean (see the facsimiles in Yigael Yadin, The Ben Sira
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BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
Scroll from Masada, Jerusalem, 1965, pls. 1–9 and
the intriguing blend of ancient Israelite and Jewish wisdom
pp. 2–11). The Qumran fragments of Ben Sira (2QSir) are
traditions with earlier and contemporary Greek philosophy
also approximately of the same date; they are late Has-
and Egyptian reflective thought. The influence of non-
monean or early Herodian (see M. Baillet in Les “Petites Grot-
Jewish ideas often replaces earlier Jewish perspectives; for ex-
tes” de Qumrân, Oxford, 1962, p. 75 and pl. 15). Also, the
ample, many scholars, notably Metzger (1957, p. 75) and
Hebrew text of Ben Sira 51 (11QPsaSirach; see J. A. Sanders,
Chrysostome Larcher (Études sur le livre de la Sagesse, Paris,
ed., The Psalms Scroll of Qumrân Cave 11, Oxford, 1965,
1969, pp. 43, 91, 104), correctly claim that the Platonic con-
pp. 79–85, cols. 21 and 22) has been found in a Qumran
ception of the soul’s immortality, and not the Jewish idea of
manuscript dating from the first half of the first century CE.
the resurrection of the body (see esp. 2 Maccabees 14:37–46)
It is now certain that Ben Sira predates the first century BCE.
is presented in Wisdom of Solomon 3:1–19 (viz., verses 1 and
Moreover, the Hebrew original must antedate the Greek
4: “But the souls of the righteous . . . their hope [is] full of
translation (in the Septuagint) made by Ben Sira’s grandson
immortality”; cf. also 1:15, 5:15, 8:13–20). As in Ben Sira,
in Egypt not long after 132 BCE (see the prologue to Ben Sira
Wisdom has now become personified in Jewish thought; she
in the Septuagint by the grandson, who refers to “the thirty-
even appears to be hypostatic (see 7:21–8:21). Winston
eighth year of the reign of Euergetes”). Finally, most scholars
(1979, p. 4) divides the document into three sections (1:1–
date the work to around 180, which seems reasonable, be-
6:21, Wisdom’s Gift of Immortality; 6:22–10:21, Wisdom’s
cause in 50:1–24 the author refers to ShimEon (i.e., Simon
Nature and Power and Solomon’s Quest for Her; and 11:1–
II, 219–196 BCE) as if he had died recently (note the Hebrew
19:22, Wisdom in the Exodus) and distinguishes two “excur-
of 50:24, ye Damen Eim Shim Eon h:asdo; see the text in Moses
suses” (11:15–12:22, On Divine Mercy, and 13:1–15:19,
H. Segal, Sefer ben Sira D ha-shalem, Jerusalem, 1958, ad loc.).
On Idolatry).
A work of fifty-one chapters, Ben Sira is an apology for
Quasi-historical books. It has been customary to refer
Judaism and is directed against the encroachments from
to 1 Maccabees and 2 Maccabees as historical works; R. H.
Greek religion and culture. In particular, note the claim that
Charles (1913) arranged them, along with 2 Ezra (3 Esdras
Wisdom found a home in Israel and not in other nations
in the Vulgate) and 3 Maccabees, under the heading “Histori-
(24:1–12). Some characteristic ideas in this long and major
cal Books”; he put Tobit and Judith under the heading
work are the following. The author believes in one God (ex-
“Quasi-historical Books Written with a Moral Purpose.”
plicit monotheism in 36:1–5) who is all-knowing (42:18),
Today we recognize that Tobit and Judith are romantic and
eternal (18:1), holy (23:9), just (35:12–13), and merciful
didactic stories, and that 1 Maccabees and especially 2 Macca-
(2:11, 48:20, 50:19). Ben Sira does not advocate an afterlife
bees are far too tendentious and selective to be labeled any-
(17:27–28); immortality is through a son (30:4). Sin began
thing more than “quasi-historical.”
with a woman (me-ishshah teh:illat Eavon, 25:24) and death
1 Maccabees. The sixteen chapters of 1 Maccabees were
then appeared; but the author is not affirming the concept
written in Hebrew, in Palestine, perhaps Jerusalem, shortly
of original sin or predestination. He rather affirms man’s es-
before the end of the second century BCE. They recount the
sential freedom to obey the Law because of the inclination
military exploits of the Maccabees and the history of Judaism
(be-yad yitsro, 15:14) given to man by God (see the brilliant
from the incursions by Antiochus IV Epiphanes (176–165
discussion “Sin and Death” by E. E. Urbach in The Sages:
BCE) and the zealous rejection of paganism by Mattathias to
Their Concepts and Beliefs, 2 vols., Jerusalem, 1979, vol. 1,
the rule of John Hyrcanus I (135/4–105/4 BCE). As Jonathan
pp. 420–422). He reveres the Temple and the priests (45:6–
A. Goldstein (1976) has emphasized, the author of 1 Macca-
25) and elevates the Law (viz. 9:15). Wisdom is both person-
bees held strong theological views: he is fervently pro-
ified and divine (viz. 24:3–5). Noticeably absent are beliefs
Hasmonean and is impressively silent about—and probably
in angels and the coming of a messiah.
rejected—beliefs in immortality and resurrection. In contrast
G. H. Box and W. O. E. Oesterley (in Charles, 1913,
to the author of 2 Maccabees, he apparently disavows the
p. 283) argued that this document “in its original form, rep-
value of martyrdom in prompting God to action, and he
resented the Sadducean standpoint.” Today, scholars are far
clearly accepts the twelve-month Babylonian lunar calendar.
more reluctant to assign the text, in any form, to the Saddu-
2 Maccabees. The fifteen chapters of 2 Maccabees, com-
cees. It is certain that many ideas in Ben Sira are similar to
piled by an unknown author, are an epitome (or abridgment)
those attributed by Josephus to the Sadducees (Antiquities
of a lost five-volume work (which is our only example of the
18.1), but does that factor indicate that the document comes
“pathetic history” genre) by Jason of Cyrene (2 Mc. 2:19–
from the Sadducees? Would a Sadducean document have
32), of whom we otherwise know nothing. The epitomist
been accepted at Qumran, and at Masada?
probably wrote in Greek in Alexandria—or possibly in Jeru-
salem—shortly after 124
Wisdom of Solomon. Addressed to non-Jews, to whom
BCE or early in the first century BCE;
he wrote for a sophisticated, informed Jewish audience.
the author often accommodates his thought, and written
probably in the first half of the first century CE (Winston,
This abridged history of Jason’s tomes, which empha-
1979, pp. 20–25) or conceivably as early as 100 BCE (Pfeiffer,
sizes the holiness of the Jerusalem Temple (see Elias Bicker-
1949, p. 327; Metzger, 1957, p. 67), this document reflects
man, The God of the Maccabees, Leiden, 1979, p. 21), is often
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BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
901
fundamentally different from 1 Maccabees. It presents the cl-
It is difficult to identify or categorize the epitomist him-
earest examples of the Jewish belief in the resurrection of the
self. Only 2:19–2:32 and 15:37–39, derived neither from
body (see esp. 7:1–42, 12:43–45, and 14:37–46). Martyr-
letters nor from Jason of Cyrene, appear to have originated
dom by faithful Jews is efficacious, moving God to act and
with him.
ensuring military victories (7:37–38, 8:3–7). Miracles are
2 Maccabees is, therefore, a recital through prophetic
employed to explain major events.
perspectives of the highlights in Jewish history of the second
Perhaps the most significant difference between 1 Mac-
century BCE. This deliberate alteration of history by theology
cabees and Jason’s work, according to 2 Maccabees, is that the
tends to cast 1 Maccabees as more reliable for a reconstruction
former legitimizes the Hasmonean dynasty but the latter
of the paradigmatic and historic events by the Hasmoneans.
tends to disparage it (see 10:19–23, 12:39–43, and Gold-
THE PSEUDEPIGRAPHA. The Pseudepigrapha has been inad-
stein, 1976, pp. 27–34). Robert Doran argues in Temple Pro-
vertently defined incorrectly by the selections from this corpus
paganda: The Purpose and Character of 2 Maccabees (Wash-
published in German under the editorship of Emil Kautzsch
ington, D.C., 1981) that the epitomist was anti-Hasmonean,
in Die Apokryphen und Pseudepigraphen des Alten Testaments,
because he rejected the late Hasmonean use of mercenary
2 vols. (Tübingen, 1900), and in English under the editor-
troops and attributed military success to God rather than to
ship of R. H. Charles in The Apocrypha and Pseudepigrapha
the Maccabees.
of the Old Testament, 2 vols. (Oxford, 1913). Charles’s edi-
The larger part of 2 Maccabees, 3:1–15:36, is commonly
tion of the Pseudepigrapha contains all the documents in
called the Epitome. The Epitome covers Jewish history from
Kautzsch’s collection plus four additional writings: 2 Enoch,
circa 180; it gives prominence to the high priest Onias III
Ahiqar, a Zadokite work, and Pirke Aboth (Pirqei avot). The
(d. 170 BCE) and to the defeat and death of Nicanor in 161.
last two works belong, respectively, among the Dead Sea
It thereby corresponds to 1 Maccabees 1:10–7:50.
Scrolls and the rabbinic writings. All the others and many
more, to a total of fifty-two writings plus a supplement that
Appreciably different from the Epitome are the two let-
contains thirteen lost Jewish works quoted by the ancients,
ters that begin 2 Maccabees. The first letter (1:1–10a) was
especially Alexander Polyhistor (c. 112–30s BCE), are includ-
probably written in Hebrew or Aramaic (the most likely lan-
ed in The Old Testament Pseudepigrapha, 2 vols., edited by
guage for official communications at that time), as both
James H. Charlesworth (Garden City, N.Y., 1983–1984).
Charles Cutler Torrey (1945, pp. 78–79) and Jonathan A.
Goldstein (1976, p. 35) have concluded. It appears to be an
The fifty-two main documents in The Old Testament
authentic letter from Jewish authorities in Jerusalem to Jews
Pseudepigrapha (OTP)—which is not a canon of sacred writ-
in Egypt (2 Mc. 1:1). While it dates from 124 BCE, it also
ings but a modern collection of Jewish and Christian writ-
quotes in verses 7–8 an earlier letter of 143/2 BCE. The pur-
ings from circa 200 BCE to 200 CE—can be organized in five
pose of the letter is to urge the proper celebration of
categories: (1) apocalyptic literature and related works; (2)
H:anukkah (verse 9), and it may have been propaganda
testaments, which often include apocalyptic sections; (3) ex-
against Onias’s temple at Leontopolis, as Goldstein (1976,
pansions of biblical stories and other legends; (4) wisdom
p. 35) argues.
and philosophical literature; and (5) prayers, psalms, and
odes. (See The Pseudepigrapha, Arranged by Category, below.)
The character of the second letter (1:10b–2:18) contin-
To represent the corpus of the Pseudepigrapha within the
ues to be debated among scholars. Probably no part of it is
confines of this relatively short article demands that com-
authentic (pace Arnaldo Momigliano, Prime linee di storia
ments on each category of writings be brief and sharply
della tradizione Maccabaica [1931], Amsterdam, 1968,
focused.
pp. 81–94), and probably it was not written in Aramaic (pace
Torrey, 1945, pp. 78–79). It was most likely written in
THE PSEUDEPIGRAPHA, ARRANGED BY CATEGORY:
Greek and is inauthentic (Goldstein, 1976, p. 36; Martin
Apocalyptic Literature and Related Works
Hengel, Judaism and Hellenism, Philadelphia, 1974, vol. 1,
1. Ethiopic Apocalypse of Enoch (1 Enoch)
p. 100, vol. 2, p. 69; Christian Habicht, Historische und le-
2. Slavonic Apocalypse of Enoch (2 Enoch)
gendarische Erzählungen: 2. Makkabäerbuch, Gütersloh,
1976, pp. 170, 199–207). The date assigned to this forged
3. Hebrew Apocalypse of Enoch (3 Enoch)
letter and its possible provenience are uncertain; it may be
4. Sibylline Oracles
as early as 103 BCE (Goldstein, 1976, p. 36) or as late as 60
5. Treatise of Shem
BCE (Bickerman, Studies in Jewish and Christian History, Lei-
den, 1980, pp. 136–158), and it may derive from Jews in
6. Apocryphon of Ezekiel
either Jerusalem or Alexandria.
7. Apocalypse of Zephaniah
Goldstein (1976, p. 36) suggests that both letters are
8. Fourth Book of Ezra (4 Ezra)
anti-Oniad propaganda and that they were prefaced to the
9. Apocalypse of Ezra
Epitome shortly after 78 or 77 BCE in order to create a liturgi-
cal text that would be proper for the celebration of Hanuk-
10. Vision of Ezra
kah and serve for that festival as Esther does for Purim.
11. Questions of Ezra
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
902
BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
12. Revelation of Ezra
5. Prayer of Joseph
13. Apocalypse of Sedrach
6. Prayer of Jacob
14. Syriac Apocalypse of Baruch (2 Baruch)
7. Odes of Solomon
15. Greek Apocalypse of Baruch (3 Baruch)
Apocalyptic literature and related works. Nineteen
16. Apocalypse of Abraham
pseudepigrapha can be grouped in the category of apocalyp-
17. Apocalypse of Adam
tic literature and related works (see The Pseudepigrapha, Ar-
ranged by Category). These nineteen works cover three over-
18. Apocalypse of Elijah
lapping chronological periods.
19. Apocalypse of Daniel
1. Antedating the burning of Jerusalem by the Romans in
Testaments
70 CE, the great watershed in the history of Early Juda-
1. Testaments of the Twelve Patriarchs
ism (250 BCE–200 CE), are 1 Enoch, some of the Sibyl-
line Oracles, the Apocrypha of Ezekiel, and perhaps the
2. Testament of Abraham
Treatise of Shem.
3. Testament of Isaac
2. After 70, the great varieties of religious thought in Juda-
4. Testament of Jacob
ism waned markedly as religious Jews, with great anxi-
5. Testament of Job
ety, lamented the loss of the Temple and pondered the
cause of their defeat. 4 Ezra, 2 Baruch, 3 Baruch, and
6. Testament of Moses
the Apocalypse of Abraham are characterized by an in-
7. Testament of Solomon
tense interest in theodicy. 4 Ezra is very pessimistic; its
8. Testament of Adam
author finds it difficult to see any hope in his remorse.
2 Baruch is much more optimistic than 4 Ezra; the
Expansions of Biblical Stories and Other Legends
Temple was destroyed by God’s angels because of Isra-
1. Letter of Aristeas
el’s unfaithfulness (7:1–8:5), not by a superior culture
or the might of the enemy.
2. Jubilees
3. Martyrdom and Ascension of Isaiah
3. Later works are documents 3, some of 4, 9, 10, 11, 12,
13, 18, and 19, ranging in date from the lost purported
4. Joseph and Aseneth
Jewish base of (or traditions in) the Apocalypse of Adam
5. Life of Adam and Eve
in the first or second century CE to the Apocalypse of
6. Pseudo-Philo
Daniel in the ninth. These works are important for an
understanding of Early Judaism only because they ap-
7. Lives of the Prophets
parently preserve some edited works and record some
8. Ladder of Jacob
early Jewish traditions.
9. Fourth Book of Baruch (4 Baruch)
The most important pseudepigraphon in this group is the
10. Jannes and Jambres
composite book known as 1 Enoch. It is preserved in its en-
tire, final form only in Ethiopic, although versions of early
11. History of the Rechabites
portions of it are preserved in other languages; of these the
12. Eldad and Modad
most important are the Greek and Aramaic. The Qumran
Aramaic fragments, because of their paleographic age, prove
13. History of Joseph
that portions of 1 Enoch date from the third, second, and first
Wisdom and Philosophical Literature
centuries BCE.
1. Ahiqar
In The Books of Enoch: Aramaic Fragments of Qumrân
2. Third Book of the Maccabees (3 Maccabees)
Cave 4 (Oxford, 1976), J. T. Milik not only published the
editio princeps of the Aramaic fragments of Enoch, but he also
3. Fourth Book of the Maccabees (4 Maccabees)
claimed that chapters 37–71 must be Christian and postdate
4. Pseudo-Phocylides
260 CE. He obtained this surprising conclusion because of
5. Syriac Menander
the absence of these chapters at Qumran, the striking similar-
ity to the New Testament concepts of the Son of man and
Prayers, Psalms, and Odes
the Messiah, and the author’s imagined reference to the
1. Five More Psalms of David (Psalms 151–155)
“events of the years 260 to 270 CE” (p. 96). These arguments
2. Prayer of Manasseh
are erroneous, and they have been rightly rejected by all spe-
cialists. The absence of fragments at Qumran is not so signif-
3. Psalms of Solomon
icant as Milik claims; the striking parallels to the New Testa-
4. Hellenistic Synagogal Prayers
ment are due either to a shared culture or to influences from
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BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
903
1 Enoch 37–71 upon Jesus or the New Testament authors;
Example: “A copy of the words of Levi: the things that
the historical events of the third century CE are not reflected
he decreed to his sons concerning all they were to do, and
in 1 Enoch. Moreover, all manuscripts of 1 Enoch attest that
the things that would happen to them until the day of judg-
chapters 37–71 move climactically to the elevation of Enoch
ment. . . . I, Levi, was born in Haran and came with my
as son of man (in 71:14, the angel says to Enoch, “You are
father to Shechem. . . . There I again saw the vision as for-
the son of man.”). Hence, all of 1 Enoch is Jewish and pre-
merly. . . . And now, my children, I know from the writ-
dates 70.
ings of Enoch that in the end time you will act impiously
against the Lord . . . your brothers will be humiliated and
1 Enoch consists of five works that were composed over
among all the nations you shall become the occasion for
three centuries. In chronological order they are Enoch’s Astro-
scorn. For your father, Israel, is pure with respect to all the
nomical Book (1 Enoch 72–82), from the third century BCE;
impieties of the chief priests [who laid their hands on the sav-
Enoch’s Journeys (1 Enoch 1–36), from pre-160 BCE; Enoch’s
ior of the world (so¯t¯era tou kosmou.)], as heaven is pure above
Dream Visions (1 Enoch 83–90), from pre-160 BCE), Enoch’s
the earth; and you should be the lights of Israel as the sun
Epistle (1 Enoch 91–105), from the second or first century
and the moon” (T. Levi 1:1, 2:1, 8:1, 14:1–3; trans. H. C.
BCE; and Enoch’s Parables (1 Enoch 37–71), from pre-70 CE.
Kee in OTP; brackets denote the Christian interpolation).
Addenda (1 Enoch 106–108) are of uncertain date.
Expansions of biblical stories and legends. The docu-
Some of the chapters that begin and end the divisions
ments in the Hebrew Bible, because of their recognized di-
in 1 Enoch were added or edited as the separate works were
vine authority and revered antiquity, profoundly affected the
brought together into one document; this composite work
daily and religious life of Jews in the Hellenistic world. The
circulated in Palestine before 70. While the precise dates for
three divisions of the Hebrew Bible—the Torah (Law),
these sections of 1 Enoch, or Books of Enoch, are debated, it
Prophets, and the Writings—moved toward canonicity dur-
is clear that the ideas they contain, such as the advocation
ing the years from 300 BCE to 200 CE. Almost all Jewish reli-
of a solar calendar, were characteristic of some Jews from the
gious writings were categorically shaped on the literary
third century BCE to the first century CE. 1 Enoch is one of
norms, theological perspectives, and semiotic language al-
our major sources for Hellenistic Jewish ideas on cosmology,
ready developed in the Hebrew Bible. Of the many ramifica-
angelology, astronomy, God, sin, and mankind.
tions caused by the normative force of the biblical books, one
Example: “Then an angel came to me [Enoch] and
is singularly represented by the documents that expand upon
greeted me and said to me, ‘You, son of man, who art born
the biblical stories, supplying details and providing an-
in righteousness and upon whom righteousness has dwelt,
swers—often through pictorially rich narratives—to ques-
the righteousness of the Antecedent of Time will not forsake
tions aroused by careful and repeated readings of the sacred
you’” (1 En. 71:14; trans. E. Isaac in OTP).
books. Thirteen documents fall into this category (see The
Pseudepigrapha, Arranged by Category).
Testaments. Eight testaments, some of which include
apocalyptic sections, make up a second group of pseudepig-
These thirteen documents represent Jewish expansions
rapha (see The Pseudepigrapha, Arranged by Category). Of
of stories in the Hebrew scriptures over many centuries. The
these, only the Testament of Job and the Testament of Moses
History of Joseph, in a class by itself, is late, and perhaps
clearly predate 70
reached its final form in the sixth century CE. Five writings,
CE. The Testament of Adam, in its present
form, may be as late as the fifth century
documents 8–12, date from the late first century to the late
CE. The Testament
of Solomon is earlier, perhaps from the third centruy
second century. The History of the Rechabites, however, was
CE. The
Testament of Isaac and the Testament of Jacob were possibly
extensively expanded and reworked by early Christians; its
added in the second or third century to the Testament of
present form in Syriac, and perhaps in Greek, was not com-
Abraham, which in its earliest form probably dates from the
plete until around the sixth century.
end of the first century or the beginning of the second centu-
In this group the most important writings for Hellenis-
ry CE.
tic Judaism are documents 1–7. Almost all these predate the
destruction of Jerusalem in 70. The Martyrdom and Ascension
The most important—and most controversial—
of Isaiah is a significant exception; it continued to be expand-
document in this group is the Testaments of the Twelve Patri-
ed and was redacted by Christians up until about the fourth
archs. Marinus de Jonge (for bibliographic data, see Charles-
century. Joseph and Aseneth has been a controversial writing;
worth, 1981) has argued that this document is a Christian
while it has been dated by some scholars as early as the sec-
composition that inherits much Jewish tradition, both oral
ond century
and written. Most scholars have concluded that, while the
BCE, it probably dates from the early decades of
the second century
extant document is Christian, the Christian passages are
CE (see Charlesworth, 1981; Denis, 1970;
and especially C. Burchard in OTP). Jubilees was probably
clearly interpolations and redactions added to a Jewish docu-
composed in the years between 163 and 140
ment that dates from the second or first century
BCE.
BCE. This
documents consists of twelve testaments, each attributed to
Example: “And in the eleventh jubilee Jared took for
a son of Jacob and containing ethical instruction often with
himself a wife. . . . And she bore a son for him in the fifth
apocalyptic visions.
week. . . . And he called him Enoch. This one was the first
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BIBLICAL LITERATURE: APOCRYPHA AND PSEUDEPIGRAPHA
who learned writing and knowledge and wisdom. . . . And
(psalms 151–155), which date from various time periods,
who wrote in a book the signs of the heaven according to
ranging from the third century (151) to the second or first
the order of their months, so that the sons of man might
century BCE (152–155). The original language of Psalms
know the (appointed) times of the years according to their
151, 154, and 155 is Hebrew; the others were composed in
order, with respect to each of their months” (Jub. 4:16–17;
a Semitic language (Hebrew, Aramaic, or Syriac).
trans. Orval Wintermute in OTP).
Example: “O Lord, do not condemn me according to
Wisdom and philosophical literature. Mankind’s
my sins; / For no one living is righteous before you” (Psalm
search for understanding and wisdom crosses all boundaries,
155 [110Psa 155]; trans. Charlesworth in OTP).
including the fictitious divides of centuries and the fluctuat-
ing contours of nations. Five pseudepigrapha constitute a
SEE ALSO Apocalypse, overview article and article on Jewish
Hellenistic Jewish record of humankind’s insights into wis-
Apocalypticism to the Rabbinic Period.
dom and present practical ethical rules and aphorisms for en-
lightened actions (see The Pseudepigrapha, Arranged by Cate-
BIBLIOGRAPHY
gory). Syriac Menander, as a collection, seems to date from
The Apocrypha
the third century CE (see T. Baarda in OTP), but Pseudo-
The best bibliographical guide to the Apocrypha is Gerhard El-
Phocylides and 4 Maccabees date from the first century CE,
ling’s Bibliographie zur jüdisch-hellenistischen und intertesta-
and perhaps the former from even the first century BCE (see
mentarischen Literatur, 1900–1970, “Texte und Unter-
P. W. van der Horst in OTP). 3 Maccabees was clearly com-
suchungen,” no. 106, 2d ed. (Berlin, 1975). An important
posed in the first century BCE. Ahiqar is very early, dating
introduction to parts of the Apocrypha and Pseudepigrapha,
from the fourth or even fifth century BCE, but it influenced
with insightful comments regarding their sources and histori-
the author of Tobit around 180
cal setting, is George W. E. Nickelsburg’s Jewish Literature
BCE.
between the Bible and the Mishnah: A Historical and Literary
Examples: “The love of money is the mother of all evil”
Introduction (Philadelphia, 1981). See also Robert H. Pfeif-
(Ps-Phoc. 42; trans. van der Horst in OTP). “Long hair is not
fer’s History of New Testament Times with an Introduction to
fit for boys, but for voluptuous women” (Ps-Phoc. 212; trans.
the Apocrypha (New York, 1984). A careful, well-written, and
van der Horst in OTP). “Do not laugh at old age, for that
authoritative introduction (but a little dated now) is Bruce
is where you shall arrive and remain” (Syr. Men. 11–12;
M. Metzger’s An Introduction to the Apocrypha (New York,
1957). An earlier work is Charles C. Torrey’s The Apocryphal
trans. T. Baarda in OTP). “For reason [logismos] is the guide
Literature: A Brief Introduction (1945; reprint, London,
of the virtues and the supreme master of the passions” (4 Mc.
1963). Reliable introductions to the Apocrypha, from
1:30; trans. H. Anderson in OTP).
Roman Catholics who consider these books deuterocanoni-
Prayers, psalms, and odes. The Davidic Psalter, the
cal, can be found in The Jerome Bible Commentary, edited by
Raymond E. Brown, Joseph A. Fitzmyer, and Roland E.
hymnbook of the Second Temple, was gradually considered
Murphy (Englewood Cliffs, N.J., 1968).
closed during the centuries that preceded the destruction of
the Temple. Other poetic compositions were completed dur-
Critical Greek editions of the Apocrypha have been appearing in
ing the years from the conquests of Alexander the Great in
the Cambridge and Göttingen editions of the Septuagint. A
handy Greek edition of the Apocrypha is Alfred Rahlfs’s Sep-
336–323 BCE until the final defeat of ShimEon Bar Kokhba
tuaginta, 2 vols. (Stuttgart, 1935; reprint of 8th ed., 1965).
in 135 CE. Many of these were incorporated into various
A classic work on the Apocrypha is volume 1 of The Apocry-
pseudepigrapha to accentuate or illustrate a point or to raise
pha and Pseudepigrapha of the Old Testament in English: With
the confessional level of the narrative. Others were collected
Introductions and Critical and Explanatory Notes to the Several
into “hymnbooks” or “prayer books” that may be grouped
Books, edited by R. H. Charles (Oxford, 1913). More recent
as a fifth, and final, category of pseudepigrapha (see The
and excellent translations are those in The Jerusalem Bible
Pseudepigrapha, Arranged by Category). The Odes of Solomon,
(Garden City, N.Y., 1966), which is translated by Roman
the earliest Christian “hymnbook,” is modeled on the poetic
Catholics, and in The New Oxford Annotated Bible with the
style of the Davidic Psalter; it dates from the late first century
Apocrypha: Revised Standard Version, exp. ed., edited by Her-
or the beginning of the second century
bert G. May and Bruce M. Metzger (New York, 1977).
CE. The Prayer of Jo-
seph and the Prayer of Jacob are Jewish compositions from
The best current commentary series is the Anchor Bible. Volumes
perhaps as early as the first century CE. The “Hellenistic Syn-
41–44 (Garden City, N.Y., 1976–1983) include Jonathan A.
agogal Prayers,” preserved in books 7 and 8 of the Apostolic
Goldstein’s I Maccabees (vol. 41, 1976) and II Maccabees
Constitutions, are Christian in their present form, but they
(vol. 41A, 1983), Jacob M. Myers’s I and II Esdras (vol. 42,
may well be remnants of Jewish prayers that date from the
1974), David Winston’s The Wisdom of Solomon (vol. 43,
1979; reprint, 1981), and Carey A. Moore’s Daniel, Esther,
early centuries CE. The Psalms of Solomon, which seems to
and Jeremiah: The Additions (vol. 44, 1977). Also valuable,
represent the piety of a circle of Jews living in Jerusalem, was
especially because the Greek text is printed opposite the En-
certainly composed in the second half of the second century
glish translation, is Jewish Apocryphal Literature, 7 vols., ed-
BCE. The Prayer of Manasseh is very difficult to date, but it
ited by Solomon Zeitlin (Leiden, 1950–1972). The fruit of
probably comes from the turn of the eras. The Davidic Psal-
the best German scholarship on the Apocrypha and Pseud-
ter itself was expanded with “Five More Psalms of David”
epigrapha has been appearing in fascicles in the series titled
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIBLICAL LITERATURE: NEW TESTAMENT
905
“Jüdische Schriften aus hellenistisch-römischer Zeit”
Scott, J. Julius. Jewish Backgrounds of the New Testament. Grand
(JSHRZ), edited by Werner Georg Kümmel (Gütersloh,
Rapids, Mich., 2000.
1973–). Valuable tools for those who know Greek are Chris-
Vanderkam, James C. and William Adler, eds. The Jewish Apoca-
tian Abraham Wahl’s Clavis librorum veteris testamenti
lyptic Heritage of Early Christianity. Assen, Netherlands and
apocryphorum philologica (1853; reprint, Graz, 1972) and
Minneapolis, 1996.
Edwin Hatch and Henry A. Redpath’s A Concordance to the
Septuagint and the Other Greek Versions of the Old Testament,
JAMES H. CHARLESWORTH (1987)
including the Apocryphal Books, 2 vols. (1897–1906; reprint,
Revised Bibliography
Graz, 1972). A model computer-produced reference work is
now available for the Apocrypha (and part of the Pseudepig-
rapha): Bruce M. Metzger et al., A Concordance to the Apocry-
pha- Deuterocanonical Books of the Revised Standard Version
BIBLICAL LITERATURE: NEW TESTAMENT
(Grand Rapids, Mich., 1983).
The New Testament is a collection of twenty-seven books
The Pseudepigrapha
written by over a dozen authors with diverse theological con-
Charlesworth, James H. The Pseudepigrapha and Modern Research
victions. The books were written between circa 50 CE and
with a Supplement. Chico, Calif., 1981. This book succinctly
150 CE. Along with the Hebrew Bible, they are the normative
introduces the documents in the Pseudepigrapha and pro-
scriptures of the Christian churches. They gained that status
vides a bibliography of publications from 1960 until 1979.
only after a long and complex process; the shape of the col-
All publications mentioned in this article are cited with com-
lection took definitive form for most churches only in the
plete bibliographic data.
fourth century.
Charlesworth, James H., ed. The Old Testament Pseudepigrapha.
2 vols. Garden City, N.Y., 1983–1985. This massive collec-
Neither Jesus nor the early Christians knew anything of
tion contains introductions to and English translations of
a New Testament. Their Bible was the Jewish Bible alone.
fifty-two writings classified as pseudepigrapha and of thirteen
Originally, Christian traditions were oral, and a preference
other documents included in a supplement. The introduc-
for the oral over the written lived on into the second century.
tions by the editor clarify the problems in defining “apoca-
But during the last thirty or so years of the first century CE,
lypses,” “testaments,” “expansions of the ‘Old Testament,’”
traditions about Jesus came to be transmitted in written
“wisdom and philosophical literature,” and “prayers, psalms,
sources that were read at Christian gatherings. Concurrently,
and odes.”
some communities began to use several Pauline epistles in
Denis, Albert-Marie. Introduction aux pseudépigraphes grecs
their gatherings. Gradually, then, theological and moral au-
d’Ancien Testament. Leiden, 1970.
thority came to be embodied in written Christian texts.
Nickelsburg, George W. E. Jewish Literature between the Bible and
However, since different writings were read in different
the Mishnah: A Historical and Literary Introduction. Philadel-
places, and because the diversity in the early church was con-
phia, 1981.
siderable, there was often disagreement over which texts to
Sparks, H. F. D., ed. The Apocryphal Old Testament. Oxford,
privilege.
1984. A selection of some documents usually placed in the
Pseudepigrapha.
THE FOUR GOSPELS AND ACTS. Jesus did not to our knowl-
edge write anything. He was an oral preacher, with a reper-
New Sources
toire of parables, aphorisms, exhortations, and example sto-
Anderson, Bernhard W., ed. The Books of the Bible. Vol. 2: The
ries. If, as the Gospels have it, he sent out followers to preach
Apocrypha and the New Testament. New York, 1989.
what he preached (see Lk. 10:2–12), they must have learned
Charlesworth, James H. Authentic Apocrypha. North Richland
much the same repertoire, so oral transmission of the Jesus
Hills, Tex., 1998.
tradition must have begun before Jesus’ death.
Charlesworth, James H. The Old Testament Pseudepigrapha and
the New Testament. Harrisburg, Pa., 1998.
After Jesus’ crucifixion, his disciples continued to recite
Collins, John J. Jewish Wisdom in the Hellenistic Age. Louisville,
his words, and they also began to tell stories about him. Un-
Ky., 1997.
fortunately, the roads along which the tradition moved to the
DeSilva, David Arthur. Introducing the Apocrypha. Grand Rapids,
written Gospels, who moved it, and how much it changed
Mich., 2002.
along the way, cannot be recovered. The tradition was some-
Jones, Ivor H. Apocrypha. London, 2003.
times used in moral exhortations, other times in polemical
and apologetical settings, other times in gatherings for wor-
Mendels, Doron. Identity, Religion, and Historiography. Journal
ship. While the tradition was not fixed word-for-word, it
for the Study of Pseudepigrapha Supplement Series, 24.
Sheffield, UK, 1998.
likewise did not have the character of an amorphous folk tra-
dition. Beyond such generalities, however, it is not known
Meurer, Siegfried. The Apocrypha in Ecumenical Perspective.
Translated by Paul Ellingworth. Reading, UK, 1991.
how the tradition was handled.
Russell, David Syme. The Old Testament Pseudepigrapha. London,
Sometime in the second century, for reasons unknown,
1987.
the Gospels of Matthew, Mark, Luke, and John began to cir-
Russell, David Syme. Divine Disclosure: An Introduction to Jewish
culate as a collection. This fact troubled some because these
Apocrypha. Minneapolis, 1992.
four present distinctly different pictures of Jesus and some-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
906
BIBLICAL LITERATURE: NEW TESTAMENT
times contradict each other. So some preferred to read only
14:51–52 (a young man runs away naked when Jesus is ar-
one gospel. In the middle of the second century, in Rome,
rested). On the theory of Markan priority, Matthew omitted
Marcion used a version of Luke’s gospel. Shortly thereafter,
these items. On the theory of Matthean priority, Mark added
Tatian composed his Diatessaron, which turned four books
them. The latter is less likely, for the items catalogued are
into one. Many eastern churches accepted this harmony as
all potentially embarrassing, of uncertain meaning, or not
canonical for three centuries thereafter. By the beginning of
theologically significant. It is easier to imagine someone
the third century, however, many churches were reading the
dropping them than adding them.
fourfold collection.
(2) If Mark used Matthew, he decided not to reproduce
Historically, most Christians, being more interested in
the story of the virgin birth, the tale of the magi, the sermon
Jesus than the evangelists, have sought to downplay the dif-
on the mount, and other portions that seem memorable, en-
ferences between the four Gospels. Modern scholarship has
tertaining, and edifying. It is unclear what would have moti-
instead highlighted them, emphasizing that the Gospels are
vated Mark to not include them.
not just the product of their subject but also of their authors
(3) Jesus spoke Aramaic, and Mark exhibits more traces
and their creative theological traditions, so that the Gospels
of this fact, containing as it does several Semitic words or
tell us about the church as well as Jesus. By including, exclud-
phrases missing from both Matthew and Luke: Boanerges
ing, arranging, rewriting, offering commentary, and creating
(3:17); talitha cum (5:41); korban (7:11); rabbouni (10:51);
materials, each writer reflects a particular theological tradi-
and abba (14:36).
tion that should not be flattened for harmony with the other
writers.
(4) Matthew’s Christology, being higher than Mark’s,
seems later. Jesus is called “Lord” only once in Mark but a
The synoptic problem and Q. Matthew, Mark, and
full nineteen times in Matthew. In Mark 1:32–33 and 3:10,
Luke are known as “the synoptics.” They are sufficiently sim-
Jesus heals “many,” but the Matthean parallels have him
ilar that one can place them side by side and view most of
healing “all.” Several times in Mark, Jesus asks questions, all
their contents synoptically, at the same time. They share
of which are missing from Matthew (see Mk. 5:9, 30; 8:12;
many sayings and stories and often the order of those stories
9:12, 16, 33; 10:18; and 14:14). Again, whereas Mark 6:5
and sayings. About 55 percent of Mark is in Luke, and about
says Jesus “could do no deed of power” in Nazareth, Mat-
90 percent of Mark is in Matthew; often there is word-for-
thew’s “he did not do many deeds of power there” (13:58)
word agreement (compare, for example, Mt. 3:7–10 with Lk.
not only implies that he worked some miracles but further
3:7–9). While it is impossible to prove that such agreements
avoids the implication, near to hand from Mark, that maybe
do not derive from careful memorization of the same oral tra-
Jesus tried but failed.
dition, most scholars take the extensive agreements to indi-
cate a literary relationship.
Regarding Q, Matthew and Luke alone share about 230
verses in common. It is unlikely that Matthew took them
The consensus that emerged in Germany, England, and
from Luke, for Matthew does not show clear knowledge of
the United States at the end of the nineteenth century, and
Luke’s editorial work, and there are no obvious reasons for
that held for most of the twentieth century, is that Mark was
Matthew to omit memorable parts of Luke, such as the tales
the first written gospel, and that Matthew and Luke, inde-
of the rich man and Lazarus (16:19–31) and the prodigal son
pendently of each other, both knew and used Mark. Mat-
(15:11–32). Similarly, it is unlikely that Luke copied Mat-
thew and Luke also had access to a lost text known as Q. This
thew, because Luke does not show clear knowledge of Mat-
last was mostly a collection of sayings of Jesus not unlike the
thew’s editorial work, and there are no obvious reasons for
apocryphal Gospel of Thomas.
Luke having omitted memorable parts of Matthew, such as
It is not hard to find dissenters. Some important schol-
Herod’s slaughter of the infants (2:1–21) or the fuller version
ars have characterized Q not as a written source but as a series
of the Lord’s Prayer (6:9–13).
of tractates or even oral sources. Others have explained the
If Matthew and Luke are independent of each other, the
data by arguing that Mark used both Matthew and Luke, or
non-Markan traditions they share came to them through oral
that Mark came first, after which Matthew expanded Mark,
tradition or in writing. Favoring a written text is the fact that
after which Luke used both. Still, the most common view
most of the common material occurs in four large blocks that
remains that Matthew and Luke independently used Mark
are in the same order in the two gospels: the sermon on the
and Q. Among the reasons, which are suggestive rather than
mount or plain (Mt. 5-7; Lk. 6:17–49); missionary directives
demonstrative, are these:
(Mt. 10; Lk. 9, 10); polemic against leaders (Mt. 23; Lk 11);
and eschatological matters (Mt. 24:28, 37–40; Lk. 17:
(1) Texts in Mark but not in Matthew include: Mark
20–37).
3:21 (Jesus’ family seeks to restrain him because some think
him mad); 8:22–26 (Jesus heals a blind man who then sees,
Although Q remains hypothetical, this has not prevent-
but only imperfectly, and Jesus has to heal him a second
ed attempts to recover its text, date it, reconstruct its stages
time); 9:49 (Jesus says “everyone will be salted with fire”);
of composition, and so on. Particularly intense has been the
11:16 (Jesus forbids vessels to be carried in the temple); and
debate over whether Q reflects a faith that did not have as
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BIBLICAL LITERATURE: NEW TESTAMENT
907
its center the death and resurrection of Jesus. Because there
26–28: Narrative—conclusion: the passion and resur-
is no evidence that the document contained a passion narra-
rection.
tive or described Jesus’ resurrection, this is possible. But Q’s
Matthew not only often quotes the Jewish Bible, it also draws
silence can also be explained by its genre as a collection of
upon it to create typologies that order and add details to the
sayings of Jesus, which need not be a full-length mirror of
story. In chapters 1 to 5, for instance, the text again and
its community’s convictions.
again directs the informed reader to the foundational story
Matthew. Papias, a bishop in Asia Minor, wrote in the
in Exodus, and so teaches that Jesus is a new lawgiver whose
early second century: “Now Matthew made an ordered ar-
advent inaugurates a new exodus. Herod’s order to do away
rangement of the oracles in the Hebrew [or Aramaic] lan-
with the male infants of Bethlehem (2:16–18) is like Pha-
guage, and each one translated [or interpreted] it as he was
raoh’s order to do away with every male Hebrew child (Ex.
able.” These words and the traditional title According to Mat-
1). The quotation of Hosea 11:1 in Matthew 2:15 evokes
thew—added at an early but uncertain date—show that some
thought of the exodus, for in its original context “Out of
attributed this gospel to the disciple named in Matthew 9:9
Egypt I have called my son” concerns Israel. Jesus, like Israel,
and 10:3. Most now doubt the tradition. Papias and others
is exiled to Egypt and then returns to the land. Matthew
after him consistently associated Matthew’s authorship with
2:19–21 borrows the language of Exodus 4:19–20 so that just
a Semitic text, but Matthew is in Greek and seems unlikely
as Moses, after being told to go back to Egypt because all
to be a translation from Hebrew or Aramaic. Furthermore,
those seeking his life have died, takes his wife and children
it is unlikely that a Semitic document, such as Papias speaks
and returns to the land of his birth, so too with Jesus: Joseph,
of, would have incorporated, as Matthew seems to have done,
after being told to go back to Israel because all those seeking
the Greek Mark almost in its entirety.
the life of his son have died, takes his wife and child and re-
The author of Matthew, whatever the name, was proba-
turns to the land of his son’s birth. When Jesus passes
bly a Jew. Some of the biblical quotations seem to be translat-
through the waters of baptism and then goes into the desert
ed from the Hebrew specifically for the gospel (2:18, 23;
to suffer temptation, Matthew again recalls the exodus (cf.
8:17; 12:18–21). There is, further, concentrated focus on the
especially Dt. 8:2–3). Jesus, whose forty-day fast reminds one
synagogue (e.g., 6:1–18; 23:1–39), as well as affirmation of
of Moses’ forty-day fast (Ex. 24:18), is, like Israel, tempted
the abiding force of the Mosaic law (5:17–20). And Matthew
by hunger (Ex. 16:2–8), tempted to put God to the test (Ex.
alone records Jesus’ prohibitions against mission outside Isra-
17:1–4; cf. Dt. 6:16), and tempted to idolatry (Ex. 32). On
el (10:5; 15:24) and shows concern that eschatological flight
each occasion Matthew quotes from Deuteronomy—from 8:3
not occur on a Sabbath (24:20).
in Matthew 4:4, from 6:16 in Matthew 4:7, and from 6:13
in Matthew 4:10. After all this, Jesus goes up on a mountain,
Majority opinion holds that Matthew appeared in the
where he delivers the sermon on the mount, perhaps Chris-
last quarter of the first century CE A later date is excluded
tianity’s most important source of ethical direction. In this
because Christians writers from the first part of the second
he discusses the Sinai commandments of Moses (5:17–48)
century, such as Ignatius of Antioch and Papias, show knowl-
and delivers his own imperatives. Jesus is a new Moses.
edge of Matthew, which accordingly must have been com-
posed before 100 CE. An earlier date is excluded because
Mark. This gospel is traditionally ascribed to John
Matthew 22:7 seems to betray knowledge of the fall of Jerusa-
Mark. Acts mentions him several times, claiming that believ-
lem in 70 CE. An origin in Antioch in Syria is a common
ers met in his mother’s house in Jerusalem and that he was
guess, but it is no more than a guess.
the cause of a falling out between the apostles Paul and Bar-
nabas (Mk. 12:12, 25; 13:5; 15:37, 39). This man also ap-
The primary structure of the gospel is narrative followed
pears in Paul’s letters, where he is a coworker (Col. 4:10; 2
by discourse followed by narrative followed by discourse, and
Tm. 4:11; Phlm. 24), as well as in 1 Peter 5:13, which asso-
so on:
ciates him with Peter.
1–4: Narrative—the main character introduced.
It is not known when early Mark gained its title, but the
5–7: Discourse—Jesus’ demands upon Israel.
gospel was attributed to Mark in the early second century CE
8–9: Narrative—Jesus’ deeds within and for Israel.
Papias defended Mark this way:
10: Discourse—extension of ministry through words
The Presbyter said this: Mark, having become the inter-
and deeds of others.
preter of Peter, accurately wrote what he remembered,
11–12: Narrative—negative response.
although not in order, the things said and done by the
Lord. . . .Mark erred not in recording what he re-
13: Discourse—explanation of negative response.
membered. For he took forethought for one thing, not
14–17: Narrative—founding of new community.
to omit any of the things that he had heard nor to state
any of them falsely.
18: Discourse—instructions to the new community.
Proponents of Markan authorship have asked why anyone
19–23: Narrative—commencement of the passion.
would, without good reason, attribute a gospel to someone
24–25: Discourse—the future: judgment and salvation.
as relatively obscure as John Mark. Why not Peter himself?
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Many, nonetheless, doubt the tradition. The gospel itself no-
per with his disciples; then he is arrested; then he is put on
where purports to come from John Mark or otherwise asso-
trial; then he is crucified; and then he is buried.
ciates itself with Peter. It furthermore makes no claim to pass
Like Matthew and Luke, Mark consists mostly of small
on eyewitness information, nor does it contain any evidence
units that could stand alone. More often than not paragraphs
of such; if the work had been written by a Mark even less
have an introduction and a conclusion and do not require
important than John Mark, tradition might have turned one
a context to be understood. Evidently most of the paragraphs
into another.
once functioned as isolated units. Mark was then largely re-
Early tradition says that Mark was composed shortly be-
sponsible for the geographical and chronological placement
fore or after Peter’s death. As Peter was probably martyred
that the stories and sayings now possess.
in the 60s, the tradition is not here far from the modern con-
Mark’s ending is problematic. Mark 16:9–20 cannot,
sensus, which places Mark shortly before or after 70 CE. One
for both literary and textual reasons, be original. Scholars de-
reason for the consensus is that if Matthew and Luke knew
bate whether the book’s original ending was lost or whether
Mark, and if they appeared before the end of the first centu-
it ended at 16:8, without recounting a resurrection appear-
ry, Mark must be earlier. Another reason is that Mark 13
ance. Most recent experts have favored the view that Mark
seems to reflect the circumstances of the late 60s and maybe
exists in its entirety. But one may ask whether the current
the destruction of the temple in 70 CE.
consensus, which favors 16:8 as the original, ambiguous,
mysterious ending, is popular partly because it appeals to
According to Clement of Alexandria in the last quarter
modern sensibilities, which are often suspicious of neat clo-
of the second century, the gospel was composed in Rome.
sure and happy endings.
This fits the conventional ascription to John Mark, because
tradition has Peter moving to Rome and because 1 Peter 5:13
Luke-Acts. Luke and Acts—the New Testament’s two
associates John Mark and Peter with Rome (represented by
longest books—are now separated. Originally, however, as
Babylon). Many scholars still find a Roman origin plausible
the two prefaces imply (Lk. 1:1–4; Acts 1:1–2), they were vol-
and think that the gospel’s emphasis upon suffering may re-
umes one and two of the same work, which scholars call
flect the trying conditions of Christian life in Rome in and
Luke-Acts. Whether the two volumes first appeared together,
after Nero’s days. But the gospel itself contains no statement
or whether Acts was a sequel that appeared sometime after
about where it was written, and other scholars believe that
the gospel, is unknown. In any case, both works are from the
Galilee or somewhere else is no less likely.
same author, and Acts continues the story of Luke. A brief
outline might look something like this:
Regarding Mark’s audience, probably most were Gen-
tiles. This follows from Mark 7:3–4: “For the Pharisees, and
Volume 1, Luke: How Christianity began with Jesus in
all the Jews, do not eat unless they thoroughly wash their
Galilee and Jerusalem.
hands, thus observing the tradition of the elders; and they
1–12. The coming of Jesus (infancy, youth).
do not eat anything from the market unless they wash it; and
3–4:13. The call of Jesus (baptism, temptation).
there are also many other traditions that they observe, the
washing of cups, pots, and bronze kettles.” Apart from the
4:14–9:50. The Galilean ministry (teaching, miracles).
problem that this statement may not be wholly accurate, it
9:51–19:48. The road to Jerusalem (teaching, miracles).
would make little sense for an author to inform Jews about
Jewish customs. The gospel is, nevertheless, firmly rooted in
20–24. The end in Jerusalem (passion, resurrection).
Jewish culture and tradition. It begins by citing the Bible
Volume 2, Acts: How the apostles carried the gospel from Je-
(Mk. 1:2–3) and continues to quote from and allude to the
rusalem to Rome.
Scriptures throughout. Jesus’ God is explicitly the God of
1–12. From Jerusalem to Antioch.
Abraham, Isaac, and Jacob (Mk. 12:26). And all of the main
characters are, with the exception of Pilate, Jews.
13–28. From Antioch to Rome.
Unlike Matthew, Mark is not organized in any obvious
Jesus is the central character in volume 1; Peter in chapters
way. Material is sometimes arranged by topic, sometimes by
1–12 of volume 2; and Paul in chapters 13–28 of volume
geography, sometimes by chronology. The parables in chap-
2. Both volumes cover approximately the same amount of
ter 4 and the collection of eschatological materials in chapter
time, about thirty years.
13 display a topical interest, whereas a geographical interest
Apart from the traditional title for the gospel (According
emerges in chapter 1, which brings together events that take
to Luke or The Gospel according to Luke), the earliest testimo-
place in Capernaum, as well as in the latter chapters, which
ny to authorship comes from Irenaeus and Tertullian in the
bring together all of the stories about Jesus in Jerusalem.
latter part of the second century. Both associate the gospel
(Contrast John’s gospel, in which Jesus goes up to Jerusalem
with the common name “Luke.” Tradition identified him
several times.) The main outline of the book, however, is
with a native of Antioch in Syria. Colossians 4:14 calls him
chronological: Jesus is baptized; then he engages in his public
a physician and implies his Gentile status. 2 Timothy 4:11
ministry; then he goes up to Jerusalem; then he has a last sup-
identifies him as a coworker of Paul. Some scholars think
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that the tradition is right, for a number of reasons. (1) Several
reason, never completed. (2) The author did finish, and the
portions of Acts use the first person plural (“we”): 16:10–17;
conclusion is one or more of the pastoral epistles. Some an-
20:5–15; 21:1–18; and 27:1–28:16. As these “we” sections,
cient narratives come with epistles from the hero. (3) The
which are rich with detail, are unlikely to be a fictional liter-
author wanted to present a favorable picture of Christianity
ary device, either the author incorporated a source ostensibly
to the Romans and so did not want to relate that the emperor
composed by one of Paul’s companions or the author was
had Paul executed. (4) The author’s purpose is reached in
such a companion. In favor of the latter is the fact that these
chapter 28. Acts 1:8 speaks of the gospel going to the ends
sections do not differ in style from the rest of Acts. (2) Those
of the earth, and that is what the author cares about, not
sections, taken at face value, imply that their author was one
Paul’s biography (which is why the book says nothing of his
of the four individuals who traveled with Paul to Rome—
early life). Once the gospel goes to Rome, the story is over.
Titus, Jesus Justus, Crescens, or Luke. (3) Why would tradi-
Luke also says nothing about the fates of Peter or James, the
tion latch onto Luke if he were not the author? Why not
brother of Jesus, nor does he tell the gruesome story of the
rather pick the better known and more important Titus? (4)
beheading of John the Baptist. (5) The true verdict about
Although the author of Acts probably did not know Paul’s
Paul is reached in the sea storm episode in chapter 27. Here
epistles, Acts does know many things that those epistles con-
God vindicates the apostle. The subsequent earthly verdict
firm, such as that Paul did not stay long in Thessalonica (Acts
is irrelevant. (6) Ending with Paul’s death would have creat-
17; cf. 1 Thes.), or that Paul visited Athens but had no sub-
ed an aesthetic imbalance. Luke ends not with death but res-
stantial ministry there (again Acts 17; cf. 1 Thes. 3:1; the epis-
urrection. If the second book ended with a death without res-
tles make no other mention of Athens), or that Paul had ex-
urrection, it would have seemed anticlimactic.
ceptional success in Ephesus (Acts 19; cf. 1 Cor. 16:8, 9).
Luke and Acts both address themselves to “Theophilus”
There remain, however, many who reject the traditional
(Lk. 1:1; Acts 1:1) whose identity is not known. He was per-
ascription. The “we” passages do not make Luke any more
haps Luke’s literary patron or publisher. Some have suggest-
likely a candidate for authorship than Titus or the other
ed that he was a non-Christian Roman official, and that
companions. Perhaps the tradition inferred Lukan author-
Luke-Acts was intended to correct official misapprehensions
ship from the latter part of Acts and picked the wrong indi-
about Christianity. The word theophilus itself, however,
vidual. It is, moreover, possible that the author took the “we”
means “lover of God” or “loved by God,” and some have
sections from a source and rewrote them, which would ex-
supposed him entirely fictional: Luke-Acts addresses itself to
plain why their style matches the rest of the book. Those who
those who love God.
hold this view typically underline the differences between
Luke-Acts seems to be for Gentile Christians. The au-
Acts and the historical Paul as known from his letters. Many
thor prefers Greek terms to Hebrew terms (e.g., the Greek
have thought it impossible, for instance, to reconcile the Paul
master instead of rabbi, and truly instead of amen). Jesus’ con-
of Galatians with the Paul of Acts 16:3, who has Timothy
troversy with the Pharisees over things clean and unclean
circumcised. Yet why Luke’s being a companion of Paul en-
(Mark 7) is, moreover, omitted, as are derogatory uses of the
tails that he agreed with Paul on everything or that he wrote
word Gentile (contrast Mt. 5:47; 6:7).
nothing but sober history does not appear. The tradition,
then, could be correct, even if the case for it falls short of
Regarding the purpose of Luke-Acts, the preface fails to
demonstration.
allude to any specific occasion or crisis that might have called
it forth. “I too have decided” is the only stated motive, and
The date of Luke-Acts raises important questions about
for the rest Luke 1:1–4 is formulated in frustratingly general
interpretation. The usual line is that Luke-Acts had to have
terms. Attempting to be more specific, some have proposed
been written after Paul’s death in the 60s because Luke 21:20
that the writer wished to show Christianity to be politically
shows knowledge of the destruction of Jerusalem in 70 CE
harmless. After Nero, Christians became a political problem,
But some find a difficulty here. Acts ends by relating that
and it is striking that in Luke-Acts Roman officials repeatedly
Paul lived for two years in Rome in prison (28:30–31).
pronounce Christian figures to be politically innocent (Lk.
Could the author have concluded without narrating Paul’s
23:4, 14, 22; Acts 16:39; 17:6–9; 18:12–17; 19:37–41;
fate? Deaths are important events in Luke-Acts, which relates
23:29; 25:25; 26:31–32). Another suggestion is that the au-
the crucifixion of Jesus (Lk. 23), Judas’s suicide (Acts 1), and
thor wanted to show Christianity to be rooted in Judaism,
Stephen’s martyrdom (Acts 7). So if the author knew about
which the empire tolerated as a legal religion. Luke 1–2 opens
Paul’s martyrdom, should we not expect its narration? Since
the story by painting a picture of pious Jews, and the rest of
it is absent, maybe it had not yet happened. Maybe Acts was
Luke is about Jesus the Jew and his mission to Israel. Acts be-
written at the end of the two-year period in Acts 28, and so
gins in Jerusalem, its hero calls himself a Pharisee (23:6), and
in the mid-60s.
Christianity is labeled a “sect” or “party” of Judaism (24:5,
14; 28:11).
This argument has persuaded only a minority, in part
because there are other explanations for the ending on the
The chief literary feature of Luke-Acts may be parallel-
assumption that Paul was dead when Luke-Acts appeared,
ism. Both Luke and Acts open with a preface to Theophilus
such as: (1) A third volume was planned and, for whatever
(Lk. 1:1–4; Acts 1:1–2). Both narrate the descent of the Spirit
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upon those who have been praying (Lk. 3:21–22; Acts 1:14,
haps the book was published anonymously and became at-
24; 2:1–13). Both have opening sermons that feature pro-
tached to John’s name because the church felt the need to
phetic fulfillment and the rejection of Jesus (Lk. 4:13–30;
give the document apostolic authority. This might have been
Acts 2:14–40). Both follow this with stories of healing the
especially important given the differences between John and
lame (Lk. 5:17–26; Acts 3:1–10), conflict with Jewish leaders
the synoptics, which have always been obvious.
(Lk. 5:29–6:11; Acts 4:1–8:3), a centurion asking for help
It seems likely that John’s gospel was the product of a
(Lk. 7:7–10; Acts 10), Pharisaic criticism of Jesus (Lk. 7:36–
long process and that more than one person was involved in
50; Acts 11:1–18), and so on. Not only does Acts replay Luke,
its editing. This would account for 21:24, where the author
but Acts 13–28 often parallels Acts 1–12, and Luke is quite
speaks in the first-person plural and appears to be different
fond of piling up parallels between sympathetic characters—
from the beloved disciple, and for 19:35, which speaks of the
John the Baptist and Jesus, Stephen and Jesus, Paul and
beloved disciple in the third person. In this case, the beloved
Jesus, Peter and Paul. There are several explanations for this
disciple, whether John or not, could have been a follower of
literary phenomenon, which has parallels in both Greek and
Jesus who was thought of as the source and guarantee of the
Jewish sources, but one motive is a desire to set Jesus up as
tradition behind the gospel.
a moral model, whom others emulate.
Whether the author of John knew the synoptics is dis-
John. “According to John” became affixed to the gospel
puted. One possibility is that the author did know them and
sometime during the second century, at the end of which
wanted to supplement them, correct their omissions, and so
Irenaeus wrote: “All the elders that associated with John the
on. This would make sense of all that is present in John but
disciple of the Lord in Asia bear witness that John delivered
not the synoptics. It does not, however, explain the many
it [John’s gospel] to them. For he remained among them
overlaps. Common to John and the synoptics are, among
until the time of Trajan” (who ruled 98–117); “afterwards
other things, the cleansing of the temple, the feeding of the
[after the writing of the other gospels] John, the disciple of
five thousand, the walking on the water, the entry into Jeru-
the Lord, who also reclined on his bosom, published his gos-
salem, the anointing of Jesus, the arrest of Jesus, the denials
pel, while staying at Ephesus in Asia.”
of Peter, the trial before Pilate, the crucifixion, the burial by
This John is the brother of James, son of Zebedee. Mark
Joseph of Arimathea, and the discovery of empty tomb. So
1:16–20 recounts his call to discipleship, and elsewhere in
others have imagined that the author wanted to correct the
Mark he belongs to an inner circle around Jesus (3:17; 5:37;
synoptics. One can interpret Matthew and Luke as doing this
9:2; 14:33). Acts presents him as a companion of Peter and
to Mark. But then one could also consider the option that
as an evangelist and leader of the church (4:1, 13, 23; 8:14–
the author wanted to replace or oust the synoptics.
17). Galatians 2:9 refers to him, along with James the broth-
Still another option is that John’s author did not know
er of Jesus and Peter, as one of the pillars of the Jerusalem
the synoptics at all. Yet John appeared some time after Mark
church.
(see below), and there are overlaps with Luke’s gospel in par-
The Fourth Gospel nowhere mentions John by name
ticular that may suggest literary contact. Both gospels tell us
(although 21:2 refers to “the sons of Zebedee”). John’s gospel
that Satan entered into Judas (Lk. 22:3; Jn. 13:27), that Peter
does, however, speaks of “the disciple that Jesus loved”:
cut off the right ear of a servant (Lk. 22:50; Jn. 18:10), that
13:23–25; 19:25–27; 20:2; 21:7, 20. It also refers to a “wit-
Jesus’ tomb was new (Lk. 23:53; Jn. 19:41), that there were
ness” to Jesus (19:35; 21:24), as well as someone it calls “the
two angels at the tomb (Lk. 24:4; Jn. 20:12), that there were
other disciple” (18:15–16; 20:2–10). Chapter 20 identifies
resurrection appearances in Jerusalem (Lk. 24; Jn. 20), and
this “other disciple” with the beloved disciple, and 19:35 im-
that the risen Jesus invited the disciples to touch him (Lk.
plies that the beloved is the “witness.”
24:36; Jn. 20:19). Even if, however, John’s author knew one
or more of the synoptics, use of an independent tradition re-
Putting everything together, the beloved disciple be-
mains plausible. Apart from traditions going back to the be-
longs to Jesus’ inner group. He is present at the last supper
loved disciple and perhaps the synoptics, John’s gospel prob-
(Jn. 13), Mary is entrusted to him (Jn. 19:25–27), and he
ably incorporates a traditional passion narrative, a collection
is among the group in 21:2, which includes Peter, Thomas,
of numbered miracle stories designed to show Jesus’ messian-
Nathaniel, the sons of Zebedee, and two other unnamed dis-
ic status (scholars dub this the “Signs Source”), and various
ciples. He is clearly not Peter. Nor can he be James (Acts 12:2
oral traditions.
has James martyred very early); and since he belongs to Jesus’
Most now date John to between 80 and 100
inner circle, tradition identified him with John, son of Zebe-
CE. Tradi-
tion has John written after the other gospels, during the time
dee. The identification is consistent with the gospel’s knowl-
of Trajan (98–117
edge of pre-70 Jerusalem (see, e.g., Jn. 4:5; 5:2; 9:7; 19.13).
CE). Such a late date is consistent with
both 21:18–19, which probably presupposes the tradition
One difficulty with the tradition is that John’s gospel
about Peter’s martyrdom, and 21:22–23, which reflects es-
was not widely used in the second century, which is odd if
chatological disillusionment when the last of Jesus’ disciples
it was known as the work of an apostle. Furthermore, the
had died (some believed that Jesus would return before all
“we” of 21:24 cannot be the beloved disciple himself. So per-
of his disciples had passed on; see Mk. 9:1). A date later than
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911
this is prohibited by an early second-century papyrus frag-
plies, or whether his canonical importance exaggerates his
ment containing John 8:31–33 and 8:37–38. A date in the
initial significance and influence. Whatever the answer, the
90s or shortly after the turn of the century seems plausible.
collection of letters assigned to him must be the primary
source for his life and thought. Although Paul’s self-
Scholars have offered an array of suggestions concerning
perception and accounts of events cannot be taken at face
John’s purpose: (1) To record the testimony of the beloved
value, they must be deemed more reliable than the flattering
disciple, an eyewitness to Jesus. (2) To supplement, correct,
presentation in Acts, whoever authored it.
or displace the synoptics. (3) To discourage Christians from
maintaining contact with the Jewish synagogue. This would
Of the thirteen canonical Pauline epistles, scholars rec-
explain the emphasis upon how Jesus replaces Jewish institu-
ognize seven as undoubtedly from Paul: Romans, 1 Corinthi-
tions. Again and again John uses “the Jews” in a disparaging
ans, 2 Corinthians, Galatians, Philippians, 1 Thessalonians,
way. (4) Maybe John counters Christians who denied the
and Philemon—all of which come from the second half of
physical reality of Jesus. Such people were certainly around
his ministry, circa 50 CE and later. The authorship of 2 Thes-
not long after John was written, and if 1:14 emphases that
salonians and Colossians are disputed. Most scholars think
the “word” became flesh, 19:34 speaks of the blood and
that Ephesians and the so-called pastoral epistles—1 Timothy,
water coming from Jesus’ side. (5) Maybe John encourages
2 Timothy, and Titus—were written in Paul’s name after his
Christians. John 20:31 can be read as an invitation to contin-
death.
ue to believe, and most of John 13–17 functions to edify be-
Romans. Paul wrote this essay in letter form, his most
lievers and build up their faith.
systematic product, during his last visit to Corinth, probably
John’s differences from the synoptics raise questions
in 56 or 57 CE He was on his way to Jerusalem with money
about its status as a historical source. The gospel presents
he had collected for the church there. Little is known about
Jesus as the Logos (1:1–18) and has Jesus regularly speak in
Christianity in Rome at that time. Paul was not the founder
long discourses with a central theme. John’s Jesus uses certain
of the church, which consisted of both Jews—the Jewish
words and expressions repeatedly that are rare in the synop-
population of Rome was substantial—and Gentiles. Romans
tics (e.g., “to love,” “I am,” “life”). Only John clearly teaches
1:13 and 11:13 imply that Gentile Christians outnumbered
Jesus’ preexistence and deity (see especially 1:1–18), and only
Jewish Christians.
John’s Jesus makes clear public statements about himself
The occasion and purpose of the letter are cloudy. Local
(e.g., 6:35: “I am bread of life”; 8:12: “I am the light of the
circumstances could have called it forth. Perhaps Paul had
world”; 10:30: “I and the Father are one”). In the synoptics,
heard reports of conflict between Jewish and Gentile Chris-
Jesus favors parables and aphorisms; in John, these are rare.
tians and wished to help. Yet given that most of the letter
In the synoptics, Jesus celebrates Passover; in John, the Pass-
has a general character and addresses issues that do not seem
over lamb is slaughtered as Jesus is being crucified. In the
specific to the Roman church, it is more common to see Ro-
synoptics, Jesus enters the temple at the end of his ministry;
mans in a broader context. Maybe the letter is Paul’s attempt
in John, Jesus does this at the beginning. In the synoptics,
to clarify his own mind about certain matters, especially in
the central theme of Jesus’ proclamation is the “kingdom of
view of his upcoming visit to Jerusalem and the trouble he
God”; in John, Jesus uses the term only twice. In the synop-
anticipated there, although the suggestion that Paul wanted
tics, Jesus is preoccupied with future eschatology; in John,
a copy of Romans sent to Jerusalem is not demonstrable.
Jesus focuses on the present (see, e.g., 5:25; 6:47; 16:11). In
More persuasive are attempts to read Romans as a sort of in-
the synoptics, Jesus goes to Jerusalem once; in John, he goes
troduction to Paul himself, sent to prepare the way for his
three times, and the public ministry lasts at least three years.
coming to the empire’s capital (see 1:10–11; 15:15, 20, 24,
The synoptic picture of Jesus is closer to history than
28–29). Paul was a controversial figure about whom rumors
John’s portrait. Not only does John’s higher Christology re-
must have flourished, and if he planned on going to Rome
flect later developments, but John’s author was not much
and using it as a missionary base for his work in Spain, he
concerned to differentiate his own words from those of Jesus.
may have felt a need to explain clearly what he was all about
There are places, such as the end of John 3, where modern
and so recommend himself.
editors cannot even agree on where a quotation from Jesus
The original form of Romans is problematic. The doxol-
ends and the editor’s words begin. Because comparison with
ogy, 16:25–27, is missing in some ancient manuscripts, and
the synoptics proves that there are traditional words of Jesus
the preceding 16:24 (“The grace of the Lord Jesus Christ be
embedded in John, the long discourses may have developed
with you all. Amen.”) is unlikely to be pristine. Some textual
from reflection upon those words; they may indeed be some-
authorities put 16:25–27 immediately after chapter 14, or
thing like homilies upon them.
immediately after chapter 15; others put it in both places,
THE LETTERS ATTRIBUTED TO PAUL. Thirteen New Testa-
and it is altogether missing from still others. A few Latin
ment letters purport to come from Paul. When one adds that
manuscripts omit 15:1–16:23, and the third-century church
he is the major figure in Acts, he clearly dominates half of
father Origen says that the second-century heretic, Marcion,
the New Testament. One wonders whether Paul was as im-
removed the last two chapters. In addition, some textual au-
portant in his own time as his prominence in the canon im-
thorities do not name Rome in 1:7 and 15.
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Several accounts of the data are possible. (1) Paul com-
pens polemic in the service of his cause. His arguments, in
posed a letter to the Roman church, containing everything
the final analysis, issue from his seeing matters through the
except 16:24–27. He then reissued the letter, omitting the
eyes of his Gentile converts. Some in the early church desired
last two chapters, which contain much personal material. He
those converts to undergo circumcision and otherwise follow
also excised “Rome” from 1:7 and 15, thus creating a treatise
Jewish customs. Paul instead sponsored a theology according
for a larger audience. (2) Paul turned a general letter into a
to which Gentiles fully participate in redemption, and he dis-
letter for Rome. Originally he composed a general essay,
agreed fervently with those who urged that those born out-
which he then revised for the Roman community in particu-
side the covenant with Abraham needed, in addition to their
lar by naming Rome in 1:7 and 15 and adding chapter 16
faith in Jesus Christ, to undergo circumcision and embrace
or chapters 15 and 16. (3) Perhaps Paul sent chapters 1 to
other distinctive Jewish practices. It was this conflict regard-
15 to Rome and afterward added chapter 16, sending the en-
ing Gentiles that led to Paul’s sweeping generalizations about
larged, expanded letter to Ephesus, which is associated with
the law. He could have been fairer to Judaism had he simply
many of the people Romans 16 names. (4) Maybe chapter 16
affirmed that the Torah was never intended for Gentiles, or
is an independent Pauline letter, sent to Ephesus, and some-
if he had not treated the law as a whole but rather argued
one other than Paul preserved it by tacking it onto the end
for its partial observance (which is what in fact most Chris-
of Romans. (5) Origen may have been right: someone omit-
tians have done ever since). Paul, however, took another
ted the last two chapters. Since 14:23 does not work well as
course, and the outcome is no guide to how Judaism looked
an ending, someone added the doxology in 16:25–27.
and felt to its practitioners.
After the introduction in 1:1–15, Romans 1:16–3:20 in-
The Corinthian correspondence. The Corinthian cor-
dicts humanity’s sin and guilt. The chapters are unremitting-
respondence supplies the most valuable information avail-
ly bleak, and among the most pessimistic evaluations of the
able about early Gentile Christianity. The letters, although
human condition in ancient literature. Such pessimism is the
a record of what happened to one church, presumably reflect
foil for 3:21–8:39, with its thesis in 3:21–31. This large sec-
the sorts of problems faced by Gentile converts everywhere
tion presents the solution to humanity’s plight, which is the
in the Roman world.
grace of God in Jesus Christ, to be appropriated by faith.
Corinth is located near the isthmus that links the Pelo-
Paul’s presentation of this solution involves a critique of the
ponnesus to mainland Greece. In Paul’s day it was the capital
Jewish Torah, but the attack is less sweeping and more mod-
of the province of Achaia and a cosmopolitan seaport. Paul
erate than in Galatians. Paul is in Romans inclined to say pos-
founded the Christian community there and spent two years
itive things about the law. Perhaps the strident statements
ministering in the area (see Acts 18).
in Galatians had proved to be too extreme even in Paul’s own
eyes.
To read 1 and 2 Corinthians is to hear only one side of
the conversation, so much remains hidden. But from the let-
Romans 9:1–11:36, which historically has been a theo-
ters and Acts 18 one can reconstruct a sequence of events into
logical battleground for debates over free will and predestina-
which it is possible to place 1 and 2 Corinthians.
tion, addresses the problem of Israel, which was occasioned
Paul first visited Corinth in 50 or 51 CE During his ex-
by the failure of so many Jews to accept the Christian Gos-
tended stay, he made converts, began a house church, and
pels. How could Israel not embrace the messiah? What of
handed down Christian traditions. He did not, however, re-
God’s promises to Israel? The logic of these three chapters
main the only Christian leader known to the Corinthians.
is tortured because Paul’s reduction of salvation to Christolo-
Apollos and probably Peter came to Corinth soon after his
gy resists harmonization with his biblically inspired faith in
departure (1 Cor. 1:12; 9:4–5).
the redemption of Israel.
After leaving Corinth, Paul sent to the Corinthians a let-
Romans 12:1–15:13, which at points echoes sayings at-
ter no longer extant (unless 2 Corinthians 6:14–7:1, which
tributed to Jesus, outlines Paul’s ethic. His critique of the
badly disrupts its present context and seems secondary, pre-
Torah disallows him from simply citing its ethical impera-
serves part of it). 1 Corinthians 5:9 refers to this letter: “I
tives as authoritative, even though his counsels are for the
wrote to you in my letter not to associate with immoral
most part taken over from Jewish tradition. He in effect rein-
men.” In part as a response to this lost letter, the Corinthians
vents the law by grounding proper behavior in Christian the-
wrote their own letter to Paul, to which most of 1 Corinthi-
ology.
ans (composed 52–55 CE) is a point-by-point reply. 1 Corin-
Christians have often found in Romans an account of
thians 7:1 (on marriage and divorce), 25 (on virgins), 8:1 (on
Judaism as a religion of salvation based on works, of a legal-
food offered to idols), 12:1 (on spiritual gifts), 16:1 (on the
ism unconnected to God’s grace. Jewish sources, whether
collection for the church in Jerusalem), and 12 (on Apollos)
biblical, intertestamental, or rabbinic, do not support this
all open with the phrase, “Now concerning,” and in each case
view, which is a caricature due not only to a misreading of
Paul is responding to Corinthian queries. He even at points
Paul but also to Paul’s tendentious generalizations. The apos-
seems to quote the Corinthians: “All things are lawful” (6:12;
tle offers neither an objective account of Jewish life under the
10:23); “It is well for a man not to touch a woman” (7:1);
law nor an insider’s sympathetic understanding, but rather
and “All of us possess knowledge” (8:1).
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The various topics that 1 Corinthians addresses are not
cumcised so that they may boast about your flesh”). They
all clearly related to each other; they cannot be traced to one
demanded that Gentile Christians observe Jewish practices.
central theological idea. Rather, there was a host of issues.
Despite scholarly ingenuity, many questions remain un-
Some Corinthians valued other teachers more than Paul (1
answered. It is unclear whether the teachers with whom Paul
Cor. 1:11–16; 3:10–4:20). Some thought the apostle insuffi-
disagreed were closely connected with either James or those
ciently sophisticated (3:1–9). One man was living with his
whom Paul debated in Jerusalem according to 2:3–6. Nor
stepmother (5:1–13). Some believers had taken others to
is it known whether, in addition to the Jewish Christians
court (6:1–8). There were questions about divorce as well as
who imposed circumcision, other agitators promoted an an-
virginity, which some Corinthians reckoned a superior state
tinomianism (some see this in 5:13–6:10). How the Gala-
(7:1–40). There was debate over whether believers could eat
tians responded to Paul’s passionate pleas is a mystery—
food consecrated to pagan idols (8:1–11:1). Some women—
although his conviction that Gentiles should not be circum-
virgins wishing to display their equality with men?—were
cised eventually became the dominant position of the
worshiping without head coverings (11:2–16). The common
church.
meal of the community was fractured by cliques, probably
according to social status (11:17–34). Ecstatic gifts were cre-
Commentators dispute whether Paul wrote to Celts liv-
ating disorder in worship and becoming an inordinate source
ing in the northern part of Roman Galatia or whether his
of pride (12:1–14:40). 1 Corinthians 14:33b(34)–36, with
converts lived in the southern section of the province, where
its prohibition of women speaking in church, may be an in-
most were not Celts. There is also debate over the date of
terpolation; it contradicts 11:2–16, where women pray and
composition. Some think Galatians was written in 49 or 50
prophesy. In addition, some Corinthians evidently had an
CE. Others believe a date in the later 50s better fits the evi-
anthropology that made bodily resurrection unnecessary and
dence. The issues are complex and involve deciding whether
unwanted (15:1–58).
the meeting in Jerusalem in Galatians 2 should be equated
with the council of Acts 15 or instead with the episode in Acts
1 Corinthians was followed by a “painful visit” (see 2
11:29–30. The tendency of modern scholarship is to favor
Cor. 2:1; 12:14; 13:1). Clearly the letter had not worked its
the northern destination, the later date, and the equation of
intended result. Perhaps already by the time of the second
Galatians 2 with Acts 15.
visit, Jewish Christian teachers, with letters of commenda-
tion from Jerusalem, had arrived and were offering criticism
The introduction, Galatians 1:1–9, contains, uncharac-
of Paul (see 2 Cor. 3:1; 11:4–6, 22–23).
teristically for a Pauline letter, a rebuke (1:6–9). Notably
missing is any thanksgiving. Galatians 1:10–2:21 follows
After the failure of his second visit, Paul sent from Ephe-
with an autobiographical defense (the starting point for any
sus through Titus a “severe letter” (see 2 Cor. 3–4, 9; 7:8).
reconstruction of Pauline chronology). Here Paul stresses the
Some have identified this letter with 2 Corinthians 10–13;
divine origin of his ministry, his independence from Jerusa-
others believe it has been lost. Whatever the truth, this severe
lem, others’ recognition of his ministry, and Peter’s hypocri-
letter was followed by 2 Corinthians 1–9 (chapters 8 and 9
sy in dealing with Gentile Christians. In 3:1–5:1, Paul offers
should probably not be considered separate letters, occasion-
arguments from experience (3:1–5), from Scripture (3:6–9;
al opinion to the contrary). Titus had returned with good
4:21–31), and from Christology (3:10–4:20) to buttress his
news (2 Cor. 7:2), which explains Paul’s thanksgiving and
understanding of a law-free gospel and to impeach those with
confidence in much of 2 Corinthians. He is irenic, however,
another point of view. The last major section, 5:2–6:10,
only in chapters 1–9. Chapters 10–13 are defensive and po-
which conceives of the moral struggle as a battle between
lemical and reflect a different situation. If 2 Corinthians
“spirit” and “flesh,” contains exhortations; Paul at least did
10–13 was sent before chapters 1–9, it apparently met a fa-
not feel that his theology entailed ethical indifference. It is
vorable response, given the relief and gratitude expressed in
noteworthy that 6:2 refers to “the law of Christ.” While the
2 Corinthians 1–9. If 2 Corinthians 10–13 was sent after
expression remains susceptible to various interpretations,
chapters 1–9, then 2 Corinthians 1–9 must have met an un-
Paul cannot, despite the seeming implication of his polemic,
sympathetic hearing. In either case, Paul determined to visit
do without some sort of “law.”
Corinth for a third time (see 2 Cor. 12:14; Acts 10:1–2).
What happened then is not known.
Ephesians. This letter opens with a salutation (1:1–2)
and a long thanksgiving (1:3–23). Ephesians 2:1–10 follows
Galatians. Paul preached in Galatia, where an infirmity
with an account of the saving benefits that have come to
perhaps delayed his departure (4:13). He founded several
those with faith in Christ, who were formerly captive to “the
house churches there. After Paul left Galatia, other Christian
prince of the power of the air.” Ephesians 2:11–22 displays
teachers arrived. Although these were, like Paul, Jewish
the collective nature of those benefits though an exposition
Christians, they regarded him as promoting an inferior brand
of the church as a manifestation of the new humanity, in
of Christianity, and he viewed them as enemies of his procla-
which the differences between Jew and Gentile no longer
mation. Their theology can be partly inferred from Galatians
count. Ephesians 3:1–13, which sounds like a retrospective
4:10 (“You are observing special days, and months, and sea-
paean, not an authentic self-evaluation, testifies to Paul and
sons, and years”) and 6:12–13 (“They want you to be cir-
his distinctive role in disseminating God’s revelation
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BIBLICAL LITERATURE: NEW TESTAMENT
throughout the world. Then, in 3:14–21, the author seem-
three originally separate letters: a polemical letter in 3:1b–4:3
ingly reverts to the prayer of chapter 1, asking that the recipi-
+ 4:8–9; a letter of thanks for the Philippians’ gift in 4:10–20
ents may be strengthened, grounded in love, and filled with
or 23; and a longer letter in 1:1–3:1a + 4:4–7 + (perhaps)
knowledge of “the love of Christ.” Ephesians 4:1–6:20 ex-
21–23. It is hard to know how to evaluate such proposals.
plores the behavioral implications of the preceding theology.
Authentic letters of Paul do contain some abrupt shifts.
Believers are to seek unity among themselves (4:1–16), lay
Many have not been compelled to deny the unity of the
aside pagan habits (4:17–5:20), observe proper rules for the
letter.
household (5:21–6:9), and live in truth, righteousness,
Colossians. The authorship of Colossians continues to
peace, faith, and prayer (6:10–20).
be disputed, although perhaps most authorities now doubt
Paul did not write Ephesians. There is an uncharacteris-
that Paul wrote it. The opponents are unlike any in other au-
tic absence of personal data, and the concerns are not those
thentic letters. (The problem in Colossae cannot be identi-
of a concrete community. Much of the vocabulary and style
fied with the problem in Galatia.) Jesus’ cosmic role in cre-
are also un-Pauline. Decisive against the traditional attribu-
ation and redemption is distinctive, as is the church’s
tion is the dependence upon Colossians. Readers may com-
participation in his cosmic authority. The eschatology is
pare, to illustrate this, Ephesians 1:15–17 with Colossians
more realized than what is otherwise found in Paul. And
1:3–4, 9–10; Ephesians 4:31–32 with Colossians 3:8, 12; and
there are some stylistic peculiarities. Some scholars, however,
Ephesians 6:5–9 with Colossians 3:22–4:1. Notably, the tradi-
maintain that Colossians is distinctive because of the unique
tional text of Ephesians 1:1, with “the faithful who are at
situation it addresses and because Paul allowed a secretary
Ephesus,” is secondary. Originally, the recipients were un-
some compositional freedom or even assigned its composi-
named.
tion to an associate.
Given that Christian writers of the first half of the sec-
Colossae was a small town about a hundred miles east
ond century clearly knew Ephesians, it was presumably writ-
of Ephesus in Asia Minor. Colossians 1:7 implies that Paul’s
ten not long after Paul’s death. That it was composed to in-
associate, Epaphras, founded the church there. If Colossians
troduce a collection of the apostle’s epistles is an intriguing
came from Paul, he wrote it at the same time he sent Phile-
if unproven suggestion. In any case, Ephesians is someone’s
mon (see below). If it is a pseudepigraphon, written in the
meditation on Paul and a development of his theology and
last quarter of the first century, the author gave the work the
ethics. The place of composition cannot be determined.
appearance of authenticity by borrowing personal details
from Philemon.
Philippians. Paul wrote this letter to his first European
converts, the Christians of Philippi in Macedonia (see Acts
Colossians opposes Christians who sponsor a “philoso-
16). At the time of writing, Paul was in prison (Phil. 1:12–
phy” (2:8), observe Jewish food laws and a Jewish calendar
26). Whether this was his Roman imprisonment (see Acts
(2:16), value visionary experiences (2:18), and venerate an-
28), as most used to think, is uncertain. The date in this case
gels or participate in the angel’s heavenly liturgy (2:18).
would be the early 60s. Some think rather of Caesarea, where
There is no consensus concerning the Colossians’ identity
Paul was a prisoner in the late 50s CE according to Acts 23–
and the source of their convictions. Commentators have
24, or of Ephesus, where, despite the silence of Acts, Paul
thought of Christians enamored of Hellenistic philosophy,
may have been a prisoner for a time (c. 56 CE).
or of people who mixed their Christianity with a pagan mys-
tery cult, or of mystical Jewish visionaries, perhaps related to
To judge from Philippians 2:25–29 and 4:18, the Phi-
those who composed many of the Dead Sea Scrolls, or of
lippians sent Epaphroditus to Paul with a gift, presumably
Jewish Christians on the path toward Gnosticism.
of money. Philippians is Paul’s happy response. He takes the
occasion to return his thanksgiving for the Philippians, to
1 Thessalonians. According to Acts 17, Paul, Silas, and
whom he seems particularly attached (1:3–11). He describes
Timothy founded the church in Thessalonica, Macedonia’s
his circumstances and entertains the possibility of his own
capital. Because of opposition, they soon left. Anxious about
death (1:12–26), offers ethical admonitions (1:27–2:18),
his converts, Paul sent Timothy back to the Thessalonians.
shares news (2:19–3:1), warns against proponents of circum-
When Timothy subsequently returned to Paul with news,
cision (3:2–11), commends himself as an example for emula-
Paul wrote 1 Thessalonians from Corinth (probably only a
tion (3:12–4:1), gives counsel regarding Euodia and Synty-
few months after he left). The letter is full of gratitude for
che (4:2–3), calls for rejoicing in all things—poignant given
how well the Thessalonians, despite suffering, have fared. Al-
his circumstances (4:4–13)—and thanks the Philippians for
though 1 Thessalonians is the earliest extant of Paul’s letters
their gift (4:14–20).
(c. 50 CE), it was written after he had been a Christian for
approximately fifteen years, so it need not reflect an imma-
The tone of chapter 3 differs from the tone of chapters
ture theology.
1 and 2. Common, then, is the proposal that Philippians is
a conflation of two letters, one consisting perhaps of 3:1b–
The first three chapters are mostly personal. 1 Thessalo-
4:20 or 23, the other of 1:1–3:1a (+ 4:21–23). Even more
nians 4:1–12 offers general exhortations. 1 Thessalonians
popular has been the suggestion that Philippians combines
4:13–18 explains that Christians who have died will share in
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BIBLICAL LITERATURE: NEW TESTAMENT
915
Jesus’ return. Evidently Paul had preached an imminent sec-
for instance, and with the behavior of women and widows
ond advent. When more than one Thessalonian Christian
(5:3–16)—as well as with more general moral guidance.
died, there was dismay. Such dismay may well have been ex-
Chapters 1 and 4 counter false teaching. It is most likely that
acerbated by non-Christians who attributed the deaths to su-
an early form of Gnosticism is the target. The author’s oppo-
pernatural vengeance. Paul in any event had not said much
nents occupy themselves with “myths” (1:4), practice some
about the general resurrection, probably because his con-
sort of asceticism (4:3), and possess what the pastor calls a
verts’ ancestors were not Christians. 1 Thessalonians 5:1–11,
false gnosis, or knowledge (6:20). 1 Timothy 6:18 suggests not
with close parallels in Matthew 24 and Mark 13, presents
only a knowledge of 1 Corinthians 9 but also seemingly
the Parousia (Second Coming) as near and sure to come
quotes Luke 10:7 as “scripture,” a circumstance impossible
suddenly.
in Paul’s lifetime.
2 Thessalonians. This letter depicts the eschatological
2 Timothy, which has more claim that 1 Timothy or
judgment (1:5–12) and outlines events on the day of the
Titus to be from someone who knew Paul, purports to be
Lord (2:1–12). Between the eschatological teaching in chap-
composed from a Roman prison (1:16–17), with Paul’s
ters 1 and 2 is an appeal “not to be quickly shaken in mind
death near (4:6–8). 2 Timothy 2:14–3:9 warns against false
or alarmed, either by spirit or by word or by letter, as though
doctrine, including the conviction that the resurrection is
from us, to the effect that the day of the Lord is already here”
past (2:17–18). The exact nature of this realized eschatology
(2:1–2). The nature of this conviction is unclear. Is it a spiri-
is unknown, although it proponents may be Gnostics, who
tualized or fully realized eschatology? Is it belief in a very near
sometimes spoke of a present resurrection (as in the Treatise
end? Is it the conviction that certain events in the eschatolog-
on the Resurrection from Nag Hammadi).
ical scenario, including the punishment of enemies, have al-
Titus, addressed to a Gentile companion of Paul known
ready taken place?
from 2 Corinthians, Galatians, and 2 Timothy, but not Acts,
Unlike 1 Thessalonians, the Pauline authorship of 2
consists primarily of instructions on the appointment of
Thessalonians is controversial. Many are suspicious of the ex-
leaders and exhortations to defend sound doctrine. It largely
tensive overlap between 1 and 2 Thessalonians, which they
replays 1 Timothy. Chapter 1 focuses on elders and bishops
take as a sign of the latter copying the former (compare, for
in the context of “rebellious people, idle talkers and deceiv-
example, 2 Thes. 3:8 with 1 Thes. 2:9). Questions are also
ers, especially those of the circumcision” (1:10). Chapter 2
raised by 1 Thessalonians 3:17 (“This greeting is with my own
offers advice for older men, older women, younger men, and
hand. This is the mark in every letter of mine”), which may
slaves (2:1–10) and concludes with a general summary of
imply a collection of Paul’s letters. Further questions are
Christian behavior. Chapter 3 continues to outline the
raised by the length of the sentences, which are longer than
Christian response to God’s actions in Jesus Christ and then
is Paul’s wont, and by the eschatological scenario in chapter
ends with personal details intended to add verisimilitude to
2, which stands in tension with 1 Thessalonians 4–5 (in 1
the letter (3:12–15).
Thessalonians the day comes like a thief; in 2 Thessalonians
Philemon. Although the brief letter is cryptic about
it follows a well-defined series of events). This last consider-
some things, it seems best to follow the conventional view
ation, however, does not count for much because Paul is else-
that Onesimus, the slave of the Christian Philemon, had run
where inconsistent and because ancient eschatological dis-
away from his master. Onesimus then sought an advocate in
courses often display contradictions.
Paul, who wrote and flattered Philemon in the hope of rec-
If Paul wrote 2 Thessalonians, he wrote it after 1 Thessa-
onciling him to Onesimus upon the latter’s return. But what
lonians, perhaps after several return visits. He was concerned
exactly Paul was asking Philemon to do is unclear, and there
about discouragement brought by persecution and by the
is no way of finding out what did in fact happen. Did Paul
failure of some to continue working for a living. If Paul did
want Onesimus to turn around and come back to him, or
not write 2 Thessalonians, then someone late in the first cen-
did he expect Onesimus to stay with Philemon? Or was he
tury, in a context of persecution, sought in his name to im-
willing to let Philemon decide that? And did Paul expect Phi-
part eschatological instruction and encouragement.
lemon to treat Onesimus differently thereafter, or even to
manumit him? The latter possibility seems doubtful. One
The pastorals. 1 Timothy, 2 Timothy, and Titus, collec-
should not forget that Christians who supported the slave
tively known as the pastoral epistles, address themselves not
trade appealed to Philemon; they observed that Paul no-
to communities but to two leaders that Paul left in charge
where in this or other letters does much to undermine
of churches, Timothy in Ephesus and Titus on Crete. Like
slavery.
the correspondence between Paul and Seneca, the pastorals
Paul wrote Philemon in prison. The parallels in personal
are pseudepigrapha. Someone wrote them in Paul’s name at
matters it shares with Colossians imply that, if the latter is au-
the end of the first or the beginning of the second century.
thentic, the two letters were sent to Colossae at the same time
1 Timothy consists mostly of two sorts of material.
(note Col. 4:9). If Paul wrote from Ephesus, the date would
Chapters 2, 3, 5, and 6 concern themselves with church ad-
be circa 56. If he wrote from Rome, a date in the early 60s
ministration—with the ordering of public worship (2:1–15),
would be required.
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BIBLICAL LITERATURE: NEW TESTAMENT
HEBREWS AND THE CATHOLIC EPISTLES. Following the
unclear. Equally unclear is the sort of Christianity it repre-
Gospels and Paul, the New Testament contains eight addi-
sents.
tional letters. These had a harder time making it into the
Tradition assigns the book to James, Jesus’ brother.
canon. Hebrews comes first because of its mistaken ascription
While one cannot rule out his authorship entirely, it is more
to Paul; it serves as a conclusion to the Pauline collection.
likely that the book is a pseudepigraphon. The good Greek,
The remaining seven letters are traditionally assigned to four
the possible dependence upon 1 Peter, the fact that nothing
authors—James, Peter, John (compare the order of Gal. 2:9),
but the title and opening line of the book link it to James,
and Jude. Unlike the Pauline epistles, the titles identify the
and the work’s long struggle for canonical acceptance all go
authors rather the recipients (e.g., “The Epistle of James”
against the conventional ascription.
versus “To the Romans”). The general character of these let-
ters encouraged the conviction that they address the church
The date, on the theory of pseudonymity, is hard to
universal. From the fourth century on they have collectively
guess. While there are possible contacts with works from the
been known as the “Catholic epistles.”
early second century (1 Clement; Shepherd of Hermas), there
Hebrews. While often in the past attributed to Paul (al-
is no clear knowledge of James until the beginning of the
though not in the West until the fourth century), this rhetor-
third century, when Origen refers to it. There are three papy-
ically polished work, so heavily indebted to Platonism, was
rus scraps of James from the third century. Although maybe
originally anonymous. No contemporary scholar believes
most scholars now date James to the end of the first century,
that Paul wrote it, although at points the author shows a
a later date is possible.
knowledge of Pauline thought. Some have guessed that it was
James displays several anomalous features. One is its re-
written by a member of Paul’s circle, but Origen’s comment
luctance to be explicitly Christian. Jesus is mentioned only
that “only God knows” stands. The book is not, despite the
twice, in 1:1 and 2:1, and the relevant clause in 2:1 has often,
epistolary ending, formally a letter, and the title, “To the He-
because of its grammatical awkwardness, been reckoned an
brews,” cannot be original. The date of composition was
interpolation. The obviously Christian elements are so sparse
probably between 60 and 90 CE. Some have insisted that it
that a few have claimed the text was originally Jewish; Chris-
must come from before the destruction of Jerusalem in 70
tian hands then added the references to Jesus in 1:1 and 2:1.
CE, for the author uses the present tense for activities in the
But this cannot be right. James borrows too heavily from tra-
temple (7:27–28; 8:3–5; etc.). But many rabbinic texts com-
ditions that were specifically Christian for it to be non-
posed long after 70 also speak of the temple as though it were
Christian in origin. The teaching on oaths in 5:12, for in-
still standing. A date before 90 is required by the fact that
stance, clearly reproduces the same tradition that lies behind
1 Clement, probably written in the 90s, quotes from Hebrews.
Matthew 5:34–37, which presumably goes back to Jesus and
The places of writing and destination are unknown (al-
which in any event was handed down through Christian
though Jerusalem and Rome have been common proposals
channels. Chapter 2, moreover, is almost certainly polemic
for the latter).
directed at Paul or people influenced by him: James looks like
Despite the traditional title, the first readers need not
a Christian document.
have been Jews. A Gentile or mixed readership is possible.
Even if James must be Christian, Jesus’ crucifixion is not
The concerns vocalized, such as that its readers are “sluggish”
alluded to. Nor is anything said about his resurrection or ex-
(6:12), or that some Christians are no longer meeting togeth-
altation. The deeds of Jesus, so important for the synoptic
er (10:25), do not allow us to say anything concrete about
evangelists and John, also fail to put in an appearance, and
the recipients or their situation. All that is know of the recipi-
one searches in vain for any remark upon Jesus’ character or
ents is that they had suffered affliction (10:32–34). If the au-
his status as a moral model—a striking omission given the
thor was combating particular opponents, there is no way de-
appeals to other moral models. The tradition of his words
tect who they were.
is alluded to, perhaps often, but the author never says “This
There are three highly structured discourses. Hebrews
comes from Jesus.” James likewise has nothing to say about
1:5–4:16 argues for Jesus Christ’s superiority over angels and
baptism, the Lord’s Supper, the Holy Spirit, or fulfilled
Moses. Hebrews 5:1–10:39 presents Jesus as a great high
prophecy. Martin Luther speculated that James was written
priest whose invisible heavenly realities mirror the priestly
by a Jew who did not know much about Christianity.
duties of Jewish tradition. This section famously develops the
Another striking feature of James is that it is written to
parallels between Jesus and Melchizedek, whose fleeting
“the twelve tribes in the diaspora.” While commentators
presence in the story of Abraham scarcely prepares readers
often equate the twelve tribes with the church, this is not
for what they find here. Hebrews 11:1–13:19 then contains
convincing. Certainly nothing demands a Gentile audience;
calls to faith and moral exhortations.
much suggests a Jewish one. James 2:21 calls Abraham “our
James. James is an enigma. The identity of its author
father” without any hint that the expression has a transferred
is unknown, as are the date and place of composition. The
sense. The readers gather in a “synagogue” (2:2). In 2:19,
book moreover does not develop as an argument but instead
their faith is embodied in the Shema’ (“You believe that God
seems to touch on loosely related topics. Its purpose remains
is one”; see Dt. 6:4). The writer calls God “the Lord Sab-
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aoth” without explanation (5:4). And all the moral exemplars
the opening verse ties the letter to Peter. The work betrays
are from Jewish tradition—Abraham, Rahab, the prophets,
no first-hand knowledge of Jesus. And if one were going to
Job, Elijah. More than this, parts of James do not seem to
write in someone else’s name, one could hardly do better
address believing Christians. James 4:1–10 demands that
than Peter. Other pseudonymous works, such as the Gospel
readers submit themselves to God, resist the devil, cleanse
of Peter and the Apocalypse of Peter, circulated under his
their hands, purify their minds, mourn and weep, and hum-
name.
ble themselves. These individuals are called “adulterers” (4:4)
1 Peter probably appeared not long after Peter’s death.
and “sinners” (4:8). They are full of covetousness (4:2) and
For one thing, the letter was known to Polycarp and Papias
are friends of the world and enemies of God (4:4). They are
in the first half of the second century. For another, the view
even guilty of murder (4:2). James 4:13–5:6 upbraids the rich
of the Roman Empire is less critical than in Revelation, which
who are about to suffer eschatological misery, people who
probably appeared in the last decade of the first century. A
have “condemned and murdered the righteous one, who
date between 70 and 90 CE is likely.
does not resist you” (5:3–6).
2 Peter. Presenting itself as a follow-up to 1 Peter (see
One explanation of James is that it addresses a fictional
3:1), this letter contains three main sections. 2 Peter 1:3–21
audience (the twelve tribes) and that it represents a distinc-
mixes exhortations to holiness with a defense of the author’s
tive sort of Jewish Christianity still trying to make its way
authority. 2 Peter 2:1–22 attacks false teachings with lan-
within the synagogue. James condemns persecutors and
guage that in large part reproduces Jude (but out of anxiety
communicates that Jesus’ followers are not apostates but
omits Jude’s borrowing from extra-canonical material). 2
faithful members of the synagogue who live according to the
Peter 3:1–18 defends the author’s eschatological convictions.
Jewish moral tradition, keep the Torah, and oppose those
2 Peter, despite its claims, is not Peter’s work. As in the
who want to divide faith from works. One might further at-
case of 1 Peter, the good Greek is not that of a Galilean fish-
tempt to relate James to one of the groups Johannine scholar-
erman. Even more importantly, although Peter died in the
ship has detected behind the scenes of John’s gospel—Jews
mid-60s, the author of 2 Peter 3:15–16 knows a collection
who attended synagogue and believed in Jesus but did not
of Paul’s letters, which cannot have been in existence so early.
proselytize. Such crypto-Christians, as they have been called,
It is telling that there is no solid evidence for 2 Peter until
promoted tolerance.
the beginning of the third century, in the work of Origen,
The most controversial part of James has been 2:14–26.
who observes its disputed status; 2 Peter is not widely cited
These verses, which discuss faith and works, are likely aimed
or discussed until the fourth century (when Jerome writes
against the perceived teaching of Paul. Many believe the ar-
that most reject it because its style is inconsistent with 1
gument is misdirected because Paul and James use the word
Peter’s style). A letter known to come from Peter would not
faith differently. For Paul, faith is trust in Jesus Christ. In
have met with such a tepid reception.
James, it is intellectual assent. While the latter may exist
2 Peter may not have come into circulation until the
without good works, the former, so it is claimed, cannot.
middle of the second century. Consistent with such a late
Whatever the theological truth, James may be less a response
date is the problem of the third chapter. 2 Peter 3:4 counters
to the historical Paul than a reaction to a later version of
scoffers who ask, “Where is the promise of his coming? For
Paulinism, which someone perceived as disconnecting ethics
ever since the fathers fell asleep, all things have continued as
from faith.
they were from the beginning of creation.” Such disillusion-
1 Peter. This collection of exhortations and moral and
ment is unlikely to have arisen until the first generation of
religious guidance has no clear outline or developed argu-
Christians had died. Also harmonizing with a second-
ment. It addresses itself to “the exiles of the Dispersion in
century date is the real possibility that 2 Peter opposes Gnos-
Pontus, Galatia, Cappadocia, Asia, and Bithynia, chosen and
tics. The author’s adversaries spin “clever myths” (1:16) and
destined by God the Father and sanctified by the Spirit for
reject traditional eschatology (3:3–10). They interpret the
obedience to Jesus Christ” (1:1–2). As the readers are Gen-
Jewish Bible in unacceptable ways (1:21), and they find sup-
tiles (1:14, 18, 21; 2:10, 25; 4:3), “the Dispersion” must
port for their theology in their own interpretation of Paul
stand for the church in exile from the pagan world in Asia
(7:15–18).
Minor. The letter’s chief aim is to offer encouragement to
The three Johannine epistles. The titles to 1, 2, and
Christians who are suffering social ostracism for their faith.
3 John assign them to the same person, traditionally identi-
The work attributes itself to Peter and claims to come
fied as John the disciple of Jesus. Many early Christian writ-
from Rome. (In 1 Pt. 5:13, as in Rev., Babylon represents
ers, however, including Origen, Eusebius, and Jerome,
Rome). If this is the truth, it must have been penned before
thought otherwise. They believed that 2 and 3 John, which
Peter’s death in the mid-60s. But Petrine authorship should
attribute themselves to “the Presbyter,” had a different au-
be doubted. The Greek is better than one would expect from
thor than 1 John. Some moderns have also thought this. A
a Galilean fisherman. If one responds that Sylvanus (see 1
few have even thought of three different authors.
Pt. 5:12) was commissioned to write it and is responsible for
Whether or not 1 John, which is not formally a letter,
the language, nothing apart from the title and the claim of
ever circulated apart from the other two, which formally are
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BIBLICAL LITERATURE: NEW TESTAMENT
letters, its author never uses a name or title. But the tradition
Presbyter or his opponents? Is he a bishop? Whatever the an-
is likely correct to assign all three letters to one individual.
swers, 3 John indicates that the problems reflected in 1 and
The common style and vocabulary are striking. The parallels
2 John remained unresolved.
are such that the choice is either a common author or deliber-
ate imitation.
Jude. Containing only twenty-five verses, Jude appears
to be a sermon in letter form. Although it opens with a salu-
Scholars do not often assign these letters to the apostle
tation (vv. 1–2), it ends not with greetings but with a doxolo-
John. The books themselves do not name their author, and
gy, perhaps designed for public reading (vv. 24–25). In be-
their content does not establish apostolic authorship. As for
tween is an exposé of false teachers. These teachers are said
their relationship to John’s gospel, it is possible that the per-
to be “ungodly” (v. 4), to sponsor licentiousness (v. 4), to
son who wrote 1, 2, and 3 John was also involved in the pub-
reject authority and slander angels (v. 8), to “feast without
lication of the gospel. There are certainly intriguing thematic
fear” (v. 12), and to grumble, boast, and flatter (v. 16). From
overlaps, and the opening of 1 John recalls the opening of
the author’s point of view, the teachers set up divisions and
the gospel (see 1:1–3). Both texts also speak about walking
are worldly (v. 19). In condemning these people, the author
in darkness (1 Jn. 1:6–7; 2:10–11; Jn. 8:12; etc.), use the ex-
manages, in a very short space, to refer to a host of tradi-
pression “little children” (1 Jn. 2:1, 12, etc.; Jn. 13:33), refer
tions—the exodus from Egypt (v. 5), the sin of the Sons of
to a new commandment (1 Jn. 1:2–8; Jn. 13:34), teach that
God in Genesis 6 (v. 6), Sodom and Gomorrah (v. 7; see Gn.
the world, ignorant of God, hates the followers of Jesus (1
19), a tale about the burial of Moses (vv. 8–9, probably from
Jn. 3:1, 13; Jn. 7:7; etc.), and associate water, blood, and
the lost ending of The Testament of Moses), Cain’s murder
Spirit (1 Jn. 5:6; Jn. 19:30, 34).
of Abel (v. 11; see Gn. 4:9), the story of Balaam’s ass (v. 11;
Yet there are also differences. For example, John uses the
see Nm. 22–24), Korah’s rebellion (v. 11; see Nm. 16), a
inferential particle oun ninety-four times; 1 John never uses
prophecy of Enoch (vv. 14–15; the author here quotes the
it. And if, in John, Jesus is the logos, or “word,” in 1 John,
extra-canonical 1 Enoch 1:9), and a prophecy of “the apos-
logos is rather the author’s message. So the many similarities
tles”: “In the last time there will be scoffers, indulging their
exist alongside significant differences. Perhaps there was
own ungodly lusts” (v. 18). In each case the author draws
some sort of group or school, the members of which shared
analogies between the past and his own present. Thus his op-
an insider language. One common view is that the publica-
ponents are like Cain, like the Sons of God who erred, like
tion of the Gospel of John helped precipitate a crisis, which
those who rebelled in the desert, and so on.
the epistles, from another author or not, reflect. Maybe the
epistles are something like a late epilogue to the gospel, an
The identity of Jude’s opponents is unknown. Sugges-
attempt at correct commentary.
tions are numerous. Maybe they were Gnostics, or maybe Es-
senes, or maybe Pauline antinomians, or maybe Jewish anti-
Whatever the relationship to John’s gospel, the epistles
nomians. Jude, assuming that its recipients already know
reflect a crisis. Some people had left the community (1 Jn.
who these people are, does not introduce them. It rather traf-
2:18–19), denying the real humanity of Jesus (see 1 Jn.
fics in polemic, which is uninterested in objective descrip-
4:1–3; 2 Jn. 7). If John’s gospel intended to correct an
emerging docetism, it did not convert everyone. Perhaps
tion. Yet giving caution its due, and on the assumption that
some readers of John, observing the high Christology and the
the letter has particular people in view, they may well have
“I am” statements, did not reckon Jesus to be a real human
been antinomians who engaged in sexual activities disturbing
being. The author of 1 John instead emphasized that Jesus
to the author.
came in the flesh (1:1; 4:2). It may also be that some readers
The letter claims to be from Jude, “the brother of
of John came away with the notion that it is possible to be
James.” Although the New Testament knows several people
without sin (see Jn. 8:31ff.), or that eschatology is wholly re-
by these names, tradition has usually thought of Jude, the
alized in the present, and that 1 John responded by recogniz-
brother of James and Jesus (Mt. 13:55; Mk. 6:3). In favor
ing the reality of sin (1:8, 10) and forwarding a literal, future
of this is Jude’s seeming obscurity, the apparent use of the
eschatology (3:2–3).
Hebrew as opposed to the Greek Bible in verse 12 (this
The reason 1 John talks so much about love is that its
agrees with the Hebrew of Prv. 25:14, not the Greek), and
goal is reconciliation. To judge by 2 and 3 John, this reconcil-
the lack of any firm evidence for a late date for the letter. Yet
iation was not achieved. 2 John shows us that some people
one cannot rule out the use of a pseudonym. The appeal to
left the community, and 3 John shows us that there were rival
“remember the predictions of the apostles of our Lord Jesus
communities. 2 John counsels avoiding contact with the
Christ” in verse 17 may be a retrospective glance from a later
group that has left (vv. 10–11). The situation of 3 John is
age. Also, it is not known when Jude the brother of Jesus
harder to pin down. It is addressed to named individuals and
died, and so it cannot be determined how early the composi-
encourages hospitality for certain missionaries. But the iden-
tion would have to be if authentic. Perhaps, furthermore,
tities of Demetrius in verse 12 and Diotrephes in verses 9–10
Jude was an important figure in some sectors of Jewish
remain unclear. Is Diotrephes a theological opponent of the
Christianity, and in that context a pseudepigraphon in his
Presbyter? Is he an independent figure not on the side of the
name made sense.
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The Revelation to John. The book is from a certain
books are filled with strange beasts, with number symbolism,
John (1:1). Tradition, despite the stylistic differences be-
with descriptions of the end of the world (thought of as
tween Revelation and John’s gospel, which prohibit common
near), with accounts of heavenly journeys, with pictures of
authorship, identified him with John the son of Zebedee,
God’s throne, and with prophecies of a shattered planet. 1
one of the twelve disciples (so thought Justin Martyr, for in-
Enoch, 2 Enoch, 4 Ezra, 2 Baruch, and the Apocalypse of Abra-
stance, in the middle of the second century). The Apoca-
ham are examples. Revelation should be interpreted in the
lypse, however, does not require this identification, and in-
same way that these other books are interpreted. Moreover,
ternal evidence to support it is lacking. John was a popular
anyone unfamiliar with the genre will be unable to under-
name in the first century, and the New Testament knows
stand the Apocalypse correctly, and it makes no more sense
several Johns.
to plot the future of the world by reading Revelation than it
does by reading its literary cousins.
Church tradition and most modern historians date the
book to the time of the Roman emperor Domitian, circa 90
EARLY NONCANONICAL LITERATURE. For convenience, early
to 95 CE. Some have instead argued for a date during Nero’s
Christian works outside the canon may be divided into three
reign, sometime shortly before 70 CE. Both periods saw
groups.
Christians persecuted, and Revelation was seemingly written
New Testament apocrypha. This is a large, ill-defined
in a time of suffering. According to 1:9, the seer is in exile,
collection of texts, many of which mimic New Testament
on the island of Patmos off the coast of Asia Minor. Revela-
models. They come from different places, different times,
tion 2:13 refers to the recent execution of a certain Antipas.
and different authors. Most of them date from the second
Revelation 3:10 speaks of a soon-approaching time of trou-
to fourth centuries. The category is purely retrospective. It
ble, and 6:10 has dead saints crying out to God to avenge
groups texts that, although in some times and places reck-
their blood.
oned authentic or authoritative, failed to win their way into
Until modern historical criticism, there were basically
the canon. But their status before the closing of the canon
four different ways of interpreting the Apocalypse. (1) On
was often unclear. That some of them exist in several lan-
the “futurist” reading, Revelation is primarily a divinely in-
guages is testament to their popularity. Among them are pa-
spired prophecy about the end of the world and the events
pyrus fragments of unknown gospels, gospels used by various
preceding that end. With the exception of the first few chap-
groups of Jewish Christians (e.g., the Gospel of the Hebrews,
ters—especially the letters to the seven churches in chapters
the Gospel of the Ebionites, the Gospel of the Nazoraeans), and
2 and 3—the entire work is about the latter days and the sec-
infancy gospels (e.g., the Protevangelium of James, the Infancy
ond coming of Christ. (2) According to the “historicist”
Story of Thomas). Christians never ceased to create new sto-
view, Revelation is an outline of church or human history.
ries about Jesus and the sayings of Jesus. Although most of
It begins in the first century and maps out in chronological
the material in the apocryphal gospels is post-first century
fashion the course of events until the second advent. (3) The
and so less helpful than the canonical Gospels for recon-
“preterist” view holds that John was completely preoccupied
structing the historical Jesus, contemporary scholars are more
with the events of his own day, as opposed to the future con-
inclined than their predecessors to see early traditions inde-
summation. (4) A few, taking an “idealist” view, have tried
pendent of the canon in some of the extra-canonical sources.
to divorce Revelation from history. For them, the book is not
There are also apocryphal letters (e.g., the Epistle of Paul
about the course of history or the end of history but theologi-
to the Laodiceans and the Epistle of Titus, both parasitic upon
cal principles or ideas. In other words, it is timeless. Its sym-
Paul’s correspondence) and apocryphal acts (e.g., the Acts of
bols refer not to events in the everyday world but to the eter-
John, the Acts of Peter, the Acts of Paul). Some of the latter
nal order.
appear to have been particularly popular. Equally well
Each approach is deficient. The futurist makes the book
known were some apocryphal apocalypses, especially the
irrelevant and unintelligible to its first readers. The historicist
Apocalypse of Peter and the Apocalypse of Paul—both canoni-
is wrong because the Apocalypse belongs to a recognized lit-
cal still in the sixth century in some places—which contrib-
erary genre, and the other members of this genre cannot bear
uted so much to popular ideas about the afterlife.
a historicist reading. The preterist view is untenable because
The Nag Hammadi library. In 1945, thirteen Coptic
Revelation is without question about the latter days. As for
papyrus codices from the fourth century CE were discovered
the idealist view, it is perfectly valid so long as the interpreter
near Nag Hammadi, Egypt. Presumably from an old Chris-
does not pretend to be recovering the intention of the au-
tian monastery, they contain fifty-two tractates, only four-
thor, which was something other than the communication
teen of which were already known (including a fragment of
of large theological ideas.
Plato’s Republic). The majority are Gnostic texts attributed
Revelation is an enigma to contemporary readers unfa-
to important individuals known from the New Testament.
miliar with the literary category to which it belongs. The an-
Included are apocryphal gospels (e.g., the Gospel of Truth and
cients, however, would have recognized it as an apocalypse,
the Gospel of the Egyptians), acts (e.g., the Acts of Peter and
a well-known literary genre in ancient Judaism and early
the Twelve Apostles and the Acts of Peter), apocalypses (e.g.,
Christianity. More than a few old Jewish and Christians
the Apocalypse of Paul and the First Apocalypse of James), and
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BIBLICAL LITERATURE: NEW TESTAMENT
several writings that purport to pass on secret revelations of
The pastoral epistles were also not in the other early col-
the risen Jesus (e.g., the Apocryphon of James and the
lections, which usually took one of two forms. One had this
Apocryphon of John).
order: 1 and 2 Corinthians, Romans, Ephesians, 1 and 2 Thes-
salonians, Galatians, Philippians, Colossians, and Philemon.
The most interesting and controversial document is the
The other had: Romans, 1 and 2 Corinthians, Ephesians, Ga-
Gospel of Thomas. It contains 114 sayings of Jesus, some of
latians, Philippians, Colossians, 1 and 2 Thessalonians, and
them already known from the synoptics. As Origen rejected
Philemon. Both collections ordered the texts according to de-
its authority, and as there exist Greek fragments from not
creasing length, the difference being that the first counts
long after 200 CE, a date no later than the second century
both 1 and 2 Corinthians and 1 and 2 Thessalonians as single
is demanded. Some who fail to find in Thomas any knowl-
books.
edge of the synoptics, but rather take it to be independent
of the canon, date Thomas as early as the first century.
It is not know who first published a collection of Paul’s
letters, nor is anything known about subsequent revisers.
The apostolic fathers. This designation is a modern
Perhaps the process was a haphazard affair, with no guiding
one and includes over a dozen writings from the first and sec-
hand, no definitive moment. Perhaps smaller collections
ond or third centuries: 1 Clement, a letter written by the bish-
grew into larger collections over time. Yet it could also be
op of Rome at the end of the first century; 2 Clement, a hom-
that a devoted follower of Paul, sometime after his death, col-
ily from the second century by an unknown author; seven
lected several of his epistles and published them as a col-
epistles from Ignatius, a bishop of Antioch martyred before
lection.
117 CE; the Epistle of Polycarp to the Philippians, written by
a bishop of Smyrna martyred in 155 CE; the Didache, an
Little is also known regarding the emergence of the
anonymous, influential church order perhaps written in the
fourfold Gospels. Numerous gospels circulated in the early
late first century; the Epistle of Barnabas, an anonymous sec-
church, and there is probably no explanation as to why most
ond-century treatise featuring allegorical exegesis of the Jew-
churches ended up with the four they did. One can say no
ish Bible; the Shepherd of Hermas, a second-century apoca-
more than that the collection reflects the preferred liturgical
lypse; the Martyrdom of Polycarp, the earliest account of
practice of many churches at the end of the second century.
Christian martyrdom; and the Epistle to Diognetus, an apolo-
Initially, various churches must have used just one gospel.
gy from the third century or the late second century. Most
This seems confirmed by the early papyri P52 and P66, which
of these books were received as authoritative writings by
contain only John.
some early Christians, while others who did not put them
Early in the second century, things changed. Papias
on the same level as the Gospels and Paul nonetheless found
knew both Mark and Matthew as authoritative texts. A bit
them edifying and worth reading in churches.
later, Justin Martyr knew Matthew and Luke and probably
THE CANON OF THE NEW TESTAMENT. The Greek word
Mark. By the last quarter of the second century, Matthew,
canon means first “reed” and then “measuring stick” or
Mark, Luke, and John were together liturgical texts in many
“norm.” The church has used the term to refer to its authori-
places.
tative writings. Although Christians consider the New Testa-
The latter half of the second century was also the period
ment to be the norm of their faith, it was not precisely de-
during which many Christians began to think of the Gospels
fined until the fourth century.
and Paul as together constituting an authoritative corpus,
The first step toward the later canon probably occurred
along with the Old Testament and a few other Christian
during the last quarter of the first century, when someone
writings. Acts seems to have been universally accepted. But
collected letters attributed to Paul. In the apostle’s own life-
it seems impossible to generalize about Hebrews, James, 1 and
time, his correspondence, which typically addresses specific
2 Peter, 1, 2, and 3 John, Jude, and Revelation, except that
problems of specific communities, probably did not circulate
their status was uncertain.
widely. Some writers in the first half of the second century,
The earliest discussion of a collection of New Testament
however, must have known collections. Clement of Rome
books beyond the four Gospels appears in the so-called
(c. 96), Ignatius (c. 110), and Polycarp (d. 155) all quote
Muratorian canon. Although extant only in a seventh-
from or allude to several of Paul’s epistles. The extent of the
century Latin manuscript, it was (despite some recent de-
collections they knew is unclear, but each knew at least sever-
bate) originally composed in Rome in the late second or early
al letters.
third century. The beginning, although lost, clearly men-
In the middle of the second century, the controversial
tioned Matthew and Mark. The author, in discussing what
Roman theologian Marcion used a collection of Paul’s epis-
books the churches read, listed the following: Luke (cited as
tles with this order: Galatians, 1 and 2 Corinthians, Romans,
“the third book of the Gospel”), John, 1 and 2 Corinthians,
1 and 2 Thessalonians, Ephesians (which Marcion knew as
Galatians, Romans, Ephesians, Philippians, Colossians, 1 and
“To the Laodiceans”), Colossians, Philippians, and Phile-
2 Thessalonians, Philemon, Titus, 1 and 2 Timothy, Jude, Rev-
mon. The pastoral epistles (1 and 2 Timothy and Titus) are
elation, two epistles of John (one of which must be 1 John),
missing.
the Apocalypse of Peter (which the author says some do not
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BIBLICAL LITERATURE: NEW TESTAMENT
921
accept), and the Shepherd of Hermas (which the author re-
While unintentional errors fill the manuscripts, many
gards as inspired but not apostolic). Also mentioned are let-
variants arose from intentional alterations. There are stylistic
ters to the Laodiceans and the Alexandrians, which are dis-
changes, due to a scribe seeking to improve the Greek. There
missed as forgeries.
are doctrinal changes, due to someone wanting to make a
theological text more acceptable. Some who believed in
The Muratorian canon is typical of what one finds from
Mary’s perpetual virginity omitted part of Matthew 1:25 so
the end of the second century on, namely, recognition of the
that it no longer implies the resumption of conjugal rela-
four Gospels, recognition of Paul’s epistles, recognition of
tions. Someone else added a testimony to the Trinity in 1
several additional books, uncertainty and disagreement over
John 5:7: “There are three that testify in heaven, the Father,
others. Many did not know or questioned the authority of
the Word, and the Holy Spirit, and these three are one.”
Hebrews, James, 2 Peter, 2 and 3 John, Jude, and Revelation.
There are liturgical changes, which make a text more suitable
Only in the fourth century do statements that match today’s
for public reading. Thus “amen” concludes each of the four
canon appear.
Gospels in some witnesses, and there are doxologies added
In discussing the content of the canon, theologians
to the Lord’s Prayer in Matthew 6:13, which otherwise ends
often discussed authorship, date, doctrine, and church tradi-
with “but deliver us from evil.” There are changes of clarifica-
tion. The latter two were the decisive factors. Many wanted
tion, such as the addition to Matthew 1:22, which turns
a collection that did not support the doctrines of Marcion
“This all happened in order to fulfill the word of the Lord
or the Gnostics or Montanists. No less important was the ac-
through the prophet, saying. . .” into “This all happened in
tual practice of the churches. Later theologians for the most
order to fulfill the word of the Lord through the prophet Isa-
part justified after the fact what most communities, for rea-
iah, saying. . . .” There are also changes due to correction.
sons that escape easy generalization, had long been reading.
Thus the erroneous reference in Mark 2:26 to Abiathar is
THE TEXT OF THE NEW TESTAMENT AND TEXTUAL CRITI-
dropped in some manuscripts.
CISM. None of the original Greek New Testament survives.
Although an earlier reading is better than a later one,
The documents presumably wore out. The earliest extant
all other things being equal, typically other things are not
text is a tiny fragment of John’s gospel known as P52. Dated
equal. Internal evidence must accordingly be considered. A
on the basis of its handwriting to around 125 CE, it contains
reading that fits an author’s style and vocabulary is preferable
parts of John 18. The next witnesses are all fragmentary papy-
to one that does not. It also seems reasonable to prefer hard
ri from Egypt that date to around 200.
readings because scribes tended to iron out difficulties. “The
The oldest copies of the New Testament as a whole are
only begotten God” in John 1:18 could supply an illustration
from the fourth century, the two most famous being Codex
of this: the phrase is so strange that one can understand it
Sinaiticus and Codex Vaticanus (although the latter lacks He-
being altered.
brews, some of Paul’s letters, and Revelation). These are all
The chief criterion, however, is this: the best reading ex-
on parchment (the skins of sheep and goats). Their good
plains the other readings. When faced with variants, one
quality reflects the prosperity of the fourth-century church,
wants to tell a story that explains how, beginning with one
which could afford better copies of its scriptures after the le-
text, the other texts came into being. A simple example of
galization of Christianity. Before this period, Christians had
this is Luke 11:2, which introduces the Lord’s Prayer. The
often suffered persecution, and many of their books were
address in some witnesses is simply “Father.” In others it is
burned.
“Our Father who art in heaven.” It is easy to see why some-
No two extant manuscripts of the New Testament are
one familiar with Matthew’s version of the Lord’s Prayer,
exactly alike. So scholars have to reconstruct likely originals.
which has dominated liturgical usage, assimilated Luke to
Current editions of the Greek New Testaments do not repro-
Matthew by expanding the shorter address into the longer.
duce any ancient manuscript but are rather the product of
Again, while some witnesses to Matthew 5:22 forbid anger
a committee’s vote.
unconditionally, others forbid anger that is “without a
cause.” As the church father Cassian already observed, some-
There are two types of variants. First are unintentional
one added the qualification. It relaxes an otherwise impossi-
changes due to errors of sight or hearing. These include mis-
ble imperative and brings Jesus into line with scriptures in
reading a single letter (e.g., some manuscripts of Luke 6:43
which God and Jesus get angry.
have karpos, “fruit,” instead of karphos, “speck”); homoio-
teleuton (a scribe passing from one occurrence of a series of
Most of the variants in the textual tradition are insignifi-
letters to another—as when some witnesses move from the
cant and do not change the sense. Further, even without the
first occurrence of “in the kingdom of heaven” in Matthew
original Greek texts, it is presumably possible to reconstruct
5:19 to the second occurrence, omitting the words in be-
something close to what circulated in the first century. There
tween); simple reversal of two words; hearing one word in-
are, however, some cases in which the stakes are theologically
stead of another; dittography (writing the same word twice);
significant. One is the ending of the Gospel of Mark, already
or its opposite, haplography (writing a word once when it
discussed. Another is John 7:53–8:11, the story of the
should be written twice).
woman caught in adultery. This has been a liturgical text 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
922
BIBLICAL LITERATURE: NEW TESTAMENT
centuries, and it is in all contemporary translations of John
Old Latin. This refers not to a single translation but to
(although it is typically set apart in some way). But it is more
a variety of Latin translations made prior to Jerome’s Vulgate
than suspect. Many manuscripts, including most of the older
in the late fourth century. Although ecclesiastical tradition
ones, omit it. Others mark the passage with asterisks. It is
is silent on the subject, it seems likely that some Latin trans-
also missing from many Latin texts and some of the other
lations were made in second-century North Africa, others in
versions and does not appear to have been known to a num-
third-century Rome. No complete copy of the New Testa-
ber of the Church Fathers. The earliest Greek commentator
ment in Old Latin exists.
to write upon it lived in the eleventh century, and he declares
The Vulgate. In 382, Pope Damasus commissioned Je-
that it is not found in the most accurate copies. Some manu-
rome to standardize the Latin text. Jerome’s version eventu-
scripts put John 7:53–8:11 after Luke 21, others after John
ally replaced the Old Latin versions, thus earning its name,
21. Augustine of Hippo argued that someone removed the
which means “popular” or “common.” It became the liturgi-
text because Jesus’ treatment of adultery seemed overly gen-
cal text of the Roman Catholic Church and stamped all sub-
erous. Yet when one considers that the passage contains
sequent Christian language in the West.
words and phrases not typical of John, the conclusion that
it is not original is inevitable. Where it came from is not
Gothic. Ulfilas, a missionary to the Goths along the
known. Apart from whether it contains a historical memory,
lower Danube, translated the Bible into Gothic in the last
the text is nonetheless a favorite of many Christians, and
half of the fourth century. Ulfilas created the Gothic alpha-
knowledge of its secondary nature does not seem likely to
bet for this purpose. As the Ostrogothic kingdom fell in the
erase its canonical status.
sixth century, and as the Gothic language died not long
ANCIENT VERSIONS AND MODERN TRANSLATIONS. Al-
thereafter, few manuscripts of the Gothic Bible exist.
though Jesus spoke Aramaic, all of the New Testament docu-
The New Testament, or portions of it, have at this point
ments were composed in Greek. Beginning in the second
in history been translated into over two thousand languages,
century, the spread of Christianity required translating the
and for many modern languages there are several contempo-
Greek into other languages. The resultant versions are im-
rary translations. In the English-speaking world, there is no
portant not only for doing textual criticism but also because
lack of sound translations. Unfortunately, new versions con-
they help show us what text types were dominant in what
tinue to appear not because of new discoveries, but mostly
regions. Eastern translations include:
for marketing reasons.
Syriac. In the latter part of the second century, Tatian,
a native of Mesopotamia who studied in Rome, produced the
SEE ALSO Apostles; Biblical Exegesis, article on Christian
Diatessaron, a harmony of the canonical Gospels. Containing
Views; Canon; Gospel; Marcionism; Nag Hammadi.
fifty-five chapters, it was designed for liturgical use. Although
popular for centuries (and translated into Arabic, Latin, Per-
BIBLIOGRAPHY
sian, and other languages), it did not entirely displace the
An introduction that presents the conclusions of contemporary
four Gospels, which also circulated in Syriac (the so-called
scholarship is Raymond E. Brown, An Introduction to the
Old Syriac). In the fifth century a Syriac version of the New
New Testament (New York, 1997). Dated but more detailed
Testament, lacking only 2 Peter, 2 and 3 John, Jude, and Rev-
is Werner Georg Kümmel, Introduction to the New Testa-
elation, was published. This, known as the Peshitta, was re-
ment, translated by Howard Clark Kee, rev. ed. (Nashville,
1975). Comparison of Helmut Koester, Introduction to the
vised in the sixth and seventh centuries, when the missing
New Testament, 2 vols., 2d rev. ed. (New York and Berlin,
five books were added.
1995, 2000), with Luke Timothy Johnson and Todd C.
Coptic. Bohairic and Sahidic were the two chief dialects
Penner, The Writings of the New Testament: An Interpreta-
of Coptic, the last stage of the Egyptian language. The New
tion, rev. ed. (Minneapolis, 2003), shows the distances that
Testament was translated into Sahidic no later than the early
often separates scholars. As a way of determining how much
third century, and into Bohairic (still the language of Egyp-
really is and is not new in contemporary work, it is instruc-
tive to read some of the older introductions, the best of
tian Christians today) a bit later.
which is James Moffatt, An Introduction to the Literature of
Armenian. Although Christianity arrived in Armenia in
the New Testament, 3d ed. (Edinburgh, 1918). For interest-
the third century, it appears that a translation into Armenian
ing introductions to the Gospels in particular see Helmut
(perhaps from the Syriac) was not made until the fifth centu-
Koester, Ancient Christian Gospels: Their History and Devel-
ry. Included in the Armenian canon are a third letter of Paul
opment (Philadelphia and London, 1990), and E. P. Sanders
to the Corinthians and a letter supposedly written by the Co-
and Margaret Davies, Studying the Synoptic Gospels (London
and Philadelphia, 1989).
rinthians to Paul.
Collections of extra-canonical books include J. K. Elliott, ed., The
There were also translations into Georgian (fifth centu-
Apocryphal New Testament: A Collection of Apocryphal Chris-
ry), Ethiopic (maybe as early as the fourth century), Arabic
tian Literature in an English Translation (Oxford, 1993);
(eighth century?), and Persian (fourth or fifth century).
Wilhelm Schneemelcher, ed., New Testament Apocrypha, 2
Among the more important Western translations are the fol-
vols., English translation edited by R. McL. Wilson (Louis-
lowing:
ville, Ky., 1991); Kirsopp Lake, The Apostolic Fathers, 2 vols.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIBLICAL TEMPLE
923
(London and Cambridge, Mass., 1912); and James Robin-
BIBLICAL TEMPLE. [This entry is a discussion of the
son, ed., The Nag Hammadi Library in English (New York,
history, activities, and structure of the biblical Temple.]
1977).
The Hebrew Bible records various temples dedicated to
On the canon see Harry Y. Gamble, The New Testament Canon:
Its Making and Meaning (Philadelphia, 1985), and Bruce M.
God throughout ancient Israel. Recent archaeological dis-
Metzger, The Canon of the New Testament: Its Origin, Devel-
coveries generally have corroborated the record, while at the
opment, and Significance (Oxford, 1987).
same time raising new questions about the character, func-
tions, and locations of temples of the biblical period. Fore-
An excellent introduction to textual criticism is Kurt Aland and
Barbara Aland, The Text of the New Testament: An Introduc-
most among these temples were the First and Second Tem-
tion to the Critical Editions and to the Theory and Practice of
ples built in Jerusalem.
Modern Textual Criticism, translated by Erroll F. Rhodes, 2d
HISTORY AND DESIGN. The First Temple was built between
ed. (Leiden and Grand Rapids, Mich., 1989). Also useful is
960 and 950 BCE during the reign of Solomon; it was de-
Bruce M. Metzger, The Text of the New Testament: Its Trans-
stroyed in 587/6 with the Babylonian conquest of Judah.
mission, Corruption, and Restoration, 3d ed. (New York,
The Second Temple was built on the site of the First in 516,
1992). On the nature of ancient Christian books and the
and was destroyed by the Romans in 70 CE. However, both
subject of literacy, Harry Y. Gamble’s Books and Readers in
Temples underwent periodic renovations, expansion, and
the Early Church: A History of Early Christian Texts (New
Haven and London, 1995) is important.
even restructuring, so that in describing temples we are
speaking of an ongoing process, rather than of single events.
The most helpful introduction to the various ancient versions is
Furthermore, the term Temple is ambiguous since it may des-
the authoritative Bruce M. Metzger, The Early Versions of the
New Testament: Their Origin, Transmission, and Limitations
ignate either the building specifically, the focus of cult activi-
(Oxford, 1977). For later translations and for the whole his-
ty, or the entire complex of buildings, gates, and walls that
tory of the Bible in the West, the three-volume Cambridge
together constitute the institution. For the purposes of this
History of the Bible (Cambridge, U.K.) is indispensable: P. R.
article, Temple refers to the building, Temple complex to the
Ackroyd and C. F. Evans, eds., From the Beginnings to Jerome
institution.
(1970); G. W. H. Lampe, ed., The West from the Fathers to
the Reformation (1969); S. L. Greenslade, ed., The West from
Most of the physical changes that the two Temples un-
the Reformation to the Present Day (1963).
derwent at various times came in response to corresponding
changes in the urban environment that were brought about,
For various contemporary approaches to the New Testament see
in turn, by changing political circumstances. Increased popu-
A. K. M. Adam, What Is Postmodern Biblical Criticism? (Min-
neapolis, 1995); John H. Elliott, What Is Social-Scientific
lation density and the fluctuating political status of Jerusalem
Criticism? (Minneapolis, 1993); John H. Hayes, ed., The
stimulated a tendency to protect, even barricade, the Tem-
Dictionary of Biblical Interpretation, 2 vols. (Nashville,
ples against the outside. To a degree, and according to condi-
1999); George A. Kennedy, New Testament Interpretation
tions, such efforts may have been vital to defense. More con-
through Rhetorical Criticism (Chapel Hill, N.C., 1984); Ste-
sistently, however, they expressed specific religious attitudes:
ven L. McKenzie and Stephen R. Haynes, eds., To Each Its
the Temple and cult were to be shut off from the sounds and
Own Meaning: An Introduction to Biblical Criticisms and
movements of the world around.
Their Application, 2d ed. (Louisville, Ky., 1999); Stephen D.
Moore, Poststructuralism and the New Testament: Derrida
Temples in antiquity generally were intended to be
and Foucault at the Foot of the Cross (Minneapolis, 1994);
prominent, to stand out in relation to the environment.
Norman Perrin, What Is Redaction Criticism? (Philadelphia,
They were often located on the summits of hills, and if con-
1969); David Rutledge, Reading Marginally: Feminism, De-
struction intensified in the area either the temple was elevat-
construction and the Bible (Leiden, 1996); Elizabeth Schlüsser
ed, or the courtyards and buildings in the vicinity were
Fiorenza, Bread Not Stone: The Challenge of Feminist Biblical
downgraded.
Interpretation, rev. ed. (Boston, 1995) and But She Said:
Feminist Practices of Biblical Interpretation (Boston, 1992);
Solomon’s Temple (The First Temple). The Temple
and Fernando F. Segovia and Mary Ann Tolbert, eds., Read-
of Solomon gained preeminence as a result of political and
ing from this Place, 2 vols. (Minneapolis, 1995).
religious movements, most notably the conquest of the
The two standard histories of critical New Testament scholarship
northern kingdom of Israel by the Assyrians, and the drive,
are Werner Georg Kümmel, The New Testament: The History
for both religious and political causes, to eliminate local and
of the Investigation of Its Problems, translated by S. McLean
regional temples. David, founder of the united Israelite king-
Gilmour and Howard C. Kee (Nashville, 1972), and Ste-
dom, had made Jerusalem (more precisely, the City of David
phen Neill and Thomas Wright, The Interpretation of the
on Mount Zion) his capital after conquering it around 1000
New Testament 1861–1986, 2d ed. (Oxford, 1988).
BCE; he confirmed royal sponsorship of the cult of the Ark
DALE C. ALLISON, JR. (2005)
of the Covenant by bringing the Ark to the city, while at the
same time sanctioning the city as his royal seat (2 Sm. 6–7).
The best functional definition of the Temple complex
BIBLICAL RELIGION SEE ISRAELITE
that eventually arose on Mount Zion is preserved in Amos
RELIGION
7:13, which originally applied to Bethel, not Jerusalem. Be-
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924
BIBLICAL TEMPLE
thel was the most important cult center of the northern king-
was used for storing consecrated materials and for priestly
dom in the eighth century, and the priest of Bethel admon-
preparations. The structure reached halfway up the Temple’s
ished Amos not to speak against the king at Bethel: “Don’t
walls, so that the great hall’s windows on the north and south
ever prophesy again at Bethel; for it is a king’s sanctuary and
walls were not blocked.
a royal domain.” Indeed, the Temple was initially only one
The Temple was surrounded by an enclosed courtyard
component of a royal acropolis built on the northern summit
(h:atser), in the center of which, facing the entrance to the
of Mount Zion.
Temple, stood the altar for burnt offerings. The Temple had
As described in 1 Kings 6–8, Solomon’s Temple was an
three gates, on the east, north, and south. Upon entering to
oblong, stone structure, reinforced by cedar beams. The inte-
the right and again in front of the Temple was a huge bronze
rior was divided by a wooden partition into two sections: the
reservoir, the yam (“sea”), and ten mobile basins—all orna-
heikhal (great hall), encountered upon entering the building
mented with beasts of burden, as if to indicate that these ani-
through swinging wooden doors, followed by the devir
mals carried the sea and the basins.
(“shrine”), the holiest section of the Temple, sometimes
As described in 1 Kings, the Temple was more exposed
called the Holy of Holies. The shrine was raised higher than
initially than in later periods. A comparison of Solomon’s
the floor of the great hall, and was set upon a huge rock,
Temple complex with the visionary descriptions of the Tem-
known later in the Jewish tradition as even ha-shetiyyah (“the
ple complex in Ezekiel 40–48 shows how the process of insu-
foundation stone”) and in Arabic as al-sak˘hrah (the “rock”),
lating the Temple from the outside world had proceeded
over which the Dome of the Rock was later built.
from the tenth century to the early sixth century, prior to the
There were no interior columns, for the roof rested on
Temple’s destruction in 587/6. Serious doubt exists as to
large beams, and rows of windows punctuated two walls of
how realistic the descriptions of Ezekiel are, given their vi-
the Temple. The facade of the Temple included a portico
sionary, literary context, but they probably reveal somewhat
(ulam) extending the width of the building, in front of which
how the Temple complex appeared in its last years.
stood two massive, ornamental columns, yakhin and bo Eaz,
Two periods of major renovation were the reign of Hez-
that were probably insignia of the Davidic monarchy. The
ekiah in the late eighth and early seventh centuries, and the
Temple lay on an east-west axis.
reign of Josiah in the late seventh century. Hezekiah’s proj-
The design of Solomon’s Temple points to Syrian and
ects undoubtedly were motivated by the growth of the popu-
Phoenician models. The temple at Tell TuEeimat (ancient
lation of Jerusalem after the fall of the northern kingdom of
Kunulua) on the Syrian coast is often mentioned by archae-
Israel in 722, which left the Temple as the only national reli-
ologists, as are temples at Zinjirli in Northwest Syria, and at
gious center.
Carchemish and Byblos. The Kunulua temple was also an
2 Kings 22 tells of Josiah’s Temple renovations. Both he
oblong structure, divided into three parts: portico, hall, and
and Hezekiah were, of course, devout Yahvists; Josiah, in
shrine. An earlier prototype may have been the late Bronze
particular, had a lasting impact on the historical importance
Age temple at Hazor in Galilee, dating from between the six-
of the Temple. However, not only pious, Yahvistic kings
teenth and the thirteenth centuries.
were motivated to undertake Temple renovation. Ahaz, Hez-
What is unusual about Solomon’s Temple is its east-
ekiah’s father and hardly a devout, Yahvistic monarch, in-
west orientation. Some have suggested that this was to allow
stalled an additional altar, modeled after one he had seen in
the sun’s rays to penetrate the Temple; others have speculat-
Damascus, and he built a passageway leading from his palace
ed that the alignment was to allow the sun, at certain times
to the Temple (2 Kgs. 16). Even Manasseh, characterized as
of the year, to shine through two successive doorways into
wicked, who ruled during much of the seventh century, may
the shrine itself.
not have neglected the Temple; indeed, Nahman Avigad’s
excavations in Jerusalem’s upper city reveal the extent of Ma-
The interior doors were paneled with cedar, as was the
nasseh’s construction efforts.
ceiling, and both were extensively decorated with floral mo-
tifs and cherubs, overlaid with gold. In the windowless shrine
By the time of Ezekiel the Temple is described as en-
stood the Ark, and hovering over it were two cherubs, whose
closed in two courtyards; there were now three sets of gate-
combined wingspan reached from one wall to the other. In
houses, so that the Temple was approached by mounting
the great hall, facing the entrance to the shrine, stood the in-
three staircases; the burnt offering altar was elevated, and nu-
cense altar, made of cedar wood and overlaid with gold, and
merous stores were near the walls and gates (Ez. 40–48).
two rows of five lampstands, ten in all, hammered of solid
The Second Temple. Returning Judahite exiles, under
gold.
their Davidic king Zerubbabel, rebuilt the Temple of Jerusa-
Abutting three of the outer walls of the Temple was a
lem on its original site pursuant to the edict of Cyrus II (the
network of stone chambers three stories high, called the
Great), issued in 538. Despite opposition from Samaritan
yatsi Ea, through which one proceeded from chamber to
leaders and other causes of delay, the Second Temple was
chamber, climbing to the higher stories. Although the bibli-
dedicated in 516, its design resembling that of the First Tem-
cal text fails to specify the yatsi Ea’s function, it undoubtedly
ple. Measurements in Ezra 6:3, however, indicate that there
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BIBLICAL TEMPLE
925
may have been an upper story or attic above the ceiling of
a majestic polis of the Roman Empire, and at the same time
the Temple, as in later times, causing it to loom larger over
be accepted by the religious leaders of the Jews. The accom-
the surrounding area than the First Temple.
modation struck by Herod produced a Temple complex con-
ceived along Roman lines that nonetheless retained the tradi-
As far as we know, no administrative buildings were lo-
tional Temple building, by now probably heightened
cated in the Temple complex, an absence that is understand-
considerably.
able given the changed status of Jerusalem from capital of a
sovereign kingdom to provincial temple city, one of many
Extensive archaeological excavations in the Temple
such entities throughout the Persian Empire.
mount area, initiated under the direction of Benjamin Mazar
in 1968, have provided new information. It seems that
Since its inception, the Second Temple had been devoid
Herod’s Temple preserved earlier Temple design but the di-
of certain artifacts once considered essential to the sanctity
mensions were considerably enlarged, including its height.
of the First. For instance the shrine held neither ark nor cher-
ubs. (These cultic objects are missing in Ezekiel’s descrip-
The inner area of Herod’s Temple complex was prohib-
tions of the First Temple.) Also missing were the two orna-
ited to Gentiles, and it was bounded by a balustrade called
mental columns in front of the portico, since they
the soreg. Josephus mentions that inscriptions in Greek and
symbolized royal authority and the Jews no longer had their
Latin were posted at intervals warning Gentiles not to pass
own king. Yet even though no attempt was ever made to
beyond that point; two examples of these inscriptions have
fashion a new ark (or cherubs), the empty shrine nevertheless
been discovered in modern times.
was believed to be the domicile of the God of Israel.
A visitor moving from east to west would perceive that
the walled area of the temple was composed of two main sec-
Nehemiah 7:2 describes a fortress, birah, built in the
tions. First, he would pass through the Beautiful Gate into
northwest corner of the acropolis. (It is also mentioned in
the women’s court and proceed up a staircase through the
the Letter of Aristeas in the third century BCE.) In Herod’s
Nicanor Gate to the court of Israel, where male worshipers
time it was renamed the Antonia and heavily fortified.
assembled. (Men and women did not worship together.)
Records from the Persian period (538 to around 330
The court of Israel was set off in the eastern section of the
BCE) are sparse, but once Hellenistic sources begin to appear,
inner court, and there was no wall separating it from the
more information emerges. The writings of Josephus Flavius,
priests’ court where the altar of burnt offerings stood. This
a Jewish historian of the first century CE, early tractates of
entire walled section contained various chambers, including
the Mishnah, and passages in the New Testament all afford
the Chamber of Hewn Stone, where the Sanhedrin, the high
considerable information. Josephus, in Against Apion, refers
court of the Jews, convened prior to approximately 30 CE.
to a certain Hecateus of Abdera who visited the temple in
The altar for burnt offerings was situated in front of the
Jerusalem in the late fourth century BCE; from the third cen-
Temple, slightly to the south of the staircase leading to the
tury come descriptions in the Letter of Aristeas, and Yehos-
portico. In the Herodian period it was a raised altar reached
huEa son of Sirah (Ben Sira) mentions that ShimEon ha-
by a ramp called the kevesh. Sacrificial animals were slaugh-
Tsaddiq (ShimEon the Just) undertook Temple renovations
tered in the northern front section of the court of priests, and
around 200. The recently discovered Temple Scroll, a pre-
a laver stood near the southern wall. The portico facade itself
Herodian, Hebrew document, preserves detailed plans for a
is described as exceedingly impressive and ornate; however,
Jewish temple, and archaeological excavations in the Temple
it included a golden eagle that aroused intense opposition be-
complex area have yielded additional material of interest.
cause many Jews regarded the eagle as a pagan symbol.
Two periods appear to be times of major renovations
The entire Temple mount, some of it resting on pillars,
and structural changes in the Temple: one following the
was enclosed by a high wall called the h:eil. It undoubtedly
Maccabean liberation of the Temple in 164, and the other,
served as a fortification, along with the Antonia fortress. The
beginning about 20 BCE when Herod undertook the rebuild-
Temple mount had massive retaining walls, some of which
ing of the entire Temple complex, a project that continued
have been exposed in recent archaeological excavations. (One
virtually until the destruction in 70 CE. From 164 the Has-
is the so-called Western Wall.) On the periphery of the Tem-
monean (Maccabean) rulers maintained a degree of political
ple mount were porticos, the best known of them being the
autonomy, after ridding the Temple of the heterodox arti-
royal portico, built along the southern side of the outer
facts and cult practices introduced by the Hellenizing priest-
courtyards. This royal portico, which is profusely praised by
hood of Jerusalem in the period leading up to the persecu-
Josephus, has been identified with the h:anuyyot (“stores”)
tions of Antiochus IV. During the Hasmonean period,
mentioned in the Mishnah (Ta Ean. 1.6). The Temple
construction began on a series of archways leading to the
mount’s outer dimensions prior to the destruction are esti-
Temple, connecting it to the city of Jerusalem. These are bet-
mated at 1,550 meters, an area twice the size of Trajan’s
ter known from the Herodian period.
forum in Rome.
Herod, descendant of the Idumeans who converted to
The two Temples of Jerusalem, built on the same spot,
Judaism, was a favorite of the Romans. His monumental
had the cumulative effect of sanctifying that place for all sub-
Temple project was motivated by both his desire to rule over
sequent generations of Jews.
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BIBLICAL TEMPLE
THE CULT OF THE TEMPLES OF JERUSALEM. Information on
On Sabbaths, new moons, and festivals, additional or
the conduct of worship in the Temples of Jerusalem comes
perhaps special sacrifices were offered. The Mishnah, espe-
from several kinds of sources, all of which are problematic
cially in tractate Tamid, describes the daily regimen of the
in one way or another. Most of the detailed descriptions of
Second Temple, including the procedures for assignment of
cultic praxis in biblical times come from the priestly codes
priests to various duties.
of the Pentateuch, known as the P source. This source proj-
Basic kinds of sacrifices. Leviticus 1–3 and 5–7 outline
ects the sacrificial cult back to the time of the Sinai migra-
the three basic types of sacrifices offered on the altar of burnt
tions, prior to Israelite settlement in Canaan. Historically
offerings:
these codes of practice, found primarily in Exodus, Leviticus,
and Numbers, belong to a much later period and probably
1. EOlah, functionally translated as “burnt offering” or
reflect the Jerusalem Temple cult. It is difficult, however, to
“holocaust,” was a sacrifice burned to ash, no part of
as certain whether the cult of the First or Second Temple is
which was eaten by the priest or donors. Literally, Eolah
being described. While the P source, as we have it, is more
means “that which ascends [in smoke].” An Eolah could
logically the product of the early postexilic period, the time
consist of a bull, a sheep or goat, or certain birds. The
of Persian domination (538–c. 330 CE), much of it, especial-
donor of the sacrifice laid his hands on the animal’s head
ly as pertains to types of sacrifices and their essential modes
and, following a set formula, assigned it as an Eolah; the
of presentation, was probably in effect in Judah in the latter
Mishnah ( EArakh. 5.5) preserves examples of such for-
part of the monarchic period, prior to the Babylonian exile.
mulas used during the late Second Temple. The priest
Today, the dating of the P source is a matter of considerable
then slaughtered the animal, flayed it, washed certain
disagreement among scholars, with a substantial number fa-
internal organs, and decapitated and sectioned it. The
voring a preexilic provenance.
blood of the sacrifice was then splashed on the altar. The
E
The Letter of Aristeas and the Book of Ben Sira contain
olah was also termed an isheh (offering by fire), a more
a good deal of information from pre-Maccabean times about
general term for all burnt offerings, as well as a qorban
the Second Temple. For the Herodian period and thereafter
(“offering”).
(about the last one hundred years of the Temple), consider-
2. Minh:ah (grain offering) consisted of semolina wheat
able information is preserved in the writings of Josephus.
flour, finely ground, mixed with oil and frankincense
The Mishnah and Tannaitic literature may also be employed
into a dough. A scoop of the dough was burned on the
for the Herodian period even though they were not compiled
altar, while the remainder was baked or cooked some
until the early third century CE. Megillat ta Eanit and the
other way. Any grain offering burned on the altar had
books of the New Testament also contain authentic informa-
to be made of unleavened dough (matsah). The reason
tion on Temple worship. It is warranted to assume a high
for this restriction is not known. Portions of the minhah
degree of conservatism in the religious practice of ancient Je-
were eaten by the priests.
rusalem.
3. Zevah: shelamin (“a sacred gift of greeting”; sometimes
Structure of the cultic worship. The public cult of Je-
termed a “peace offering”). The term zevah: seems to
rusalem was, from earliest times, structured around a daily
mean “sacred meal,” or “food.” Such an offering could
regimen, wherein the major sacrifice was offered in the
consist only of a bull, sheep, or goat. It too was assigned
morning, and a less elaborate one offered before sunset. This
by the donor; its blood was splashed on the altar. But,
was the ancient Near Eastern pattern, according to which the
in contrast to the first two kinds of sacrifice, this offer-
day was defined as the daylight hours. This was the time
ing was shared with the donors. The altar received cer-
frame for most worship, although certain types of ritual were
tain of the internal organs and the fat adhering to them,
conducted at night, magic and penitential worship for the
whereas the meat was divided between priests and do-
most part. The daytime schedule expressed the basic aim of
nors and then boiled in pots (1 Sm. 2:13). In addition,
worship: the need to secure God’s blessings and help in the
libations of wine usually accompanied the major sacri-
practical pursuits of life, in the activities of each day.
fice (Nm. 15:1–16, 15:22–31).
Thus, the Bible tells us that Ahaz, king of Judah, in-
Sacrifice as a mode of worship. The sacrificial regimen
structed the priests of Jerusalem to offer “the burnt offering
just outlined represents the outcome of a long process of de-
of the morning and the grain offering of the evening” (2 Kgs.
velopment; left unanswered are questions about the history
16:15). The late afternoon came to be referred to as the time
and meaning of sacrifice.
“of the ascent of the grain offering” (1 Kgs. 18:29, 18:36).
In Ezekiel 46:12–15, both a burnt offering and a grain offer-
There were two basic sacrificial modes in biblical Israel:
ing were to be sacrificed each morning, but there is no men-
the presentation and the burnt offering. In the presentation
tion of a second burnt offering later in the day, as is required
offering, the deity is portrayed as looking upon the offering
by the laws of the Torah (Ex. 29:38–46; Nm. 28:1–8). It is
and accepting or rejecting it. Such offerings, once “set” or
likely, therefore, that the Torah codes which project two
placed before God, were usually assigned to the priests who
daily burnt offerings are postexilic, as suggested by Roland
would partake of them. Examples include the offering of first
de Vaux.
fruits (Dt. 26:1–11); the “bread of display,” placed on tables
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BIBLICAL TEMPLE
927
in the Temple for a week and then given to the priests (Lv.
asham (“guilt offering”). The asham in particular had a votive
24:5–9, 1 Sm. 21:7); the leavened loaves of the thanksgiving
aspect, and it could be donated in other than a sacrificial
offering (Lv. 6:11–13); and the offering of the sheaf from the
form (as silver, for instance), especially since the priesthood
new grain crop (Lv. 23:11, 23:17). Therefore, to a degree
at different times preferred different kinds of revenue. The
mode relates to substance, and presentations tended to con-
asham, as a sacrifical offering, had no role in the public cult,
sist of grain and fruits, very much in keeping with sacrifice
but the h:at:t:a Et was used in Temple purification in rites such
in other ancient Near Eastern countries.
as those described for the Day of Atonement (Lv. 16). These
With the burnt offering, the deity is portrayed as inhal-
sacrifices resembled others in substance, and usually consist-
ing the aromatic smoke of the sacrifice, typical of an incense
ed of large or small cattle, except that allowances were made
offering—a kind of sacrifice in its own right (Ex. 30:7f, Lv.
for less expensive offerings from donors with limited means
6:12–15, Is. 1:13). Historically, the burnt offering may have
so as not to deny them expiation.
originated in northern Syria, for it is known that it was
Private and public worship intersected in the Temple.
adopted and widely used by the Hittites. It may not have
Individuals donated public sacrifices; the Temple was a place
been native to Canaan, although current research into this
to pronounce vows and fulfill pledges; new mothers, in ac-
question is inadequate.
cordance with Leviticus 12, brought pigeons and doves to the
What is clear from biblical literature is the progressive
Temple following their specified periods of seclusion. Scat-
ascendancy of the burnt offering in the public cult and in
tered among the legal discussions of the Talmudic sages are
private donations. This can be traced in the adaptation of
beautiful descriptions of celebrations in the late Second
certain modes of sacrifice. The grain offering is a case in
Temple period; for example, the description of the offering
point. As prescribed in Leviticus 2 it can be analyzed as the
of first fruits in Jerusalem, as first commanded in Deuterono-
accommodation of what was originally a presentation offer-
my 20:1–11, and later recorded in the Mishnah, tractate Bik-
ing: only a scoop of dough was burned on the altar, the rest
kurim, chapter 3.
was given to the priests after having been offered first to the
Once consecrated, sacrificial materials became suscepti-
deity.
ble to defilement, and could not be left unused. Not only
Yet another instance of accommodation is implicit in
would certain foodstuffs spoil, which was a practical consid-
the term tenufah (raised offering). Before certain offerings
eration, but there was always the fear that impurity would
were placed on the altar, they were held up and carried about
affect the entire Temple complex or, put another way, that
for the deity to view (Lv. 10:4).
demonic forces would contaminate sacrifices.
Procedures whereby offerings initially having nothing to
Sacrificial blood was utilized in the Temple cult in spe-
do with the altar were adapted to the prevailing mode are also
cial ways. As such, blood from sacrifices was considered
evident with respect to animal sacrifices. According to the
taboo, as was all blood from cattle, sheep, and goats used as
old mode of sacrifice, the paschal lamb was roasted whole
food (Gn. 9:4; Lv. 3:17, 17:10f.; Dt. 12:16f.). In most sacri-
over an open fire without employing the altar (Ex. 12 and
fices, the blood was splashed on the sides of the altar, and
13). But as prescribed in Deuteronomy 16:7 and like all other
in some cases on the horns atop the altar. In certain expiatory
sacrifices of the zevah: variety, it was to be boiled in pots, with
rites, such as those performed in Temple purification, blood
certain parts burned on the altar.
was also dabbed on the interior incense altar, on the curtains
at the entrance to the great hall and the shrine, and even on
Generally, most sacrificial types and modes existed quite
the Ark and cherubs. Blood, as the vital fluid of living crea-
early in the biblical period, and some are mentioned inde-
tures, was to be returned to the earth, and the blood splashed
pendently by eighth-century prophets. What changes per-
on the sides of the altar would therefore be allowed to run
ceptibly is the elaborateness of composite, public rituals, such
down into the earth. What had once been a blood libation
as those performed at festivals, or in purifying the Temple.
to chthonic powers became an offering to God. Other uses,
The liturgical calendar in Numbers, chapters 28 through 29,
such as dabbing blood on cult objects (and occasionally peo-
shows the growth of a frequent and detailed sacrificial activi-
ple), seem to have been intended to ward off demonic forces.
ty since an earlier period in Leviticus 23.
Salt was applied to offerings to drain off residual blood after
Certain very ancient sacrifices were revived after long
slaughter (Lv. 2:13), and the method of slaughter, later de-
periods; one was the water libation, mentioned in connec-
scribed in the Mishnah (H:ul. 2.4), was to cut the jugular
tion with David’s early years (1 Sm. 23:16), and which fig-
vein. An entire order of the Mishnah, Qodashim (“Sacred
ured in Elijah’s confrontation with the Baal priests some-
Things”), is devoted to procedures of sacrifice in late Second
where in the Carmel mountain range (1 Kgs. 18). It was
Temple times.
revived in the early rabbinic period (Sheq. 6:3).
Apart from sacrifices, the Temple cult always included
Interacting with mode and substance was motivation,
prayers and song, and probably dance as well (or at least or-
the reason for the sacrifice. There were several types of sacri-
chestrated movement). The Psalms were first prayers, and
fices whose objective was expiation, through purification;
one tradition has it that the Levites were the singers (Ez.
two major ones were the h:at:t:a Et (“sin offering”) and the
2:41, Neh. 7:44, 1 Chr. 15:10), at least at the time of the Sec-
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928
BIBLICAL TEMPLE
ond Temple. This tradition is reflected in the captions of cer-
od, as well as the realities of priestly administration under
tain psalms that associate them with Levitical clans. But
foreign rulers in the postexilic period.
prayer and song were not regarded as the main events or even
Funding in the Second Temple. The preferred method
as sufficient modes of worship: only sacrifice and its rituals
of studying Temple funding would be to begin with the Hel-
were ultimately efficacious. The tamid or daily sacrificial of-
lenistic period, for which we have contemporary evidence,
fering that in the Second Temple was burned twice each day
and work backward. Elias Bickerman (1976) has clarified
was the mainstay of the cult, and when it was suppressed by
this subject for the Ptolemaic and Seleucid periods in Judaea
decree great anxiety overtook Jewish people everywhere.
and Jerusalem (c. 312–363 CE) in a study of the mission of
FUNDING AND ADMINISTRATION. Temple building and
Heliodorus to the Temple of Jerusalem, as recounted in 2
maintenance, the public cult, and the support of Temple
Maccabees 3 and as known well in later literature and art.
personnel all required large outlays of funds. Who bore the
In later times, maintaining the Temple and cult in Jeru-
costs? As with other matters pertaining to the Temples of Je-
salem was a royal responsibility; tax revenues were allocated
rusalem, we are reliant primarily on the Hebrew Bible, since
for this purpose, augmented by gifts from the nobility.
we lack contemporary documentation in the form of admin-
Under the Romans (63 BCE–70 CE) the system was more
istrative records, such as those that have survived from the
complicated, as will become apparent.
major ancient temples of Syria-Mesopotamia, or the in-
scribed ancient wall reliefs, for instance, that we find in
The principle of royal sponsorship also applied during
Egypt. With the Hellenistic period, documentation begins
the earlier Achaemenid period (538–330 BCE); both Hebrew
to appear, and in the Roman period Jewish writings become
and Aramaic versions of the edict of Cyrus II of 538 BCE have
available. Together these sources provide more specific infor-
been preserved (Ezr. 1:2–3, 6:6–12). Of particular relevance
mation on the operation of the Second Temple.
are statements of the Aramaic version, in Ezra 6:8–9, rele-
vant to the funds and materials required for the restoration
In itself, the biblical record is complex and often confus-
of the public cult in Jerusalem:
ing: the Torah tells one story, and the historical books of He-
The expenses are to be paid to these men [the Judean
brew scriptures—Samuel, Kings, Ezra, Nehemiah, Chroni-
elders] with dispatch out of the resources of the king,
cles—another. The Torah gives little indication as to the role
derived from the taxes of the province of Beyond the
of the monarchy in biblical Israel, never venturing beyond
River, so that the work not be interrupted. They are to
stating the eventuality of a monarchy. Nor is there evidence
be provided daily, without fail, whatever they need of
of governmental taxation, only gifts to God—tithes, priestly
young bulls, rams and lambs as burnt offerings for the
emoluments, voluntary and obligatory sacrifices, and so
God of Heaven and wheat, salt, wine and oil, at the
forth. The various documentary sources of the Torah project
order of the priests in Jerusalem.
legislation into the days of Moses, before the Israelite settle-
Further back in history, similar information about the fund-
ment of Canaan, when there was no king and no temple in
ing of the First Temple under the national Judahite kings can
Jerusalem. Historically misleading, all matters concerning
be found.
the major temples of the land were controlled by the mon-
arch, once established, in both Judaea and northern Israel.
Ezekiel 45 contains a statement on the prerogatives of
Although priestly groups probably originated independent of
the nasi’ (“prince”; literally, “the one elevated, raised” above
the monarchy, retaining traditional prerogatives, they none-
the people), Ezekiel’s term for the future ruler of the restored
theless operated under royal jurisdiction for most of the pre-
Judahite community. It is not certain when this chapter was
exilic period.
composed, but it is probably warranted, as in the matter of
Temple design, to regard it as expressing the principle of
The contrast between the laws of the Torah, which pro-
royal funding in effect during the last days of the First
vide so much detail on the performance of the cult, and the
Temple.
historical books of the Hebrew Bible, which contain little on
The chapter begins by designating a quarter inside Jeru-
these subjects but considerable information on governmental
salem to be set aside for the Temple complex (Ez. 45:1–8).
administration, can be demonstrated by the case of the tithe.
Verses 9 through 17 establish standards of weights and mea-
The tithe amounted to one-tenth of the annual yield of grain
sures, and specify a system of taxation based on percentage
and fruit, as well as an equal percentage of any increase in
of annual yield. Verses 16–17 are particularly relevant:
herds and flocks. In the Torah, such tithes are represented
as cult dues or religious duties owed to the Levitical priests
The entire population must pay this levy to the nasi’.
and the needy, without any governmental involvement in the
It shall then be the responsibility of the nasi’ to provide
process (Dt. 14:22–29, 15:19–23; Lv. 27:30). In contrast,
the holocausts, grain offerings and libations on the pil-
the statement of royal jurisdiction preserved in 1 Samuel 8
grimage festivals, on New Moons and Sabbaths, on all
(especially verse 15) refers to the fact that kings are the ones
the appointed celebrations of the House of Israel.
who impose tithes on crop yield. Projecting back to Moses,
This passage has been variously interpreted by biblical histo-
so characteristic of the Torah, often masks the realities of
rians, such as Jacob Jiver, who was undoubtedly correct in
royal administration that obtained during the preexilic peri-
seeing it as reflecting royal sponsorship. In accounting terms
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BIBLICAL TEMPLE
929
royal sponsorship was a form of indirect funding. Taxes col-
verses 1 through 17 as actually taking place subsequent to
lected by government agents (sometimes priests served in this
Joash’s payment to Hazael.
capacity) were partially or fully allocated to the Temple. Di-
Payments to Hazael left Temple coffers empty. The
rect Temple funding came from the people, and was specifi-
chapter opens with an edict issued by Joash to the priests:
cally earmarked for Temple use. The nasi’, a civil authority
all silver brought into the Temple as votaries was to be col-
although he had sacral functions, was made responsible for
lected by the priests and used for Temple renovation. This
the entire Temple restoration, and it was he who collected
was apparently an exceptional measure, and the priests were
taxes for the Temple project and the public cult.
lax to resort to votaries for this purpose, expecting instead
But Ezekiel’s vision never materialized, because during
royal allocations to cover their cost. After a time the king,
the postexilic period Temple funding became a function of
seeing that repairs had not been made, summoned the chief
foreign kings, and indeed the Davidic king Zerubbabel did
priest of the Temple and, prevailing over the priest’s objec-
not retain authority very long. Morton Smith has correctly
tions, insisted that his edict be carried out. The priest in-
understood the statement in Zechariah 6:12–13 as an official,
stalled a collection box near the altar where all donors were
prophetic endorsement of Zerubbabel as sponsor of the re-
to deposit their votaries. At appropriate intervals the priest
built Temple of Jerusalem, with the authority of the high
would tally donations, in the presence of the royal scribe, and
priest less precisely defined. He notes, however, that king
the silver would be melted down into ingots; these, in turn,
and high priest are often addressed together, as coleaders of
were paid out to craftsmen working on the Temple who ap-
the people (Hg. 1:1, 1:12, 1:14, 2:2; Zec. 3–4), and by plac-
parently were so trustworthy that no accounting system was
ing two crowns in the Temple, their joint authority was me-
required for them. A freeze was placed on the manufacture
morialized. As time goes on, with priestly administration of
of cultic vessels of silver and gold in order that all available
the Temple under Persian jurisdiction as the everyday reality,
funds could be used for needed repairs. The only exemption,
much less is said in scripture about a Davidic restoration. So
for penalties brought to the Temple by worshipers in need
in effect Ezekiel’s recast vision embodies the principle of
of expiation, was granted so that atonement would not be
royal sponsorship as it operated in the period of the First
delayed.
Temple. Further, Samuel and Kings clearly describe the First
2 Kings 22 describes a similar situation under Josiah,
Temple as a royal agency, but say little about taxation other
king of Judah, in the late seventh century BCE; both chapter
than that labor forces were conscripted for Temple projects
12 and this chapter are drawn from the same kind of royal
and other royal enterprises.
chronicles. Again, all silver, this time collected by the Temple
gatekeepers, was to be melted down into ingots to pay Tem-
Funding in the First Temple. One way to investigate
ple workers. Josiah’s coffers were also empty after the long
Temple funding in the preexilic period is to discuss the royal
period of Manasseh’s reign.
and Temple treasuries, both mentioned in 1 Kings 12:19,
14:26, and elsewhere, as separate agencies under royal con-
Both chapters report that the king had jurisdiction over
trol. We often read of “sanctuary weight” but hardly ever of
the Temple, royal scribes supervised Temple accounting pro-
royal standards of weights and measures. And yet, in a single,
cedures, and craftsmen were paid by royal order. In part re-
random passage (2 Sm. 14:26), we read of Eeven ha-melekh
cords were preserved to credit Judean kings for proper main-
(“the royal weight”), which tells something about the degree
tenance of the First Temple of Jerusalem and for attending
to which even the historical chronicles mask administrative
to necessary repairs. And yet they also point to another fairly
reality in a preoccupation with religious concerns.
constant source of Temple revenue and serve to link the his-
torical books of the Hebrew Bible to the laws of the Torah.
Several biblical chronicles tell how Judahite kings, both
Sacred vessels and sacrificial offerings were regularly do-
“upright” in God’s sight and those who “did what was evil,”
nated (or “devoted”) to the Temple by individual Israelites
appropriated Temple treasures for other than cult purposes
and their families. Votaries mentioned in 2 Kings 12, in fact,
(2 Kgs. 18:15–16). In speaking of these acts, an assertion of
are the subject of Torah legislation in Leviticus 27, where spe-
royal authority over the Temple, Kings usually refers to Tem-
cific payments are determined separately for men and
ple treasures as “sacred gifts” (qodashim) donated by the vari-
women by age group. Such devotions often assumed large
ous Judean kings and their ancestors, as if to imply that they,
proportions. The writings of Josephus and rabbinic sources
in turn, had the right to expropriate them.
describe large-scale devotions from prominent Diaspora
Chapters 12 and 22 in 2 Kings are particularly informa-
Jews, such as Helene, the queen of Adiabene. These dona-
tive on the subject of Temple funding during the period of
tions were usually prompted by the motive of sponsorship.
the Judahite monarchy. Chapter 12 tells of Joash, a king who
The priesthood, for its part, relied on popular support,
ruled in the late ninth century BCE, who used Temple trea-
which, however, was not always adequate to sustain the
sures for tribute. The chapter’s present arrangement has the
priests and their families. People were exhorted to pay tithes
confrontation with the Aramean king, Hazael, after Temple
and vows on time and to devote sacrifices; indeed, the Torah
renovations undertaken by Joash, as seen in verses 18 and 19,
sets down the dues payable to the Levitical priesthood and
yet it is quite logical to regard the renovations mentioned in
includes a whole schedule of offerings (Nm. 18).
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BIBLICAL TEMPLE
Fiscal responsibilities. The main problem here is to de-
the Tabernacle; it was to be collected in the course of a
termine who bore responsibility for the Temples of Jerusa-
census.
lem—the government (so to speak), or the private sector. No
In its context, this law was formulated as a one-time ob-
persistent policy of support by the private sector is evident
ligation. Exodus 25 and the following chapters appealed to
until late Hasmonean or early Roman times. Basing his work
all Israelites to contribute voluntarily to the construction of
on Bickerman’s, Jiver meticulously surveyed the background
gold and silver objects for the Tabernacle, valuable fabrics,
of this development, showing that the first reference to pop-
and the like. This fund-raising effort was very successful, and
ular funding of the Temple is found in the writings of Jose-
sufficient materials were donated. The half-shekel was for the
phus (Jewish Antiquities 18:312), who tells of the annual
“service” of the Tabernacle, to support its sacrifical cult. Of
head tax of one-half shekel (at times, equal to two Roman
course it is possible that in Exodus 25 and 30 parallel tradi-
drachmas); Matthew 17:24 through 17:27 speaks about the
tions on funding exist: one recording a fixed tax, the other
collection of this tax in Capernaum, in the early first century
a voluntary contribution.
CE. In the Mishnah (Sheq. 1:3–6) the tax is called terumat
Either way, these traditions, reinforced by Numbers 7,
ha-lishkah (“the levy of the bureau,” for the bureau in the
which tells that the chieftains of the twelve tribes contributed
Temple complex where it was collected); it was used mainly
identical vessels and sacrificial materials for the dedication of
to fund the tamid or daily sacrifice that was the mainstay of
the Tabernacle, quite clearly idealize popular support for the
the public Temple cult. It was not accepted from Gentiles,
Temple and its public cult. Nonetheless, all Israelites partici-
thereby excluding them from any role in supporting the cult.
pated in its support, making it an institution of and for the
But more specifically, at some prior time Jewish religious
people, even though it was conducted by the priesthood.
leaders decided that the cult should be supported “by all Isra-
el,” and not by foreign rulers—Herodian or Roman. This
Since it is virtually out of the question to date these
decision is first recorded in the scholia, or comments, affixed
Torah traditions to the late first century BCE, it is difficult
to Megillat ta Eanit, concerning a dispute involving the early
to identify their historical situation. Most likely Julius Well-
Pharisees. The text states that Boethusians (perhaps the Sad-
hausen and others were right in attributing the head tax of
ducees, or some other anti-Pharisaic sect) claimed:
Exodus 30 with the period of Nehemiah, the late fifth centu-
ry BCE; he was a Jew who served for two terms under the Per-
The tamid sacrifices may be brought from private con-
sians as governor of Judah. In Nehemiah 10 is a record of a
tributions: one person may offer it for one week, anoth-
popular assembly, or “constitutional convention,” that some
er may offer it for two weeks, and still another for thirty
days. The Sages [Pharisees] retorted: “You are not per-
historians date to around 438 BCE, although Nehemiah may
mitted to act in this way, because this sacrifice may only
have been written considerably later.
be contributed by all Israel . . . and all of them [the
Under Nehemiah the people, along with priestly leaders
sacrifices] are to come from the ‘levy of the bureau.’ ”
and civil officials, assembled in Jerusalem and pledged to ful-
When they [the Pharisees] prevailed over them and de-
fill the Torah of Moses. In fact, however, they also instituted
feated them, they instituted that all should weigh out
some new marriage restrictions, reinforced the observance of
their shekels and deposit them in the bureau, and tamid
the Sabbath, and assumed certain financial obligations in
sacrifices were henceforth offered from popular funds.
(quoted in Lichtenstein, 1931–1932, p. 325)
support of the Temple cult. They pledged one-third shekel
a year in support of the cult and cast lots to determine who
We cannot date the enactment of which this passage speaks,
would provide wood for the altar fire. In addition, they
but historically it may have been the result of Pharisaic dis-
promised to pay tithes, redeem firstlings and firstborns by re-
pleasure with the later Hasmoneans; some scholars trace it
mitting their set value to the Temple, and offer first fruits
to the reign of Salome Alexandra (76–67 BCE). Whatever the
of the harvest—all of which brought profit to the Temple.
case, Jewish communities from all over the Diaspora contrib-
It is reasonable to see the priestly traditions as the insti-
uted their shekels.
tutionalization of a temporary policy change that occurred
The policy of refusing royal support was based on sever-
in the late Persian period when the economic fortunes of the
al Torah traditions that speak of all Israelites as contributing
Empire declined, threatening the continuity of the cult. Ac-
to the building of the Tabernacle in the Sinai wilderness.
cording to the Book of Nehemiah, especially chapter 5, taxes
These traditions have baffled biblical historians, who have
were heavy and Jewish leaders had to help matters along.
searched for a historical situation that could account for
With the conquest of Alexander the Great, and the initiation
them. Since no such principle is known for either the First
of Ptolemaic and Seleucid rule in Jerusalem and Judaea, the
Temple or the Second, both of which relied on royal fund-
economic situation improved substantially, and royal spon-
ing, the question remains as to when popular funding came
sorship functioned well once again.
to function as a system.
The Torah traditions also correlate with other references
The Torah traditions are preserved primarily in the
to popular responsibility for the public cult in Ezra and
priestly sources of Exodus and Numbers. Beginning with Exo-
Chronicles, although these references reach into the fourth
dus 30:11 through 16, a law required every adult Israelite
century BCE. (See Ezra 1:4, an addendum to the Cyrus Edict,
male to contribute one-half shekel “to Yahveh” to support
also Ezra 3:5, 8:28; 2 Chronicles 31:14, 35:8.)
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2 Chronicles 24:4 through 14 is a late recasting of 2
sphinx and cherub (Ez. 28:14, Ps. 18:11). God rode his char-
Kings 12, discussed earlier. In this version, Joash orders the
iot across heaven, as “rider amid the clouds” (Ps. 68:5) and
priests and Levites to travel to every town in Judaea to collect
as “Yahveh of the [heavenly] hosts, seated astride the cheru-
silver for Temple repairs, from “all Israel.” When the Levites
bim” (1 Sm. 4:4, 2 Sm. 6:2)—a projection now recognized
fail to do their part, he rebukes them (2 Chr. 24:6). Thus,
as a very ancient Near Eastern image known in Ugaritic my-
this preexilic chronicle’s version of Temple votary expropria-
thology.
tion was recast as the record of a tax collected throughout
Also basic to celestial depictions is the obscurity that af-
the land from all the people.
forded protection from view and access. Moses climbed
The Torah traditions, whenever composed, became
Mount Sinai, “into the dense cloud where God is” (Ex.
epitomes ultimately of a democratic ideal—the liberation of
20:21); God had descended there to communicate with
the Temple cult from royal domination. The Jews took
Moses, a dramatic move in keeping with other visible mani-
charge of the Temple and limited the authority of foreign
festations of the deity (2 Sm. 20:10, Ps. 18:10).
kings over the conduct of religious life. Perhaps for the first
The Temple was a divine palace. In the ancient Near
time, these kings, who had spent a fortune on the Temples
Eastern tradition of inverting reality, earth was perceived as
from taxes collected from the people, were no longer permit-
a replica of heaven, yet poets and writers depicted heaven ac-
ted to claim exclusive sponsorship of the worship of God.
cording to what they knew on earth—an inversion seemingly
endemic to the human imagination. The earthly residence
The Torah speaks of “consecrations” to the Temple (Lv.
of God in Jerusalem contained a shrine without windows,
27), with an assured 20 percent profit on “redemptions” of
a dark room; in it the Ark served as God’s footstool, and his
land or real estate so designated. Land was also permanently
throne was formed by the arched, winged cherubs. He was
bequeathed to the Temple, making it the beneficiary of pri-
present, but invisible, and immaterial. On those rare occa-
vate estates. More than likely, the Temple served as a channel
sions that the high priest entered the shrine, he bore incense,
for tax exemptions.
partly to protect himself, but also to cloud the immediate
The Mishnah describes how the Temple operated on a
area of the shrine where the deity was thought to be seated
day-to-day basis in Herodian times and prior to its destruc-
(Lv. 16:13).
tion. Like the prophet Jeremiah before him, Jesus certainly
The term for great hall, heikhal, goes back to Sumerian
had reason to object to the atmosphere of the marketplace
egal (“big house”); Akkadian hekallu, and Ugaritic hkl. The
that characterized the Temple complex, but such was the na-
Egyptian title pharaoh (pr) literally means “big house,” the
ture of holy cities everywhere. Great numbers of sacrificial
ruler who lives in a palace. The great hall was a veritable audi-
animals, as well as large quantities of incense, flour, wine,
ence room or parlor, where priests (perhaps originally wor-
and oil, were stocked in the Temple stores; priests and their
shipers as well) offered gifts to the resident divine monarch.
agents attended to the business of the Temple, selling to wor-
There was a table for presentations and an incense altar, so
shipers the goods that they required and collecting various
that the air would be sweetened for God’s pleasure. The
payments. Priests were assigned to Temple duty, usually of
cedar-paneled walls and ceiling were decorated with motifs
a week’s duration. Ancient records of these tours (mishmarot)
suitable for a divine residence—cherubs and floral motifs.
have been discovered in recent archaeological investigations,
Here was an effort to simulate a heavenly “garden,” such as
such as those at Beit She’an. The Temple proper was inspect-
described in Ezekiel 27–28. Such decorations were not
ed every morning; a daily duty roster was used, with one
thought to contradict the ban on iconography so basic to Is-
priest placed in charge of work assignments each day; treasur-
raelite monotheism (Ex. 20:4, Dt. 5:8). And, like a palace,
ers kept Temple accounts. Indeed, the Temple complex was
the Temple had a portico, so that one would not enter into
the very hub of Jerusalem.
the presence of the deity abruptly.
TEMPLE FUNCTION AND PHENOMENOLOGY. Throughout
Offerings. In the open-air courtyard stood the altar of
biblical literature, the temple of Jerusalem is called beit
burnt offerings, facing the entrance of the Temple. Every day
YHVH (“the House of Yahveh”). This role emerges clearly
sacrifices were burned on this altar, and other installations
from 1 Kings 8, a mixed text that presents both an early state-
and artifacts were also present to serve the priests’ needs.
ment on the functions of this house and a later postexilic re-
The classic plan of Solomon’s Temple and of all its suc-
interpretation. Its primary function is best conveyed in verses
cessors represented the integration of two originally separate
12 and 13: “Then Solomon spoke: Yahveh has chosen to
concepts: that of a house, closed and covered by a roof, and
abide in dense cloud. I have accordingly built for You a royal
that of an open-air encampment. Within the “house” gifts
house, a dais for Your eternal enthronement.”
were presented to the deity, and his “looking upon” them
The Temple served as an earthly residence for God and
with favor constituted his acceptance of them. Normally,
was designed to replicate his celestial estate. In the heavens,
such gifts were assigned to the priests, who partook of them
God is enveloped by dense cloud (2 Sm. 22; Ps. 18, 97:2;
in a sacred meal.
Jb. 38:9); his heavenly throne room was, in graphic terms,
The offerings of incense inside the great hall point to
an arrested version of his chariot, fashioned as a winged
another kind of divine response—inhalation. In this respect,
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incense and the burnt offerings of animals, birds, and grain
manticize more ancient modes of construction, while for
belonged together on the outdoor altar. Therefore, two
practical purposes utilizing stronger, more lasting materials.
modes of sacrifice took place in the great hall: presentation,
which was intended to evoke a visual response from God,
The huge reservoir, yam (“sea”), located in the courtyard
and aromatic smoke, intended for inhalation by the deity.
also had its particular meaning; in Mesopotamian temples
A description of the open-air ceremony will help us to under-
similar reservoirs were called apsu (“the deep”). Aside from
stand the phenomonology of incense offerings. On the altar
their practical purposes, their names reflect a common cos-
of burnt offerings were placed parts of animals and fowl and
mic or mythological concept. Zechariah 14:8 states that the
scoops of dough that were reduced to ash by the fire. The
Temple rested on the fountainhead of the earth and was con-
smoke ascended heavenward, there inhaled by God and in
nected to the deep wellsprings. As in heaven, where gods
this manner accepted by him. When God disapproved of the
lived at the junctures of cosmic streams, so too on earth the
worshipers or the manner of their worship, he angrily refused
divine palace was associated with water. The manmade reser-
to inhale the aromatic smoke of their burnt offerings (Am.
voir was called “sea” to symbolize the purifying and fructify-
5:21, Lv. 26:31).
ing properties of “living water.”
The open-air altar was oriented vertically and the effects
Gods normally desired an earthly house or palace built
of the rite directed heavenward, which helps explain the pref-
by worshipers (usually their king) more fervently than they
erence for mountaintops and high places. As the sacrificial
desired altars and high places. This desire is beautifully ex-
rite began, God was thought to be in heaven, not yet present;
pressed (and with considerable pathos) in ancient Near East-
once the smoke rose to heaven, it was hoped that he would
ern literature from Sumer to Ugarit. Biblical historiography
be attracted by the sweet aroma, and come to his worshipers
reports this suprisingly sophisticated attitude as attributed to
(Ex. 20:24). Once God drew near he could be entreated and
the God of Israel when he, in effect, initially refuses David’s
petitioned for the blessings of life. This was the basic phe-
offer to build a temple in his honor. He states that only when
nomenology of the open-air burnt offering. In liturgical
the Davidic dynasty is established and the conquest of the
terms it was a form of invocation, and this seems to be
promised land accomplished will he insist on a “house.” In
the original function of the burnt offering referred to as
2 Samuel 7 “house” (bayit) undergoes an ingenious semantic
Eolah (literally, “that which ascends,” in aromatic smoke, to
transaction: both David’s dynasty and the Temple are hous-
heaven).
es, and only when David’s dynasty is established, in the days
of his son, will the time be right to build God his house.
The presentation clearly had a horizontal orientation.
The deity was perceived as already present in his “house.”
The Temple is thus a royal project par excellence, a fact
This is the basic difference between a “house” and the open-
further demonstrated by the other components of Solomon’s
air setting. The Temple “house” was God’s permanent resi-
acropolis. The two pillars in front of the portico (yakhin and
dence, affording him shelter and the necessities of life (so to
bo Eaz) were apparently royal insignia, although the precise
speak), whereas an altar or bamah (“high place”) was a site
meaning of their names remains elusive. The hall of justice
visited by him on occasion. Consequently, it is likely that the
demonstrates the judicial role of the king, as the one respon-
incense offering was originally an open-air ritual. Archaeo-
sible for establishing justice in the land, and as a court of last
logical evidence seems to suggest this; many incense stands
resort for the redress of grievances. The king, chosen by God
have been found in front of temples, or outside their en-
to rule in his name, exercised judicial authority over the
trances. But it is also reasonable to assume that the venue of
Temple complex; documents were stored for safekeeping
the incense offering was, in certain instances, shifted to the
near the Temple, as was the practice in other temples. Oaths
Temple’s interior.
were pronounced in God’s name, often in his presence, that
is in the Temple (Ex. 21:7). Priests served as judges as well
Structure. As a projection of differing patterns of
as cultic officiants, determining innocence or culpability ac-
human habitation, the typical temple plan—including both
cording to a code of instruction (a torah), and the king was
an open-air court and a closed, covered “house”—combines
commanded to consult God’s law in arriving at his judg-
the encampment and the town, the pastoral and the more
ments (Dt. 17:18–20). This set of functions is articulated in
settled, agricultural bases of economic life into one ex-
Deuteronomy 17:8f.:
pression.
Wood was preferred for temple architecture, particular-
If a case is too baffling for you to decide . . . you shall
ly the fine, aromatic cedar from Lebanon. The Sumerian
promptly repair to the place which the Lord your God
will have chosen, and appear before the Levitical priests,
king Gudea used cedar wood in his temple, built more than
or the magistrate in charge at the time and present your
a thousand years before Solomon’s Temple. In many areas
problem.
of the ancient Near East there seems to be an almost symbol-
ic preference for wood, persisting long after stone and mud
Reference to the “the place which the Lord your God will
brick became the functional materials for construction. In
have chosen” is Deuteronomy’s way of referring to the central
the earliest temple tombs of Egypt, wooden motifs were re-
temple of the land, ultimately identified as the Temple of Je-
tained long after stone was used. It was conventional to ro-
rusalem.
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Until soon before the Roman destruction of the Second
propriating sacred space and worshiping the God of Israel
Temple in 70, the Sanhedrin convened in a chamber of the
where others had worshiped pagan gods. Sanctity of space
inner Temple complex; around 30 CE it moved out to the
seems to have cut across religious and national boundaries,
portico, in the outer Temple area.
and once attributed to a space, no matter by whom, such
sanctity was permanent.
Sanctity. The Temple area itself was considered sacred
space; this very ancient notion that certain spaces are sacred
The Jerusalem Temple complex was a sacred space in
goes back to animism, the belief that power (or “life”) is im-
which the farther one penetrated, the greater the sanctity,
manent in mountains, rivers, trees, and the like. Biblical
and, accordingly, the greater the restrictions on those who
statements on the subject of sanctity rarely (if ever) define
may enter and the greater the degree of purity required. Pre-
it as immanent, but rather as property attributed to a certain
cise information is lacking on the “graduated” sanctity of the
place, object, person, act, or time. It was therefore important
First Temple of the kind available on the Second Temple in
to know how and when a particular site had become sacred
its later period. The priestly writings of the Torah, projecting
in the first place. A story or poem that relates how a place
an elaborate system of purity and describing a Tabernacle
became sacred is known as hieros logos, and the Bible presents
with demarcated zones of graduated sanctity, may not have
quite a few examples. A classic example is found in Genesis
reflected the First Temple in detail, but rather the postexilic
28, which tells how Bethel, the major cult center of the
Temple. Nevertheless, it is quite certain that in principle
northern kingdom of Israel, first achieved its sanctity: the
there were, from the outset, limitations on who could enter
partriarch Jacob once spent the night there and experienced
the Temple, and there were rites of purification for all who
a theophany.
desired entry. It is reasonable to conclude that only priests
who were consecrated could enter the Temple, or stand in
The sanctity of Jerusalem is recounted in several biblical
the courtyard near the Temple, although Judean kings may
sources. In addition to the historiographies and oracles of 2
not have always respected this rule. Sacrificial animals and
Samuel 6 and 7 and the chronicle of 1 Kings 8, a hieros logos
other materials used in worship had to conform to certain
in 2 Samuel 24 relates that David, after fighting many battles,
specifications; cult artifacts were also subject to specific stan-
angered God by conducting a census and imposing new con-
dards, and in this connection the introduction of pagan or
scriptions and taxes on the already weary people of Israel.
otherwise improper cult objects into the Temple or its court-
God’s anger was unleashed in a plague that at the critical mo-
yards defiled the sanctity of the Temple. certain kings were
ment was stopped when David confessed his sinfulness. This
guilty of such acts of defilement, and others—the more up-
confession took place in front of a threshing floor owned by
right in God’s sight—piously removed the improper cult ob-
Aravnah, the Jebusite, most probably the Canaanite ruler of
jects from the Temple and its courts, thus restoring its condi-
Jerusalem. Realizing that the spot was propitious, David
tion of purity.
obeyed a prophetic order to worship the God of Israel there.
He purchased the facility from Aravnah, as well as sacrificial
Whereas the preexilic prophets concentrated their de-
animals, insisting on making full payment. He then offered
nunciations on paganism and on social evils for which no rit-
sacrifices to God. In addition, the episode of Abraham and
ual remedy existed (Isaiah 1 is a good example), early postex-
the king of Salem, Melchizedek (Gn. 14:18–20), has been
ilic prophets, taking their cue from Jeremiah, Ezekiel, and
interpreted as a veiled allusion to Jerusalem, in that Salem
“Second Isaiah,” begin to attack the problem of defilement
is traditionally equated with [Jeru]salem. This is further sug-
more pointedly. Thus, the Book of Malachi insists on ritual
gested by Psalm 110, wherein Melchizedek is praised and
purity and quite explicitly condemns improper sacrifice. It
promised the priesthood of Zion.
is reasonable to place the elaborate priestly regimen of Exo-
dus, Leviticus, and Numbers in the early postexilic period,
In other words, biblical literature preserves stories about
when the Temple became the center of the restored Judean
the sanctity of Jerusalem (and Zion) as the divinely chosen
community, and certainly by the end of the fourth century
site for the Temple, just as it does for other similar sites, such
as Bethel, Shiloh, and elsewhere. While these accounts seem
BCE the degree of ritual stringency with respect to sacred
spaces had increased considerably, as can be gathered from
to sanction changing political realities, in terms of religious
1 and 2 Chronicles, and from passages of Ezra and Nehemi-
phenomenology they explain the basis for the sanctity of cer-
ah—all literary products of that century.
tain “spaces.” In the case of Jerusalem, we have an entire
genre of psalms in which the divine selection of Jerusalem
This priestly tradition was the basis for the later rabbinic
(Zion) is recounted (for example, Psalms 48, 78, and 122).
codification of law relating to the Temple and cult, preserved
primarily in the Mishnah and other tannaitic sources. In
Historically, however, sites like Bethel were sacred to the
other words, early rabbis utilized the complete Torah, draw-
Canaanites before sanctification by the Israelites, as is evident
ing on it selectively to produce a regimen of purification.
from the intensive archaeological excavations that have been
carried out at Bethel, Shechem, and other sites. Information
With the changing designs of both the First and Second
about pre-Israelite Jerusalem is less precise, but there are in-
Temples of Jerusalem, progressively, the Temple and its
dications of cultic history there as well. The Israelites, not-
inner courts were further protected or barricaded against the
withstanding their distinctive religion, were not averse to ap-
outside world by the addition of more walls, gates, and court-
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BIBLICAL TEMPLE
yards. Since a great deal is known about the Herodian tem-
er, formal consecration was required. Jacob anointed the
ple, it is possible to be specific on the subject of “graduated”
foundation stone of the temple at Bethel and offered sacri-
sanctity. The design of the structure prohibited entry to gen-
fices on an altar (Gn. 28). Usually there were specific recita-
tiles beyond a balustrade that encircled the inner Temple
tions and celebrations, proclaiming the sanctity of the site;
complex: this then was the first graduation. Such a restriction
the process was then inverted and a myth created: it was de-
is actually presaged in principle in the priestly writings of the
clared that God had chosen the site and manifested himself
Torah; Ezekiel 44:63 is the first to mention explicit oppos-
there. But the myth was never quite sufficient, however, and
tion to the presence of Gentiles within the Temple, in a pas-
communal sanctification was required.
sage that is exilic at the very earliest.
Pilgrimage. There is no clearer demonstration of how
Within the compound open to all Jews, the next gradua-
the notion of sacred space worked than the religious pilgrim-
tion pertained to the exclusion of women. There is no explic-
age. Important, often obligatory, the pilgrimage supported
it evidence from preexilic sources that women were excluded
the belief that worshiping God at a sacred site is more effica-
from those areas of the Temple complex that were open to
cious than worship elsewhere.
men. Even if the laws of Leviticus 12 are preexilic (which is
In biblical Israel the three annual festivals—matsot in
less likely than some suppose), the exclusion would have af-
the early spring, the spring grain harvest, and the autumn
fected menstruating women and new mothers, and only for
fruit harvest—were all referred to as h:ag, which means “pil-
a limited length of time. But little information exists on the
grimage.” On these occasions an Israelite was required to ap-
status of women and sacred space until late in the postexilic
pear before God, bearing gifts, at a proper pilgrimage center
period; it is known, however, that women were never consid-
(Ex. 23, 34). 1 Samuel 1 tells the story of a family undertak-
ered legitimately acceptable as priests, although they un-
ing an annual pilgrimage to Shiloh, in the Ephraimite moun-
doubtedly served in that capacity under heterodox spon-
tains. The occasion was not a scheduled religious festival but
sorship.
instead an annual clan gathering.
The next graduation pertained to the priesthood itself.
Throughout most of the preexilic period, there were
In the Herodian Temple complex, the court of Israel was not
temples and altars throughout the Land of Israel. An open-
separated by a wall from the court of the priests, but probably
air cult site was called bamah (“high place”) in Judaea and
by a marker. Opposed to the increasingly greater emphasis
maqom (“cult site”) in northern Israel. Political and demo-
on purity was the ancient notion that the donor of the sacri-
graphic realities determined their relative prominence as pil-
fice, the Israelite who offered the gift to God, should “ap-
grimage centers.
pear” before him and stand in his presence (Ex. 23:17). Ac-
cording to priestly law, the donor was to lay his hands upon
HETERODOXY AND CENTRALIZATION OF THE CULT. Experi-
the sacrifice (Lv. 1:4), so no wall or absolute barrier could
ence with local and regional temples, high places, and altars,
stand between donor and altar.
both in Judah and in northern Israel, was usually trouble-
some from the point of view of piety because of the almost
Beyond the court of Israel was the court of the priests
inevitable tendency to introduce pagan elements into the rit-
and the Temple itself. The shrine, the Holy of Holies, was
ual. There were even temples dedicated to pagan gods. These
out of bounds to priests, even to the high priest for the most
trends were regularly denounced by the prophets, such as the
part. Only when ritual purification of the Temple was oblig-
northern Israelite Hosea. 1 and 2 Kings, since they reveal a
atory could the high priest penetrate its space. We do not
strong pro-Judahite bias, tell less about heterodoxy in Judah
know how early in the biblical period the laws of Leviticus
and Jerusalem, although there must have been similar prob-
16 detailing the purification of the Temple were in force, but
lems there as well.
prior to the end of the Persian period at the very latest there
was an annual day of purification, Yom Kippur.
1 Kings 18:4 tells that Hezekiah, king of Judah after the
fall of the northern kingdom of Israel, removed the bamot.
Following any defilement, purification of the Temple
However, no record of a follow-up exists and historians as-
complex and its ground was both possible and necessary (2
sume that the efforts of this “upright” king were not effec-
Kgs. 18, and 23; 1 Mc. 1). Depending on the material of con-
tive, especially since, following Hezekiah, his son Manasseh,
struction, many cultic vessels had to be destroyed, and sacri-
who reigned for many years, pursued a decidedly heterodox
ficial materials—meat and other foodstuffs—usually were
policy. The next attempt to remove the bamot, an issue that
not susceptible to purification and had to be likewise elimi-
pervades 1 and 2 Kings, was during the reign of Josiah (2 Kgs.
nated. Generally people could be purified, certainly as long
22, 23). In response to the horrendous execrations found in
as the Temple cult was in operation. Ultimately, the Temple
an old document that had been deposited in the Temple, Jo-
complex and grounds withstood all the defilements recorded
siah closed down the local and regional cult sites in the towns
in literature and retained their sanctity through the ages.
of Judah, ordering all the priests to report to Jerusalem. He
Sanctification of space could also be affected by a ritual
destroyed what remained of the temple and necropolis of Be-
process, usually based on “mythic” models. At the first level,
thel, the major cult site of the erstwhile northern kingdom.
Israelites visited sites thought to be holy; in all cases, howev-
Josiah further proclaimed a celebration of the paschal sacri-
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BIBLICAL TEMPLE
935
fice in the Temple of Jerusalem for the first time, thereby al-
As it happened, Jewish leadership opposed substitute sites
tering in a basic way the relevance of what had been a domes-
and insisted on a restoration theology—sacrifice would be re-
tic, clan-centered sacrifice.
sumed only at the site of a rebuilt Jerusalem Temple, as God
had promised.
To understand just how the site of the temples of Jerusa-
lem eventually became the unique sacred space in Jewish reli-
There were several Jewish temples in the Diaspora—the
gion, the background and consequences of Josiah’s (and
best known were one near Heliopolis, a suburb of Cairo, and
Hezekiah’s) edicts need to be discussed. One of the major
one at Aswan (Elephantine) in Upper Egypt. There is also
preoccupations of modern Bible scholarship has been to de-
evidence of temples in Transjordan and possibly elsewhere
fine the historical relationship between the events recorded
in the Land of Israel. But in the main the Jewish religious
in 2 Kings 22 and 23 and the doctrine in Deuteronomy 12
leadership during the exilic period opposed such worship,
and 16. The narrative setting of Deuteronomy is projected
and a clue to this policy may be preserved in Ezekiel where
back into the presettlement period of Israelite history, a pro-
the elders of Israel approached Ezekiel in Babylonia and ap-
jection consistent with Torah traditon. Chapters 12 and 16
parently inquired of him as to whether it would be proper
state that once the Israelites have securely settled in their
to erect an altar to the God of Israel while in exile. The un-
land, they must discontinue their customary practice of of-
equivocal response of the prophet: only when God restores
fering sacrifice at cult sites throughout the land and paying
his people to his holy mountain and to the Land of Israel will
tithes locally, and they must do all of these things only at a
he once again be worshiped by sacrifice. Meanwhile, God
central temple, to be built in a town selected by God.
would be present among the exiles, and there was no need
At first, modern scholars tended to regard this doctrine
for a temple in exile (Ez. 20:40–44).
of cult centralization as a seventh-century Judahite move-
During the period of the Second Temple, the religious
ment, a reaction to the heterodox policies of Manasseh. H.
pilgrimage and support of the priesthood and cult of Jerusa-
L. Ginsberg (1982) has made a good case for regarding the
lem became mainstays of Jewish religious life throughout the
core of Deuteronomy, wherein this doctrine is expounded, as
expanding Diaspora. The statements in Deuteronomy about
the product of the mid- to late eighth century, in northern
being distant from the central temple (Dt. 12:21) took on
Israel. He compares the language of Hosea and Deuteronomy,
a new, somewhat pathetic interpretation: dispersed Jews
showing the unique correspondences, and argues that the
must attend upon the cult of Jerusalem’s Temple. Tobit, a
doctrine of cult centralization grew out of the extreme dissat-
pseudepigraphica work probably writen well before the Mac-
isfaction of northern Israelite prophets and leaders with the
cabean period, relates that Tobit made regular pilgrimages
cults of the many local altars operating there, and eventually
to Jerusalem and contributed his dues to the Temple (Tb.
with the major temples of Dan and Bethel as well. They
1). The Jewish military colony of Elephantine, active in the
sought a solution in the form of a new, central temple, per-
fifth century BCE, which had its own temple, nevertheless
haps in Shechem on Mount Gerizim, which was still sacred
maintained a steady relationship to the Temple of Jerusalem,
to the Samaritans. Deuteronomy never refers to Jerusalem,
as is known from the archives of that community.
even by allusion, but after the fall of the northern kingdom,
it was logical to identify the proper site of the central temple
During the period of the Second Temple, the Jewish
as Jerusalem and to evoke the myth of Jerusalem’s selection
synagogue came into being as a local institution devoid of
by God. So, some forty years before the Babylonian destruc-
any cultic status, strictly speaking. Jews in Israel and Diaspo-
tion (c. 622), Josiah taught this doctrine by devout priests
ra communities assembled at synagogues for prayer and the
who had educated him, acted in fulfillment of Deuteronomy’s
reading of sacred writ, to attend to communal matters, and
doctrine. In the short run he probably failed to remove all
to celebrate in their own way Sabbaths and festivals, while
local cult sites, but in the long run he succeeded.
the cult of the Temple of Jerusalem was in full operation.
The true and sufficient worship of the God of Israel took
The real motivations behind cult centralization as a
place in the Temple, and delegations of pilgrims were dis-
means of control over religious worship can only be guessed
patched to Jerusalem to attend the offering of sacrifices as
at. From the beginning of the monarchy, there were at least
representatives of the far-flung communities (Ta Ean, chap.
two factions or “parties” in Judah and the northern king-
4).
dom: what Morton Smith (1971) called “the Yahveh-alone”
party, and a party that accepted Yahveh as the national god
In 1 Kings 8 great emphasis is placed on prayer and song
of Israel but saw no reason not to allow (or even sponsor)
as forms of religious devotion. Prayers are heard by God in
worship of other gods as well.
heaven when recited at the Temple. Prayer assumed an im-
portance it did not have in the preexilic Temple, although
In 587/6 BCE the Babylonians conquered all of Judah
the psalms, many of them preexilic in origin, show evidence
and destroyed the Temple of Jerusalem. At that point reli-
that prayer and sacrifice coexisted even in earlier periods.
gious life, both in the devastated land and among the exiles
in Babylonia, Egypt, and elsewhere, could have gone one of
From praying “at” the Temple to praying elsewhere “to-
two ways. Sacrificial worship might have been undertaken at
ward” or “facing” it is a fascinating step in religious phenom-
substitute sites, which would have been the normal course.
enology, having relevance not only to postbiblical Judaism
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
936
BIBLICAL TEMPLE
but to Christianity and Islam as well. Islam substituted
day cultic studies, is G. B. Gray’s Sacrifice in the Old Testa-
Mecca for Jerusalem but insisted that in every mosque in the
ment (1925), which I have reissued with a prolegomena
world the qiblah (“niche”) be oriented toward a central spot,
(New York, 1971).
the focus of pilgrimage. Daniel, the wise seer of the exile,
Recent encyclopedias offer informative “state of the field” investi-
turned toward Jerusalem thrice daily when praying to God
gations. The Encyclopedia of Archaeological Excavations in the
while in exile (Dn. 6:11).
Holy Land, 4 vols., edited by Michael Avi-Yonah (Engle-
wood Cliffs, N. J., 1975–1978), is a heavily illustrated refer-
Throughout the centuries, Jewish pilgrims attempted
ence work that will lead the reader to information on the
and often succeeded in visiting the site of the Temple in Jeru-
modern exploration of ancient sites in biblical lands.
salem, but in fact Judaism accommodated itself to the loss
The Encyclopaedia Judaica, 16 vols. (Jerusalem, 1971), contains
of the Temple—to living without sacred space. It is still too
many easily located and informative articles on Jerusalem,
soon to speculate on the effects upon the Jewish religion of
the Temple, cult and ritual, with extensive bibliography. For
the modern resettlement of Israel, except to take note of the
those who read Hebrew, volume 5 of the Encyclopedia Bibli-
renewed importance of sacred space, as identified with Jeru-
ca, edited by Haim Beinart and Menahem Haran (Jerusalem,
salem.
1968), contains a series of articles by Menahem Haran and
Samuel Yeivin under “Miqdash” that are unexcelled for
S
sound scholarly judgment, breadth of view, and attention to
EE ALSO Altar; Iconography, article on Jewish Iconogra-
phy; Israelite Religion; Levites; Music, article on Music and
detail.
Religion in the Middle East; Pilgrimage, article on Contem-
Several specialized studies contribute to our understanding of the
porary Jewish Pilgrimage; Priesthood, article on Jewish
foundations of the two Temples of Jerusalem. The adminis-
Priesthood; Psalms; Rabbinic Judaism in Late Antiquity;
tration and funding of the Second Temple under the Seleu-
cids is incisively clarified in Elias J. Bickerman’s “Heliodore
Sacrifice; Synagogue; Tithes.
au Temple de Jerusalem,” in his Studies in Jewish and Chris-
tian History (Leiden, 1976), pp. 151–191. The movement
BIBLIOGRAPHY
toward cult centralization, as reflected in Deuteronomy, is ex-
Th. A. Busink’s Der Tempel von Jerusalem: Von Salomo bis Her-
plored with new insights by H. L. Ginsberg in his The Israeli-
odes, 2 vols. (Leiden, 1970–1980), is the most exhaustive
an Heritage of Judaism (New York, 1982). Ginsberg traces
study, encyclopedic in nature, on the two temples of Jerusa-
this religious movement to northern Israel of the eighth cen-
lem, providing discussion of everything from design and ar-
tury, and shows how it eventually overtook Judaea, as well.
chitecture to function, with numerous references to recent
The political implications of the Temples and their priest-
scholarly investigations. These volumes are replete with com-
hoods are investigated by Morton Smith in Palestinian Par-
parative evidence and are amply illustrated. The results of re-
ties and Politics That Shaped the Old Testament (New York,
cent excavations in the area of the Temple mount are sum-
1971).
marized, along with a survey of the physical history of
The phenomenology of the Temple as a house built for God is
Jerusalem by the leader of the excavations, Benjamin Mazar,
explored in my “On the Presence of the Lord in Biblical Reli-
in The Mountain of the Lord (Garden City, N.Y., 1975). This
gion,” Religions in Antiquity: Essays in Memory of Erwin Ram-
volume is well illustrated and synthesizes the archaeological
sdell Goodenough, edited by Jacob Neusner (Leiden, 1970),
and the textual evidence. It is popular in presentation but au-
pp. 71–87.
thentic. As a companion to Mazar’s volume, the reader is re-
The reader will also want to consult ancient sources outside the
ferred to Nahman Avigad’s Discovering Jerusalem (Nashville,
Bible, referred to in this article. The best available English
1983), a fascinating and well-illustrated report of the archae-
translation of the Mishnah is Herbert Danby’s Mishnah (Ox-
ologist’s recent discovery of the upper city of Jerusalem,
ford, 1933). The writings of the ancient historian Josephus
whose buildings, public and private, help to define the rela-
Flavius, translated by Henry St. J. Thackeray and Ralph
tion of the city to the Temples of Jerusalem, both in the pre-
Marcus, are available in volumes 1–5 and 7 of the “Loeb
exilic and postexilic periods.
Classical Library” (Cambridge, Mass., 1950–1961). Apocry-
Henri Frankfort’s The Art and Architecture of the Ancient Orient
pha and Pseudepigrapha of the Old Testament, 2 vols., edited
(New York, 1969) remains the most penetrating treatment
by R. H. Charles (Oxford, 1913), includes such works as Ben
of temple architecture and its relation to meaning and func-
Sira. Aristeas to Philocrates, or the Letter of Aristeas, has been
tion in the ancient Near East. Using examples drawn from
edited and translated by Moses Hadas (New York, 1951).
Syria—Mesopotamia and Egypt—Frankfort analyzes the
The Ta’anit Scroll (Die Fastenrolle) has been edited by Hans
physical development of major temples, and his insights shed
Lichtenstein in “Die Fastenrolle: Eine Untersuchung zur
light on the temples of Jerusalem as well.
Judisch-Hellenistis-chen Geschichte,” Hebrew Union College
On the subject of cult and ritual and the phenomenology of wor-
Annual 8–9 (1931–1932): 257–351. A newly discovered He-
ship in biblical Israel, two works, based on differing meth-
brew document, named the Temple Scroll, dating from the
ods, may be consulted: Menahem Haran’s Temples and Tem-
pre-Herodian period, and containing plans for a Jewish tem-
ple-Service in Ancient Israel (Oxford, 1978) and my own In
ple and laws for its cult has been published in a three-volume
the Presence of the Lord (Leiden, 1974). A collection of studies
English edition, translated and edited by Yigael Yadin (Jeru-
on various forms of sacrifice and their religious significance
salem, 1977).
is provided in Jacob Milgrom’s Cult and Conscience: The
New Sources
Asham and the Priestly Doctrine of Repentence (Leiden, 1976).
Bahat, Dan. “Below the Temple Mount.” BAIAS 16 (1998): 97–
An earlier work, highly influential in its impact on present-
104.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BINDING
937
Barker, Margaret. The Gate of Heaven: The History and Symbolism
tic religions). Or it may be ordinary mortals who bind and
of the Temple in Jerusalem. London, 1991.
loose, especially those who belong to a specialized sacred
Berman, Joshua. The Temple: Its Symbolism and Meaning Then
group (priests, shamans, wizards, magicians, etc.). The mate-
and Now. Northvale, N.J., 1995.
rials with which the bond is made are extremely diverse but
Collins, John Joseph. Jerusalem and the Temple in Jewish Apocalyp-
generally may be distinguished as either concrete or abstract.
tic Literature of the Second Temple Period. International Ren-
Equally numerous are the ends that the binding or loosing
nert Guest Lecture Series, no. 1. [Ramat Gan, Israel], 1998.
action is intended to serve, whether positive or negative. This
variety has been well illustrated in the works of Arnold van
Elior, Rachel. “The Jerusalem Temple: The Representation of the
Imperceptible.” Studies in Spirituality 11 (2001): 126–143.
Gennep, Gerardus van der Leeuw, and Mircea Eliade.
Hayward, C.T.R, ed. The Jewish Temple: A Non-biblical Source-
Scholarly interest in binding began in the first half of
book. London and New York, 1996.
the nineteenth century, when scholars such as Jacob B. List-
Mazar, Eilat, and Benjamin Mazar. Excavations in the South of the
ing (1847) and Peter Guthrie Tait (1879) became interested
Temple Mount: The Ophel of Biblical Jerusalem. Publications
in the question of knots. It was James G. Frazer, however,
of the Institute of Archaeology, the Hebrew University of Je-
who finally brought the problem to the attention of histori-
rusalem. Jerusalem, 1989.
ans of religion in the first decade of the present century. In
McCormick, Clifford Mark. Palace and Temple: A Study of Archi-
the wake of his studies of the concept of taboo and the bind-
tectural and Verbal Icons. Beihefte zur Zeitschrift für die alt-
ing action it exercised, Frazer (1911) saw the need to broaden
testamentliche Wissenschaft, no. 313. Berlin, 2002.
the scope of his research to include the special type of re-
Schmidt, Francis. How the Temple Thinks: Identity and Social Co-
straint constituted by the bond as such, its varieties and its
hesion in Ancient Judaism. Translated by J. Edward Crowley.
functions. Given Frazer’s predominant interest in magic, it
Biblical Seminar, no. 78. Sheffield, 2001.
is not surprising that he interpreted bonds as magical impedi-
ments. Despite the problems involved with such an emphasis
Schwartz, Max. The Biblical Engineer: How the Temple in Jerusa-
on the magical—itself inadequately conceived as prior to or
lem Was Built. Hoboken, N.J., 2002.
even opposed to religion—Frazer’s work had the merit of in-
BARUCH A. LEVINE (1987)
terpreting sacred bonds in terms of the specific historical cir-
Revised Bibliography
cumstances in which they are found, showing that the signif-
icance of a bond is relative to the positive or negative nature
of what it restrains. This latter aspect of Frazer’s work unfor-
BINDING. The motif of binding is widespread in the
tunately left little trace in the works of his successors, such
history of religions, in both the so-called primitive religions
as Isidor Scheftelowitz (1912) and Walter J. Dilling (1914).
and in the religions of both ancient and modern higher civili-
Today this historical dimension to the study of bonds and
zations. Its many, complex transpositions, often quite origi-
binding, initially opened up by the great English scholar, re-
nal, vary according to the cultural milieu and the historical
mains to be developed.
moment of which they are the expressions.
The less positive side of Frazer’s theory, namely the em-
Drawing on extraordinarily rich examples taken from
phasis on magic, has by contrast provided the direction for
the most diverse civilizations, phenomenologists of religion
more recent studies. This can be seen in the case of Georges
have called attention to the enormous sacred potential that
Dumézil. Dumézil’s researches, carried out in the 1930s,
is polarized around acts of physical and symbolic binding,
were based upon studies of deities of the Vedic religion of
to the concretization of this potential in the form of knots,
ancient India, Varun:a most especially, but also Mitra, Vr:tra,
and to the importance of the opposing act of loosening a
Indra, Yama, and Nirr:ti. These deities were believed to pos-
bond. In many traditional cultures, important mythical
sess snares or at least to be endowed with the ability to bind
events are believed to be the result of the fastening or loosen-
their enemies and ensnare evil human beings. Accepting the
ing of bonds. Actions of binding and loosing frequently
thesis of the magical value of binding in toto and uncritically,
occur at the center of rituals, both cultic rituals that involve
Dumézil identified a structure of magical binding within the
superhuman beings, and autonomous rituals that are effica-
royal function of ancient Indo-European culture, a function
cious in themselves, such as the so-called rites of passage, rites
that was itself associated with magic.
of purification, and, above all, magic.
Dumézil’s findings were based largely on Indo-
The agents of these actions of binding and loosing vary
European cultures. A decade later, however, Eliade, in an ele-
according to circumstances. They may be superhuman be-
gant effort to reinterpret Dumézil’s conclusions, demonstrat-
ings of the most diverse kinds, whether located at the time
ed the presence of what he called the “binding complex” in
of origins (as, for example, the creator, the first man, the
other civilizations as well, both higher civilizations (for exam-
dema, the trickster, the culture hero, the totemic ancestor,
ple, in the Semitic world) and in primitive ones, and on sev-
and so on), or believed to be still acting in the present (as,
eral different planes: cosmological, magical, religious, initia-
for example, the supreme being, the earth mother, fetishes,
tory, metaphysical, and soteriological. Although he initially
spirits, ancestors, polytheistic gods, or the god of monotheis-
followed the Frazer-Dumézil line, Eliade soon departed 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
938
BINDING
it, distancing himself from the conflicts over the presumed
lassos, traps, nets, and so forth, with which the sun, moon,
necessity of interpreting every binding action exclusively in
or clouds are captured, or with which one snares the spirits,
terms of magic or in strict accordance with French trifunc-
are the same as those with which on other occasions poles
tionalism. Beyond the diverse historical forms assumed by
are tied together in the construction of a hut, wild animals
the binding motif in the most diverse cultural surroundings,
are captured, and fish caught. There is nothing extraordinary
Eliade attempted to identify an archetypal form of binding
in these bonds, except for the increase in power that their use
that would find different realizations on an infinite variety
normally confers on the person who employs them.
of levels. In the process, he demonstrated that it was possible
to interpret the various forms of binding in nonmagical
These facts should lead us to reflect on the enormous
terms. At the same time, however, his work was indicative
importance that fibers used for weaving and spinning, ropes,
of the problematic status that the question of binding contin-
lassos, nets, and other means of binding have for peoples
ues to have in historical comparative studies. Although there
with a technology that is still at a rudimentary level. Such
are particular studies concerning this or that type of sacred
simple materials and implements are needed for the capture
bond that are founded on a rigorously historical basis, in gen-
and domestication of animals, and for making weapons, gar-
eral the scholarly world continues to address the issue merely
ments, utensils, containers, pottery, and so on. These are the
on the phenomenological level, thereby leaving the question
tools and instruments by which the labor potential of homo
of the historical foundations of the binding motif unre-
faber can be significantly increased beyond its natural limits,
solved.
so as to enable the social group to establish greater control
over reality, especially over those sectors that most closely
On the properly historical level, however, it seems possi-
concern economic interests and that would otherwise be too
ble, and indeed necessary, to establish the precise relation be-
difficult to master. There is nothing strange, therefore, in the
tween the sacred value of the bond and the type of reality
constant tendency of primitive cultures to transpose the tech-
that lies at the origin of this value; to explain why such a phe-
niques and the tools used to perform a binding action onto
nomenon arises, and under what circumstances.
a superhuman level. The main goal of this transposition is
The fact that sacred bonds are known in even the most
to strengthen their supposedly extraordinary nature and to
archaic cultures suggests that we should seek an answer to
place their beneficial effects under the care of the supernatu-
these questions in primitive societies before confronting
ral beings who are often believed to be the source of these
them on the level of higher civilizations, with their more ab-
marvels. In this way their use can also be protected from pos-
stract symbolism. To take only one example, an observation
sible risks by means of appropriate ritual practices.
made by Raffaele Pettazzoni in his comparative study of the
confession of sins contributes more to our understanding of
Spinning and weaving provide numerous examples of
the “snares” used by the Vedic god Varun:a than does the so-
such transposition. These techniques in particular involve
phisticated tri-functional theory of Dumézil. Pettazzoni
the activity of binding and tying (one thinks of the countless
noted how often primitive peoples try to concretize their sins
loops, weaves, and knots to be found in even a tiny piece of
in the form of knots, tied in various kinds of material (ropes,
fabric). For example, among the Bambara of Mali, the spin-
lianas, vegetable fibers, etc.). He went on to interpret the
dle and the batten, originally the possessions of Faro, the lord
Vedic motif of binding as “the primitive idea of evil-sin as
of the waters, were granted by him to human beings, whom
a fluid wrapping the sinner like the meshes of a net” (La con-
he also instructed in their use. Thus the first work of a weaver
fessione dei peccati, vol. 1, Bologna, 1929, p. 230).
cannot be used, but must be thrown into the river in honor
of the superhuman being. The Dogon, on the other hand,
It is characteristic of the religions of primitive peoples
link the invention of spinning and weaving directly with the
that sacred bonds, of whatever type they may be and whatev-
myth of the origin of the world. Among the Ashanti various
er their function, are viewed in a way that is not at all dissimi-
sacred precautions are taken to protect weaving. It is usually
lar to the normal, concrete bonds used in the most varied cir-
exclusively reserved for men, or else for women who have
cumstances of everyday life: the means by which a shaman
passed menopause; the work cannot be begun or finished on
attempts to “capture” the soul of a sick person to bring it
Friday, the day on which, according to tradition, the use of
back to the body is an ordinary lasso, of the type ordinarily
weaving had been introduced into the land; menstruating
used to stop a running animal or to prevent it from straying
wives of weavers must not touch the loom or speak to their
off. Similarly, among the Aranda, an ordinary rope repre-
husband for the entire duration of the period of impurity;
sents the means by which the Tjimbarkna demons tie up at
and in the case of adultery with another weaver, a goat must
night men whom they want to harm. Akaanga, the lord of
be sacrificed on the loom. In the so-called weaving schools
the dead for the Aranda inhabitants of Harvey Island, Aus-
found among the Maori of New Zealand, the technical pro-
tralia, is believed to capture the deceased by means of a real
cedures and the sacred practices are taught at the same time.
net, of the kind used by fishermen. There are many such
The sacred practices must be scrupulously observed through-
examples.
out the work in order to increase the weaver’s skill. Weavers
The same parallel between sacred and ordinary bonds
must be initiated into the profession by a priest, and are re-
is found in the mythologies of primitive peoples. Here the
quired to follow various alimentary taboos and protect 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
BIOETHICS
939
work from the harmful gaze of strangers, in order to prevent
Rich in examples of the use of sacred bonds are Arnold van
the loss of their own inventiveness and mastery.
Gennep’s Les rites de passage (Paris, 1909), translated as The
Rites of Passage (Chicago, 1960); Gerardus van der Leeuw’s
In addition to spinning and weaving, other specific
Phänomenologie der Religion (Tübingen, 1933), translated as
binding actions, such as the working of fibers and wicker to
Religion in Essence and Manifestation, rev. ed. (New York,
produce ropes, baskets, nets, traps, and so forth, are project-
1963); and Mircea Eliade’s Patterns in Comparative Religion
ed onto the sacred plane. In the beginning they are the exclu-
(New York, 1958). More detailed studies are two now-classic
sive property of superhuman beings of various kinds, who
works of Georges Dumézil, Ouranós-Váruna (Paris, 1934)
decide at a certain point to transmit the practice to human
and Mitra-Varun:a, 4th ed. (Paris, 1948), and Mircea Eliade’s
beings. The Athapascan-speaking Wailaki of northwestern
“The ‘God Who Binds’ and Symbolism of Knots,” in his Im-
California relate that the culture hero Kettanagai taught peo-
ages and Symbols: Studies in Religious Symbolism (New York,
ple to weave ropes, baskets, and fishing nets after the flood.
1961), chap. 3.
Among the Diegueño of southern California the art of work-
Reinterpretations of the concept of magic in rigorously historical
ing wicker through weaving was included in the comprehen-
terms can be found in Il mondo magico, by Ernesto de Mar-
sive knowledge that exploded from the head of the primordi-
tino (Turin, 1948), and in Magia: Studi di storia delle reli-
gioni in memoria di Raffaela Garosi, edited by Paolo Xella et
al serpent and spread throughout the world. The Hopi, for
al. (Rome, 1976). Enrico Cerulli discusses the sublimation
their part, maintain that Spider Woman, a superhuman
at the sacred level of the arts of spinning and weaving in “In-
being connected for several reasons with spiders, and who
dustrie e tecniche,” in Ethnologica, vol. 2, Le opere dell’uomo,
had directly collaborated in creation, taught the Indians to
edited by Vinigi Grottanelli (Milan, 1965). On the theme
spin and weave cotton. Among the eastern Pomo (north cen-
of binding action and bonds, see both Raffaele Pettazzoni’s
tral California), Marunda first created men by weaving his
Miti e leggende, 4 vols. (Turin, 1948–1963), and G. M. Mul-
own hair and, immediately thereafter, wicker; he then taught
lett’s Spider Woman Stories (Tucson, 1979).
the art of working wicker to humanity.
GIULIA PICCALUGA (1987)
The ever closer relationship that is being established by
Translated from Italian by Roger DeGaris
the comparative history of religions between the sphere of
work and the sphere of the sacred in the explanation of the
activity of binding may furnish us with the possibility of
BIOETHICS. Bioethics as a discipline clearly did not
going back to quite precise and concrete historical roots, and
begin fully developed, and its origins are somewhat unclear.
to the corresponding economic substrata of all types of
Very remote origins can be traced to late medieval discus-
bonds, temporarily bypassing the complex and sophisticated
sions in Roman Catholicism concerning what means were
symbolism with which they are often associated in higher
required to preserve life in the face of illness. These discus-
civilizations. This more complex symbolism, once con-
sions, commented on by the majority of theologians, initiat-
demned to obscurity through the now outmoded label of
ed the famous distinction between ordinary and extraordi-
“magical,” may itself finally find a more fitting, definite, and
nary means of preserving life. The assumption was that all
substantial clarification.
had an obligation to preserve their own lives because life was
Thus we may expect to find that behind the “snares” so
a gift of God and while humans exercised stewardship over
skillfully manipulated by this or that god in the Indo-
life, they had no dominion over it. Thus the question became
European, Indo-Iranian, or Semitic areas (zones with a pas-
“does proper stewardship mandate doing everything possible
toral economy in antiquity) in order to prevent deviations
to preserve life?” The clear consensus throughout the Middle
from the just order of things stand the actual snares (or las-
Ages was that it did not: one did not need to be a hero and
sos) with which the society of primitive stockbreeders, dur-
submit to any number of painful and marginally useful treat-
ing their continual migrations in search of new pastures,
ments, nor did one have to bankrupt one’s self or one’s fami-
maintained control over their herds, the almost unique
ly, nor did one have to move to a better climate, or seek out
source of their subsistence. Snares stood, therefore, as a pre-
the best and most healthful foods. If one would be embar-
cious guarantee of the proper course of reality.
rassed by a physical examination, one could decline the
exam. Thus began a long conversation over the problem of
SEE ALSO Knots; Webs and Nets.
the ethical management of one’s death.
In various religious communities this tradition contin-
BIBLIOGRAPHY
ued in pastoral counseling: the provision of theological guid-
For research on the extent to which binding is associated with reli-
ance to those in various crises, spiritual, moral, or medical.
gious activity, three works dating from the 1910s are still in-
Pastoral counseling in some form was an element of all de-
dispensable: James G. Frazer’s The Golden Bough, 3d ed., rev.
& enl., vol. 3, Taboo and the Perils of the Soul (London,
nominations, more formal in some and more individualized
1911); Isidor Scheftelowitz’s Das Schlingen- und Netzmotiv
in others. But the reality of religious institutions both reflect-
im Glauben und Brauch der Völker (Giessen, 1912); and Wal-
ing on and expressing their concern for the sick and dying
ter J. Dilling’s “Knots,” in the Encyclopaedia of Religion and
ensured that questions of significance related to medical
Ethics, edited by James Hastings, vol. 7 (Edinburgh, 1914).
practice would be an important part of the 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
940
BIOETHICS
Thus in the United States, the real locus of the begin-
gious studies seem to do much of their professional work in
ning of bioethics as a discipline, when questions about the
bioethics through special sessions or programs in associations
application of new technologies in medicine began to come
such as the American Academy of Religion, the Society of
to the fore, particularly issues of death and dying—the use
Christian Ethics, the Society of Jewish Ethics, and other de-
and removal of ventilators, the distribution of the scarce re-
nominational professional societies.
source of the kidney dialysis machine—theologians were re-
While many individuals at work in the field of bioethics
ceptive and, because of the religious bioethics tradition, did
are theologians or in the field of religious studies, the disci-
not have to begin from square one. A conversation was al-
pline seems to have moved from these to other academic dis-
ready in place and new questions could be brought in and
ciplines as new questions are examined and new discussions
the conversation furthered.
established. This shift may also reflect a growing seculariza-
The first formal structuring of bioethics took place at
tion and pluralism within American culture and a greater in-
the Hastings Center—founded in 1971 and originally
terest in the public policy dimensions of bioethical debates,
known as the Institute for the Study of Ethics and the Life
debates in which religious perspectives are seen as particular-
Sciences. While these developments occurred under the di-
ly divisive. Thus the religious perspective, though the inspi-
rection of the center’s founders, a philosopher and a psychia-
ration for many of the early discussions in bioethics, has now
trist, the majority of the individuals in the first groups invit-
moved to the side as new disciplines bring their perspectives
ed to meetings were theologians or people in religious
forward.
studies, or clergy. While the perspectives brought to the table
A SHIFT IN CONTEXT. Probably one of the largest shifts in
were sectarian, the discussions were surprising ecumenical
bioethics has been from clinical perspectives to public policy
and nondoctrinaire. This mix of participants also character-
issues. The early decades of bioethics were centered on the
ized the first Presidential Bioethics Commission.
clinical experience of the physician-patient relationship. In
Philosophers were also part of this early mix but their
part this was because of the case-oriented nature of bioethics’
entry was more difficult, perhaps because many philosophers
theological background, but it was also because the physi-
were, at that time, trained in the analytic tradition and were
cian-patient relationship was the dominant locus of the prac-
more interested in problems of theory. Thus the turn to prac-
tice of medicine. Here the discussion, from both theological
tice was a little complicated and was not fully validated until
and philosophical perspectives, centered on the values of the
the development of the field called applied philosophy, an-
patient and the physician, how they complemented each
other birth accomplished only under difficult circumstances.
other, how they clashed, whose would take priority, and how
While theory has always been part of theological reflection,
were both of their value sets to be respected in practice. In
people in theology and the ministry in particular were used
these discussions, principles were appealed to as well, wheth-
to discussion of cases and were immediately attuned to the
er theological or philosophical. But the focus of the discus-
specifics of the problems brought to bioethics.
sion was always the individual patient and the individual
physician. Both theology and philosophy were comfortable
Following the foundation of the Hastings Center and
with this framework.
then of the Kennedy Institute of Ethics, bioethics saw a blos-
soming of undergraduate courses and bioethics centers na-
The problem now is that both the field and the critical
tionwide. These centers were staffed by individuals who had
questions in bioethics have moved from a primary emphasis
theological or philosophical training, but were typically not
on the physician-patient dyad to how that dyad is under-
versed in the sciences or the new developments in medicine
stood within the context of a variety of public policy issues,
and technology. Thus one of the first functions of both of
relating to such complexities as the variety of health insur-
these bioethics centers was to offer summer courses in the
ance plans, hospital organization, research agendas, the fund-
new field to get people scientifically and technically up to
ing of public and private health-care delivery systems, and
speed. Eventually these people found their way into medical
the requirements of care for a variety of specialized popula-
schools and programs in medical ethics and medical humani-
tions: the newborn, the disabled, the incompetent, the aging.
ties became an established part of the medical curriculum.
A major focus is now on what could be termed institutional
bioethics, in that the questions have to do with issues of jus-
These developments were quickly followed by the cre-
tice within the system of health care itself and with what ser-
ation of graduate courses, journals, conferences, graduate
vices are available and to whom and how are they delivered.
programs, and a professional society: the American Society
of Bioethics and Humanities. This society, as the premier
Needless to say, such questions give rise to a variety of
professional bioethics organization, is reflective of major
competing values-based positions regarding priority of
changes in the field. Only a minority of the society’s mem-
needs, equitable distribution of resources, and ease of access
bers comes from theology or religious studies backgrounds.
to various programs. While religious communities are both
The majority comes from the social sciences, medicine, liter-
providers of health care and participants in these discussions,
ature, anthropology, and so on. Although there have been
the public debate is complicated by the presence of a variety
sessions on religion at the society’s meetings, they are not a
of competing actors: insurance companies, HMOs, advocacy
standard feature of conventions. People in theology or reli-
groups for various diseases and programs, and the Social Se-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIOETHICS
941
curity, Medicare, and Medicaid programs to name just a few.
for other resolutions regarding the permissibility of such re-
While all recognize that values are at the center of the debate,
search as well as the funding of it.
the pluralistic nature of U.S. society is a complicating factor
In general, religious communities in the United States
precisely because of the competition of values originating
have varied considerably in their reaction to this solution.
from so many different communities.
The most conservative is the Roman Catholic community,
While it is the case that a variety of forms of national
which prohibits absolutely any direct abortion or any proce-
health care exist in many other countries, many of these plans
dure that involves killing the embryo, though it does permit
are beginning to experience crises stemming from the need
research designed to benefit the fetus. This leads to the posi-
for increased funding, a demand for improved services and
tion that any research predicated upon the destruction of
better and more rapid access to them, and the pressures put
human embryos is totally prohibited, regardless of whether
on such systems by the needs of an expanding population of
the cell lines are already in existence or generated and de-
aging citizens. Additionally, due to recent immigration into
stroyed for a specific research project. This position is shared
Europe, the problems associated with pluralism are begin-
by the Orthodox Bishops of America for precisely the same
ning to be experienced there, and this will undoubtedly have
reason: the sacredness of human life from its inception. The
an impact on various national health-care systems. Many of
other religious denominations typically approve of some
the debates in the United States will soon be part of the dis-
abortions under certain circumstances, though this moral ap-
cussion in Europe.
proval is given reluctantly.
EMBRYONIC STEM CELL RESEARCH: AMERICAN PERSPEC-
Many other denominations tend to be conservative on
TIVES. One particularly contentious debate in the field of
the use of the embryo in research, typically arguing against
bioethics concerns the question of at what developmental
the embryo’s being reduced to an object and its possible
stage human life becomes subject to morally and legally man-
commodification. Officials in the Methodist Church have
dated protections. In the United States, this debate was
suggested a moratorium on embryonic stem cell research and
brought into focus by the 1973 U.S. Supreme Court case Roe
already deplore the use of research that produces what they
v. Wade. This decision decriminalized abortion in the first
call waste embryos. The Presbyterian Church, which both
trimester, permitted some state regulation of abortion within
recognizes the moral status of the embryo/fetus and also sup-
the second trimester, and permitted more regulation in the
ports a woman’s right to abortion, affirms the use of fetal tis-
final trimester. It set off both a firestorm of debates and
sue and embryonic stem cells from surplus embryos from
about 1.3 million abortions per year in the United States,
IVF for research that could lead to lifesaving breakthrough
though these figures vary by the year. The debate has been
in medicine. They require a proportion between the signifi-
complicated by the introduction of a variety of fetal diagnos-
cance of the research and the destruction of the embryo.
tic technologies, including preimplantation genetic diagno-
Judaism affirms the traditional doctrine of stewardship
sis, and of prenatal technologies such as amniocentesis and
by acknowledging that our bodies are on loan to us from
ultrasound. Additionally, part of the practice of in vitro fer-
God. This then generates a corresponding obligation to seek
tilization (IVF) is the freezing of embryos not immediately
cures for diseases. However, in Judaism, as in Christianity,
used to achieve a pregnancy. Their status and disposition has
one finds a variety of positions. The more liberal position ar-
been the subject of moral, religious, clinical, court, and pub-
gues that because abortions are permitted, based on the Tal-
lic policy debates. Finally, given the possibilities of embryon-
mudic teaching that for the first forty days the fetus is as
ic stem cell research, new questions are being raised: can
water, one could argue that the destruction of the fetus is not
human embryos be generated expressly for research purposes,
murder. Such destruction would be possible as one way of
are human embryos generated by cloning morally the same
fulfilling the obligation to seek cures for serious diseases.
as those generated in the customary way, and might frozen
Other experts within Judaism are more conservative in their
embryos be used in this research? The public policy of the
position on abortion. Therefore, they do not support the de-
Bush administration enunciated in August 2002 was a politi-
struction of embryos for research. Because of their concern
cal finesse that permitted federally supported research on al-
for protecting human life, these experts would limit such re-
ready existing lines of cells derived from embryos, but pro-
search with stringent regulations. Still others respond that
hibited the creation of any new cell lines for research from
such limitations on research, though intended to protect
either embryos in storage in IVF clinics or embryos generat-
human life, also erect barriers to curing disease, relieving pain
ed expressly for such research. Originally scientists thought
and suffering, and promoting health.
that there might be some sixty-three such cell lines available
for research but the actual number of useable lines is around
Public policy implications. This debate has complicat-
ten. Many hailed this decision as an appropriate compromise
ed the public policy process of deciding on whether embryos
that permitted some research to go forward but also protect-
can be used in research in at least two ways. First, there is
ed human life by prohibiting the future destruction of em-
great controversy over who is appointed to various commis-
bryos for this project. Additionally, in 2003 and 2004, the
sions. Second, there is debate within the commissions them-
states of California and New Jersey passed legislation permit-
selves. And both are subsets of the critical litmus test in U.S.
ting embryonic stem cell research, thus setting a precedent
politics: one’s position on the moral status of the human em-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
942
BIOETHICS
bryo. The goal in appointing national commissions is to
Background. In Europe in general, there has been rela-
achieve balance or adequate representation of particular posi-
tively strong resistance to a variety of forms of genetic engi-
tions, especially those that represent the main constituencies
neering, whether applied to humans, animals, or crops. This
of the one doing the appointing. That process then creates
movement has been particularly strong in Germany, an un-
problems for the commission in its deliberations, frequently
derstandable position given the eugenic dimension of the
manifest by lopsided votes or minority reports, or by the final
National Socialist Party. Other countries, including Ireland,
recommendations not being accepted or being left to lan-
have constitutions that give strong protection to early human
guish. The main problem is that the politicization of the pro-
life. England permits both cloning for therapeutic purposes
cess inhibits genuine debate and research that might prove
(generating embryos for therapy in the donor of the cell) and
profitable for the country as a whole. Additionally, while the
the use in research of human embryos and cells from them
individuals chosen for such panels or commissions are gener-
so long as embryos are no more than fourteen days old.
ally qualified, the main criterion guiding their selection is
The Commission of European Bishops’ Conferences
their advocacy of a particular viewpoint.
has criticized the actions of the EU with respect to stem cell
EMBRYONIC STEM CELL RESEARCH: EUROPEAN PERSPEC-
research. The conference recommends the prohibition of EU
TIVES. In Europe the situation is somewhat different and is
funds for research on human embryos and embryonic stem
a function of the developing policies of the European Union
cells primarily because of the intrinsic value of human life
(EU) and of how the legislation of individual countries with-
at all stages of development. Thus such material should not
in the EU relate to them. The situation is also complicated
be used for research, regardless of any good ends to which
by the political situations and religious traditions of various
the research might be put. Additionally the bishops argue
countries. And the situation is very dynamic.
that there is yet to be found any clear evidence for any thera-
peutic benefits from such research.
The nub of the issue is the question of whether human
embryos can be generated for research or whether only sur-
The cultural and religious situation in Europe is moving
plus embryos from IVF clinics can be used. In November
from positions of relative homogeneity to that of pluralism.
2003, the European Parliament, in a 298-242 vote with 21
This is due to population changes resulting from immigra-
abstentions, voted to permit the use of EU funds for experi-
tion, the changing status and level of political power of the
menting on human embryos that were no older than four-
Catholic Church in historically Catholic countries, and pres-
teen days and were from IVF clinics. In the Parliament’s En-
sure from various groups, both governmental and private, to
vironmental Committee, amendments to ban human
advance the participation of the EU in genetic research. At
embryonic stem cell research were blocked. The European
stake are religious and cultural values as well as vast economic
Union Industry Committee, in a 28-22 vote with 2 absten-
consequences. The final resolution of the specific issue of the
tions, permitted the use of such cells for research under strict
use of human embryos in research as well as the larger ques-
conditions. In addition, this committee stated that the fund-
tion of the reconfiguration of religious and cultural values in
ing should depend both on the contents of the research pro-
the EU is yet to be determined. But this resolution will pres-
posals and the legal framework of the individual country. Ad-
ent a major case study in how such resolutions are brokered.
ditionally, the committee ruled that priority should be given
CONCLUSIONS. The beginnings of bioethics occurred within
to adult stem cells; it also permitted the funding of research
the context of religion broadly understood. Various denomi-
using embryonic or fetal cells from spontaneous or therapeu-
nations had pursued bioethical questions for long periods of
tic abortions. In December 2003, the EU voted not to
their history, but typically within the context of pastoral
permit the use of EU money on research using new human
counseling or the resolution of particular cases at the bedside.
embryos.
As bioethics became more of an academic discipline, the ori-
entation shifted from a religious perspective to a more philo-
With respect to individual members of the EU early in
sophical one. However, as public policy issues related to bio-
the twenty-first century, Belgium, Denmark, Finland,
ethics began to be debated, religious issues came to the fore
Greece, the Netherlands, Sweden, and the United Kingdom
once again, both in terms of the content of policy proposals
permit taking cells from surplus embryos for research. How-
and in terms of the selection process that determined the
ever, Austria, Germany, France, Ireland, and, under some
membership of bioethics committees.
circumstances, Spain prohibit such obtaining of these cells.
Luxembourg, Italy, and Portugal have no specific legislation
In the United States at the present time, there is a signif-
as of 2004. Nonetheless, Italy is proposing legislation to pro-
icant debate over the place of religion in discussions of public
hibit any research on generating embryos for research and the
policy. But the terms of the debate are far from clear. Some
destruction of human embryos. Spain, however, appears to
buttress their arguments by appealing to the so-called tradi-
be ready to permit obtaining cells from surplus embryos
tional Christian heritage of the United States. Others point
from IVF if donor consent is obtained. Germany permits the
out the difficulties of that position in light of the United
use of human embryos for research only if the cells have been
States’ current religious heterogeneity. Yet others argue that
imported and if the research is critical and no alternatives to
religion is being marginalized in favor of a secularized society
human embryonic stem cells are available.
through attempts to eliminate religious voices from the 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
BIOGRAPHY
943
bate. Others still argue that religious positions or institutions
Mackler, Aaron L. Introduction to Jewish and Catholic Bioethics: A
are being favored by the government through voucher pro-
Comparative Analysis. Washington, D.C., 2003.
grams and public funding of some religiously based charities.
Peters, Ted. For the Love of Children: Genetic Technology and the
Just who is on what side of the debate seems occasionally to
Future of the Family. Louisville, Ky., 1996.
vary from case to case, the result being an increasing cacoph-
Post, Stephen G., editor-in-chief. The Encyclopedia of Bioethics. 3d
ony in the public arena.
ed. New York, 2003.
What is clear is that, in Western culture, religion is im-
Shannon, Thomas A., and James J. Walter. The New Genetic Med-
portant for many citizens and that believers expect some de-
icine: Theological and Ethical Reflections. Lanham, Md.,
gree of coherence between their beliefs and their social life.
2003.
Religion is not simply a private belief system; it has personal
Verhey, Allen, ed. Religion and Medical Ethics: Looking Back, Look-
and social behavioral implications. Additionally, we assume
ing Forward. Grand Rapids, Mich., 1996.
that religious bodies, as well as individual representatives of
Walter, Jennifer K., and Eran P. Klein, eds. The Story of Bioethics:
those bodies, have the right to participate in public debate
From Seminal Works to Contemporary Exploration. Washing-
over public policy. And while in theory many will agree that
ton, D.C., 2003.
one’s religious beliefs should not be a litmus test for partici-
THOMAS A. SHANNON (2005)
pation in office or committees, those beliefs are in fact be-
coming increasingly important in nominating processes and
elections.
Nonetheless, bioethics should not shed or attempt to
BIOGRAPHY. The subject here is best termed sacred bi-
eliminate its religious heritage. That heritage has been excep-
ography, which most precisely designates the written ac-
tionally helpful in the analysis and resolution of many ques-
counts of lives of persons deemed to be holy, although its
tions in bioethics. What needs to be added to this heritage
usage is extended also to oral traditions concerning such fig-
is a new chapter of ecumenical reasoning and of dialogue be-
ures. The reason for allowing this wider usage is clear: in
tween all religious traditions. What is also needed is a focused
most contexts it was oral traditions that not only preceded
reflection on the process of conducting public policy debates,
but also largely shaped the later, written versions. The cate-
with respect to the religious traditions represented, to the
gory of sacred biography is bounded on one side by mytholo-
merging of these traditions, and to the public presentations
gy—that is, narratives concerning gods and other beings
of the positions of these traditions. The contribution of these
thought to be supernatural—and on the other side by biogra-
traditions to the public debate is important not only because
phy, efforts to reconstruct credible accounts of the lives of
of the inherent value of their positions, but also because reli-
ordinary human beings. It might also be defined as a genre
gious viewpoints may bring out or highlight facets of the
that mixes myth and biography: unlike the former, its sub-
public policy debate that might be missed or undervalued by
jects are held even today to have actually lived but, unlike
others. Such a contribution will be made, however, only
the latter, the received versions of their lives are often heavily
when the religious traditions can articulate these positions in
mythologized.
a language and style accessible to a broad public. This is the
Whereas mythology will usually tell only of random
challenge for the new religiously based bioethics.
deeds of deities in a largely episodic and nonconsecutive
manner, the subjects of a sacred biography will tend to be
BIBLIOGRAPHY
treated as persons whose life stories need to be told as discrete
Catholic News Service. “European Bishops Oppose EU Funding
and continuous lives. The subject of a sacred biography will
of Stem-Cell Research.” Available at www.cwnews.com/
tend to be treated as someone whose life story can be told
news.
from birth to death and, to that degree at least, as it would
CellNews. “EU to Fund Stem-Cell Research Despite Split.” Avail-
be treated in a secular biography. The difference from the
able at www.geocities.com/giantfideli.
latter, however, lies in the degree to which such a subject will
Cole-Turner, Ronald, ed. Beyond Cloning: Religion and the Remak-
be represented as carrying out a divinely planned mission,
ing of Humanity. Harrisburg, Pa., 2001.
being the possessor of a “call” or visions authenticating such
Council of Europe. “Convention for the Protection of Human
a mission, and having either infallible knowledge or super-
Rights and Dignity of the Human Being with Regard to the
natural powers. Individual instances of this genre differ in
Application of Biology and Medicine: Convention of
the degree to which they exemplify either the empirical or
Human Rights and Biomedicine.” Available at
www.conventions.coe.int/treaty/en/treaties.
the mythological sides of the spectrum, but some degree of
combination is present in all. Most sacred biographies are
Davis, Dena S., and Laurie Zoloth, eds. Notes from a Narrow
Ridge: Religion and Bioethics. Hagerstown, Md., 1999.
written either about the founders of the major religions or
about saints—in which case this rubric overlaps with hagiog-
Hanson, Mark J., ed. Claiming Power over Life: Religion and Bio-
technology Policy. Washington, D.C., 2001.
raphy. In order to illustrate the genre our consideration here
will focus upon sacred biographies of the founders.
Holland, Suzanne, Karen Lebacqz, and Laurie Zoloth, eds. The
Human Embryo Stem Cell Debate: Science, Ethics, and Public
HISTORY OF THE DESIGNATION “SACRED BIOGRAPHY.”
Policy. Cambridge, Mass., 2001.
The detection or designation of sacred biography as a genre
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
944
BIOGRAPHY
of oral and written literature with its own structure and rules
routinization in his Sociology of Religion (Chicago, 1944). He
was initially a concomitant of that nineteenth-century schol-
discussed in some detail the founders of the great religions
arship which, under the aegis of positivist expectations and
and took note that the term founder “does not denote any
the use of an objective historical method, had sought to dis-
intrinsic quality or activity of the personality but refers to the
entangle the incontrovertible “facts” of the life of Jesus of
historical and sociological effect of his charisma.” He went
Nazareth from the overlay both of pious fabrications and
on to state that “virtually all the founders became objects of
Christological dogma. The intention of this process of win-
religious veneration themselves.” Although Wach tended to
nowing and reconstruction was captured best in Albert
give causal priority to the founder and his teaching, he went
Schweitzer’s phrase “the quest of the historical Jesus.” To
further than others before him in recognizing an element of
some extent Schweitzer’s work, while not terminating the
reciprocal generation in this phenomenon: at least in a socio-
search for verifiable facts, did signal the end of the nine-
logical sense, the religious community creates its founder al-
teenth-century scholars’ confidence that they could simply
most as much as the founder creates the community. There-
circumvent or dispense with the piety and Christology of the
fore, the message of the founder will often tend to be
early Christian community and thereby disclose the “facts”
“implemented by miraculous acts, such as healing, feeding,
of Jesus’ life. When twentieth-century scholarship aban-
transforming matter, etc.” In this “hagiographical develop-
doned that part of the earlier “quest,” it became possible to
ment” will be illustrated “the specific personal charisma
see that the Gospels are not merely flawed or failed biogra-
which designates the man of God in an unmistakable and
phies but a form of devotional literature of the early church,
uninterchangeable way.”
and, to that extent, examples of a genre with its own inten-
tions and norms. As a result scholars came to see the rubric
Wach, who brought a detailed knowledge of many reli-
of sacred biography as discrete and legitimate for the first
gious traditions to his comparative efforts, tried as much as
time. They recognized that the documents in question ought
possible to retain the particularity of the separate traditions.
not merely to be sifted through for the purpose of separating
His focus on the social matrix of religious traditions also led
fact from fiction, but that they had to be subjected to the
him to emphasize the relationship that each founder of a
more sophisticated type of analysis known as “form criti-
major religion had to his own circle of disciples. His 1924
cism.”
essay on this topic shows how central it was in his thinking
(Eng. trans., “Master and Disciple: Two Religio-Sociological
With this perspective such studies could also become
Studies,” Journal of Religion 42, 1962, pp. 1–21). The im-
comparative and cross-cultural for the first time. Important
portance of this essay is that it reconstructs the psychological
in this development was Martin Dibelius’s Die Formgesch-
and social interaction between a master and his disciples—
ichte des Evangeliums (Tübingen, 1919), translated as From
precisely the element that would seem to have frequently
Tradition to Gospel (New York, 1935). Dibelius referred to
been the prelude to a later mythic embellishment of the de-
a “law” at work in such biographies and noted that there ex-
ceased master’s life in the form of sacred biography.
isted “many points of agreement between Buddha-legends
and Jesus-legends” as well as between the saints of otherwise
Although Mircea Eliade did not specifically elaborate a
very different traditions. He claimed that this was a “law of
new theory of sacred biography, his discussions of the para-
biographical analogy leading to formulations constantly re-
digmatic and exemplary nature of sacred time had a deep im-
newed” rather than a pattern that arose from cultural bor-
pact upon many scholars working on biographical materials
rowing or diffusion. As examples he noted that various tradi-
of the past. This influence is clearly evident in the most com-
tions separately articulate “a fixed idea of the life of the holy
prehensive study of this topic to date, namely, The Biographi-
man: such a man may neither be born nor die without the
cal Process: Studies in the History and Psychology of Religion,
significance of the event being proclaimed from heaven.”
edited by Frank E. Reynolds and Donald Capps (The
Likewise his calling is announced in his youth and he has di-
Hague, 1976).
vine powers at his disposal throughout his life.
SACRED BIOGRAPHY AND THE GREAT FOUNDERS. The cru-
Although Dibelius arrived at this formulation through
cial importance of the concept of sacred biography in mod-
his analysis of the literary form of the Christian Gospels, his
ern scholarship is that it has forced attention to certain kinds
attribution of intrinsic value to sacred biography implicitly
of materials that had tended to be slighted, dismissed, or re-
recognized that the early Christian community had quite
garded as uninteresting to intellectual historians and positiv-
properly had the decisive role in shaping the account of the
ist text critics. It acknowledges that the formation of the
life of Jesus according to its own ideals and expectations;
major religions and religiously based philosophies was not
modern scholars neither could nor should simply circumvent
merely the result of individual geniuses and their ideas but
the contributions of the church in an attempt to reconstruct
equally the product of social groupings and the projection
an “objective” biography of its founder.
of their shared ideals onto that person who, precisely through
this reciprocity, was coming to be regarded as the “founder”
This shift in attitude coincided with the embryonic de-
of the new community. In the section above we looked at
velopment of the sociology of religion. Joachim Wach inter-
the process through which the Christian Gospels came to be
preted and applied Max Weber’s concept of charisma and its
gradually recognized as such a form of sacred biography. But
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIOGRAPHY
945
a similar process was present in the formation of the received
search topics with their own intellectual importance, the re-
“lives” of the founders of the other major religions as well,
lationship of these to the specific cultural matrix of India
and we focus here upon the Buddha, Muh:ammad, and Con-
could be studied as well. In particular, the Indian presupposi-
fucius by way of illustration.
tion that life involves multiple lives could be positively as-
sessed: the Ja¯takas, tales of the earlier lives of the Buddha,
Although the scholarly study of Buddhism in nine-
could be studied as part of the later sacred biographical
teenth-century Europe made great strides in linguistic and
tradition.
textual matters, the recognition of the received biographies
of the Buddha as a form of sacred biography was compara-
Quite soon after the death of Muh:ammad in 632—at
tively late. The reason for this was that scholarship on the
least by the eighth century—biographies appeared that dem-
life of the Buddha tended to oscillate between the two posi-
onstrated the growing tendency to idealize the Prophet as
tions just beyond the boundaries of the sacred biography
sinless and capable of performing miracles. Throughout
spectrum: pure mythology on one side and “factual” biogra-
most subsequent history the received accounts of the life of
phy on the other. Advocates of the former, scholars working
Muh:ammad were clearly in the genre of sacred biography.
mostly with Sanskrit texts, saw the Buddha’s life story as a
Beginning with William Muir’s The Life of Mahomet and
variety of myth—solar myth in this case. The two principal
History of Islam, to the Era of Hegira (London, 1861), this
proponents of this view were Émile Senart in his Essai sur la
view was challenged, especially by Ignácz Goldziher’s
légende du Bouddha, son caractère et ses origines (Paris, 1882)
Muhammedanische Studien (Halle, 1888–1890). The QurDa¯n
and Hendrik Kern in his Der Buddhismus und seine Gesch-
itself was subjected to analyses in order to locate reliable data
ichte in Indien (Leipzig, 1882–1884). Their position was
for the reconstruction of what European scholars regarded
strenuously opposed by T. W. Rhys Davids and others in
as a verified account of the life of Muh:ammad. This was
England who, working with and usually trusting the antiqui-
much to the consternation of Muslims, for whom the
ty and reliability of the newly discovered Pali texts, were con-
QurDa¯n is special and divinely derived revelation, not a source
vinced that, with the carrying out of requisite analyses, the
among other sources for a critical study of the Prophet’s life.
authentic life of the Buddha could be extracted from these
The first reaction to this approach on the part of Muslim
sources. Although their materials were many and various, the
scholars themselves came in the last quarter of the nineteenth
scholars of the London school of Pali studies saw their task
century in the form of many new biographies of
as different from that of their counterparts working on the
Muh:ammad, works clearly intended to state the facts of his
life of Jesus, inasmuch as the Pali texts tended to present the
life correctly from within the faith-framework of Islam. Al-
Buddha—especially in his adult years—as an unparalleled
though these biographies did tend to stress the prophetic in
but fully human teacher, not as an incarnate deity perform-
Muh:ammad’s life and to play down the miraculous, to many
ing miracles. In that sense their texts themselves resembled
Western scholars they nevertheless seem continuous in some
ordinary biography much more than mythology.
sense with the classical sacred biographies’ tendency to ideal-
Posed in this way between the alternatives of myth on
ization.
one side and ordinary biography on the other, scholars work-
Within this context the study of sacred biographies of
ing on the life of the Buddha had difficulty recognizing the
Muh:ammad has been relatively difficult. Tor Andrae, best
presence and integrity of sacred biography in their texts.
known for his Mohammed: The Man and His Faith (London,
Only with the collapse of the solar-myth hypothesis and the
1936), contributed earlier and substantially to this topic in
gradual recognition that the Pali sources were more complex
his Die person Muhammeds in lehre und glauben seiner
and mythicized than had been previously assumed did it fi-
gemeinde (Stockholm, 1918). Distinguished by its skillful use
nally become possible to see the life of the Buddha as a vari-
of comparative materials, Andrae’s book amply demonstrat-
ety of sacred biography. Edward J. Thomas’s The Life of Bud-
ed the growth of legends that formed over time around the
dha as Legend and History (London, 1927) makes some
person of the Prophet—so much so that as a superhuman
tentative steps in that direction. By the middle of the twenti-
exemplary figure he eventually came to have status almost
eth century scholars had generally accepted the fact that,
equal to that of the QurDa¯n for some Muslims. More recent
even though the Buddha had existed and had lived within
studies include Divine Word and Prophetic Word in Early
a detectable time frame, it was impossible to ignore the role
Islam by William A. Graham (Paris, 1977), a work that uses
that the ideals of the early sam:gha (the Buddhist order) had
and adapts Eliade’s conception of “sacred time” to insist that
played in shaping and elaborating the received narratives of
later Muslims looked back on the whole period of
their founder’s life. To that extent the impassable presence
Muh:ammad’s life as such a paradigmatic age even though it
of sacred biography has been recognized even though indi-
was historical time as well. Graham notes that, although pas-
vidual scholars differ considerably in their analyses of the
sages in the QurDa¯n distinguish mortal Muh:ammad from im-
process of its composition and its movement from oral tradi-
mortal God, the tradition also includes materials showing
tion to scripture.
that “the divine authority of [Muh:ammad’s] role as God’s
Once the sacred biographies of the Buddha could be
Apostle was a major factor in the tendency to divinize his
seen not merely as excrescences to be scaled off but as re-
person” and that as such he became “the paradigm for Mus-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
946
BIOGRAPHY
lim life” (p. 23). In an important essay Earle H. Waugh fo-
as a supernatural being (See Donald J. Munro’s The Concept
cuses upon later (S:u¯f¯ı) materials but also uses Eliade’s studies
of Man in Early China, Stanford, 1969, p. 40).
of shamanism to analyze the legends concerning
The cult of Confucius increased over the centuries,
Muh:ammad’s MiEra¯j as a form of shamanic ascension. He
often to the neglect of his writings. As late as the early twenti-
also explores the exemplary role of these legends in the spiri-
eth century Kang Yuwei (1858–1927) advocated Confucian-
tual life of individual S:u¯f¯ıs (“Following the Beloved:
ism as a state religion for China. Although much less work
Muhammed as Model in the S:u¯f¯ı Tradition,” in Reynolds
has been done on Confucius than on the other founders con-
and Capps, 1976, pp. 63–85). Perhaps what makes the study
sidered above, the tradition of reverence for him as a founder
of sacred biography in the Islamic tradition both difficult
presents difficult but important problems for any theory of
and fascinating is the fact that its very existence—suggesting
the nature of sacred biography. It demonstrates that, whatev-
as it does the apotheosis of the founder—could only exist and
er tendency may exist for sacred biography to develop around
develop in some state of tension with Islamic orthodoxy’s in-
a figure who comes to be recognized as a religious founder,
sistence upon the uncompromisable transcendence of God.
that development occurs in distinctive cultural patterns.
The study of sacred biography as it exists in the Chinese
Confucius’s life is certainly presented as a paradigmatic one,
cultural context has presented scholars with very different
but he is the exemplar of the teacher and sage. There seem
kinds of problems. Because there remain serious questions
to be specific cultural restraints—perhaps even derived from
about any historical fact underlying the accounts of the life
the doctrinal content of the Analects itself to the exfoliation
of Laozi, the reputed founder of Daoism, it is best here to
of the mythic dimension in this case. Wach’s explication of
restrict our consideration to Confucius (511–479 BCE). If sa-
the master-disciple relationship may well be the most useful
cred biography is characterized by the forging together of
methodological tool to apply in connecting the sacred biog-
myth and history, accounts of the life of Confucius certainly
raphies of Confucius with those of the other founders of the
tend to remain closer to the history side of this combination.
great religions.
In addition, since the Analects (Lun-yü) clearly shows that
RECENT DIRECTIONS IN SCHOLARSHIP. Current scholarship
Confucius himself turned attention away from the gods and
shows a marked tendency to focus upon the varieties of sa-
spirits and toward man and society, modern scholars, sensing
cred biographical composition found within a specific cul-
this way of thought to be remarkably consonant with the
tural context. The research tradition that began it all—
temper of the modern West, have tended to find the subse-
namely, the one initially concerned with the Gospels and the
quent sacralization of Confucius within China to be intellec-
quest for the historical Jesus—remains in the forefront in
tually uninteresting at best and reprehensible at worst. It is
terms of detailed and innovative studies. The scope has been
not incidental, therefore, that the latter of these views in-
widened to include a variety of types of hagiography and sa-
forms the approach taken in what remains to date the most
cred biography found throughout the Hellenistic period ex-
important and influential biographical study, H. G. Creel’s
tending to late antiquity. Although Eliade’s point about sa-
Confucius: The Man and the Myth (New York, 1949), repub-
cred biographies being paradigmatic and exemplary is widely
lished as Confucius and the Chinese Way (New York, 1960).
accepted and employed, there is increasing attention to both
intertextuality in these matters and to the particularity of spe-
There was indeed a tradition of sacred biography that
cial kinds of idealized figures within a given cultural context.
grew up around the figure of Confucius, but his apotheosis
One example is the hypothesis that there exists a connection
was shaped by distinctly Chinese cultural norms. This is
between the Gospels and the aretalogies of the Greco-Roman
shown in the fact that the Master’s apotheosis was expressed
period—proposed especially by Morton Smith in his “Prole-
through the extension of his sagacity rather than his power;
gomena to a Discussion of Aretalogies, Divine Men, the
in a work such as the K’ung-tzu chia yü (Discourses of the
Gospels, and Jesus” (Journal of Biblical Literature 90, 1971,
Confucian school) of the third century BCE, Confucius is
pp. 174–199) and Jonathan Z. Smith in his “Good News
presented as infallible, not as a miracle worker. In a similar
Is No News: Aretalogy and Gospel” (in Christianity, Judaism,
fashion the Tso chuan, which was composed around 300 BCE,
and Other Greco-Roman Cults, edited by Jacob Neusner, Lei-
attributes to him not supernatural deeds but knowledge of
den, 1975, vol. 1, pp. 21–38).
arcane and supernatural matters—things that seem rather far
removed from the Confucius of the Analects. Also in the Tso
Also important is the growing attention to the combina-
chuan his lineage is presented as derived from that of the
tion of religious with sociopolitical aspirations in every spe-
Sage-Kings of archaic times; some scholars such as D. C. Lau
cific community that projected its ideals onto its founder or
(in his translation The Analects, London, 1979) do not find
its saints. Not only the specific social matrix of the commu-
this exceptionable, but Creel judged it to be so. If it was, in
nity that shaped its sacred biographies but also the history
fact, part of the developing sacred biography of Confucius,
of such popular piety deserves attention. In his critique of
it also shows the imprint of the pattern of the culture. In sub-
the “two-tiered model” that has long relegated popular piety
sequent centuries, especially in the writings of what was
to the inferior status of something that is always and every-
called the New Text school, Confucius was viewed as having
where the same, Peter Brown (The Cult of the Saints: Its Rise
received a mandate from Heaven and was often also treated
and Function in Latin Christianity, Chicago, 1981) charts 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
BIRDS
947
direction that could be profitably followed by students of sa-
Hahn, Cynthia J. Portrayed on the Heart: Narrative Effect in Picto-
cred biography generally. Another important new study—
rial Lives of Saints from the Tenth through the Fifteenth Centu-
again focused on the Greco-Roman world—is Patricia Cox’s
ry. Berkeley, 2001.
Biography in Late Antiquity: A Quest for the Holy Man (Berke-
Heffernan, Thomas J. Sacred Biography: Saints and Their Biogra-
ley, 1983). Especially valuable is her discussion of paradigms
phies in the Middle Ages. New York, 1988.
of the divine sage in that period.
Mooney, Catherine M., ed. Gendered Voices: Medieval Saints and
Aside from Frank E. Reynolds and Donald Capps’s The
Their Interpreters. Philadelphia, 1999.
Biographical Process and Michael A. William’s Charisma and
Schober, Juliane, ed. Sacred Biography in the Buddhist Traditions
Sacred Biography (1982), real comparative work on this genre
of South and Southeast Asia. Honolulu, 1997.
seems nonexistent in recent literature. (This is in keeping
Sharpe, Richard. Medieval Irish Saints’ Lives: An Introduction to
with the concentration of recent studies upon intertextuality
Vitae Sanctorum Hiberniae. New York, 1991.
and the continuities within a specific cultural area.) Perhaps
Szarmach, Paul. Holy Men and Holy Women: Old English Prose
after this phase of scholarship has attained its objectives, new
saints’ Lives and Their Contexts. Albany, 1996.
energies and techniques can again be directed toward com-
parative work on sacred biography.
WILLIAM R. LAFLEUR (1987)
Revised Bibliography
SEE ALSO Autobiography; Buddha; Confucius; Heroes;
Jesus; Muh:ammad; Myth; Oral Tradition; and Sainthood;
Schweitzer, Albert.
BIRDS are primarily the epiphanies of the gods and spirits,
but they also appear as messengers of the heavenly divine be-
BIBLIOGRAPHY
ings. They announce new situations in advance and serve as
Brown, Peter. The Making of Late Antiquity. Cambridge, Mass.,
1978.
guides. Moreover, birds symbolize man’s soul or spirit as it
is released from the body in ecstasy or in death; the bird is
Dungan, David L., and David R. Cartlidge, eds. and trans. Source-
a symbol of absolute freedom and transcendence of the soul
book of Texts for the Comparative Study of the Gospels. 4th ed.
from the body, of the spiritual from the earthly. Hence, a
Missoula, Mont., 1974. See part 1, “Selections of Popular
Religious Biographies.”
bird is often associated with divinity, immortality, power,
victory, and royalty.
Hadas, Moses, and Morton Smith. Heroes and Gods: Spiritual Bi-
ographies in Antiquity. Freeport, N.Y., 1970.
Birds and bird-masked figures are clearly attested as
Jaspers, Karl. Socrates, Buddha, Confucius, Jesus: The Paradigmatic
early as the Paleolithic period. In the cave painting at Lascaux
Individuals. New York, 1962.
in the Dordogne, dating from approximately 15,000 BCE, a
Reynolds, Frank E., and Donald Capps, eds. The Biographical Pro-
bird-masked person is depicted as falling backward before a
cess: Studies in the History and Psychology of Religion. The
bison confronting him. At his feet lies his spear-thrower, and
Hague, 1976. Includes an extensive bibliography on this and
the spear that he has discharged has pierced the bison’s body.
related topics. See especially Joseph M. Kitagawa’s “Ku¯kai as
Quite close to them is a bird perched on a pole. Most schol-
Master and Savior” (pp. 319–341) and my “The Death and
ars interpret this scene as depicting a hunting tragedy: wear-
‘Lives’ of the Poet-Monk Saigyo: The Genesis of a Buddhist
ing a bird mask, the hunter has been killed by the bison. The
Sacred Biography” (pp. 343–361).
mask may have been used as a device to enable the hunter
Scholem, Gershom. Sabbatai Sevi: The Mystical Messiah, 1626–
to approach his prey without being noticed. The bird on a
1676. Princeton, 1973.
pole may represent the soul of the dead man or the totem
Waugh, Earle H. “Images of Muh:ammad in the Work of Iqbal:
and mythical ancestor of the tribe to which he belongs. For
Tradition and Alterations.” History of Religions 23 (1983):
other scholars, the scene presents the shamanic trance. The
156–168.
man wearing a bird mask is a shaman; he lies unconscious
Williams, Michael A., ed. Charisma and Sacred Biography. Chico,
while his soul has departed for the ecstatic journey to the
Calif., 1982.
world beyond. A companion on this spiritual journey is his
Wright, Arthur F. “Biography and Hagiography: Huei-chiao’s
helping spirit, here symbolized by the bird on a pole. The
Lives of Eminent Monks.” In Silver Jubilee Volume of the
bison is possibly a sacrificial animal.
Zinbun-Kagaku-Kenkyu¯sho, pp. 383–432. Kyoto, 1954.
Although it is still uncertain whether shamanism origi-
Wright, Arthur F. “Sui Yang-Ti: Personality and Stereotype.” In
nated in the Paleolithic period, birds undoubtedly occupy a
his Confucianism and Chinese Civilization, pp. 158–187.
very important place in the spiritual world of hunters gener-
New York, 1964.
ally and of northern Eurasia in particular, where shamanism
New Sources
has been a dominant magico-religious force. In fact, the sha-
Ashton, Gail. The Generation of Identity in Late Medieval Hagiog-
man of Inner Asia and Siberia receives help from the spirits
raphy: Speaking the Saint. New York, 2000.
of wild animals and birds when undertaking an ecstatic jour-
Greer, Allan, and Jodi Bilinkoff, eds. Colonial Saints: Discovering
ney. Bird spirits (especially those of geese, eagles, owls, and
the Holy in the Americas, 1500–1800. New York, 2003.
crows) descend from heaven and enter the shaman’s body 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
948
BIRDS
inspire him as he beats his drum, wearing the shamanic cos-
founding of a people, a dynasty, or a nation. The eagle in
tume of the bird type. Otherwise, they move into his drum
Siberia, as well as the raven and thunderbird in North Ameri-
or sit on his shamanic costume. This is precisely when sha-
ca, is especially invested with the features of the culture hero.
manic ecstasy occurs; the shaman is transformed into a spiri-
Often described as the creator of the world, the bird is the
tual being, a bird in his inner experience. He moves, sings,
divine being who familiarizes the people with knowledge and
and flies like a bird; his soul leaves the body and rises toward
techniques, endows them with important cultural inven-
the heavens, accompanied by bird spirits. This motif of the
tions, and presents them with the rules of life and social insti-
ascending bird spirit has been revalorized by Daoism on a
tutions.
new spiritual plane: in the Zhuangzi, dating from the third
In the ancient Near East and the Greco-Mediterranean
century BCE, for example, a huge bird named Peng appears
world, birds are charged with a complex of symbolic mean-
as the symbol of the soaring spirit that enjoys absolute free-
ings. Here, as elsewhere, the bird is essentially an epiphany
dom and is emancipated from mundane values and concerns.
of deity. In the Near East the dove usually symbolizes the
When a shaman dies among the Yakuts, the Tunguz, and the
goddess of fertility by whatever name she is known, and in
Dolgans, it is customary to erect on his tomb poles or sticks
Greece it is especially an epiphany of Aphrodite, the goddess
with a wooden bird at each tip. The bird symbolizes the soul
of love. The eagle is a manifestation of the solar deity, as is
of the departed shaman.
clearly illustrated by the winged sun disks of Mesopotamia
Birds appear in the myths of creation that center on the
and later of Persia. The eagle is often represented as engaged
theme of the cosmogonic dive or the earth diver. In the be-
in fighting with the snake or dragon. This archaic motif, at-
ginning, when only the waters exist, aquatic birds (ducks,
tested in the Near East, India, and the southern Pacific,
swans, geese, or swallows) dive to the bottom of the primeval
shows the tension that exists between the celestial solar prin-
ocean to fetch a particle of soil. Birds dive sometimes by
ciple and that of the maternal chthonic forces, but it also re-
God’s order and sometimes by their own initiative, but in
veals man’s inextinguishable aspiration for universal oneness
some variants God transforms himself into a bird and dives.
or wholeness, which can be achieved by the cooperation and
This motif of the diving bird, common among such Altaic
synthesis of conflicting powers.
peoples as the Buriats and the Yakuts, is also found among
The bird, and particularly the dove, often symbolizes
the Russians and such Uralic peoples as the Samoyeds, the
love as an attribute of the goddess of fertility. In the cults of
Mansi, the Yenisei, and the Mari. Earth divers also appear
Dumuzi and Adonis, the goddess appears as a mother who
in a certain number of Indian cosmogonic myths of North
laments over her son’s captivity in the underworld and de-
America. The result of the courageous dive is always the
scends there to rescue him, to raise him from the dead. It is
same: a small particle of soil that has been brought up grows
possible that the dove’s moaning contributed to making it
miraculously until it becomes the world as it is today. In
the special symbol of the goddess of love in the ancient Near
Finnish and Estonian cosmogonic myths, God flies down as
East. In Greece the dove is an epiphany of divinity, but di-
a bird onto the primeval ocean and lays on it the cosmic eggs
vinity in its amorous aspect, as can be seen from the dove’s
from which the world emerges. This motif is also found in
association with Aphrodite. In the Greco-Mediterranean
Indonesia and Polynesia.
world the dove has never lost this erotic connotation.
Myths of kingship in northern Eurasia are often imbued
The eagle, the king of birds, is inseparably associated
with the symbolism of birds. According to the Mongolians,
with royalty as well as with the solar deity. Indeed, royalty
a golden-winged eagle gave them the yasa, or basic rules of
has never severed its symbolic ties with the sun and the eagle.
life on the steppes, and helped them to establish the founda-
In the Near East certain coins depict Hellenistic kings wear-
tion of the Mongol empire by installing Chinggis Khan on
ing a tiara with a pair of eagles on it facing the sun between
the royal throne. Japanese myths tell how a crow (or raven)
them. In utilizing these symbols, the kings declare that they
and a golden kite flew down as messengers of the heavenly
are divine by nature or deified. The divinity of the Roman
gods and served Jimmu, the first mythical emperor of Japan,
emperor is expressed through the symbolism of Sol Invictus
as guides in his march through the mountains to Yamato,
(“the invincible sun”) and the eagle.
where he established his imperial dynasty. The Hungarians
have the tradition that the Magyars were guided by a giant
More generally, birds in the ancient Near East also sig-
turul (falcon, eagle, or hawk) into the land where Árpád
nify the immortal souls of the dead. This celebrated image
founded the Hungarian nation. The turul is known as the
seems to have survived in Islam, where it is believed that the
mythical ancestor of the Árpáds.
souls of the dead will remain as birds until the Day of Judg-
ment. In Greece, images of the dove on graves may symbolize
These myths of creation and kingship reveal the promi-
the soul of the departed, the divinity coming to help the de-
nent role played by birds in the formation of the cosmic
parted, or the soul now in divine form. In Syria, the eagle
order. As an epiphany of a god, demiurge, or mythical ances-
depicted on tombs is the psychopomp, who leads the soul
tor, a bird appears in the beginning of the world, and its ap-
of the deceased to heaven. On Egyptian tombs the soul of
pearance serves as an announcement of the creation of the
the dead is represented as an androcephalic bird. However,
universe, of the alteration of the cosmic structure, or of the
soul birds (hawks, ducks, or geese) in Egypt have more than
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIRTH
949
one function, usually in connection with the mummy. Cer-
presses the same concept. And throughout Persian and Per-
tainly they are immortal souls, but they also symbolize divine
sianate poetry and literature, one finds repeatedly the image
presence and protection; birds bring all sorts of nourishment
of the nightingale (bulbul) in love with the radiant rose (gul),
to the corpse to revive it. Thus in Egypt as elsewhere, the bird
representing the soul longing for divine beauty.
is both the soul of the departed and the divinity, regardless
Birds are not yet deprived of symbolic meanings.
of what bird is depicted. The peacock, which in the Greco-
Dreams of flying birds still haunt us. In his masterpiece De-
Roman world may have symbolized man’s hope for immor-
mian, Hermann Hesse has given new life to bird symbolism
tality, is of Indian origin. In Buddhism not only the peacock
when he speaks of the “bird struggling out of the egg.” Mod-
but also the owl and many other birds appear as epiphanies
ern man’s aspiration for freedom and transcendence has also
of the Buddhas and bodhisattvas, preaching the message of
been admirably expressed by the sculptor Constantin Bran-
enlightenment and compassion. The bodhisattva Mayu¯ra¯-
cusi through images of birds.
sana, for example, is usually portrayed riding on a peacock.
SEE ALSO Cocks; Eagles and Hawks; Owls; Swans.
In Judaism the dove and the eagle, the two most impor-
tant birds, seem to have kept much the same symbolic values
BIBLIOGRAPHY
intact although they have been given specific Jewish color-
The supreme importance of ornithomorphic symbolism and sha-
ings. The dove depicted on Jewish tombstones, in the wall
manism in the religious life of Paleolithic hunters has been
paintings of Jewish catacombs, and on the ceilings of syna-
stressed by Horst Kirchner in his article “Ein archäologischer
gogues signifies Israel the beloved of God, the individual Is-
Beitrag zur Urgeschichte des Schamanismus,” Anthropos 47
raelite, or the salvation and immortality given to the faithful
(1952): 244–286. On the shaman’s ecstasy and his transfor-
by God. In rabbinic tradition, too, the dove symbolizes not
mation into a bird, there is much useful material in Mircea
Eliade’s Shamanism: Archaic Techniques of Ecstasy (New
only the soul departing at death, but especially Israel the be-
York, 1964). The bird type of the shamanic costume is illus-
loved. Moreover, the dove serves as the psychopomp. The
trated in two works by Uno Harva (formerly Holmberg):
eagle is equally multivalent; it is an epiphany of God of the
The Mythology of All Races, vol. 4, Finno-Ugric, Siberian (Bos-
power of God, but it is symbolic also of man’s hope for eter-
ton, 1927), and Die religiösen Vorstellungen der altaischen
nal life and immortality.
Völker (Helsinki, 1938). On the cosmogonic myths of the
earth-diver type in which birds play a prominent role, see
The Christian symbolism of the dove and the eagle has
Mircea Eliade’s “The Devil and God,” in his Zalmoxis, the
also undergone a process of revalorization. The dove signifies
Vanishing God: Comparative Studies in the Religions and Folk-
the Holy Spirit in the baptism of Jesus, but is also becomes
lore of Dacia and Eastern Europe (Chicago, 1972),
the erotic and impregnating force in the Annunciation. The
pp. 76–130. On birds and kingship in Inner Asia and North
motif of soul birds is well attested in early Christian literature
Asia, see my article “Birds in the Mythology of Sacred King-
and iconography. The soul becomes a dove at baptism; it
ship,” East and West, n.s. 28 (1978): 283–289. The symbol-
identifies thereby with the Holy Spirit, the dove of Jesus’
ism of birds in Judaism has been admirably studied by Erwin
baptism. As a dove, the soul of the departed becomes immor-
R. Goodenough in Pagan Symbols in Judaism (New York,
tal, soaring up to heaven at death, especially at martyrdom.
1958), volume 8 of his Jewish Symbols in the Greco-Roman
The eagle as a Christian symbol is bound up with a complex
Period. The best single book by a folklorist on folk beliefs and
customs concerning birds is Edward A. Armstrong’s The
of ideas and images. For early Christians the eagle was sym-
Folklore of Birds: An Enquiry into the Origin and Distribution
bolic of John the Evangelist because at the beginning of his
of Some Magico-Religious Traditions, 2d ed., rev. & enl. (New
gospel it is implied that John has risen to the heights of the
York, 1970).
genealogy of the Logos. But the eagle also symbolizes Jesus
New Sources
Christ himself, and it is believed that as an eagle Christ has
Estela Núñez, Carmen. “Asai, a Mythic Personage of the Ayoreo.”
accompanied John on his flight in quest of visions. More-
Latin American Indian Literatures 5 (Fall 1981): 64–67.
over, the eagle represents the Logos itself, just as in Judaism
Luxton, Richard N. “Language of the Birds: Tales, Texts and
it signifies God or his power. Finally, the eagle depicted on
Poems of the Interspecies Communication.” Latin American
Christian sarcophagi is inseparably associated with the hope
Indian Literatures Journal 3, no. 1 (Spring 1987): 61–62.
for eternal life, light, and resurrection; it serves as the escort
Seligmann, Linda J. “The Chicken in Andean History and Myth:
of the souls of departed Christians into immortal life with
The Quechua Concept of Wallpa.” Ethnohistory 34 (Spring
God.
1987): 139–170.
In Islamic literature and folklore, the symbolism of birds
Waida, Manabu. “Problems of Central Asian and Siberian Sha-
abounds. Far¯ıd al-D¯ın EAt:t:ar’s famous epic Mant:iq al-t:ayr
manism.” Numen 30 (December 1983): 215–239.
(Conversation of the birds) uses the imagery of birds as
MANABU WAIDA (1987)
human souls that journey through the seven valleys and, at
Revised Bibliography
the end of the road, discover their identity with the Simurgh,
the divine bird that “has a name but no body,” a perfectly
spiritual being. The Turkish saying “Can ku¸su uçtu” (“His
BIRTH. The mystery associated with birth forms a central
soul bird has flown away”), uttered when someone dies, ex-
motif in every religion. The motif may be appreciated in its
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950
BIRTH
irreducible physical form or may become a highly abstract
The religious significance of birth in primal religions
symbol or ritual. Religiously, birth is not regarded as merely
can also be studied in the context of the present ethnographic
a physiological process, or even a ritualized physiological
data. Rituals surrounding first and second birth have been
event, but is associated with the evolution and transcendence
minutely described and analyzed for many societies. Small-
of spiritual powers or the soul. Transmuted through myth,
scale societies provide reference points for many classic analy-
ritual, and symbol, the concept of birth becomes a major ci-
ses of birth and rebirth ritual. The links between these rituals
pher for understanding existence and expressing wonder at
of birth and mythologies about birth have not been thor-
creation.
oughly studied, but many small-scale societies also possess a
Most religions explore the motif of birth through these
significant mythology concerning births.
three areas of myth, ritual, and symbol. Mythic narratives
Physiological birth is the occasion for rituals in almost
about important births or mythic figures who give birth are
all small-scale societies. The well-known pattern for transi-
found in most religious traditions, and these myths shed
tion rituals—withdrawal, seclusion, and return—is evident
light on the theological and ethical importance of rituals sur-
in the activities surrounding physiological childbirth. In this
rounding birth and rebirth. The ritual concerning physical
case there is an especially close connection between physio-
childbirth itself makes this physiological event a religious ex-
logical requirements and ritual elaboration. Other transition
perience. A third important motif is symbolic rebirth. Many
rituals do not carry the same physiological necessity for with-
religions speak of the central transformations in the religious
drawal and seclusion, which strengthens the hypothesis that
life as rebirth. Whether as a collective initiation or as a soli-
the experience of giving birth is the model upon which other
tary conversion, members of most religions are expected to
transition rituals are based. This observation also intensifies
undergo a second birth, which sometimes closely duplicates
the impression that the religious meaning of birth extends
the first, physiological birth. At other times it is intended to
far beyond physiological childbirth, which is nevertheless
undo the inadequacies of the first birth, so that there is an
one of the most powerful and pervasive root metaphors of
opposition between physiological birth and spiritual or social
religion.
rebirth. This kind of second birth can often involve great
tension or even hostility between women and men. This sec-
The pattern of withdrawal, seclusion, and return can
ond birth can be so abstract that the way in which it dupli-
take many forms and can include other ritual details. The
cates one’s first birth is unclear.
withdrawal may begin some time before the actual delivery,
P
or it may begin only with the onset of labor, as among the
RIMAL RELIGIONS. Statues of pregnant women dating from
the Paleolithic period are important as indicators of the earli-
!Kung of southern Africa. The seclusion may be short and
est attachment of religious significance to birth. Found in ar-
solitary, an unusual pattern found among the !Kung and,
chaeological sites from Spain to Russia, these statues date
among them, only for uncomplicated deliveries. Usually the
from about 25,000
woman giving birth is secluded with appropriate relatives
BCE on. Since they are found in the re-
mains of old settlements and dwellings, they are thus as-
and helpers. Though there are exceptions, as among the in-
sumed to be part of domestic religion. Although the exact
habitants of Tikopia and the Marquesas, one of the most reli-
use and significance of these figures cannot be determined,
able generalizations that can be made about childbirth seclu-
it seems undeniable that they reflect and express concern
sion in primal religions is the absence of men. Usually their
with birth specifically and with feminine energy in general
absence is not merely an accident or a practical arrangement
as central existential and religious symbols.
but rather a deeply felt religious requirement. However, the
woman’s husband may participate vicariously in childbirth
For the Neolithic period, the evidence for a religion cen-
through practicing couvade, a series of work and food taboos,
tered on goddesses and for a matrifocal society in Old Eu-
physical symptoms, and seclusion. These practices are espe-
rope between 6500 and 3500 BCE is convincingly presented
cially associated with South American Indians. While male
by Marija Gimbutas (1982). According to Gimbutas, the ap-
absence from childbirth is a general requirement, exceptions
propriate collective title for the goddesses is “the Goddess-
are sometimes made in special circumstances such as a diffi-
Creatrix in her many aspects.” Among the most important
cult delivery; then the shaman or the father may attempt to
of these aspects is “the life-giving goddess, her legs widely
help the delivery.
parted” (p. 176). Reliefs of this goddess found in the temples
of the Anatolian village of Çatal Hüyük (excavated and re-
After childbirth, the seclusion for the woman continues
ported by James Mellaart) have become especially well
usually for at least a few days and frequently for a month or
known. Contemporary interpreters of this culture have sug-
more. During this seclusion period, both mother and child
gested that one may contemplate the impact of entering a
receive special treatment and are subject to special restric-
religious sanctuary and finding the large, central, elevated
tions. In most cases, during the entire period of the with-
image of the Great Birth-Giver with widely parted legs. Such
drawal, seclusion, and return, normal routines of eating,
sanctuaries were common in Çatal Hüyük for at least a mil-
working, and human association are disrupted. Normal ac-
lennium. In addition, according to Gimbutas, the schematic
tivities or associations may be restricted to protect either the
diagram for this birth-giving goddess was widespread in Old
mother and child or those with whom the mother comes in
Europe.
contact or both. On the other hand, the mother may also 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
BIRTH
951
indulged with special foods, a lighter workload, and the solic-
After the initiation operation, the boys are taught a new lan-
itous companionship of her friends and relatives. Generally,
guage, and the men engage in the same purificatory and heal-
some ritual elaboration of physiological childbirth seems to
ing practices as do women after childbirth like the mythic
be universal among the women of primal cultures.
sisters of the Dreaming. The operation itself is symbolic of
severing the umbilical cord. In other ceremonies, a trench,
Almost all of the observances of childbirth outlined
symbolizing a uterus, is dug on sacred ritual ground and boys
above are found among the Aboriginal Australians. The eth-
are made to lie in it until the proper time for their emer-
nographic literature on these groups concentrates heavily on
gence, which is indicated by the correct sequence in the
the second birth, or initiation, as the important birth. In fact,
dance dramas conducted by the men. In some ceremonies,
many analyses of Australian Aboriginal religion suggest that
men ritually wound themselves and correlate their blood
physiological birth is the low point in the life cycle relative
with the blood that flows in childbirth.
to membership in the sacred or religious community, and
that this situation begins to change only with a second or so-
Many primal religions focus on mythic births and birth-
called real birth during initiation. For the birth-giver, howev-
givers. No mythological system among primal religions is de-
er, childbirth is definitely a religious experience that also
void of female personalities and activities that focus on birth
serves to advance her ritual status. She experiences and prac-
and rebirth. Among the Aborigines of Australia, there are
tices all the rituals associated with participation in a sacred
several well-known mythologies of birth-givers, who are also
ceremony and thus emulates models from the mythic
models for current ritual practices that both women and men
Dreaming that sanction her experience and behavior.
engage in. Ronald M. Berndt has reported on two major
For members of many primal religions, birth is believed
myth cycles in Kunapipi (Melbourne, 1951) and Djanggawul
to be something that must be reexperienced at least once, es-
(Melbourne, 1952). The Djanggawul epic concerns a broth-
pecially by men. Frequently, for this purpose, boys are forci-
er and two sisters who travel together; the sisters are perpetu-
bly removed from their familiar surroundings, isolated from
ally pregnant and constantly give birth, assisted by their
women, subjected to painful ordeals and physical operations,
brother. The other epic concerns two sisters, the Wawalag,
and taught secret lore that only men may know (although,
one of whom is pregnant and gives birth. The sisters reveal
in fact, women often surreptitiously find out these secrets).
their experiences to men through dreams that become the
When the boys are reintegrated into the society, they have
basis for the men’s ritual drama that accompanies second
become “men” through the agency of their male initiators.
birth. In some Aboriginal mythologies, the ritual process of
second birth is itself identified with the great All-Mother or
Though there are exceptions, as among the Mende of
Birth-Giver.
West Africa, this process of a prolonged and tedious rebirth
is more typically expected of males than of females. Some
INDIAN RELIGIONS. In the Indian religious context, especial-
scholars analyze this male rebirth ritual as a symbolic gesture
ly in Indian folk religions, childbirth remains an occasion for
whereby boys enter the masculine realm and are freed of the
religious observances. These rituals follow familiar patterns
feminine world in which they had previously lived. The sec-
of withdrawal, seclusion, return, and disruption of normal
ond-birth ceremonies of Australian Aborigines may also be
daily routines. Usually both women and men take part in
seen as experiences that serve as a transition from profane to
some birth observances, though the rituals are much more
sacred status. This analysis suggests that the second symbolic
extensive for women. Indian childbirth practices are charac-
birth is the real birth, and that male initiation is needed to
terized by uniquely Hindu notions and practices of ritual pu-
accomplish what women cannot do when they give birth.
rity and pollution and are colored by the highly patriarchal
This analysis stresses the differences and tensions between
character of the Indian family.
the two modes of birth—that given by women and that given
The childbirth rituals of an Indian village have been de-
by men—and focuses often on male-female tension and hos-
scribed in a study by Doranne Jacobsen (1980). Though re-
tility in the culture. However, other analyses emphasize the
strictions on food and activity during pregnancy are mini-
continuity between first and second births and see the second
mal, with the onset of labor the woman giving birth is
birth as a duplication rather than an undoing of the first
separated from others. It is believed that during labor and
birth. More significantly, the male initiators finally experi-
for a short period immediately following childbirth, the
ence vicarious childbirth in a kind of delayed couvade as they
woman and her baby are in a highly polluted and polluting
duplicate the pattern of childbirth. This kind of analysis
state, similar to the state of people in the lowest untouchable
stresses the extent to which the ceremonies of male second
classes. Anyone who contacts the mother and child contracts
birth are based on awe of, not scorn for, the women’s accom-
this pollution, so the two are carefully isolated. Only the
plishment in giving birth.
midwife, who belongs to a very low class because of the pol-
Aboriginal Australian male ceremonies of second birth
luting nature of her work, and one married female relative
give clear evidence for the dual meaning of second birth as
stay with the woman. This childbirth pollution extends to
both a transformation of boys into men and as a birth-giving
a lesser extent to all members of the husband’s family. They
experience for men. During the ceremonies, boys are carried
also observe some of the restrictions incumbent upon one in
about by men in the same way that women carry babies.
a state of pollution and undergo purificatory practices.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
952
BIRTH
The delivery is followed by a series of ceremonies gradu-
ther and symbolically carries him in his belly for three nights;
ally reintegrating the woman and child into the ongoing life
on the third day the boy is reborn as a member of the privi-
of the village. On the evening of the birth girls and women
leged twice-born group. After his initiation the twice-born
gather in the courtyard of the house to sing. After three days,
man can perform further sacrifices, which also begin with an
the level of pollution is lessened when the woman is given
initiation involving return to embryonic status and rebirth.
purifying baths; she then begins to have limited contact with
Some Indian cultic traditions that still rely heavily on initia-
her household. After ten days, in an important women’s cere-
tion continue to employ these motifs. For example, some
mony, the woman and her baby leave the house momentarily
Buddhist initiations begin with a series of rites in which the
for the first time, and the mother blesses the family water
neophyte, deliberately compared to an infant, is washed,
pots and water supply. For the next month, the woman is
dressed, decorated, taught to speak, given a name, and so on.
still in a transitional state, participating in some of the fami-
ly’s activities, but not cooking or participating in worship
However, though the theme of second birth occurs in
services for the deities. Usually the pollution period ends
the Indian contexts, many of the great soteriological themes
about forty days after the birth, when the mother performs
of the Indian tradition do not rely on metaphors of birth and
a ceremony at the village well at night, symbolically extend-
rebirth. Neither Hindu yoga nor the Buddhist Eightfold
ing her fertility to the village water supply and completing
Path are a process of second birth; neither Hindu brahman
her reintegration into the community.
nor Buddhist nirva¯n:a results from second birth. They de-
stroy delusion and result in insight and understanding. Im-
This transition period in the woman’s life is significant
ages of maturation and death, rather than images of birth and
not only for her but for her entire family and community.
rebirth, more accurately describe this attainment of an other-
Both male and female members of her husband’s family, who
worldly attitude.
often make the young wife’s life very difficult, recognize the
new mother’s ritual status and must change their behavior
In the Indian context both stories of mythic birth and
appropriately. For the new mother herself, the forty-day se-
images of great birth-givers are ambiguous. The two most fa-
clusion is not so much a period of liability and deprivation
miliar birth stories, that of the Buddha and that of Kr:s:n:a,
as a period of healthful rest and indulgence. She receives spe-
are highly unusual. Rather than serving as paradigms of
cial foods, attention, and a new, respected status in her hus-
birth-giving, they tell of the extraordinary futures awaiting
band’s family, especially if she has just given birth to her first
the infants Buddha and Kr:s:n:a. Goddesses are numerous and
son. These rituals surrounding childbirth support and vali-
important, but they are never simple mother goddesses.
date women’s vital role in a society that often expresses am-
Though the creative power of the goddesses is stressed, none
bivalence toward women and projects strong male domi-
of the great goddesses of Hindu mythology experiences a
nance.
pregnancy and delivery with which a human female could
identify, not even Pa¯rvat¯ı, the wife of S´iva and the mother
Second symbolic birth is important in some Indian
of two of his children. But the veneration of symbols of male
castes and some religious groups. During the Vedic period
and female sexuality is widespread. Temple reliefs of god-
(c. 1500–900 BCE) and in those castes that are still heavily
desses, naked, hands on hips, knees turned outward to dis-
involved in rituals and privileges having Vedic antecedents,
play their sex, recall the Creatrix of Çatal Hüyük. As Sakti,
second birth is an important affair. During Vedic times it
vital energy, she is the energy that fuels the entire phenome-
was important in its own right; in contemporary Hinduism
nal world. Moreover, without the touch of her energizing
it is more important because of the privileges associated with
dancing feet even the greatest god, S´iva, is a mere sava or
being eligible to undergo a second birth.
corpse.
The upper levels of Hindu society call themselves
MONOTHEISTIC RELIGIONS. In the ancient Near East, the
“twice-born”; their second birth gives them privileges, status,
concept of monotheism involved the suppression of the god-
and responsibilities unavailable to the rest of the population.
dess as the legitimate symbol of divine creativity and resulted
The privileges include the right to study the Vedic sacred
in her replacement by a solitary sovereign, an abstract and
texts and to practice religious ceremonies derived from Vedic
nonsexual, though male, creator. Many mythologies from
models. The visible symbol of this status is a cotton cord
the third millennium onward display an increasing attempt
worn by men across the left shoulder and resting on the right
to present males as primordially creative, even as the first
hip. A boy’s second birth occurs when he is invested with this
birth-givers. They become pregnant and give birth, despite
sacred thread, receives a sacred verse from his mentor, and
their anatomical limitations. Even if they are not directly in-
undertakes, for at least a few moments, the ascetic discipline
volved in birth-giving, they are depicted as performing cre-
of a religious student.
ative acts. Perhaps the most dramatic account of this reversal
The ancient texts regarding this initiation ceremony re-
occurs in the creation epic of ancient Mesopotamia (mid-
gard it as a second birth conferred by the male preceptor. The
second millennium BCE). The older generation of gods are
preceptor transforms the boy into an embryo, conceiving
the primordial parents Apsu and Tiamat. After Apsu is killed
him at the moment when he puts his hand on the boy’s
by younger gods, Tiamat engages in battle against the youn-
shoulder. The preceptor becomes the boy’s mother and fa-
ger gods. The battle is a confrontation between Marduk, 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
BIRTH
953
young male hero, and Tiamat, the Original Mother. He kills
tem. Transition from one birth to the other is a necessary in-
her and creates the cosmos out of her lifeless body. The gen-
dividual experience, verified in baptism, or more recently, in
der identification of the two protagonists, though often ig-
the psychological experience of being “born again.” Inas-
nored, is extremely significant. It is also found in one of the
much as baptism is performed by a traditionally all-male cler-
most important myths of Western culture, the creation of
gy, the ritual resembles the second births performed by men
the female (Eve) out of the male (Adam).
in other religions. However, rebirth is not a duplication of
physiological childbearing but instead emphasizes the need
Against this mythological background, physiological
to die to the “old life.” In Christianity, everyone, whether
childbearing is not an especially important or religiously val-
female or male, needs to be individually reborn. In this way
ued activity in monotheistic religions. The pains of child-
the Christian understanding of true rebirth departs signifi-
birth are explained as punishment for Eve’s curiosity and dis-
cantly from other traditions. However, this rebirth occurs
obedience; the most noteworthy birth, Jesus’ virgin birth,
through the ritual agency of a male clergy and is almost al-
can no more be a model for ordinary women than can the
ways understood as a rebirth into the graces of a male mono-
births of the Buddha or Kr:s:n:a. Throughout the centuries,
theistic deity. Perhaps in no other context is the need to be
though women have been exhorted to bear children and even
reborn so strongly felt yet so strongly removed from the are-
have been declared saved by their childbearing (1 Tm. 2:15),
nas of feminine symbolism and replication of female activity.
their childbearing has neither been given value by significant
religious rituals nor been utilized as a significant symbol in
SEE ALSO Couvade; Initiation; Prehistoric Religions.
the mythological system. In the Christian, Jewish, and Mus-
lim traditions, childbirth has nevertheless been surrounded
by folk rituals, taboos, and superstitions. Even in modern
BIBLIOGRAPHY
secular societies, the activities surrounding childbirth are
Literature about rituals of birth and rebirth as well as the mytholo-
highly ritualized, as has been pointed out by several anthro-
gy and symbolism of the Great Birth-Giver is scattered in
pological analyses of modern Western cultures. These rituals
many sources. Only rarely, or not at all, are such materials
easily found in a few sources. Two classic discussions of tran-
are changing at present, as indicated by the growing popular-
sition rituals are Mircea Eliade’s Rites and Symbols of Initia-
ity of home births, birthing centers, and so on, and by much
tion: The Mysteries of Birth and Rebirth (New York, 1958)
more direct participation of fathers in the childbirth process
and Arnold van Gennep’s The Rites of Passage (Chicago,
than is found in most other societies.
1960). More recent books that include significant compara-
In the context of these Western religious traditions,
tive discussions of birth rituals include Martha Nemes Fried
and Morton H. Fried’s Transitions: Four Rituals in Eight Cul-
mothering as an activity has been a more significant religious
tures (New York, 2001) and Sheila Kitzinger’s Women as
symbol than birth itself, as is evidenced by the madonna-
Mothers: How They See Themselves in Different Cultures (New
and-child imagery that is popular in Christian piety. Scholars
York, 1978).
are beginning to notice aspects of motherly energy in the
symbolism of the divine. Yahveh of the Hebrew scriptures
The Old European religion is discussed in Marija Gimbutas’s The
Goddesses and Gods of Old Europe, 6500–3500 B. C. (Berke-
is also depicted as a mother eagle. The word for his mercy
ley, 1982) and in Anne Barstow’s “The Prehistoric God-
(rah:amim) derives from the word meaning “womb” (reh:em);
dess,” in The Book of the Goddess: Past and Present, edited by
some suggest that the phrase “merciful father” could be
Carl Olson (New York, 1983). The ceremonies of birth and
translated as “motherly father.” The words for his spirit may
rebirth among Aboriginal Australians are summarized in my
be masculine or feminine, while the word for his wisdom is
essay “Menstruation and Childbirth as Ritual and Religious
definitely feminine, as is shekhinah, the term for his presence
Experience among Native Australians,” in Unspoken Worlds,
on earth. In medieval times Christ was depicted as being
edited by Nancy Auer Falk and me (San Francisco, 2001),
motherly and feminine. Anselm, in his ontological proof of
where Doranne Jacobson’s “Golden Handprints and Red-
the existence of God, pictured Christ as a mother hen, an
Painted Feet: Hindu Childbirth Rituals in Central India”
image that appears in the Bible (Mt. 23–37, Lk. 13–34).
can also be found. Rebirth ceremonies are described in David
G. Mandelbaum’s Society in India, 2 vols. (Berkeley, 1970),
Second birth has remained a central motif in monothe-
and Abbé Jean Antoine Dubois’s Hindu Manners, Customs
istic religions, especially in Christianity. Physiological birth
and Ceremonies, 3d ed. (1906; reprint, Oxford, 1968). The
by itself is insufficient to initiate a person into complete
many qualities of Hindu goddesses and mythic birth-givers
membership in the religious community, which is accom-
can be seen in N. N. Bhattacharyya’s The Indian Mother
plished by the second and real birth. In Judaism and Islam
Goddess, 2d ed. (Columbia, Mo., 1977), and in The Divine
the circumcision ritual does not stress, or even recognize, cir-
Consort, edited by John Stratton Hawley and Donna Marie
Wulff (Berkeley, 1982).
cumcision as rebirth. In Judaism it is simply “entry into the
covenant,” and is the first religiously significant event, but
Shifts in the core symbolism of the ancient Near East become ap-
is not modeled on an earlier birth.
parent when the older worldview is first studied. Diane
Wolkstein and Samuel Noah Kramer present a moving por-
In Christianity, the necessity of second birth has been
trait in Inanna: Queen of Heaven and Earth (New York,
especially strong. The contrast between the “Old Adam” and
1983). The prebiblical shifts in symbolism are presented by
the “New Man” is deeply built into the Christian symbol sys-
Thorkild Jacobsen’s The Treasures of Darkness (New Haven,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
954
B¯IRU
¯ N¯I, AL-
1976), and the struggle to enforce the biblical shift in sym-
until 1017, the date of the Ghaznavid conquest of his native
bolism is discussed by Raphael Patai’s The Hebrew Goddess
region. Pressing al-B¯ıru¯n¯ı into his royal entourage, Mah:mu¯d
(New York, 1967). For symbolism of second birth in Chris-
sent him first to Ghaznah (Afghanistan) and then to parts
tianity, see Marion J. Hatchett’s Sanctifying Life, Time and
of India during prolonged military compaigns there.
Space (New York, 1976) and Joseph Martos’s Doors to the Sa-
Mah:mu¯d died in 1030, but al-B¯ıru¯n¯ı remained in Ghaznah,
cred (New York, 1982). Finally an older source containing
where he served first under Mah:mu¯d’s son and successor,
much valuable information, including chapters on Palestine
MasEu¯d, and then under weaker dynasts, until his own death
and the church, is E. O. James’s The Cult of the Mother God-
dess (New York, 1959).
in 1051.
R
WORKS. Al-B¯ıru¯n¯ı’s scholarship transcends the limiting cir-
ITA M. GROSS (1987 AND 2005)
cumstances of his life and reveals a mind of broad interests
and encyclopedic learning. He was first and foremost an em-
piricist, fascinated by discoveries of the physical world de-
B¯IRU
¯ N¯I, AL- (AH 362–442/973–1051 CE), more fully
rived through precise observation and careful calculation.
known as Abu¯ Rayh:a¯n Muh:ammad ibn Ah:mad al-B¯ıru¯n¯ı;
Benefiting from the comprehensive curricular resources
Muslim scientist and polymath. Among the most brilliant,
available to the intellectual elite of the eastern Muslim world
eclectic, and fertile minds produced by Islamic civilization
by the eleventh century, he studied and wrote about astrono-
in its peak middle period, al-B¯ıru¯n¯ı is a genius to be com-
my, mathematics, geology, pharmacology, languages, and ge-
pared to but two contemporary Muslim literati, Ibn S¯ına¯
ography. He also concerned himself with history, philoso-
(Avicenna; d. 1037), the medical philosopher, with whom
phy, and religion. During his lifetime al-B¯ıru¯n¯ı wrote
he maintained an intermittent correspondence, and Firdaws¯ı
approximately thirteen thousand pages of publishable text,
(d. 1020), author of the heralded and often illustrated Per-
most of it highly technical in nature. This may be sorted out
sian epic, the Sha¯h-na¯mah. Firdaws¯ı shared with al-B¯ıru¯n¯ı
into 138 titles, although some have said he wrote 146 or even
the unhappy fate of being a scholar-prisoner in the court of
180 independent volumes. Only 22, however, are known to
the Turkic warrior Mah:mu¯d of Ghaznah (r. c. 1000–1030).
have survived: most were written in Arabic, his preferred
scholarly language, although some also exist in Persian ver-
LIFE. Al-B¯ıru¯n¯ı’s life illustrates the keen interest that Per-
sions. Among the most notable are the following:
sian-Turkic dynasts of the tenth and eleventh centuries had
in promoting scientific learning and literary productivity. It
1. Al-a¯tha¯r al-ba¯qiyah Ean al-quru¯n al-kha¯liyah (Vestiges of
also reveals the extent to which all scholars, like all branches
bygone days), his first major work, completed around
of scholarship, were dependent on the taste—and sometimes
1000 but subsequently revised. In it al-B¯ıru¯n¯ı sets forth
the whim—of powerful political patrons. While official sup-
a comparative chronology of the eras and festivals of var-
port allowed al-B¯ıru¯n¯ı to travel widely, to gather disparate
ious ethnic and religious groups.
data, and to develop a broad network of contacts in Central
2. Qa¯nu¯n al-Mas Eu¯d¯ı (The canon MasEudicus), compiled
and South Asia, certain of his patrons, especially Mah:mu¯d,
over several years but dedicated in 1031 to Mah:mu¯d’s
may have impeded as much as they aided his intellectual un-
son and successor, MasEu¯d. It is the most systematic and
dertakings. Only kings and princes, in his view, “could free
comprehensive of his numerous works on astronomy
the minds of scholars from the daily anxieties for the necessi-
and includes an appendix on astrology that leaves little
ties of life and stimulate their energies to earn more fame and
doubt about his personal distaste for it as a pseudosci-
favor,” but, he adds, “the present times are not of this kind.
ence, despite its popularity among his coreligionists.
They are the very opposite, and therefore it is quite impossi-
ble that a new science or any new kind of research should
3. Kita¯b tah:q¯ıq ma¯ lil-Hind min maqbu¯lah lil- Eaql aw
arise in our days. What we have of sciences is nothing but
mardhu¯lah (The book confirming what pertains to
the scanty remains of bygone better times” (E. C. Sachau,
India, whether rational or despicable), often simply
trans., Alberuni’s India, vol. 1, p. 152).
known as the India, composed in 1030. This work is
based on al-B¯ıru¯n¯ı’s study of Sanskrit scientific texts
Despite that harsh judgment, al-B¯ıru¯n¯ı’s biography
and his conversations with Indian pandits whom he met
serves to highlight the manner in which a genius, though
while forced to accompany Mah:mu¯d on military cam-
subject like other mortals to political strictures and the va-
paigns against their patrons. Neither the A¯tha¯r nor the
garies of fate, nonetheless maximizes the narrow opportuni-
Qa¯nu¯n nor any of his extant works can surpass the
ties provided him. Born near Khorezm, just south of the Aral
India’s sheer breadth of learning and novel sense of cos-
Sea in modern Uzbekistan, he studied under eminent local
mopolitan objectivity.
scientists. Though he favored mathematics and astronomy,
he gained competence and even renown in several fields. Po-
Al-B¯ıru¯n¯ı’s work as a comparative religionist is rated high
litical disturbances constantly uprooted him; from 995 until
on the scale of his total scholarly output primarily because
1004 he found employment under patrons of the Samanid
of the India. In it he not only distances himself from his war-
and Ziyarid dynasties. After his return to Khorezm in 1004,
like patron, Mah:mu¯d, for whose brutality he expresses barely
he was caught up in diplomatic as well as academic pursuits
veiled contempt, but he also attempts to understand what it
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BIST:A¯M¯I, ABU
¯ YAZ¯ID AL-
955
was that made Indians think as they did; he prejudges neither
incomplete studies, such as Michael H. Browder’s “Al-Biruni
the truth nor the falsehood of their religious beliefs and ritual
as a Source for Mani and Manichaeism” (Ph.D. diss., Duke
practices. If the India reveals any weakness, it is al-B¯ıru¯n¯ı’s
University, 1982) and Shlomo Pines and Turia Gelblum’s
constant preference for literary evidence over ethnographic
“Al-B¯ıru¯n¯ı’s Arabic Version of Patañjali’s Yogasu¯tra,” a text
observation and his predilection to posit the underlying
that preceded and informed his evaluation of Brahmanic be-
metaphysical unity of Hindu, Greek, and Muslim elites, with
liefs in the India, published seriatim in the Bulletin of the
School of Oriental and African Studies 29, no. 2 (1966): 302–
disregard bordering on disdain for the views of nonelites. But
325 (chap. 1), 40, no. 3 (1977): 522–549 (chap. 2), and 46,
the shortcomings of the India pale in comparison with its
no. 2 (1983): 258–304 (chap. 3).
achievement, a vast, unprecedented, and unrepeated com-
pendium that details the cultural traits of a conquered people
BRUCE B. LAWRENCE (1987)
from the point of view of one of their conquerors.
Al-B¯ıru¯n¯ı’s vast erudition and innovative scholarship
BIST:A¯M¯I, ABU
¯ YAZ¯ID AL- (Abu¯ Yaz¯ıd) T:ayfu¯r,
should have commended his works to Muslims of his own
born E¯Isa¯ b. Suru¯sha¯n, better known as Ba¯yaz¯ıd (or Abu¯
and later generations. Unfortunately, he stands out as an ex-
Yaz¯ıd) Bist:a¯m¯ı, famed as the “King of the Gnostics” (Sult:a¯n
ception to his time rather than a model for others to respect
al- Ea¯rif¯ın), is perhaps the most famous of early Persian S:u¯f¯ıs,
or emulate. His scientific work did gain him a reputation as
widely renowned for his ecstatic sayings and extraordinary
the outstanding authority in fields as diverse as astronomy,
spiritual discourses. Born in 777–778, he passed in most of
geology, and pharmacy, yet his contribution as a comparat-
his life in Bist:a¯m, located in the modern-day province of
ivist inspired no Muslim successors. It remained for nine-
Simna¯n in northern Iran, where he died in 848 or 875.
teenth-century European scholars to rediscover al-B¯ıru¯n¯ı’s
legacy as a cultural historian and to spark an interest in the
SCHOOL, STATURE, AND SAYINGS. His master in Sufism was
further study of him, both among educated Muslims and
reputedly Abu¯ EAl¯ı al-Sind¯ı, an illiterate sage. His anti-
Western scholars of Islam. One mark of al-B¯ıru¯n¯ı’s contin-
nominian utterances, such as his claim to have visited the Al-
ued success is the large number of his extant writings that
mighty’s court, only to find it devoid of all Muslim scholars
have been edited, published, and translated since the 1930s,
( Eulama¯D) and jurisprudents (fuqaha¯), his derogatory refer-
some of them by Soviet scholars laying claim to a native son.
ence to scholars specializing in traditions of the Prophet as
“dead men who narrate from the dead,” his assertion that “I
am greater” upon hearing the Muslim call to prayer, “Alla¯h
BIBLIOGRAPHY
akbar” (God is supreme!), and his claim to have had his own
While there is no dearth of secondary literature on al-B¯ıru¯n¯ı,
interiorized version of the Prophet’s “ascension” (Mi Era¯j),
there is a dearth of essays providing a competent overview of
did not endear him to formalistic clerics. He was accordingly
the range and significance of his writings for the study of reli-
exiled several times from his native Bist:a¯m.
gion. The best introductory article to all aspects of his life
and work is E. S. Kennedy’s “al-Biruni,” Dictionary of Scien-
His large circle of S:u¯f¯ı acquaintances and associates
tific Biography (New York, 1970), vol. 2, pp. 147–158. Less
(some of whom with he exchanged legendary correspon-
critical, especially on his attitude toward astrology, but other-
dences) included many of the foremost S:u¯f¯ıs of his day. He
wise valuable is Seyyed Hossein Nasr’s An Introduction to Is-
was also acquainted with Sar¯ı Saqat:¯ı (d. 871) whose nephew
lamic Cosmological Doctrines: Conceptions of Nature and
and disciple Abu¯’l-Qa¯sim al-Junayd (d. 910) later comment-
Methods Used for Its Study by the Ikhwa¯n al-Safa D, al-B¯ıru¯n¯ı,
ed on Ba¯yaz¯ıd’s sayings. Several famous S:u¯f¯ı women fea-
and Ibn S¯ına¯ (Cambridge, U.K., 1964), pp. 107–174. For
tured among his associates as well, including Fa¯t:ima of
an assessment of his religious data in the A¯tha¯r and India, see
Arthur Jeffery’s “Al-Biruni’s Contribution to Comparative
N¯ısha¯pu¯r (d. 838), of whom he confessed, “In my life I en-
Religion,” in Al-Biruni Commemoration Volume (Calcutta,
countered one true man and one true woman—and that was
1951), pp. 125–160, now to be supplemented by more re-
Fa¯t:ima of N¯ısha¯pu¯r. There was not any station on the way
cent articles in The Scholar and the Saint: Studies in Com-
about which I told her that she had not already experienced.”
memoration of Abu Dl-Rayhan al-B¯ıru¯n¯ı and Jalal al-Din
Yet Ba¯yaz¯ıd’s unmarried state, explicitly outlined in such
Ru¯m¯ı, edited by Peter J. Chelkowski (New York, 1975),
early sources as Qushayr¯ı’s Risa¯la, sets him at odds with the
pp. 1–168; Biruni Symposium: Iran Center, Columbia Uni-
majority of S:u¯f¯ıs.
versity, edited by Ehsan Yarshater and Dale Bishop (New
York, 1983); and select papers from Al-B¯ıru¯n¯ı Commemora-
Since he authored no written works, the main sources
tive Volume (Karachi, 1979), edited by Hakim Mohammed
for later accounts of Ba¯yaz¯ıd are isolated collections of say-
Said. An attractive abridgement of Edward C. Sachau’s trans-
ings and tales (all of uncertain authenticity) narrated by close
lation of the India has been done, with introduction and
companions and relatives several generations later. Many of
notes, by Ainslie T. T. Embree (New York, 1971). Soviet
these were recorded by Abu¯’l-Fad:l Muh:ammad b. Sahlaj¯ı
scholarship can be traced by reference to M. S. Khan’s “A Se-
(d. 984) in his Kita¯b al-nu¯r min kalima¯t Ab¯ı T:ayfu¯r. The two
lect Bibliography of Soviet Publications on Al-Biruni,” Janus
other important sources of sayings are Abu¯ Nas:r al-Sarra¯j’s
62 (1975): 279–288.
(d. 988) Kita¯b al-luma E f¯ı’l-tas:awwuf, and Ru¯zbiha¯n Baql¯ı
A fuller appreciation of his contribution to the Muslim study of
Sh¯ıra¯z¯ı’s (d. 1209) Sharh:-i shat:h:iyya¯t, which features fifty of
non-Muslim religions must be derived from unpublished or
Ba¯yaz¯ıd’s paradoxes.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
956
BIST:A¯M¯I, ABU
¯ YAZ¯ID AL-
A century after his death a Ba¯yaz¯ıdian school came into
even went so far as to say that he had prayed for thirty years
being, and some two centuries later this school’s contours be-
imagining himself a Zoroastrian (infidel) about to sever his
came intellectually formalized in EAl¯ı Hujw¯ır¯ı’s (d. 1071)
cincture (zunna¯r) and recant, in the same breath could also
Kashf al-mah:ju¯b, a Persian manual of S:u¯f¯ı teachings and doc-
give voice to the “blasphemous” claim, “Glory be to me!
trine, in which Ba¯yaz¯ıd’s followers are classified as compris-
How great is my majesty!” and could tell God: “Thy obedi-
ing a separate school of thought known as the T:ayfu¯riyya
ence to me is greater than my obedience to Thee!” He even
and described as advocates of rapture (ghalabat) and intoxica-
said to a disciple, “It is better for you to see me once than
tion (sukr), as opposed to Junayd’s “school of Sobriety
God a thousand times!” Beneath the cloak of exterior humili-
(sah:w).”
ty and outward abasement an interior exaltation of the Spirit
is revealed. “The reality of esoteric sapience (h:aq¯ıqat-i
Ba¯yaz¯ıd’s Herculean stature still dominates the pan-
ma Erifat),” he thus explained, lies in “being annihilated
theon of Muslim mystics. He was, as Louis Massignon re-
under the omniscience of God and becoming eternally sub-
marks, “a figure without peer. . . the model of the perfect
sistent upon the wide expanse of God, without any self or
Muslim ascetic.” Ru¯m¯ı, among others, has said, “If a drop
creature. In this wise, the mystic is a perishable being (fa¯n¯ı)
of Ba¯yaz¯ıd’s faith were to fall into the ocean, the ocean itself
who is eternal (ba¯q¯ı), an eternal being who is perishable, a
would be drowned in that drop” (Mathnaw¯ı, ed. Nicholson,
dead person who is living, a living person who is dead, a
V: 3394), which seems to be a paraphrase of Abu¯ SaE¯ıd ibn
veiled person who is visibly exposed, and a manifest being
Ab¯ı’l-Khayr’s (d. 440/1048) hyperbolic tribute, “I see the
who is hidden from sight.” (EAt:t:a¯r, Tadhkirat, p. 199)
18,000 worlds as full of Ba¯yaz¯ıd, yet nowhere therein can
‘Ba¯yaz¯ıd’ be found,” cited by EAt:t:a¯r (Tadhkirat,
The theory that an Indian origin could be found for
pp. 160–161). Hujw¯ır¯ı notes that Junayd said of Ba¯yaz¯ıd
Ba¯yaz¯ıd’s doctrine of fana¯ D in the Buddhist doctrine of
that, “he is among us [the S:u¯f¯ıs] as Gabriel is among the an-
nirva¯n:a, or Veda¯ntin ideas, espoused by earlier scholars such
gels.” Ru¯zbiha¯n believed the abode of the esoteric lore of the
as Max Horten, R. A. Nicholson and R. C. Zaehner, has
S:u¯f¯ıs could only be found through the dynamic leadership
been definitively rejected by modern scholarship and has
of Ba¯yaz¯ıd’s paradoxical words (Sharh:-i shat:h:¯ıyya¯t, p. 78).
long since demolished by a number of scholars, including A.
Ibn EArab¯ı referred to Ba¯yaz¯ıd more often than any other
J. Arberry (1962), Muhammad Abdur Rabb (1971), and
early S:u¯f¯ı. Many great mystics have been celebrated as “the
more recently by Michael Sells (2002).
Ba¯yaz¯ıd of their age.”
The secret of Ba¯yaz¯ıd’s continuing popularity lies in the
power of his paradoxes to foster a kind of transcendental S:u¯f¯ı
Ba¯yaz¯ıd’s memory was kept alive by a cult of patronage
ecumenism, with Muslim faith representing a kind of higher
centered around his tomb actively supported by the political
esoteric, interiorized religion, in contrast to exoteric Islam.
elite. The Mongol ¯Il-Kha¯n ruler Öljeitü (r. 1304–1316) re-
To illustrate this higher form of faith, Ru¯m¯ı recounts the tale
constructed his tomb and named three of his sons (Bist:a¯m,
of a “pagan” Zoroastrian who refused to convert to the form
Ba¯yaz¯ıd, and T:ayfu¯r) after him. In fifteenth-century India
of “Isla¯m” offered him by his “Muslim” neighbor (which, he
a certain “T
¸ ayfu¯riyyya Order” appeared, claiming descent
objected, is so empty that it “chills the love of anybody with
from Ba¯yaz¯ıd. It soon branched off into various suborders,
even a mite of potential faith”), since he claimed to be a fol-
of which the best known was the “Shat:t:a¯riyya,” established
lower of the interior spirit of Ba¯yaz¯ıd’s faith, which he assert-
in India by ‘Abdu’lla¯h Shat:t:a¯r¯ı (d. 1428) Another T¸ayfu¯r¯ı
ed to be “superior to all other faith” (Mathnaw¯ı, V: 3361–2).
branch was the EIshqiyya centered in Iran. Finally, a
A saying of Ba¯yaz¯ıd confirms the mala¯mat¯ı sentiments of his
Bist:a¯miyya branch appeared in Ottoman Turkey.
“pagan Zoroastrian” follower precisely: “The infidelity of
BA¯YAZ¯IDIAN MYSTICAL THEOLOGY. Ba¯yaz¯ıd is placed by Ibn
adepts with high aspiration (ahl-i himmat) is nobler than the
EArab¯ı (Futu¯h:a¯t, III, 34.11) among the mala¯mat¯ı S:u¯f¯ıs who
Islam of egotists (ahl-i maniyyat)” (Hujw¯ır¯ı, Kashf, p. 541).
constitute the highest category of saints, willingly enduring
humiliation and incurring blame for the sake of their beliefs
BIBLIOGRAPHY
in order to subdue their own pride and conceit. Comple-
Böwering, Gerhard. “Best:a¯m¯ı (Bast:a¯m¯ı), Ba¯yaz¯ıd.” In Ency-
clopædia Iranica, edited by Ehsan Yarshater, vol. 3,
menting and balancing the need to call down public blame
pp. 182–186. London, 1982. Scholarly overview of
upon oneself, with the S:u¯f¯ıs of this school vying with one
Ba¯yaz¯ıd’s life and thought.
another for the title of greatest sinner on the one hand,
La¯jvard¯ı, Fa¯t:ima. “Ba¯yaz¯ıd Bist:a¯m¯ı.” Da¯’irat al-ma Ea¯rif-i
Ba¯yaz¯ıdian teaching also aspires paradoxically on the other
buzurg-i isla¯m¯ı. Tehran, 1992, XI: 313–321. Thorough dis-
toward a kind of apotheosis that is grounded in the key S:u¯f¯ı
cussion of his life and teachings.
doctrines of annihilation (fana¯ D) and mystical drunkenness
Meddeb, Abdelwahab. Les Dits de Bistami (shataha¯t). Paris, 1989.
(sukr). Ba¯yaz¯ıd claimed that his self-identity, his individuali-
An abridged French translation of his ecstatic sayings taken
ty, was annihilated in God’s Self-identity, so that he contem-
from Sahlaj¯ı’s text.
plated God directly through God’s own eye (Ru¯zbiha¯n,
Rabb, Muhammad EAbdur. The Life, Thought and Historical Im-
Sharh:, p. 115). The same Ba¯yaz¯ıd who confessed that one
portance of Abu¯ Yaz¯ıd al-Bist:a¯m¯ı. Dacca, 1971. An excellent
should stand before God as if one is a “Zoroastrian infidel”
historical overview of the saint in Islamic history and
about to convert to Isla¯m (Sahlaj¯ı, Al-Nu¯r, p. 69), and who
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
BLACK ELK
957
Ritter, H. “Abu¯ Yaz¯ıd al-Bist:a¯m¯ı.” In Encyclopædia of Islam, 2d
gland in 1887–1888 for the Golden Jubilee of Queen Victo-
ed., vol. 1, pp. 162–163. Leiden, 1999. Scholarly overview
ria, whom he apparently met. He subsequently joined anoth-
of Ba¯yaz¯ıd’s life and thought.
er western show and toured France, Germany, and Italy,
Sells, Michael. “The Infinity of Desire: Love, Mystical Union, and
finally returning to South Dakota in 1889.
Ethics in Sufism.” In Crossing Boundaries: Essays on the Ethi-
Shortly after his return Black Elk married Katie War
cal Status of Mysticism, edited by G. William Barnard and J.
Bonnet, and they soon had children. From 1889 to about
J. Kripal, pp. 184–229. New York, 2002. On the controver-
sy surrounding possible Hindu influences on his teachings.
1904 Black Elk gained much respect among his people as a
curer, spiritual counselor, and ceremonial leader. It was also
LEONARD LEWISOHN (2005)
during this time that Black Elk was introduced to the Ghost
Dance. He gained new inspiration through the similarities
between the dance and his own vision: dancers surrounded
BLACK ELK (1863–1950) was a Lakota spiritual leader
a sacred pole seeking promises of renewal. After Wounded
known in Lakota as Hehaka Sapa. Few American Indian
Knee and the end of the Ghost Dance, Black Elk turned his
spiritual leaders have gained greater national and indeed in-
back on white culture, pursuing his work as a traditional La-
ternational recognition than this Oglala Lakota. Although
kota holy man. During one healing ceremony on the Pine
Nicholas Black Elk was well known by his own people as a
Ridge Reservation, a priest broke into the ceremony, destroy-
holy person (wicasa wakan), it was the poetic interpretation
ing his sacred objects and accusing Black Elk of doing the
given to his life in Black Elk Speaks (1932) by John G. Nei-
work of Satan. Black Elk’s patient recovered, but the priest
hardt that caught the imagination of a much wider public.
died shortly thereafter in a riding accident.
A second book, on the seven rites of the Lakota, was dictated
Despite this experience, in 1904, following the death of
at Black Elk’s request to Joseph Epes Brown. This work, The
his wife, Black Elk sought out the teachings of the Catholic
Sacred Pipe (1953), further stimulated interest in the man
Church. Shortly thereafter Black Elk became an important
and his message, which became, especially during the 1960s,
figure in the local parish, working as a catechist. While Black
meaningful symbols for a generation seeking alternate values.
Elk’s conversion was certainly sincere, the decision was also
Of the Big Road band of Lakota, Black Elk was born
pragmatic. As a catechist of the church, Black Elk was able
in December 1863 on the Little Powder River in present-day
to maintain his social role as traditional Lakota spiritual lead-
Wyoming. During this time his people hunted west of the
er. Further, with the suppression of traditional men’s and
Black Hills (Pa Sapa in Lakota) until 1877, when they were
women’s sacred societies, a central feature of classical Lakota
forced to move east to their present reservation at Pine Ridge
religious and cultural life, Lakota community and social
in South Dakota. At thirteen Black Elk was present at Gener-
structure were threatened. Catholic men’s and women’s so-
al George Custer’s defeat at the Battle of the Little Bighorn.
cieties offered an alternative, providing many of the same so-
He remembered the murder at Fort Robinson of his relative,
cial and cultural functions.
the great warrior and spiritual leader Crazy Horse, and re-
As a catechist in the Society of Saint Joseph, Black Elk
called the years when his people sought refuge with Sitting
continued his traditional role as holy man: counseling and
Bull’s band in Canada. He was also present at the tragic mas-
advising the people, praying and singing for them, instruct-
sacre at Wounded Knee (1890), which nearly ended the re-
ing children, visiting the sick, and coordinating spiritual so-
vivalistic Ghost Dance movement.
cieties. As most priests were rarely able to visit outlying com-
Against that background of traumatic historical events,
munities and spoke little Lakota, they relied heavily on such
Black Elk at the age of nine received the first of a long series
catechists as Black Elk, who soon became one of the most
of sacred visionary experiences that set him upon a lifelong
influential figures in reservation religious life. His work as a
quest to find the means by which his people could mend “the
catechist also supplied him with financial support and other
broken hoop” of their lives, could find their sacred center,
resources, resources that he immediately distributed to those
where “the flowering tree” of their traditions could bloom
in his community who were in need, a gesture characteristic
again. This first of many vision experiences was of terrifying
of a traditional Lakota spiritual leader.
Thunder Beings, the powers of the West; whoever received
As Julian Rice argues, Black Elk’s life work and coopera-
their power was obliged to become a heyoka, or sacred clown.
tion with Neihardt and Brown can also be understood
Shaken by his experience, Black Elk could not bring himself
through the lens of traditional Lakota spiritual leadership. As
to reveal the vision until he reached the age of seventeen.
a holy man and religious leader, whether traditionalist or
Then he confided it to the holy man Black Road, who in-
Catholic, Black Elk’s obligation was to the protection and
structed Black Elk in the spring of 1881 to enact part of his
well-being of his people. Throughout his labors, as a yuwipi
visionary experience, the Great Horse Dance, so that the
ceremonialist, a catechist, or as a collaborator with Neihardt
people might share in the power of his vision.
and Brown, Black Elk worked for his people’s cultural and
It was in part his mission to find a means to help his
spiritual survival.
people that led Black Elk to join Buffalo Bill’s Wild West
Black Elk knew something of the power of the printed
Show in 1886. He appeared in New York and then in En-
word. He was thus willing to give in his two books details
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
958
BLACKFEET RELIGIOUS TRADITIONS
of his visions as well as accounts of the rites and metaphysics
BIBLIOGRAPHY
of his people. However, Raymond DeMallie has argued that
Brown, Joseph Epes, ed. The Sacred Pipe: Black Elk’s Account of
Neihardt’s Black Elk Speaks presents an inaccurate image of
the Seven Rites of the Oglala Sioux. Norman, Okla., 1953.
Black Elk. Neihardt viewed the Lakota as players in a tragic
DeMallie, Raymond J., ed. The Sixth Grandfather: Black Elk’s
epic, in which Native people were vanishing before the de-
Teachings Given to John G. Neihardt. Lincoln, Nebr., 1984.
structive march of civilization. He placed Black Elk within
Kehoe, Alice Beck. The Ghost Dance: Ethnohistory and Revitaliza-
this tragic story when he wrote: “With running tears I must
tion. Fort Worth, Tex., 1989.
say now that the tree has never bloomed. A pitiful old man,
Neihardt, John G. Black Elk Speaks: Being the Life Story of a Holy
you see me here, and I have fallen away and have done noth-
Man of the Oglala Sioux (1932). Rev. ed. Lincoln, Nebr.,
ing. Here at the center of the world, where you took me
1979.
when I was young and taught me; here, old, I stand, and the
Rice, Julian. Black Elk’s Story: Distinguishing Its Lakota Purpose.
tree is withered, Grandfather, my Grandfather!” (p. 273).
Albuquerque, N.Mex., 1991.
However, the transcript of Black Elk’s actual words to
JOSEPH EPES BROWN (1987)
Neihardt is not so bleak, instead presenting a man deter-
SUZANNE J. CRAWFORD (2005)
mined to work for his people’s renewal, and his hope that
through sharing his vision this might be accomplished:
BLACKFEET RELIGIOUS TRADITIONS.
At that time I could see that the hoop was broken and
The name Niitsitapiiksi, referring to the Blackfoot Native
all scattered out and I thought, “I am going to try my
best to get my people back into the hoop again. . . .
American people, means “Real People,” as in honest, good,
You know how I felt and what I really wanted to do is
true beings. This is the general collective term that encom-
for us to make the tree bloom. On this tree [of life] we
passes the different divisions of the Blackfoot Confederacy
shall prosper . . . therefore we shall go back into the
who presently reside on four different reservations, three of
hoop and here we’ll cooperate and stand as one . . .
which are in Alberta, Canada, and one which is in northwest
our families will multiply and prosper after we get this
Montana. The Montana division is called the Southern Pie-
tree to blooming.” (DeMallie, 1984, p. 294)
gan or Blackfeet, Aamskaapipiikani, while the Northern Pei-
gan, Aapatohsipiikani and Blood, Kainai and Siksika (the
Black Elk sought the means for this cultural renewal within
Blackfoot proper) divisions reside in Canada. The entire
both traditional Lakota spirituality and the Catholic Church.
Confederacy can be referred to with Niitsitapiiksi or Black-
Contemporary scholars disagree over the degree to which
foot, so for simplicity, this chapter uses this designation. The
Black Elk’s conversion was merely pragmatic, a recognition
term “Blackfeet” has often been attributed to accounts of sto-
of the need to survive in a rapidly changing world. Most
ries about the burnt prairies that stained moccasins with soot,
agree that his conversion was likely sincere but that Black Elk
but the Blackfoot trace the origin of the name to a sacred
was able to accommodate both religious traditions without
story of a man with three sons to whom he gave each a gift.
inner conflict. Some see him as a sophisticated ecumenicalist,
Present population of the entire confederacy has estimates
negotiating both religious systems and incorporating them
that vary widely, generally falling somewhere between
within his life’s work.
25,000–50,000 depending on how reservation resident sta-
tus, enrolled vs. non-enrolled, official census tabulations, etc.
Until the end of his life, Black Elk maintained a com-
are counted.
mitment to the Catholic Church and to traditional Lakota
spirituality, seeing them as inherently compatible and de-
Niitsitapii (Blackfoot) religion is not so much a “reli-
scribing the Six Grandfathers of the Lakota tradition as One,
gion” as a way of life, a collection of lessons, most learned
as Wakan Tanka, as the Great Spirit. When he died on Au-
from the natural environs, including plants, animals, the
gust 19, 1950, in his log cabin at Manderson, South Dakota,
weather, the seasons, and the dimensions that involve—or
there was for him no contradiction in the fact that he was
house—the spiritual and the spirits. The meanings and the
holding a Christian rosary as well as a Lakota sacred pipe,
semantics of terms typically used to describe religious life and
which he had never given up smoking in the ceremonial
belief are appropriate, in given degrees, only to the “way of
manner. Whether Catholic or traditionalist, Black Elk
being” expected of those who practice the Niitsitapii (Black-
worked for the well-being of his people, for their survival as
foot) spiritual traditions. The creation of the universe hap-
a nation, and for the renewal of the sacred tree. The wide-
pened in a series of stages even though the central energy em-
spread popularity of his legacy, among both American Indi-
anated from the central Giver-of-Life.
ans and non-Indians, and the subsequent revitalization of
THE BLACKFOOT COSMOGONY: BETWEEN THE LAND AND
traditional ceremonies across the reservations by younger
THE SKY. Niitsitapii (Blackfoot) traditions consider that peo-
Native people, attest that Black Elk still speaks.
ple have skills and attributes that allow them to survive, but
people must learn to request assistance from those who have
SEE ALSO Lakota Religious Traditions; Native American
been here for much longer and therefore know the world
Christianities.
well. The act of sacrifice has a key role in Niitsitapii (Black-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLACKFEET RELIGIOUS TRADITIONS
959
foot) spiritual life because the reciprocal and symbiotic rela-
powerful sources of energy. The Niitsitapii (Blackfoot) sto-
tionships and properties that are the general rule of life apply
ries introduced the complex relationships of these energies
to humans as well. Improving individual abilities to interact
and described their roles in the creation of the universe and
with the unseen forces of the universe means that an accumu-
world. Within the stories are multiple levels in an uneven
lation of information about this skill becomes part of the
and unpredictable hierarchy of powers, but constants are rec-
Niitsitapii (Blackfoot) repository of skills. The complex of
ognized as well and prayed to for guidance and strength. The
stories about the origin and continuation of the Niitsitapii
stories orient listeners, beginning as young children, to the
(Blackfoot) take place within the traditional homeland of the
variable nature of the universe and tell of the long-standing
Niitsitapii (Blackfoot) at specific locations. They bind the
observations of the cycles and patterns of nature in which
learning of each generation of Niitsitapii (Blackfoot) in
they are rooted. In their observation as in their telling and
the teaching the earth, the sky, and all of the elements in be-
retelling, the stories ground listeners in the natural surround-
tween offer. The stories anchor the people’s history and iden-
ings and encourage them to remain sensitive to other dimen-
tity in their surroundings, stellar and earthbound, where
sions or sources of existence intimately interrelated with their
every aspect of the space and the beings in it is occupied by
living selves in physical manifestations of being.
the Creator’s energy.
Throughout the stories there are warnings, examples,
Individual sites and locations, the keystones of the cul-
and notifications of helpers and sources of strength. Various
ture and religious or spiritual orientation throughout the tra-
types of beings communicate with each other, and they help
ditional Niitsitapii (Blackfoot) homeland, provide the foun-
the child learn that the world, this combination of sources
dation for the spiritual and religious life of the people. These
of life energy, existed long before humans were brought into
sites are coordinated with astral reference points—star beings
it and that attention to the details of the powers that were
in the sky—and the exchanges recorded in the stories be-
interacting and balancing each other before humans arrived
tween them give rise to a complex matrix of relationships
is essential for continued survival. The stories, in their retell-
among elements, directions, beings, and forces that the Niit-
ing, take the listener into the time of the original occurrence
sitapii (Blackfoot) must learn to understand and with which
described and allow the listener to experience firsthand, as
they must interact appropriately. The relatives that inhabit
the first person to experience the story would have. Not only
different sites within the Niitsitapii (Blackfoot) homeland
does the Niitsitapii (Blackfoot) language have the grammati-
have over time offered assistance and encouraged the build-
cal structure to accommodate such movement in time, it also
ing of a life for the Niitsitapii (Blackfoot) people. Protecting
requires it, because the spoken form of the stories conveys
the homeland is important because these relationships took
firsthand experience to the listener, who becomes a partici-
a long time to build and because they continue into the pres-
pant. This ability to have the listener essentially relive the ex-
ent and future.
periences of those who came before is why storytelling is not
simply about relating events or emotions as experienced by
STORIES AND ORAL TRADITION. Niitsitapii (Blackfoot)
someone else but is the act of placing the listener in the role
terms for persons that emphasize concepts central to the way
of the actor and protagonist, the main player in the story,
of being that is reinforced in Niitsitapii (Blackfoot) tradi-
the focus of the event.
tions of the spirit include Sun (painted, with Sun Dogs),
Creator, Life-Giver, World-Maker, Grandfather; Napi, Old
The Niitsitapii (Blackfoot) origin stories essentially en-
Man; Moon(s), Night Light, Old Woman, Grandmother;
capsulate the rules for proper living within an extensive but
Morning Star, Early Riser; Backbone of the World; Thun-
not unbounded moral universe, where everyone has inten-
der; Rivers and Creeks (the water system and life within
tion, emotion, action, and choice about how to interact. The
boundaries); Cold Maker; Winds (including the Chinook
spiritual-religious levels reinforce the moral code laid out in
“Snow-Shrinker”); Celestial Beings (different constellations);
the stories. The stories tell of physical challenges that are also
Above Persons, Ground Persons, Below Persons; Ground of
understood to be spiritual journeys and relate seemingly in-
Many Gifts (that is, a homeland that is all alive, filled with
dividual experiences that are understood to comment on the
persons in different shapes and forms); “Helpers” (when
broader communitywide level. Most significantly the stories
seeking pity and assistance); Dream (Nitsokan); Cosmic
codify layered interpretations that range from the most basic
Clock (to which humans pace their lives); Energies (animate-
of human needs and desires to the complex workings of the
inanimate, manifested-potential, earth-sky, shadow-light,
natural world, such as the rhythms of the celestial beings,
life-death). All of these play central roles in stories about cre-
which in turn guide the systems and cycles of creation that
ation, as do Scarface, the Woman-Who-Married-the-Star,
humans map themselves into and ties these altogether. Pat-
Blood-Clot, and others.
terns are attended to, cycles observed, and distinctions made
between the usual and the unusual, but all are included in
In the traditional context Niitsitapii (Blackfoot) spiritu-
the interrelated stories. The stories keep in order the songs
al traditions were taught initially and primarily as stories.
that are the communicative force among the elements, per-
Through these sacred narratives the young were introduced
sons, and levels of the universe. It is a universe that commu-
to the important roles of certain elements or energies that are
nicates with all, sometimes directly, sometimes through in-
deemed powerful or that contain or have access to even more
tercessors and intermediaries, and listens.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
960
BLACKFEET RELIGIOUS TRADITIONS
The stories reveal relationships that are important to at-
observations of innumerable individuals who have lived an
tend to, that make up a whole, an extended description of
experience with the sacred powers that surround us and in-
the timeless and reiterating, returning nature of nature itself
habit the entire universe are naturally recorded and repeated
and of our connection to it. They remind one to try to live
so the rest of the people might get a chance to grow from
in sync with those patterns set by the earlier relatives before
that experience. The stories frame the boundaries, physical
one’s arrival. They show that the physical dimension or as-
and nonphysical, that form the basis of the Niitsitapii (Black-
pect of who one is constitutes, mirrors, or reveals opportuni-
foot) way of being in life and create a backdrop upon which
ties for growth at that unseen level and that in life these ener-
to interpret the slightest significance of the movements of the
gies must be balanced. The stories that bind the bundles are
natural world. Interpreting energies (for example, light and
a bound bundle themselves, held together by links and trans-
dark), the roles of the celestial beings, and the cycles of the
fers that make their most recent participant the recently
life system within which the Niitsitapii (Blackfoot) were cre-
initiated.
ated was traditionally recognized as a highly valued skill that
not everyone had the abilities for, but that was nonetheless
NIITSITAPII (BLACKFOOT) LANGUAGE. In physical culture
respected and encouraged.
the language communicates a visual picture, a perception, or
a description of action that takes place in the moment of
CEREMONIAL BUNDLES AND CEREMONIES. The many in-
speaking, the full meaning of which is explained by the phys-
habitants of the Niitsitapii (Blackfoot) homeland continue
ical context. The language shares these descriptive duties by
to offer support and relationship with the Niitsitapii (Black-
separating inanimate and animate beings, classified by some
foot) by serving as intermediaries, keeping the Niitsitapii
as having gender, although they then have to place nouns as
(Blackfoot) reminded of healthy pathways in life. The stories
being either animate or inanimate. Celestial beings, together
that literally ground the Niitsitapii (Blackfoot) to the home-
with plants and animals, are animate.
land and explain the history of the first relationships between
the Niitsitapii (Blackfoot) and the rest of the natural forces
The sign language used by the Niitsitapii (Blackfoot)
of the universe are housed in groupings that were gathered
also makes use of spatial orientation as a foundational princi-
together in the form of bundles. All bundles, even those
ple, as does the syllabary system. The writing on rocks also
known to only their individual keepers as personal bundle
relates stories. The placing of stones in particular shapes tells
with unique obligations and regulations, have in common
stories, which can then be read, telling of significant events
the practice uniting various dimensions through their con-
that affect the entire community, that is, they are told by the
tents. Each article has a role and a story that are part of the
community members to signal that some important event
larger Niitsitapii (Blackfoot) narrative. Niitsitapii (Black-
took place there. The orthography of lodge paintings and
foot) religious-spiritual traditions were created in a specific
other expressions of the universe’s forces also expresses this
physical context and environmental setting, where animal
localizing order. A rich vocabulary is contained in each. All
forms from each of the relevant realms—underwater, earth,
action has boundary and orientation, which is how one
and sky—all relate to one another and interact with human
knows what happened. Above Ones, Below Ones, and All
forms as well. The energies that form the bundle function
Four Directions, the origin stories, are based in the same
as a condensed conduit for communications and exchanges
rules. Patterns are sought and utilized in visual dimensions,
between the living, physical world and the unseen dimen-
with these depictions rooted in the oral patterns that set
sions.
rhythm and segment, order and beauty to the storytelling.
In songs and prayers, the vibration of creation is repeatedly
Bundles can range from a single individual’s personal
re-created.
bundle, which may not necessarily ever be transferred, to
larger community-held bundles that circulate among, and
DREAMS, VISIONS, AND ACKNOWLEDGMENT OF THE INVISI-
are cared for by, different members of the Niitsitapii (Black-
BLE UNIVERSE. The stories that have formed over a long peri-
foot) community. There are also society bundles kept by in-
od of varied interactions the foundational structures and val-
dividuals and transferred to new society members and cared
ues of the Niitsitapii (Blackfoot) way of being have several
for by different members of the ever-changing society mem-
sources. One essential source is in the people’s communica-
bership. Some examples of the larger bundles include the
tions through times of increased awareness, which are also
Sun Dance (Turnip) Bonnet Bundle, the Beaver Bundle, and
of varied forms and of different degrees. Whether they are
the Medicine Pipe Bundle. There has always been a variety
classified as dreams, visions, or near-death experiences, they
of types of bundles, all simultaneously created and used to
can occur under several possible conditions and, depending
express the spiritual life of the Niitsitapii (Blackfoot).
upon the reasons, are difficult to even see as belonging to any
specific category defined by the English language. It is more
THE NIITSITAPII (BLACKFOOT) VIEW OF THE UNIVERSE.
accurate to simply say that the ways the sacred forces of the
The Niitsitapii (Blackfoot) origin stories, which are replete
universe communicate to or through people are unique and
with detailed encounters of life with the celestial beings rec-
not entirely predictable. Given this general observation, pre-
ognized as having played key roles in the creation of the Niit-
cedent—even when established generations ago by a third
sitapii (Blackfoot) world, are recorded in several ways
party—is granted great weight in such considerations. The
throughout the Niitsitapii (Blackfoot) lifeways. The constant
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLACKFEET RELIGIOUS TRADITIONS
961
transfer of energy between celestial and other beings on earth
vanced in age were also rooted in stories and in the practices
and through the flow of the cosmos has been charted and re-
indicated by them. Formal initiation is still a prerequisite. In-
corded by bundle keepers, a tradition based on a close watch
dividual children are selected to receive special pipes or other
of the transitions, directions, risings, respective speeds, and
articles, which they hold, in formal ceremonies. Therefore
patterns of movement in the celestial realm. To better ob-
even as a more informal, familial setting was and still is a
serve these celestial movements and messages, observatories
source of religious training and exposure, the traditional so-
are located within the traditional homeland. Such sites are
cial structure of the community includes formal recognition
not ideal for habitation but are specifically associated with
and practices, areas and contexts where spiritual protocols are
the observatory purposes of Niitsitapii (Blackfoot) bundle
taught in settings that emphasize the interrelatedness of pur-
keepers and ceremonial leaders. Their observations and expe-
poses and the compound lessons to be acquired in order to
riences became the focus of the central ceremonies and reli-
live life well. These societies are based on the observation that
gious rites practiced by the Niitsitapii (Blackfoot).
learning—spiritual and otherwise—takes time. The group
The definition of the earthbound physicality of human
authorizes individual members. Some of these include the
nature was originally designed from the earth, given form,
Horns, the Brave Dogs, the Buffalo Women’s Society, the
purpose, and its source of identity in the relationship with
Prairie Chickens, the Doves, the Mosquitoes, and several
the earth as proof of a conjoined past and of sustenance for
others that traditionally include young children.
a similar future. Because traditionally there is no strict sepa-
There was traditionally no “religious” consciousness
ration between the sacred and everyday realms, the sacred
separate from that of a moral philosophy that allows younger
could be seen depicted and represented all over sacred and
generations to live in good relations with each other and to
everyday items as reminders of sacred pacts, covenants, and
be good people. Preferably training involved a combination
obligations with those powers. Several examples include pat-
of the individual and the community on the levels both of
terns depicted in the oldest-known forms in rock art distrib-
the religious-social societies and of the larger Niitsitapii
uted throughout the homeland (such as in Writing-on-
(Blackfoot) community. Instead of strict adherence to a doc-
Stone), in picture writing in the rocks (patterned after the
trine, Niitsitapii (Blackfoot) spiritual traditions encouraged
sign language), quill and beadwork designs, feathers and
unique contributions and awareness that, when brought
other articles used in headdresses, body paint, lodge-cover
back to the group, strengthen the overall knowledge and
designs, and designs on ceremonial items. These designs
awareness of the larger community. Individual attainment of
demonstrate how the structure of the Niitsitapii (Blackfoot)
access to knowledge or spiritual gifts, such as those revealed
universe and the order of powers within it are simultaneously
in unique visions or dreams (among other ways) are brought
hierarchical and fluid, structured and unpredictable, multidi-
into the matrix, to the already extant and fully operating in-
mensional and seemingly simplistic to the uninitiated. The
tricate web of spiritual communications and exchanges. Ex-
origin stories are inextricably linked to the explanations of
changes can be mediated by representatives from the natural,
the ceremonial and establish a clear familial and kin relation-
nonphysical world who might reveal themselves in the form
ship to the people, so every Niitsitapii (Blackfoot) is aware
of an animal or a storm, among other things. The process
of the human’s connection to the rest of the creative forces
of learning to be a contributing member of the societies in-
of the universe. The stories and the ceremonies and celebra-
cludes creating a fully human being who understands that
tions they support help humans connect to the underlying
the world is composed of a balance between the physical
consciousness of the universe. The articles, objects, and
manifestations of life and the nonphysical powers that are in
structures used in the ceremonies are tools and memory de-
constant communication and sharing. Through the accumu-
vices to assist this endeavor. The universe’s energies expect
lation of lived experiences over an untold amount of time,
recognition, respect, and reciprocity. Attention is paid to the
a number of interactions occur that let the people know what
sources of power, such as the sun, and to those who are en-
and with whom the Niitsitapii (Blackfoot) share their home.
dowed with the same power, spread throughout various di-
A complete existence is one that acknowledges the balance
mensions and elements, and offer it to humans to use, who
of the universe. Humans are powerful enough to recognize
then have the power to decide whether it will be used to heal
and even manipulate this balance.
or hurt, to extend a productive and vibrant way of life, or
to pursue directions that weaken and kill. These forms work
There is redundancy and coupling and pairing, repeti-
together to help humans maintain harmony with the spirit
tion and recycling, and returning and refreshing in all Niit-
world in their work through the renewal of commitments
sitapii (Blackfoot) spiritual-religious practices. There is em-
and vows.
phasis placed on actions of participation in the spiritual life
PRACTICE AS A WAY OF LIFE: CYCLES, PARADIGMS, AND
instead of on the question of faith itself. There is the impera-
PEOPLE. Following an introduction through stories and sto-
tive to repeat, renew, and refresh instead of establishing com-
rytelling, children were traditionally encouraged to witness
pletion. There is a focus on caretaking and the well-being of
and to be active participants in the religious-spiritual life of
the group. There is careful consideration and selection of in-
the community. Numerous religious-spiritual-social societies
dividuals who would accept the duties and put the needs of
that incorporated youngsters on through to those well ad-
the community in a place of priority. There is agency 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
962
BLACKFEET RELIGIOUS TRADITIONS
purpose in those energies that inhabit the space all share. The
ments, violated and ignored treaty guarantees, and the forced
orientation offered by the stories and the ceremonial life un-
indoctrination and relocation of the Niitsitapii (Blackfoot)
derscores the imperative to seek connections to the larger
people from the traditional homeland have compounded this
order of things. Humans live in a unique position of having
initial negative effect on the traditional life.
the ability to seek to understand the cycles of the world or
Despite the numerous challenges to the Niitsitapii
to ignore and destroy the cycles and themselves in the pro-
(Blackfoot) spiritual-religious traditions, there are those for
cess. The spiritual life of the Niitsitapii (Blackfoot) people,
whom, through their continuing practice and the accompa-
just as for each individual Niitsitapii person, is part of a lon-
nying sacrifices, the Niitsitapii (Blackfoot) way of life sur-
ger, more extended life of the spirit world that cycles and re-
vives. The Niitsitapii (Blackfoot) way is not concerned with
cycles all its energies. There are circles within circles that ex-
instructing a fixed perception of the sacred in which one
tend out into the natural world from humans. The visible
must believe; it is precisely about seeking the best routines
manifestations of vibrations in water and the invisible that
and awareness that enable one to experience firsthand the sa-
move through the air as sound waves are the sorts of energies
cred powers of the universe. Knowledge of the Niitsitapii
that the Niitsitapii (Blackfoot) met through re-creations of
(Blackfoot) language teaches an orientation in the world that
the same shapes surrounding the traditional homeland and
is rooted in the land, location, and spatial orientation in
into which every aspect of the world was tied. Being attentive
unique ways. It binds the landscape of the traditional home-
and sensitive to the rhythms of the universe and learning to
land to those living in it and to the recognition of the tradi-
live within them is the traditional Niitsitapii (Blackfoot)
tional Niitsitapii (Blackfoot) observations.
focus. The circular formation of the growth pattern of a
small plant, for example, would be emulated in the shape of
BIBLIOGRAPHY
the family dwelling and then in a camping arrangement, in
The works that speak to Niitsitapii (Blackfoot) religious-spiritual
a dance pattern, and in the largest community gathering dur-
orientations and concerns come from a range of disciplines,
ing the most sacred celebrations and in innumerable ideals
levels, and specialties and are of varying quality.
and protocols in Niitsitapii life. There is an order to the
Bullchild, Percy. The Sun Came Down: The History of the World
world; what matters is how good one is at learning to live
as My Blackfoot Elders Told It. San Fransisco, 1985. Contains
with its apparently unpredictable and predictable aspects and
many versions of Creation stories as told by a Blackfoot and
the delicate balance that results.
is controversial because of influences from other religious
beliefs.
CHALLENGES AND CONSTANTS. Since the arrival of the Euro-
peans, the traditional Niitsitapii (Blackfoot) religious-
Calf Robe, Benjamin Augustine, Adolf Hungry Wolf, and Beverly
spiritual life has suffered a great deal though it has been con-
Hungry Wolf. Siksika: A Blackfoot Legacy. Invermere, British
Columbia, 1979. The story of Ben Calf Robe’s life. A Siksika
tinued and carefully maintained through the determined ef-
elder, he relates information about his education, life, and
forts and constant struggle of those Niitsitapii (Blackfoot)
the Blackfoot spiritual traditions and his role in them, as well
knowledgeable about the traditions. Whether trader, mis-
as the history of his people.
sionary, military, or otherwise, the Niitsitapii (Blackfoot) re-
Dempsey, Hugh A., ed. Mike Mountain Horse: My People the
sistance to incursions into the Niitsitapii (Blackfoot) way of
Bloods. Calgary, Alberta, 1979. The story of Mike Mountain
being in life has been well documented and has historically
Horse’s life. A Kainai, he relates his education, his involve-
been a notable characteristic of the people. Before policies
ment in his people’s traditions, political and spiritual, as well
to exterminate then rehabilitate the Niitsitapii (Blackfoot)
as explaining the life of his ancestors and their beliefs.
and before the combination of government and military
Ewers, John C. The Blackfeet: Raiders on the Northwestern Plains.
forces with diverse economic interests—furs, gold, precious
Norman, Okla., 1958. A combination of history and expla-
metals, water, land, and a variety of natural resources—that
nation of religious and cultural practices of the Blackfoot
initially spread diseases and justified massacres, the nonna-
people, documenting the early history (what is known of it
tives that visited the Blackfoot were interested in capturing
in the literature) to the reservation realities.
the Niitsitapii (Blackfoot) soul. The killing and abduction
Frantz, Donald G. Blackfoot Grammar. Toronto, 1991. The first
of those who continued to practice the traditions were seen
comprehensive grammar of the Blackfoot language, that ex-
as a necessary step in ridding the future of “heathens” and
plains ideology and intent behind the language.
“devil worshippers” who were and are presently considered
Grinnell, George Bird. Blackfeet Indian Stories. Old Saybrook,
morally corrupt. They were supported by the outlawing of
Conn., 1913. A compilation of some stories that are central
ceremonies and the societies that sponsored them and by the
to the Blackfoot spiritual beliefs and practices.
imprisonment of Niitsitapii (Blackfoot) who refused to give
Grinnell, George Bird. Blackfoot Lodge Tales: The Story of a Prairie
up the old way of life into modern times. State-supported
People. Lincoln, Neb., 1962. A compilation of some stories
denominations have long vied for membership and control,
that are central to the Blackfoot spiritual beliefs and prac-
resulting in the splitting of families—and by extension the
tices.
entire community—into several distinct religious factions.
Hernandez, Nimachia. “Mokakssini: A Blackfoot Theory of
Intermarriage for the sake of gaining economic and political
Knowledge.” Ph.D. diss., Harvard University, Cambridge,
advantage, false representation in negotiations with govern-
Mass., 1999. This work focuses on the Blackfoot Star Stories
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLACK THEOLOGY
963
and on interviews with elders about them to articulate the
BLACK THEOLOGY. African Americans have a long,
uniquely Blackfoot conception of the cosmos and of how
rich history of spiritually based advocacy for social change.
these form the basis for the Blackfoot spiritual/religious/
African Americans read their religious texts through their ex-
philosophical practices.
perience. Consequently there is a long tradition of interpret-
Hungry Wolf, Beverly. The Ways of My Grandmothers. New York,
ing the Christian gospel in ways that reflect God’s involve-
1980. The story of Beverly Hungry Wolf’s grandmothers, lit-
ment in the struggles of oppressed peoples. This tradition is
erally, in which she enfolds the history of her people’s materi-
documented in several places, most notably in the life and
al and cultural traditions, together with the sacred Blackfoot
work of David Walker (1785–1830), particularly in the clas-
stories.
sic Walker’s Appeal in Four Articles (1829); Frederick Doug-
Hungry Wolf, Beverly. Daughters of the Buffalo Women: Maintain-
lass (1817–1895); and Howard Thurman (1900–1981), par-
ing the Tribal Faith. Skookumchuck, British Columbia,
ticularly his classic text Jesus and the Disinherited (1949).
1996. The story of Beverly Hungry Wolf’s grandmothers, lit-
erally, in which she enfolds her people’s history, including
Black Theology as it is largely understood in the early
schooling.
twenty-first century refers to the movement initiated by
Lokensgard, Kenneth Hayes. “Gift and Commodity: Sociocultur-
James Cone (b. 1938) at Union Theological Seminary in
al Economies, Indigenous Religions, and Academic Ex-
New York and later taken up by his students and a successive
change Practices.” Ph.D. diss., Syracuse University, Syracuse,
generation of thinkers. It is a contextual liberation theology
N.Y., 2001. This work delves into the meaning of the Black-
that draws its strength and focus from the historic African
foot place on the transfer of spiritual power, and of how these
American struggle for freedom in North America as it was
function in the economic and social realms of the Blackfoot.
primarily, although not exclusively, manifested in and
McClintock, Walter. The Old North Trail. London, 1910. A re-
through the black church. In this sense it must not be
counting of Walter McClintock’s time with the Blackfoot,
thought of as in anyway an exhaustive or definitive account
in which he includes the personal histories of some Blackfoot
of African American religious reflection, reflection on Afri-
elders, also including the sacred stories they shared with him.
can American religious or Christian experience or African
Pepion, Donald Duane. “Blackfoot Ceremony: A Qualitative
American theology. Black Theology is therefore one among
Study of Learning.” Ph.D. diss., Montana State University-
a variety of orientations to African American thought on
Bozeman, Bozeman, Mont., 1999. Using interviews with
Christian experience in particular and religious experience in
Blackfoot elders as a basis of investigation of the Blackfoot
general. “Most of us in this school of black theology have
understanding of learning and its relationship to the spiritual
contended that we belong to a radical, but honorable and
life, this work focuses on the Blackfoot traditions as methods
widely recognized, tradition in the African American com-
for teaching.
munity. Moreover we believe that this orientation, while not
Reeves, Brian O. K., and Sandra Leslie Peacock. The Mountains
the only one, has been the most distinctive, persistent, and
Are Our Pillows: An Ethnographic Overview of Glacier Nation-
valuable part of the religious heritage of African Americans
al Park. Glacier National Park, Mont., 2001. Archeological
in the United States” (Cone, 2001, p. 147).
findings are brought together with Blackfoot sacred stories,
revealing a long-standing and deep interrelationship between
Although Black Theology is largely identified with the
the environment and the Blackfoot spiritual-religious
work of James Cone and his followers, other thinkers and
practices.
theologians in what is referred to as the first generation, such
Uhlenbeck, C. C. A Concise Blackfoot Grammar, Based on Material
as J. Deotis Roberts, Gayraud Wilmore, Joseph R. Washing-
from the Southern Peigans. New York. 1978. Grammatical ex-
ton, Albert B. Cleage, and Major Jones, played a prominent
planations based on Blackfoot stories. Some of the earliest
role in the founding of the movement and have continued
versions of Blackfoot stories recorded.
(with the exception of perhaps Cleage) to exercise consider-
Uhlenbeck, C. C. An English-Blackfoot Vocabulary, Based on Mate-
able influence in the early twenty-first century. Contributing
rial from the Southern Peigans. New York, 1979. Grammati-
to the formation of the Black Theology movement, they
cal explanations based on Blackfoot stories. Focus on the
helped shape its substantive and methodological agenda.
Blackfoot versions of stories.
While other prominent African American scholars and
Wissler, Clark, and David C. Duvall. Mythology of the Blackfoot
thinkers, like Charles Long, a historian of religion; Cecil
Indians. Norman, Okla., 1995. Comprehensive and very de-
Cone, a theologian (and brother of James Cone); Vincent
tailed accounts of the sacred stories of the Blackfoot, and of
Harding, a historian; William R. Jones, a philosopher; and
the ceremonies they support.
C. Eric Lincoln, a sociologist, all made valuable contribu-
tions to the formation of Black Theology, serving as invalu-
NIMACHIA HERNANDEZ (2005)
able resources for the standard interpretation of African
American history as the history of resistance if not revolt and
as interlocutors raising critical issues with respect to the
BLACK MUSLIMS SEE AFRICAN AMERICAN
methodology, epistemological status of, and interpretive
RELIGIONS, ARTICLE ON MUSLIM MOVEMENTS;
claims on the nature of black religious experience as em-
ELIJAH MUHAMMAD; MALCOLM X
ployed in Black Theology, they cannot be identified as
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
964
BLACK THEOLOGY
“Black Theologians.” All of these thinkers operated effective-
can theology to figure in the utter centrality of race fatally
ly in the long-standing tradition of academic reflection on
compromised its legitimacy and forfeited all pretensions to
African American and religious experience within their re-
universality. The centrality of race and the elimination of the
spective fields of study.
epithet social from this new proclamation of the Gospel effec-
tively and fundamentally distinguished the movement from
ORIGINS OF BLACK THEOLOGY. Black Theology arose from
previous articulations of the “Social Gospel.”
the ferment of the late 1960s as many African American cler-
gy, scholars, and activists, disillusioned by the pace of social
Is Christianity the “white man’s” religion? Are there re-
change in regard to the condition of the African American
sources in the Christian faith as experienced by black people
masses, moved from the integrationist perspective that served
for a liberating praxis, or is it the instrument of subjugation
as the touchstone of the Civil Rights movement toward an
some of the more radical and educated voices in the black
affirmation of black power (i.e., black self-determination,
community have claimed it to be? Can Christianity become
cultural affirmation, political empowerment, and racial
the vehicle for freedom, or should it be tossed to the dustbin
pride) and the identity politics of the early 1970s. The Black
of history with all the other lies and deceptions heaped upon
Theology movement was the Christian theological response
the backs of the oppressed to keep them bent in bondage?
to and expression of the burgeoning African American self-
These were the questions no serious-minded African Ameri-
affirmation that crystallized during the period. The move-
can Christian could ignore. It was the genius of the first gen-
ment came in answer to the fundamental challenge posed by
eration Black Theologians not only to resist the temptation
many in the African American community who saw in
to sidestep the issues with an apologetic for the failures of
Christianity the epitome of not only American but also
historical Christianity but to lead the charge in proclaiming
Western spiritual hypocrisy. Christianity’s historical com-
them. Secondly, they turned to a rigorous examination of the
plicity in African American slavery, suffering, and oppression
African American tradition, confirming both its uniqueness
and the occlusion of the African American encounter with
and its affirmation of black humanity. They discovered that
Christianity in the grand narrative of American church histo-
not only could African American Christianity provide a lib-
ry and theology as well as its failure to respond courageously,
erating vision and praxis for the oppressed but in fact it al-
aggressively, and positively to the ongoing struggle of the late
ready had.
1960s read like a balance sheet on the moral and spiritual
bankruptcy of the Christian faith.
BLACK THEOLOGY’S MESSAGE. Joseph R. Washington, in a
ninety-degree turn from his earlier work, Black Religion
There is a sense in which Black Theology can be read
(1964), where he argued that the solution to the Negro prob-
as an outcome of the larger problematic of Christianity’s
lem in Christianity was full-scale integration and assimilation
confrontation with modernity, rendering it more or less a
into the “theologically grounded” white church, now argued
variation on a theme. Classically conceived, this problematic
in The Politics of God (1967) that the black church’s mission
is twofold, involving, first, the search for justice and, second,
was to bring the message of equality, freedom, and true de-
the encounter with science. Black Theology has yet to take
mocracy to the United States. As the new “suffering servant,”
on the issue of science in any meaningful sense, although the
the black person “bound” to the white person through slav-
issue is implicated at least at the epistemological level inas-
ery has been called to the task “not only of being released
much as it employs a particular understanding of history and
from bondage but of releasing [their] captors from their
an implicit metaphysics, moves into more dialogue with the
shackles as well” (Washington, 1967, p. 157). More than this
social sciences, and attempts a more rigorous social analysis
prescriptive imputation of meaning to the struggle, the sheer
to substantiate claims and make purportedly objective state-
identification of a stream of African American folk Chris-
ments about the sociocultural location of African Americans.
tianity with the religion of freedom, equality, and justice was
a major contribution. In addition Washington articulated
More to the point, however, is the issue of social justice.
what would become a major theological criterion or herme-
In spite of the efforts of some theologians to take the chal-
neutical lens for evaluating the religious contributions of Af-
lenge for social justice seriously, European American theolo-
rican Americans in Black Theology. “The authenticity of the
gy remained strangely and disturbingly silent on the issue of
Spirituals resides in their expression of the love and drive for
race. The theological concern with social justice in the domi-
freedom and equality with and for all men. The inauthentici-
nant theology prior to the rise of Black Theology made only
ty of the spirituals are those expressions of escape from this
passing reference to African Americans or their plight. Given
world” (Washington, 1967, p. 157). Later James Cone ex-
the centrality of race and its concomitant ideologies in the
amined the spirituals as an expression of the spirit of libera-
shaping of modernity, from the role played by slavery in the
tion but dropped the qualifier “all men,” affirming their ex-
Western articulation of capitalism, colonialism, and imperi-
clusive relevance in Black Theology to black people.
alist expansion to American Jim Crow, South African apart-
heid, institutionalized poverty, and second-class citizenship
In response to the internal critique from many African
in the second half of the twentieth century, all sanctioned
Americans and the external assumption of many whites that
and justified by the dominant Christianity and grounded in
African Americans and their Christian faith was historically
its theological articulation. The failure of European Ameri-
essentially quietistic and accommodatingly otherworldly,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLACK THEOLOGY
965
people such as Vincent Harding (There Is a River) and
(Roberts, 1971, pp. 19–20). Major J. Jones, continuing in
Gayraud Wilmore (Black Religion, Black Radicalism) uncov-
this vein with some unique contributions and further elabo-
ered a long, unbroken story of resistance and rebellion that
ration, radicalized the approach to “reconciliation” in his
ran through the black tapestry of African American history
Christian Ethics for Black Theology (1974), arguing that the
like a scarlet thread, beginning before the ships made shore
concept presupposed “an ideal prior relationship” that blacks
in the Americas and continuing through the modern-day
and whites did not share. In this work, while critically exam-
Civil Rights movement. The river Harding wrote of may not
ining the Black Theology project, he suggested grounds for
have always raged beyond its prescribed borders, but even
building “a totally new relationship that has never heretofore
contained the powerful current and strong undertow contin-
existed between black and white people in America” (Jones,
ued its flow wide and deep.
1974, p. 8).
Black Theology and Black Power, published in 1969, was
Although Black Theology’s essential critique of the
James Cone’s first firm and fearless statement of the conver-
white church gained wide acceptance, its constructive theo-
gence of black power and Christian thought at an academic
logical program drew heavy but primarily constructive criti-
level. This revolutionary statement exploded expectations in
cism from several different quarters. Those that criticized
the white church that African American Christians would aid
Black Theology were no less committed to the struggle for
and abet their comfortable conformity with the historically
African American liberation. They did not, however, accept
oppressive, traditional power structure and the more gradu-
James Cone’s theological method, the rationality of his
alist and conservative elements in the African American com-
claims, or his interpretation of the essential nature of African
munity. In Cone’s Black Theology and Black Power and in an-
American religious experience in which his theology claimed
other two of his books, A Black Theology of Liberation (1970)
to be grounded. Nor did they accept the claim that it was
and God of the Oppressed (1975), which came in relatively
somehow free of the traditional conceptual entanglements,
quick succession, Black Theology proclaimed with a joyful
challenges, and demands of academic accountability of the
and liberating resonance, particularly to those trapped in a
“white” theological tradition. Charles Long, in Significations
paralyzing tension, that there was no conflict between black
(1986), and Cecil Cone, in a more strictly theological vein
self-affirmation and self-determination, in a word black lib-
in The Identity Crisis in Black Theology (1975), argued that
eration, and the Gospel of Jesus Christ. In fact the struggle
African American religious experience had to be more broad-
for black liberation as defined by black power advocates was
ly interpreted in order to remain true to the nature of the
the mandate of the Gospel, and its emergence was a contem-
“religious,” the sources themselves, as well as maintain the
porary manifestation of the liberating activity of the Jesus re-
theoretical integrity of theological method. Black Theology
vealed in New Testament Scripture. Since God was the God
came under fire for reducing religious experience primarily
of the oppressed, always on the side of the oppressed, and
to a selective interpretation of black church history. Many
Jesus Christ was his self disclosure and a living historical pres-
critics of Black Theology argue that its method is primarily
ence, then he manifests himself amid the oppressed. In the
tautological in that it formulates its conclusions, then shapes
United States, African Americans were the oppressed, and
the interpretation of the sources it claims to be based on to
hence Jesus Christ would not only be among them in their
fit them, dismissively excising or devaluing those dimensions
struggle for freedom but would manifest himself in them and
of the experience that remain recalcitrant. In a word, critics
their struggle. Jesus Christ revealed himself in the black faces
have claimed that Black Theology has forced African Ameri-
can religious experience onto the procrustean bed of a quasi-
affirming their freedom. In the United States therefore Jesus
political ideology in view of the methodological prominence
was black.
of “black power.”
Other voices forcefully entered the fray emphasizing
A second generation of Black Theologians is attempting
other aspects of Black Theology, some at least implicitly and
to meet some of these and other challenges by (1) broadening
others explicitly critical of Cone. Black Theology for Cone
their reach into the sources, such as slave narratives, African
was theology of, by, and for black people. J. Deotis Roberts
American literature, and other cultural artifacts (see, for in-
insisted upon the preeminence of the theme of reconcilia-
stance, Cut Loose Your Stammering Tongue: Black Theology
tion. The emphasis on reconciliation was essential to preserve
in the Slave Narratives (2003), edited by Dwight N. Hopkins
the doctrinal integrity of Black Theology, given its claim to
and George C. L. Cummings); (2) widening the scope of
be Christian and normative. In addition to reconciliation
Black Theology by engaging in conversation with other third
Roberts feared an unhealthy isolation of Black Theology as
world and liberation theologies; and (3) placing themselves
it divorced itself, through a kind of ideological separatism,
in dialogue with indigenous African religious traditions (see
from the larger Christian theological tradition. “If we un-
Josiah U. Young and Will Coleman).
wisely mark off a little space for our operation as black schol-
ars, most white scholars will gladly let us operate only within
There were other earlier attempts to respond to the limi-
these bounds. There will be no need to admit the black theo-
tations of the black theological vision, but these have gar-
logian to the comprehensive field of theology. Some of us
nered little attention, ironically, because of the academic as-
have fought too long and hard to give up this territory now”
cendancy of the one particular vein. One such instructive
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
966
BLACK THEOLOGY
effort, Black Theology II: Essays on the Formation and Out-
1970). For valuable secondary material on Cone’s 1970 text
reach of Contemporary Black Theology (1987), edited by Cal-
and the development of Black Theology, see Cone, A Black
vin E. Bruce and William R. Jones, remains a valuable con-
Theology of Liberation: Twentieth Anniversary Edition (Mary-
tribution to the ongoing development of the black
knoll, N.Y., 2001), The Spirituals and the Blues: An Interpre-
theological project.
tation (San Francisco, 1972), God of the Oppressed (New
York, 1975); J. Deotis Roberts, Liberation and Reconciliation:
WOMANIST THEOLOGY. One of the most promising devel-
A Black Theology (Philadelphia, 1971) and Black Theology in
opments in the movement has been the emergence of Wom-
Dialogue (Philadelphia, 1987); Gayraud S. Wilmore, Black
anist Theology. The womanist perspective distinguishes it-
Religion and Black Radicalism (Garden City, N.Y., 1972);
self by challenging the traditional neglect of black women’s
Major J. Jones, Christian Ethics for Black Theology: The Poli-
experience by black (and white) men in the academy and the
tics of Liberation (Nashville, Tenn., 1974); and James J. Gar-
church. In addition to challenging the neglect of their experi-
diner and J. Deotis Roberts, eds., Quest for a Black Theology
ence, they critique the openly oppressive nature of the black
(Philadelphia, 1971).
church, given the disproportional numbers of women who
Second-generation efforts to explicate Black Theology and expand
make up black congregations and their virtual absence in
its intellectual and social range include Dwight N. Hopkins,
leadership roles in local congregations and denominational
Introducing Black Theology of Liberation (Maryknoll, N.Y.,
hierarchies. Womanists also distinguish themselves from
1999), Black Theology USA and South Africa: Politics, Cul-
white feminists, challenging their implicit and explicit rac-
ture, and Liberation (Maryknoll, N.Y., 1989), Down, Up,
and Over: Slave Religion and Black Theology (Minneapolis,
ism, while affirming their distinctive contribution to the
Minn., 2000), and with George C. L. Cummings, eds., Cut
larger feminist dialogue (see White Women’s Christ and Black
Loose Your Stammering Tongue: Black Theology in the Slave
Women’s Jesus: Feminist Christology and Womanist Response
Narratives (Louisville, Ky., 2003); Josiah U. Young III, Pan-
[1989] by Jacquelyn Grant). The term womanist was derived
African Theology: Providence and the Legacies of the Ancestors
from Alice Walker’s definition of the term, which is com-
(Trenton, N.J., 1992), Dogged Strength with the Veil: Afri-
prised of a distinctive African American cultural inflection.
cana Spirituality and the Mysterious Love of God (Harrisburg,
Although some “Womanist” Theologians have expressed un-
Pa., 2003); and Will Coleman, Tribal Talk: Black Theology,
easiness about being identified too closely with a label that
Hermeneutics, and African/American Ways of “Telling the
carries what many women in the black church consider mor-
Story” (University Park, Pa., 2000). For an alternative vision,
ally ambiguous baggage, the term has become ensconced in
see Calvin E. Bruce and William R. Jones, eds., Black Theolo-
the discourse as the recognized designation. Other notable
gy II: Essays on the Formation and Outreach of Contemporary
Black Theology (Lewisburg, Pa., 1978).
figures in the Womanist movement are Delores S. Williams,
Kelly Brown Douglas, Cheryl J. Sanders, M. Shawn Cope-
Critical responses to the Black Theology movement from within
land, and Emily Townes. While the broader themes of
the African American community include Cecil Wayne
Cone, The Identity Crisis in Black Theology (Nashville, Tenn.,
Womanist Theology bring coherence to the movement,
1975); William R. Jones, Is God a White Racist: A Preamble
there are significant differences in approach, theoretical in-
to Black Theology (Boston, 1998); Charles H. Long, Significa-
flection, and theological sensibility (see Introducing Woman-
tions: Signs, Symbols, and Images in the Interpretation of Reli-
ist Theology [2002] by Stephanie Mitchem).
gion (Philadelphia, 1986); and Dale P. Andrews, Practical
Theology for Black Churches: Bridging Black Theology and Af-
SEE ALSO Liberation Theology.
rican American Folk Religion (Louisville, Ky., 2002). For an
engaging and positive assessment, see Theo Witvliet, The
BIBLIOGRAPHY
Way of the Black Messiah: The Hermeneutical Challenge of
For a rich textured history of the beginning and later development
Black Theology as a Theology of Liberation (Oak Park, Ill.,
of Black Theology through an assemblage of primary texts,
1987).
consult Gayraud S. Wilmore and James H. Cone, eds., Black
For an introduction and overview of the Womanist development,
Theology: A Documentary History, 1966–1979 (Maryknoll,
see Stephanie Y. Mitchem, Introducing Womanist Theology
N.Y., 1979), and James H. Cone and Gayraud S. Wilmore,
(Maryknoll, N.Y., 2002). Additional important works in-
eds., Black Theology: A Documentary History, 2d ed. (Mary-
clude Jacquelyn Grant, White Women’s Christ and Black
knoll, N.Y., 1993). See also James H. Cone, My Soul Looks
Women’s Jesus: Feminist Christology and Womanist Response
Back (Nashville, Tenn., 1982) and Risks of Faith: The Emer-
(Atlanta, Ga., 1989); Emilie M. Townes, ed., A Troubling in
gence of a Black Theology of Liberation, 1968–1998 (Boston,
My Soul: Womanist Perspectives on Evil and Suffering (Mary-
1999); and M. Shawn Copeland, “Black, Hispanic/Latino,
knoll, N.Y., 1993) and Embracing the Spirit: Womanist Per-
and Native American Theologies,” in The Modern Theolo-
spectives on Hope, Salvation, and Transformation (Maryknoll,
gians: An Introduction to Christian Theology in the Twentieth
N.Y., 1997); Diana L. Hayes, And Still We Rise: An Introduc-
Century, edited by David F. Ford (Cambridge, Mass., 1997).
tion to Black Liberation Theology (New York, 1996); Delores
Significant texts in the formation and development of the first
S. Williams, Sisters in the Wilderness: The Challenge of Wom-
generation of Black Theology are Joseph R. Washington,
anist God-Talk (Maryknoll, N.Y., 1995); Kelly Brown
Black Religion: The Negro and Christianity in the United States
Douglas, The Black Christ (Maryknoll, N.Y., 1994); Cheryl
(Boston, 1964) and The Politics of God (Boston, 1967); and
J. Sanders, Ministry at the Margins: The Prophetic Mission of
James H. Cone, Black Theology and Black Power (New York,
Women, Youth, and the Poor (Downers Grove, Ill., 1997);
1969) and A Black Theology of Liberation (Philadelphia,
and Cheryl J. Sanders, ed., Living the Intersection: Womanism
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLADES
967
and Afrocentrism in Theology (Minneapolis, Minn., 1995)
thrower of the thunderbolt (vajra), and principle of light-
and.
ning—the energy of cosmic and animal life, which is stored
M
as the semen (v¯ırya) of all beings. When the priest of Indra
ATTHEW V. JOHNSON, SR. (2005)
brandishes the ritual wooden sword (sphyha), he is regarded
as raising the thunderbolt used by Indra to behead Vr:tra, the
dragon (or demon) that caused drought. In the epic
BLADES, such as those of swords, knives, axes, scythes,
Maha¯bha¯rata, Indra’s thunderbolt is equated with the penis,
scissors, and saws, are instruments for cutting things apart.
and in the Tantras it is equated with sexual power as the fun-
As hierophanies of divine power, blades manifest the instru-
damental energy.
mental function of intentional or purposeful cutting, divid-
ing, separating, splitting, cleaving, or articulating.
According to Ananda Coomaraswamy, “the Japanese
sword, Shinto, royal, or samurai, is in fact the descendant or
The divine cutting power epiphanized by blades acts
hypostasis of the sword of lightning found by Susa-no-Wo-
creatively or constructively when it differentiates a primordi-
no-Mikoto in the tail of the Dragon of the Clouds, whom
al entity; multiplies one into many by cutting something into
he slays and dissevers, receiving in return the last of the
parts; releases or receives some fructifying substance by cut-
daughters of the Earth, whose seven predecessors have been
ting something open; orders a confused state by dividing it
consumed by the Dragon” (Selected Papers, Princeton, 1977,
into parts; or purifies or brings something to its perfected
vol. 1, p. 434).
form by cutting away a nonessential admixture. The same
cutting power acts in a negating, limiting, or destructive way
Lightning is also a metaphor expressive of the flashing
when it brings about a premature end by cutting off further
sword of judgment wielded by Yahveh. “I have posted a
development, by establishing an impassable boundary, or by
sword at every gate to flash like lightning, polished for
destroying the necessary integrity or organic unity required
havoc” (Ez. 21:20). After Adam and Eve are expelled from
for the continuance of something.
the Garden of Eden, Yahveh posts “the cherubs, and the
flame of a flashing sword, to guard the way to the tree of life”
Blades are manmade instruments designed for imple-
(Gn. 3:24).
menting conscious intentions; they require craft for their
manufacture and both training and discipline for their use.
The ax is also an attribute of sky gods. Indra is incarnat-
This quality of consciousness enables them to symbolize the
ed as the god Ra¯ma-with-the-Ax, Parasic-Ra¯ma. Ra¯ma’s ax
divine intellect, purpose, will, judgment, craft, cunning, or
is the cutting power in the service of reestablishing the proper
wisdom that wields or guides the cutting power.
social order by means of war. Ra¯ma was given the ax and
Blades manifest their divine power in all domains of ex-
trained in its use by S´iva, the god or principle of disintegra-
istence—agriculture, warfare, civil administration, service to
tion, dispersion, and annihilation. Zeus is another example
the gods, and meditative disciplines. For instance, cutting
of a sky god whose warrior power is represented by the ax.
power in the form of the sickle is an attribute of divinities
At the time of his birth on Mount Ida in Crete the mountain
connected with agriculture as a sacred institution. The an-
brought forth the Kouretes, youths armed with battle-axes
cient Italian god of seedtime and harvest, Saturnus, carries
and shields, who danced around the divine child to conceal
a sickle. The Greek earth goddess, Gaia, invented the sickle
his cries from Kronos, his murderous father. The birthplace
and urged her son Kronos to castrate his father with it be-
of Zeus on Crete is also a major site of the cult of the double
cause he was preventing her children from coming into the
ax. Apparently the double ax itself was worshiped, and in
light.
later representations Zeus is shown shouldering the ax.
Cutting power in the form of a sword is an attribute of
Blades are attributes of sun gods and solar heroes. These
divinities connected with meditative disciplines. In Hindu-
blades have their natural analogue in the form and activity
ism, for example, the sword Nandaka (“source of joy”),
of sunbeams and rays of sunlight. The Babylonian sun god,
which is held by the god Vis:n:u represents pure knowledge
Shamash, who was a judge, lawgiver, and fertility deity, is de-
(jña¯na), whose substance is wisdom (vidya¯). The flaming
picted holding a saw with which to cut decisions. His heroic
sword of knowledge is the powerful weapon that destroys ig-
and kingly agent, Gilgamesh, carries a battle-ax and a sword
norance. Generally, in whatever domain of existence the di-
with which he kills both the monster Huwawa, who rules the
vine cutting power manifests itself it does so as the sacred
wilderness, and the Bull of Heaven, sent against him by the
blade of a numinous agent who wields the blade and whose
goddess Ishtar, whose seduction he rejects. In general,
essential nature is represented by it.
the blades associated with sun gods and solar heroes manifest
the divine cutting power serving the interest of establishing
Blades as attributes of the ruling gods of the sky in vari-
the human order, civilization, and kingship.
ous religious traditions manifest cutting power in both its
constructive and its negative connotations. The blades of the
Swords are almost universally found as a part of royal
sky gods have their natural analogue in the phenomenon of
regalia, for the sovereign is the temporal counterpart of the
lightning. For example, the Vedic ruler of heaven, the cloud-
divine principle that rules through cutting power. For exam-
dwelling god Indra, is deity of space, dispenser of rain,
ple, there are five swords in the regalia of the British mon-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
968
BLASPHEMY: JEWISH CONCEPT
arch: the sword of state, a smaller sword substituted for it
BLASPHEMY
that is used during the coronation ceremony, the sword of
This entry consists of the following articles:
spiritual justice, the sword of temporal justice, and the sword
JEWISH CONCEPT
of mercy, which has a blunted tip.
CHRISTIAN CONCEPT
ISLAMIC CONCEPT
Scissors are particularly connected with the power of
terminating or cutting something off. For example, the
Moirai or goddesses of fate in the pre-Olympian Greek reli-
BLASPHEMY: JEWISH CONCEPT
gion spun and determined the length of the threads of
There is no one standard Hebrew term for blasphemy, indi-
human lives. One of them, Atropos, snipped off the threads
cating that blasphemy—namely, speaking impiously or ir-
with scissors. In Hindu iconography the goddess Ka¯l¯ı is
reverently about God or sacred things—is not recognized as
sometimes depicted with scissors, which she uses to snip the
a distinct, prohibited category of speech in traditional Juda-
thread of life.
ism. In fact, some activities or statements that might appear
to members of different religious traditions as blasphemous
Ka¯l¯ı or Maha¯-Ka¯l¯ı, the transcendent power of time that
toward God are part and parcel of Judaism. Thus, although
dissociates all things, is often shown holding a sword, which
one might think that arguing with God is a blasphemous ac-
represents the destructive power of time to cut off life. The
tivity, the precedent of Abraham’s bargaining with God be-
sword is also an instrument of sacrifice in the rites of Ka¯l¯ı.
fore the destruction of Sodom and Gomorrah (Gn. 18:16–
Blades are also attributes of gods of the underworld. For
33) legitimized the Jewish convention of disputing with
instance, Yama, the Hindu sovereign of the infernal regions
God, most notably in modern Hasidism. Some medieval
and judge of the dead, carries a sword, an ax, and a dagger.
Christians found certain rabbinic utterances about God to
The name Yama means “binder, restrainer.” When Yama is
be blasphemous, but this was partially the result of a Chris-
identified with the principle of time (Ka¯la¯) he is shown as
tian desire to find reasons to outlaw the Talmud (the accusa-
an old man carrying a sword and shield, as this concept has
tion of blasphemy was used as a justification for Christian
to do with endings.
censorship of Jewish books). Jews, however, accepted the os-
tensibly objectionable statements, even if they sometimes ap-
In the biblical Book of Revelation (15:14–16) the end of
peared to be peculiar, as a legitimate part of Judaism (al-
time is represented by the image of the Son of man appearing
though they were often explained allegorically by Jewish
on a cloud with a sickle in his hand. “Then another angel
rationalists). Although one cannot say that Judaism allows
. . . shouted aloud to the one sitting on the cloud, ‘Put your
complete freedom of speech, it would seem that the rabbis
sickle in and reap: harvest time has come and the harvest of
were more concerned with language that offended humans
the earth is ripe.’ Then the one on the cloud set his sickle
(e.g., idle and malicious gossip) than with language that
to work on the earth. . . .” The judging Word of the Lord
might have been taken as offensive to God.
is also represented in the image of the Son of man with the
double-edged sword coming from his mouth (Rv. 1:16).
There are, however, certain actions that the Jewish tra-
dition might consider a type of blasphemy, some of which
Thus the divine cutting power manifested in blades
are more culpable than others. These actions can be catego-
works toward a multiplicity of ends in all domains of exis-
rized, from the more specific and punishable to the more
tence. Depending upon the context in which it appears, the
general and unenforceable, as: (1) cursing God and God’s
blade traditionally symbolizes the instrument of creativity,
name; (2) using God’s name in vain, pronouncing it illicitly,
liberation, justice, power, authority, fertility, purification,
or destroying its written form; (3) saying inappropriate
enlightenment, punishment, death, execution, destruction,
things about God; and (4) acting in a manner that would
martyrdom, and limitation.
bring disrepute upon the God of Israel (and, therefore, upon
B
the people of Israel).
IBLIOGRAPHY
Further discussion can be found in Alain Daniélou’s Hindu Poly-
CURSING GOD. The holiness of God’s name was such that
theism (New York, 1964).
an offense against that name was considered a severe crime.
New Sources
The gravity of the act was so great that a euphemism was
Evangelista, Nick. The Encyclopedia of the Sword. Westport,
often used to describe the transgression—for example, curs-
Conn., 1995.
ing God was referred to as “blessing God.” The first mention
Harris, Victor, and Nobuo Ogasawara. Swords of the Samurai.
of the prohibition in the Bible (Ex. 22:27) links reviling God
London, 1990.
(Elohim) with the cursing of a ruler (nasi), but no punish-
ment is prescribed, and Jewish tradition has generally, but
Irvine, Gregory. The Japanese Sword: The Soul of the Samurai.
London, 2000.
not unanimously, understood Elohim in this passage to mean
judges and not God. A more specific reference occurs when,
Pierce, Ian. Swords of the Viking Age. Rochester, N.Y., 2002.
as a result of an altercation in the desert camp of the Israel-
Pleiner, Radomir. The Celtic Sword. New York, 1993.
ites, the son of an Israelite woman and an Egyptian man
RICHARD W. THURN (1987)
enunciated the Name (ha-shem, presumably the tetragram-
Revised Bibliography
maton, YHVH) and cursed. Moses did not know what to
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BLASPHEMY: JEWISH CONCEPT
969
do with the miscreant, but God informed him that the com-
ing, and this action inspired the Maccabees to fight more
munity was to put him to death by stoning after those who
fiercely (2 Mc. 10:34–35; 12:14–15). Judah Maccabeus
heard the curse placed their hands on the head of the sinner.
prayed to God that his contemporary blasphemers suffer the
Furthermore, those who curse God (Elohim) are culpable,
fate of the 185,000 Assyrian troops who had attacked Jerusa-
and those who enunciate the name of YHVH are to be pun-
lem (2 Mc. 15:22–24).
ished by stoning. The fact that the offender was not a full
Israelite did not mitigate the severity of the crime, since the
This expansive use of the concept and term of blasphemy
law applied to both the native born and strangers. The sen-
was not adopted by the rabbis of the Talmud, who had a
tence was then carried out (Lv. 24:10–23). Commentators
more limited view of the crime of offensive speech against
are divided as to the exact nature of the offense for which
God, restricting it specifically to cursing God. They also
this half-Israelite/half-Egyptian was executed—was it, for in-
made it almost impossible to execute someone for this action.
stance, pronouncing the name, cursing it, or both? In any
In general, although the Bible prescribes capital punishment
event, it would appear that the man committed a transgres-
for a number of crimes, rabbinic law was instrumental in lim-
sion specifically against God’s name, an act that could be
iting the possibility of judicial executions. In order to put
construed as blasphemy and that was punishable by death.
someone to death, the offense must have been committed be-
fore two eyewitnesses who had previously warned the crimi-
The Bible provides other examples of this offense.
nal explicitly against the act and had received his acknowl-
When King Ahab fell into a deep depression after being un-
edgment of their warning. In the case of cursing God, the
successful in convincing Naboth the Jezreelite to sell him his
rabbis added further restrictions, including the fact that the
ancestral vineyard, Ahab’s wife Jezebel conspired to have Na-
case is a capital one only if God’s personal name, the tetra-
both executed by inciting false witnesses to accuse him of
grammaton, was used both as the one who curses and the
having cursed (literally, blessed) God (Elohim) and the king
accursed. In rabbinic parlance, this meant that the miscreant
(melekh). This would indicate that the prohibition of Exodus
must say something in the form of “May Yossi smite Yossi,”
22:27 was enforced as a capital offense (1 Kgs. 21:1–17).
in which Yossi is used as a euphemism for the divine name.
Job’s wife thought Job’s troubles would be over if he “cursed
The euphemism is used until the very end of the judicial pro-
[literally, blessed] God and died” (Jb. 2:9).
cedure, but since a person could not be executed on the basis
of an accusation consisting only of a euphemism, the eldest
The consequences of cursing God were felt not only by
witness would then be asked to say exactly what he had
the executed malefactors, but also by those who heard the
heard. At this point, the judges rend their garments irrepara-
curse and by the community. The accusation against Naboth
bly, and the younger witnesses say: “I also heard it like this”
was accompanied by a call to public fasting (1 Kgs. 21:9, 12).
(Mishnah Sanhedrin 7:5). A Talmudic rabbi opined that
When the Assyrian army commander came to the besieged
hearing other names of God cursed did not require tearing
Jerusalem and made highly unflattering statements about the
the garments, since “if that were the case, one’s garments
God of Israel (YHVH), and said them in Hebrew (literally,
would be full of rents” (Babylonian Sanhedrin 60a).
Judean) so that the beleaguered people would understand
him, his Israelite interlocutors rent their garments (2 Kgs.
It is unclear whether this punishment was ever carried
18:37; Is. 36:22). The punishment for the Assyrians was a
out by rabbinic courts, since by the time of the editing of
plague that destroyed their army, wiping out 185,000 sol-
the Mishnah (c. 200 CE), Jews no longer had authority to im-
diers (2 Kgs. 19:35; Is. 37:36).
pose capital punishment upon malefactors. Medieval discus-
sions of this capital offense were certainly theoretical and do
The Bible, then, seems to consider offensive speech
not reflect applied case law. Maimonides (d. 1204), whose
against God serious and actionable both by human courts
code dealt with all of Talmudic law, whether it was pertinent
and by God. Hellenistic Jewish literature described such of-
in his own day or not, extended the capital prohibition to
fensive speech with the Greek term blasphemy and under-
the main substitute for the tetragrammaton (ADNY), where-
stood the concept as including any offense against the sover-
as cursing God using other holy names was forbidden but
eignty of God. The Septuagint used the word blasphemy in
not actionable by a human court (Mishneh Torah, Laws of
its translation of a number of biblical passages that have ref-
Idolatry, 2:7–10). Later codes, which are not as inclusive and
erence to reviling or insulting God (2 Kgs. 19:4, 6, 22; Is.
do not treat of capital offenses, omit this prohibition all to-
52:5; Ez. 35:12; Dn. 3:29). The Syrian-Greek attempt to
gether, but they do obligate those who hear God’s name
eradicate Judaism and replace it with idolatry is seen by the
cursed, even if only a substitute for that name (and perhaps
author of 2 Maccabees as a form of blasphemy. After the au-
even in a foreign language), to rend their garments (Shulhan
thor described the deadly illness of King Antiochus as divine
Arukh, Yoreh De’ah, 340:37).
punishment for his sins, he wrote: “So the murderer and
blasphemer, having endured the most intense suffering, such
USING GOD’S NAME IN VAIN, PRONOUNCING IT, OR DE-
as he had inflicted on others, came to the end of his life by
STROYING IT. The third commandment reads: “You shall not
a most pitiable fate” (2 Mc. 9:28). In the wars between the
take the name of the Lord your God in vain, for the Lord
Syrian-Greeks and the Judeans, the former are portrayed as
shall not clear one who takes His name in vain” (Ex. 20:7;
uttering insults about the God of Israel, namely blasphem-
Dt. 5:11). The Jewish exegetical tradition generally under-
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BLASPHEMY: JEWISH CONCEPT
stands this prohibition as using God’s name for making a
correct beliefs, there is a wide latitude in Jewish theology and
false oath and not necessarily as solely misusing God’s name
no central authority to decide on questions of faith. Thus,
(Maimonides, Book of Commandments, Negative Command-
it is difficult to define that which is inappropriate to say
ment 62). The exact nature of what false oaths are is also a
about God. For instance, Maimonides wrote that one who
matter of dispute, although some would understand the pro-
says that there is one God, but that God has body and form,
hibition as any unnecessary use of God’s name when swear-
is a heretic who has no portion in the world to come. This
ing. Avraham ibn Ezra (d. 1167) noted that this injunction
statement was highly criticized by Rabbi Avraham ben David
is the most violated of the Ten Commandments, which is
of Posquières (RABaD, d. 1198) as unfair to those “greater
the cause of the continued exile. The violation is so wide-
and better” than Maimonides who held such views (Mishneh
spread that even if one points out to people that they are
Torah, Law of Repentance, 3:6). Obviously, one person’s
swearing by God’s name, they will swear by God’s name that
blasphemy can be someone else’s deep-seated pious belief.
they are not doing so (Long Commentary on Exodus, 20:7).
The Middle Ages witnessed a large number of controversies
between rationalist and more conservative Jews as to which
A different prohibition is pronouncing God’s name.
statements about God are meant literally and which are to
The tetragrammaton was understood as God’s personal
be taken allegorically.
name, and, therefore, it was imbued with particular holiness.
Pronunciation of the name became increasingly rare, and, ac-
The medievals debated the question of heresy as well.
cording to later sources, by the Second Temple period it was
Although there are many terms in post-biblical Hebrew for
articulated only once a year on Yom Kippur in the Temple’s
heretic (the Bible, itself, does not mention the concept of her-
Holy of Holies. In general usage, the tetragrammaton is re-
esy), there is no agreement in rabbinic or medieval literature
placed by Adonai (Lord) or Ha-Shem (the Name); someone
as to what makes one a heretic. The rabbis deny a place in
who attempts to pronounce the tetragrammaton by its letters
the world to come to someone who negates the beliefs in the
is said not to have a portion in the world to come (Mishnah
divinity of the Torah or the resurrection of the dead, or to
Sanhedrin 10:1). Today, there is no agreement as to the cor-
the Epicurean (Hebrew, apiqoros—apparently one who de-
rect pronunciation of the tetragrammaton, and therefore the
nies divine providence, but traditionally one who is disre-
prohibition is more or less moot, even though there are some
spectful to the sages; Mishnah Sanhedrin 10:1). Although
who would forbid attempts at saying the name lest one come
this statement cannot necessarily be used to define the rab-
up with the correct pronunciation. Because of the perceived
binic view of heresy, it did influence medieval discussions of
holiness of divine names, observant Jews generally refrain
Jewish dogmatics. Maimonides’ Thirteen Principles were
from any full pronunciation of these names, even those used
formulated as part of his commentary on this statement, and
instead of the tetragrammaton, except in specific ritual ac-
they seem to be based upon them. Other authors of dogmatic
tions. As alternate divine names or notations become wide-
systems, however, did not always use them as a means of
spread, they too are imbued with sanctity, and there is a ten-
identifying heretics, and Judaism never achieved unanimity
dency to seek further substitution for them.
as to the parameters of heresy. There were also disagreements
as to the status and culpability of the inadvertent heretics
Because of the sanctity of the divine name, it is forbid-
(those who are unaware of the heresy of their beliefs). Thus,
den to destroy its written form. This is the reason why Jewish
in the absence of clear definitions of heresy, there could be
written materials that include divine names are generally bur-
no identification of heretical statements with blasphemy.
ied (in a geniza, a special repository for this material) rather
than destroyed. Maimonides lists seven such names that are
ACTING IN A MANNER THAT WOULD BRING DISREPUTE
not to be destroyed, and anyone who erases even one letter
UPON THE GOD OF ISRAEL. The Torah provides remedies for
of these names is punished by lashes (Mishneh Torah, Laws
those who transgress God’s law unintentionally, but the Book
of the Foundations of the Torah, 6). Just as one does not pro-
of Numbers (15:30) states that intentional disobedience by
nounce divine names in everyday speech, one also does not
a native-born Israelite or by a stranger is considered a form
write divine names fully for fear of profaning them. There
of insulting God (giduf) and is punishable by excision (karet),
is a difference of opinion as to whether this caution is to be
a sanction that is apparently a divine, rather than human,
applied to divine names in languages other than Hebrew, but
punishment. Since this verse seems to expand unreasonably
the most stringent employ substitute formulations and spell-
the sanction of excision, in contrast to other biblical punish-
ings even in non-Hebrew writing and speech. It is also in-
ments, the rabbis generally restricted its application to the
cumbent to treat both a Torah scroll and traditional Jewish
prohibition of idolatry. In fact, the prophet Ezekiel cited Is-
books with reverence lest one show disrespect to God by de-
raelite idol worship as an example of this type of insult to
meaning the divine word.
God, and he predicted that God would punish the people
for their sin, forcing them to acknowledge the sovereignty
SAYING INAPPROPRIATE THINGS ABOUT GOD. Before one
of God (Ez. 20:27–44).
can prohibit blasphemy as a form of saying inappropriate
things about God, one must first determine what exactly it
More broadly, the Bible enjoins Jews to sanctify God’s
is that is inappropriate to say. Since Judaism has always
name and to refrain from desecrating it (e.g., Lv. 22:32).
placed greater stress on observance of the law rather than on
This has been interpreted in the Jewish tradition as the re-
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BLASPHEMY: CHRISTIAN CONCEPT
971
sponsibility Jews have to act in such a way as not to bring
erent statements that outrage the religious sensibilities of
discredit upon God and Israel, God’s people. Sanctification
others. What is deemed blasphemous varies from society to
of God’s name can include such actions as doing business
society and may differ with time and place, but whatever is
honestly (so that the non-Jew is impressed by the influence
condemned as blasphemy is always regarded as an abuse of
God has on everyday transactions and on Jewish honesty),
liberty and reveals what a society cannot and will not toler-
or being willing to die rather than convert to another religion
ate. Blasphemy constitutes a litmus test of the standards a so-
(so that the non-Jew is impressed by the Jewish loyalty to
ciety feels it must enforce to preserve its religious peace,
God’s religion). Conversely, actions that bring dishonor
order, morality, and above all, salvation. Wherever organized
upon God (a Jew’s acting dishonestly in business or not
religion exists, blasphemy is taboo.
choosing death over coerced conversion) are understood as
desecrating God’s name and bringing dishonor upon Israel.
Yet Christianity holds no monopoly on the concept of
It is difficult, however, to define clearly either sanctification
blasphemy. Every society will punish the rejection or mock-
or desecration of God’s name, and human punishment for
ery of its gods. Because blasphemy is an intolerable verbal vi-
the latter would thus be hard to enforce. In general, desecra-
olation of the sacred, it affronts the priestly class, the deep-
tion of God’s name is more a moral category than a legal one,
seated beliefs of worshipers, and the basic religious values
and it is not punished, for instance, as cursing God is. Yet,
that a community shares. Punishing the blasphemer may
desecrating God’s name in the ways mentioned might be
serve any one of several social purposes in addition to setting
considered, by extension, a form of blasphemy.
an example to warn others. Punishment is also supposed to
propitiate the offended deities by avenging their honor,
Jewish law provides outlines as to how one is to act to
thereby averting their wrath in the shape of earthquakes, in-
prevent public desecration of God’s name. Thus, even if one
fertility, lost battles, floods, plagues, or crop failures. Public
may generally transgress a commandment under duress (ex-
retribution for blasphemy also vindicates the witness of be-
cept for the prohibitions of idolatry, murder, and adultery
lievers, reaffirms communal values, and avoids the snares of
and incest), if that duress is public, for the purpose of offend-
toleration. Toleration sanctions the offense, inviting others
ing God and the people of Israel, then Jews are enjoined not
to commit it, and sheds doubt on orthodox truths.
to violate minor proscriptions as well, even at the pain of
death. Sanctification of God’s name is one of the most im-
Periclean Greece cherished liberty yet prosecuted its
portant commandments that a Jew can perform, and as such
blasphemers. Anaxagoras the philosopher, by imagining a su-
it is almost the exact opposite of the offense of blasphemy.
perior intellect that had imposed a purposeful order on the
physical world, insulted the Greek gods; Phidias the sculptor,
SEE ALSO Heresy.
by carving a figure of himself on the shield of his colossal
statue of Athena, profaned her; Euripides the tragic poet
B
seemed to doubt the sanctity of oaths witnessed by the gods;
IBLIOGRAPHY
There is no comprehensive study of blasphemy in the Jewish tradi-
Alcibiades the general supposedly mocked the sacred rites
tion. Leonard W. Levy’s Blasphemy: Verbal Offense against the
honoring Demeter, the grain goddess; Protagoras the mathe-
Sacred, from Moses to Salman Rushdie (Chapel Hill, N.C.,
matician and Diagoras the poet confessed to agnosticism. Fi-
1993), contains very little Jewish material, only reinforcing
nally, Socrates, whose trial for blasphemy is the best known
the statement made here that blasphemy is not an important
in history next to that of Jesus, was charged with corrupting
concept in Judaism. A discussion of biblical terms for cursing
the youth by disbelieving in the gods of the state and advo-
is found in Herbert Chanan Brichto, The Problem of “Curse”
cating deities of his own.
in the Hebrew Bible (Philadelphia, 1963), but it omits giduf,
one of the terms that is often translated as “blasphemy.”
Christendom’s concept of blasphemy derived from the
Menachem Kellner’s Dogma in Medieval Jewish Thought:
Mosaic injunction of Exodus 22:28, which declares, “You
From Maimonides to Abravanel (Oxford, 1986) reviews Jew-
shall not revile God.” The precedent for punishing blasphe-
ish views of the principles of Judaism and heresy, illustrating
my as a crime is in Leviticus 24:16, where one who cursed
that there was no one Jewish position on this question.
the name of the Lord was put to death by stoning. None of
DANIEL J. LASKER (2005)
the Old Testament references to the commission of blasphe-
my quotes the actual crime for fear of repeating it. The He-
brew scriptures distinguished blasphemy from other offenses
against religion, in contrast to the Septuagint. Where, for ex-
BLASPHEMY: CHRISTIAN CONCEPT
ample, Greek usage showed a preference for blasphemy and
The word blasphemy derives from a Greek term meaning
used that term somewhat loosely, the Hebrew scriptures re-
“speaking evil,” but in the Christian religious tradition the
ferred more precisely to “idolatry” or “sacrilege,” as in Isaiah
word refers to verbal offenses against sacred values or beliefs.
66:3 and 1 Maccabees 2:6, or sometimes to “speaking any-
A seventeenth-century Scottish jurist epitomized blasphemy
thing against God,” as in Daniel 3:29. On the other hand,
by calling it “treason against God.” The concept of blasphe-
the term for “blasphemy” in the Hebrew scriptures is linqov,
my has never remained fixed. It has ranged from the ancient
which means “to specify, enunciate, or pronounce distinct-
Hebrew crime of cursing the ineffable name of God to irrev-
ly”; but Leviticus 24:10–23 uses it in conjunction with qillel,
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972
BLASPHEMY: CHRISTIAN CONCEPT
which means “curse.” The word cannotes also “to pierce [the
faith, and any discord, false beliefs, or dissent from Jesus’
name of God], rail, repudiate, derogate, speak disrespectful-
teachings. Denying the incarnation or calling the Son of God
ly, denounce, insult, and abuse.” The blasphemy of Rab-
a human being only resulted in the same charge. Blasphemy
Shakeh in 2 Kings 18–19 shows the offense to mean speaking
was a concept of primary concern to Christians, as well as
disrespectfully of God, doubting his powers, and comparing
a vile epithet with which to blacken religious enemies. Dur-
him to idols. However, only cursing the personal name of
ing the four centuries it took for Christianity to define itself
the Lord merited the death penalty; for a lesser blasphemy,
and develop its faith, every faction accused its opponents as
the punishment was probably excommunication. To curse
blasphemers. In time, heresy, which originally meant a fac-
was a far more serious offense than in our time. “God damn,”
tionalism arising from the willful choice of an untrue faith,
a familiar curse, is today mere profanity; in the biblical sense,
became not just a form of blasphemy that exposed the true
to curse meant uttering an imprecation in the name of God
faith to contention; it became a term that eclipsed blasphe-
for the purpose of calling upon his power to perform an evil
my. A point implicit in the deutero-Pauline epistles became
deed. Although the Septuagint tends to use blasphemy as a
explicit in 2 Clement, which stated that blasphemy means
broad term for any offenses against religion, with the excep-
“you do not do what I desire” and therefore consists of any-
tion of Ben Sira 3:16 no Greek-Jewish text uses the word or
thing that contravened ecclesiastical authority. This view-
any form of it that is not God-centered. Only God can be
point became a fixed position in Christian thought.
blasphemed in Jewish thought. And nowhere in Old Testa-
ment or Greek-Jewish sacred books is blasphemy a synonym
Any religious view contrary to church policy was blas-
for heresy. Indeed, no equivalent for the concept of heresy ex-
phemy, a form of heresy, but the doctrine of the Trinity be-
ists in the pre-Christian era. Christianity, though greatly in-
came the focal point in the controversy over blasphemy. The
fluenced by Greek-Jewish texts, would use the two terms
conflict between Arians and Athanasians involved more than
blasphemy and heresy as equivalents and as more than a God-
a dispute over the right faith; it concerned the right road to
centered offense. Not until Christianity began did the mean-
salvation for all Christians. The authority of the church,
ing of blasphemy change.
when backed by the coercion of the state, settled the contro-
versy by fixing on the Nicene Creed, which ultimately be-
The New Testament retained the God-centeredness of
came the test of orthodoxy. Constantine’s decrees against Ar-
the Mosaic code but expanded the concept of the offense to
ians and Arian books eventually led to the Theodosian Code
include the rejection of Jesus and the attribution of his mira-
of 438, enthroning Catholic Christianity as the exclusive reli-
cles to satanic forces. Although only Mark and Matthew de-
gion of the empire, and Christians began persecuting each
pict a formal trial and condemnation of Jesus by the Sanhe-
other. Heresy then superseded blasphemy as the great crime
drin, all four evangelists employ the motif that the Jewish
against Christianity. Unfreighted with Old Testament ori-
rejection of Jesus was blasphemy. Readers understand that
gins, heresy was more flexible and spacious a concept than
whenever the Gospels depicted the Jews as describing Jesus
blasphemy and had as many meanings. Both Athanasius and
as blasphemous for performing some miracle, or healing on
Augustine freely intermixed accusations of blasphemy and
the Sabbath, or forgiving sins, none of which constituted the
heresy, as if the two terms were interchangeable. But heresy
crime of blasphemy in Jewish law, the Jews by their rejection,
became the encompassing term, because the church faced
and not Jesus, were blasphemous. Thus in the climax of the
abusive criticism and competing doctrines about the faith,
trial scenes before the Sanhedrin, those who found Jesus
not abusive speech about God. Augustine developed a theory
guilty were blasphemers because they did not recognize him
of persecution that lasted more than a millennium. Blas-
as the Son of God and the Messiah. Jesus’ answer to Caiaphas
phemers, he wrote, “slay souls,” causing “everlasting deaths.”
in Mark 14:62 (“I am”) should be understood as post-Easter
Rape, torture, and death were nothing compared to rejection
theology, but it became the basis for a new, expanded con-
or corruption of the pure faith. The church persecuted “out
cept of blasphemy in Christian thought.
of love,” he declared, “to save souls.” Toleration intensified
the heretic’s damnation and passed his guilt to church and
For four centuries after the crucifixion, many different
state for allowing him to contaminate others, multiplying his
interpretations of Christianity competed with each other as
eternal fate among the faithful. Those who knew the revealed
the true faith, producing accusations of blasphemy. Jesus,
truth yet permitted disloyalty to it committed a greater crime
having joined God as a divine majesty in Christian thought,
than those who rejected it. Indulging willful error in a matter
though not in Arianism, became a target of blasphemers or,
of salvation betrayed the faith and risked the worst calamity
rather, the basis for leveling the charge of blasphemy against
in the hereafter. Blasphemy, Augustine wrote, was the most
variant professors of Christianity. Cursing, reproaching,
“diabolical heresy.”
challenging, mocking, rejecting, or denying Jesus Christ be-
came blasphemy. Posing as Jesus, claiming to be equal to
Theologians who discussed blasphemy in the times of
him, or asserting powers or attributes that belonged to him,
Bede, Gratian, Aquinas, Bernard Gui, and Bellarmine said
became blasphemy. Ascribing evil or immoral inspiration to
nothing significantly different from Augustine. Aquinas re-
any work of God or of the Holy Spirit that moved Jesus also
garded blasphemy as saying or thinking something false
became blasphemy, as did any denial or renunciation of the
against God; he therefore understood it as a species of unbe-
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BLASPHEMY: CHRISTIAN CONCEPT
973
lief meriting death. But he also condemned all heresies as
cluded the beliefs that Christ was not God and that infant
blasphemy: heretics, he thought, ought to be punished for
baptism was unnecessary. The last English executions for re-
crimes worse than treason or murder because they victimized
ligion occurred in 1612; both victims were antitrinitarians,
God, not merely other human beings. According to Aquinas,
the principal targets of suppression throughout the century.
“heretics . . . blaspheme against God by following a false
John Biddle, the Socinian father of English Unitarianism,
faith.”
was persecuted for seventeen years and finally died in prison
in 1662.
Protestants during the Reformation had to reinvent the
crime of blasphemy on the fiction that it was distinguishable
In 1648 Parliament had enacted a statute against blas-
from heresy. Because “heresy” was the Catholic description
phemy that reached the doctrines of Socinianism but not
for Protestantism, Protestant leaders tended to choke on the
those of Ranterism, a phenomenon of the disillusioned and
word heretic and preferred to describe as “blasphemy” any-
defeated political left that turned to religion for expression.
thing they disliked or disagreed with, just as the church had
Ranters believed that, as God’s grace is unbounded, nothing
used “heresy.” Luther, for example, impartially if promiscu-
is sinful. Antinomian sentiment run amok into religious an-
ously condemned as blasphemies Anabaptism, Arianism, Ca-
archy, the Ranters were seditious, obscene, and blasphemous
tholicism, Judaism, and Islam. Any denial of an article of
in ways as flagrantly offensive as possible. A 1650 act against
Christian faith as he understood it was blasphemy. So too,
blasphemy cataloged Ranter beliefs but punished them light-
sin was blasphemy, opposing Luther was blasphemy, ques-
ly compared to Scotland, which carried out the death penal-
tioning God’s judgments was blasphemy, persecution of
ty. The Ranters, believing that life should be enjoyed, recant-
Protestants by Catholics was blasphemy, Zwinglian dissent
ed easily and disappeared. Unlike the Socinians or the
from Lutheranism was blasphemy, missing church was blas-
Quakers, they did not have the stuff of martyrs.
phemy, and the peasantry’s political opinions were blasphe-
George Fox, the founding Quaker, who was prosecuted
my. Luther abused and cheapened the word, but he certainly
for blasphemy four times, and his followers endured violent
revived and popularized it. It became part of the Protestant
persecution. Their belief in the Christ within seemed blas-
currency. In 1553 Calvin’s Geneva executed Michael Serve-
phemous. In 1656 James Nayler, then the greatest Quaker,
tus, the first systematic antitrinitarian theorist, for his “exe-
was convicted by Parliament for blasphemy because he reen-
crable blasphemies” that scandalized the Trinity and entailed
acted Jesus’ entry into Jerusalem on Palm Sunday as a sign
the murder of many souls. Of all the blasphemy cases of the
of the imminent Second Coming. Nayler was savagely beat-
sixteenth century the strangest was that of Ferenc Dávid,
en and imprisoned. The first person imprisoned for blasphe-
the head of the Unitarian church in Transylvania. His allies,
my after the Restoration was William Penn, accused of an-
the Socinians, denounced and prosecuted him as a blas-
titrinitarianism.
phemer because of his belief that Christians should not wor-
ship Christ. In 1579 the Hungarian Diet convicted him of
In 1676 John Taylor, a farmer who really blasphemed
blasphemy and sentenced him to life imprisonment.
(“Religion is a cheat” and “Christ is a bastard”), was convict-
ed by the King’s Bench. Chief Justice Matthew Hale deliv-
During the seventeenth century blasphemy increasingly
ered an opinion that made Taylor’s case the most important
became a secular crime. The state began to supplant the
ever decided in England; he ruled that the secular courts had
church as the agency mainly responsible for instigating and
jurisdiction of blasphemy and could punish blasphemers, be-
conducting prosecutions. The connection between religious
cause Christianity is part of the law of the land and the state
dissent and political subversion and the belief that a nation’s
has to prevent dissolution of government and religion. After
religious unity augmented its peace and strength accounted
the crime of nonconformity died in consequence of the Tol-
in part for the rising dominance of the state in policing seri-
eration Act of 1689, blasphemy remained an offense punish-
ous crimes against religion. Governments intervened more
able by the state. A blasphemy act of 1698 targeted antitrini-
frequently to suppress nonconforming sectarians and intel-
tarians, showing that England still regarded them as
lectuals. Although Rome had charged Giordano Bruno with
execrable atheists.
blasphemy and burned him for heresy in 1600, Protestant
precedents were not without some influence. The church
English precepts about blasphemy made the Atlantic
condemned for heresy, the state increasingly for blasphemy,
crossing. Virginia’s first code of laws (1611) specified death
even in Catholic states. On the continent, blasphemy prose-
for anyone blaspheming the Trinity or Christianity, and
cutions continued into the present century, although the
most other colonies followed suit. But the actual punish-
death penalty for the crime was abandoned during the eigh-
ments consisted of fines, branding, whipping, banishment,
teenth century.
and prison. Massachusetts regarded Quakers as blasphemous
but inflicted the death penalty, technically, for defiance of
In England the prosecution of heresy as a capital crime
banishment decrees. In the eighteenth century, the Age of
had begun to die out in the reign of Elizabeth. The earliest
Enlightenment, blasphemy prosecutions on both sides of the
Protestant codification of ecclesiastical law in England
Atlantic diminished. All the American colonies produced
(1553) had the first separate section on blasphemy. Elizabeth
only half a dozen convictions, and the worst sentence was
burned five or six Arians and Anabaptists whose crimes in-
boring through the tongue and a year in prison. In 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
974
BLASPHEMY: ISLAMIC CONCEPT
Britain, where there were a dozen convictions, the cases in-
succeeded in London, the first in over half a century. In the
volved important defendants, serious legal issues, and heavier
United States no prosecution has occurred since 1968, de-
sentences. In one case the first minister to call himself a Uni-
spite laws against blasphemy, and no prosecution ending in
tarian was convicted for writing a book that temperately ar-
a conviction could survive judicial scrutiny on appeal, given
gued the subordination of Christ to God. A biblical scholar
the contemporary interpretations of First Amendment free-
who mocked literal interpretations of miracles lost his appeal
doms by the Supreme Court. Blasphemy prosecutions, relics
when the high court of Britain relied on the judgment in
of the Anglo-American world, are becoming obsolete even
Taylor’s case. As the century closed, a series of blasphemy
elsewhere in Christendom. People seem to have learned that
prosecutions began against the publishers and sellers of
Christianity is capable of surviving without penal sanctions
Thomas Paine’s Age of Reason.
and that God can avenge his own honor.
The number of blasphemy cases peaked in England and
SEE ALSO Cursing.
the United States in the first half of the nineteenth century.
Between 1821 and 1834 English trials produced seventy-
BIBLIOGRAPHY
three convictions. The defendants, who in the past had pro-
Theodore Albert Schroeder’s Constitutional Free Speech Defined
fessed to be believing Christians, increasingly became agnos-
and Defended in an Unfinished Argument in a Case of Blasphe-
tics, deists, and secularists who relied on freedom of the press
my (1919; New York, 1970) is, despite its misleading title,
more than freedom of religion, with as little success. In the
a comprehensive history by a passionate, freethinking radical
American cases the courts maintained the legal fiction that
lawyer who opposed any restraints on expression. Not factu-
the law punished only malice, never mere difference of opin-
ally accurate, it is nevertheless a still useful pioneering work.
Gerald D. Nokes’s A History of the Crime of Blasphemy (Lon-
ion. The law aimed, that is, not at what was said but the way
don, 1928) also has a misleading title. It is a brief and nar-
it was said; the judicial cliché on both sides of the Atlantic
rowly legalistic study of English cases only, but is well execut-
rested on the doctrine that manner, not matter, determined
ed. Leonard W. Levy’s Treason against God: A History of the
criminality. That seemed so in an important New York case
Offense of Blasphemy (New York, 1981) is easily the fullest
of 1811 (People v. Ruggles), in which the court ruled that only
treatment of the concept from Moses to 1700; covering reli-
Christianity could be blasphemed and judged guilty the de-
gious thought as well as legal history, it is oversympathetic
fendant, who had declared that Jesus was a bastard, his moth-
to victims of prosecution, according to reviewers. A promised
er a whore. Such malicious blasphemy found no protection
sequel will bring the subject up to date. Levy’s Blasphemy in
in constitutional guarantees of freedom of expression or sepa-
Massachusetts: Freedom of Conscience and the Abner Kneeland
Case (New York, 1973) reprints the major primary sources
ration of church and state. But in the leading American case
on the most important American case. Roland Bainton’s
(Commonwealth v. Kneeland), decided in 1838 in Massachu-
Hunted Heretic: The Life and Death of Michael Servetus (Bos-
setts, arguments based on liberty of conscience and press
ton, 1953) is the best introduction to the most important
failed even though the defendant was a pantheist who de-
blasphemy case of the Reformation. Donald Thomas’s A
clared in language devoid of scurrility that he did not believe
Long Time Burning: The History of Literary Censorship in En-
in God, Christ, or miracles. The view that received no judi-
gland (New York, 1969) is a vivid account that views the sub-
cial endorsement in the nineteenth century was that es-
ject of blasphemy against a broad canvas. William H. Wick-
poused in 1825 by two old men, John Adams and Thomas
war’s The Struggle for the Freedom of the Press, 1819–1832
Jefferson, who agreed that blasphemy prosecutions conflict-
(London, 1928) is a splendid, scholarly book that recounts
ed with the principle of free inquiry; Jefferson also sought
prosecutions for blasphemy in England at a time when they
peaked in number. George Holyoake’s The History of the Last
to prove that Christianity was not part of the law of the land
Trial by Jury for Atheism in England (1851; London, 1972)
and that religion or irreligion did not belong to the cogni-
is a short autobiographical account by a freethinking victim
zance of government. In 1883 the Lord Chief Justice of En-
of a prosecution. Hypatia Bradlaugh Bonner’s Penalties upon
gland supposedly liberalized the law by holding that decency
Opinion: Or Some Records of the Laws of Heresy and Blasphemy
of expression would exempt from prosecution even an attack
(London, 1912) is a short account by an opponent of all blas-
on the fundamentals of Christianity—a fairly subjective test.
phemy prosecutions and the daughter of the victim of one.
Moreover, the decencies of controversy were also subjective
William Wolkovich’s Bay State “Blue” Laws and Bimba
in character. Indeed, the authors of most of the books of the
(Brockton, Mass., n. d.) is a well-documented study of a
Old and New Testaments as well as many leading saints and
1926 prosecution. Alan King-Hamilton’s And Nothing But
the Truth (London, 1982) is a judge’s autobiography con-
the originators of most Protestant denominations and sects
taining a chapter on a noted blasphemy case in England.
gave such offense that they would not have passed the legal
tests that prevailed in England and America.
LEONARD W. LEVY (1987)
In the twentieth century, blasphemy prosecutions have
dwindled in number. In 1977 Massachusetts refused to re-
peal its three-hundred-year-old act against blasphemy, even
BLASPHEMY: ISLAMIC CONCEPT
though the last prosecutions in that state were conducted in
Offering insult (sabb) to God, to the prophet Muh:ammad,
the 1920s and had failed. But in the same year a prosecution
or to any part of the divine revelation is a crime in Islamic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLASPHEMY: ISLAMIC CONCEPT
975
religious law, fully comparable to blasphemy. In the Chris-
legal schools have elaborated upon the nature, conditions,
tian tradition, blasphemy properly denotes mockery or lèse
and punishments for blasphemy. Jurists describe it as the ex-
majesté of God. There is no exact equivalent to blasphemy in
pression of denigration (istikhfa¯f), contempt (ih:a¯nah), or
the Islamic tradition, although the QurDanic phrase “word of
scorn (h:aqa¯rah) for God, the Prophets, the QurDa¯n, the an-
infidelity” (kalimat al-kufr) comes fairly close. From the
gels, or the traditional religious sciences based on revelation.
viewpoint of Islamic law, blasphemy may be defined as any
The legal handbooks of the H:anaf¯ı school, in particular,
verbal expression that gives grounds for suspicion of apostasy
offer numerous examples of blasphemous sayings, usually
(riddah). In theological terms, blasphemy often overlaps with
classified under the heading of “words of infidelity” (kalima¯t
infidelity (kufr), which is the deliberate rejection of God and
al-kufr; see su¯rah 9:74). Since most of the classical collections
revelation; in this sense, expressing religious opinions at vari-
of case-judgments (fata¯wa¯) of this school derive from Iranian
ance with standard Islamic views could easily be looked upon
and Central Asian jurists of the eleventh and twelfth centu-
as blasphemous. Blasphemy can also be seen as the equivalent
ries, the blasphemous sayings are usually given not in Arabic
of heresy (zandaqah), a pre-Islamic Persian term used in ref-
but in Persian, which was the spoken language of those re-
erence to the revolutionary teachings of Mani and Mazdak;
gions. The sayings, many of which were doubtless uttered in
in this sense, it can mean any public expression of teachings
levity or in the heat of emotion, are generally wisecracking
deemed dangerous to the state. Thus, in describing the Is-
remarks, oaths, and imprecations of an intemperate or irreli-
lamic concept of blasphemy, it is necessary to include not
gious nature. Some examples are borderline cases, which are
only insulting language directed at God, the Prophet, and
judged ambiguous or declared innocent. Later works, which
the revelation, but also theological positions and even mysti-
include several separate monographs on “words of infideli-
cal aphorisms that have come under suspicion.
ty,” give even larger collections of examples, with special
BLASPHEMY IN EARLY ISLAM. During his own lifetime, the
prominence for those remarks that give offense to religious
prophet Muh:ammad (d. AH 10/632 CE) encountered strong
scholars as a class. An insult to religious scholarship is equiva-
opposition from the leaders of the Arab clans of Mecca when
lent to rejection of religious knowledge and, hence, gives the
he preached the worship of the one God and attacked the
lie to divine revelation. Under the same heading, the hand-
traditional polytheism of the Arabs. Most frequently, this op-
books also include acts of sacrilege, such as donning the
position took the form of verbal disputes and abuse, by
clothing of Jews or Zoroastrians, or participating in non-
which the pagan leaders rejected and ridiculed the QurDanic
Islamic religious festivals. To claim that forbidden acts are
teachings on the unity of God and the resurrection.
permitted, or to invoke the name of God while committing
Muh:ammad’s opponents, moreover, mocked his claim to be
sins, is blasphemy. A very small proportion of blasphemous
an inspired prophet and accused him variously of being pos-
statements (primarily in H:anaf¯ı texts) concern doctrinal
sessed, a soothsayer, a magician, a poet, or an unscrupulous
matters, such as the formula used to declare oneself as a faith-
power-seeker. From the beginning, as the QurDa¯n attests, the
ful worshiper.
blasphemous language of the Prophet’s opponents thus con-
sisted of calling divine revelation a lie (takdh¯ıb). Insult to the
Legal authorities agree that the conditions for blasphe-
Prophet was particularly blasphemous, since Muh:ammad
my include adulthood, lack of duress, and being of sound
was the chief medium of that revelation. Among
mind, and it is immaterial whether the offender is a Muslim
Muh:ammad’s opponents the QurDa¯n (su¯rah 111) singles out
or not. Accidental blasphemy is, in general, not excused, al-
Abu¯ Lahab above all as destined to punishment in hellfire;
though H:anaf¯ı jurists allow suspicious statements to be con-
according to traditional accounts, the QurDa¯n turns back on
strued innocently if a legitimate case can be made for the in-
Abu¯ Lahab the very words that he had used to curse
terpretation. The Ma¯lik¯ı school permits an excuse to be
Muh:ammad. The followers of Muh:ammad who killed two
made for one who has converted to Islam from another reli-
poets who had written satires on the Prophet evidently con-
gion, but otherwise views blasphemy as entailing apostasy
sidered this kind of mockery to be blasphemy. The QurDa¯n
(riddah).
stresses the opposition that previous prophets experienced,
The punishment for blasphemy differs somewhat from
as in the notable case of the pharaoh who called the revela-
one school to another. The H:anaf¯ıyah define blasphemous
tion to Moses a lie, saying, “I am your highest Lord” (79:24).
statements as acts of infidelity (kufr) and strip the blasphemer
As a rejection of divine lordship, this saying is usually consid-
of all legal rights: his marriage is declared invalid, all religious
ered to be the height of blasphemy. Within the early Islamic
acts worthless, and all claims to property or inheritance void.
community itself, the “hypocrites” (muna¯fiqu¯n) uttered blas-
The death penalty is a last resort that most authorities try to
phemous jests about God and the Prophet (9:65–66). Such
avoid, especially if some element of accident or doubt is pres-
mockery constituted infidelity (kufr) after professing faith
ent. Repentance, however, restores all previous rights, al-
(¯ıma¯n) and invalidated whatever good deeds they might have
though it is necessary to renew marriage. A few cases are
previously performed (5:5).
mentioned in which a woman uttered blasphemies as a strat-
BLASPHEMY IN ISLAMIC LAW. Building upon the descrip-
agem to annul her marriage, with the intention of repenting
tions of and pronouncements on blasphemy found in the
later to regain her other rights. The Ma¯lik¯ıyah, treating blas-
QurDa¯n and the example (sunnah) of the Prophet, the various
phemy as apostasy, call for immediate execution of the of-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
976
BLASPHEMY: ISLAMIC CONCEPT
fender; as in cases of apostasy, they do not offer the chance
More suspicious still were the ecstatic sayings (shat:h:¯ıya¯t) that
to repent. An exception is made for female blasphemers, who
uncontrollably burst forth from the mystics. S:u¯f¯ıs such as
are not to be executed but punished and encouraged to re-
Abu¯ Yaz¯ıd (Ba¯yaz¯ıd) al-Bist:a¯m¯ı (d. 874) and al-H:alla¯j (exe-
pent. In cases of minor blasphemies, or cases supported by
cuted in 922) were notorious for such sayings as the former’s
only a single witness, the Ma¯lik¯ıyah prescribe a discretionary
“Glory be to Me! How great is My Majesty!” and the latter’s
punishment in place of the death penalty.
“I am the Truth.” Such proclamations appeared to be preten-
B
sions to divinity or prophecy, and readily fell into the catego-
LASPHEMY IN ISLAMIC THEOLOGY AND PHILOSOPHY. As
indicated above, certain doctrinal propositions found their
ry of blasphemy. Other sayings of this type criticized me-
way into the lists of blasphemous statements. One of the ear-
chanical performance of ritual, made light of the
liest credal documents in Islam, the Fiqh Akbar I attributed
punishments of hell, and, in general, made claims of great
to the jurist Abu¯ H:an¯ıfah (d. 767), includes two blasphe-
audacity.
mous statements about the prophets and God and calls them
Since Islamic law did not take formal cognizance of the
infidelity. But with the development of theological dogma,
existence of mystical states, the legal reaction to ecstatic say-
there was a tendency for scholars to label opposing doctrinal
ings was not systematic. Certain S:u¯f¯ıs, such as Nu¯r¯ı
positions as forms of infidelity, even though only highly ab-
(d. 907), EAyn al-Qud:a¯t (d. 1131), and the above-mentioned
stract arguments were involved. The legal consequences of
al-H:alla¯j, were put on trial and even executed, but such trials
such accusations were quite serious, as noted above, so it was
were heavily politicized and did not reflect correct juridical
natural that cooler heads insisted on moderating the use of
procedure. Contrary to popular opinion, however, S:u¯f¯ıs
such anathemas in theological debate. The great religious
such as al-H:alla¯j were not executed on account of their utter-
thinker Abu¯ H:a¯mid al-Ghaza¯l¯ı (d. 1111) clarified this prob-
ances; historical accounts reveal a mixture of charges, includ-
lem by removing infidelity (and hence blasphemy) from the
ing radical Shiism, philosophical atheism, pretension to di-
realm of doctrine altogether. Insisting that infidelity is strict-
vinity and prophecy, and libertinism. Al-H:alla¯j was formally
ly a legal matter, al-Ghaza¯l¯ı defined it as calling the Prophet
accused of maintaining the legitimacy of private ritual that
a liar in any respect; this is to equate infidelity with blasphe-
could substitute for pilgrimage to Mecca. The H:anaf¯ı legal
my. He further stipulated that no one who prays toward
textbooks give a few examples of blasphemous statements
Mecca and repeats the Muslim confession of faith should be
that savor of mysticism. These generally consist of claims to
accused of infidelity, unless there is clear proof regarding a
know the unseen (ghayb), the assertion that only God exists,
matter essential to the faith. In doctrinal terms, there are only
and the recognition of the omnipresence of God. Authentic
three teachings that al-Ghaza¯l¯ı regards as infidelity in this
ecstatic sayings were far more audacious than these examples
sense. These teachings, all drawn from the works of philoso-
cited by the jurists. One of the few jurists to review ecstatic
phers such as Ibn S¯ına¯ (Avicenna, d. 1037), are the doctrines
sayings in detail was Ibn al-Jawz¯ı (d. 1200), who severely
that (1) the world is eternal and not God’s creation; (2) God
criticized these utterances in his polemical treatise, The
does not know particulars; and (3) the resurrection is not
Devil’s Delusion. Later jurists frequently criticized the theo-
bodily but spiritual. Although al-Ghaza¯l¯ı enumerates many
sophical writings of the Andalusian S:u¯f¯ı Ibn al-EArab¯ı
other doctrines that he considers objectionable, these alone
(d. 1240) as blasphemous; he drew fire, in particular, for up-
appear to contradict the Prophet and divine revelation on es-
holding the validity of Pharaoh’s confession of faith, though
sential matters (creation, divine omniscience, and eschatolo-
it was made even as the waters of the Red Sea fell upon him
gy). Thus teaching these doctrines is a blasphemous act pun-
(10:90). This was not so much a contradiction of the QurDa¯n
ishable by death. It is worth noting that the Andalusian
as it was a rejection of the dominant learned opinion.
philosopher Ibn Rushd (Averroës, d. 1198) disputed
Some authorities attempted a compromise on the sub-
al-Ghaza¯l¯ı’s findings on both doctrinal and legal grounds,
ject of ecstatic sayings by considering them the products of
and later Iranian philosophers, such as Mulla¯ S:adra¯
intoxication (sukr). As such, they were like the ravings of a
(d. 1637), certainly upheld similar theses. Although the doc-
madman and hence were not punishable as blasphemy. From
trines of Greek philosophy seem far removed from the scurri-
this point of view, ecstatic sayings were neither accepted nor
lous insults that generally constitute blasphemy, certain of
condemned. S:u¯f¯ıs, on the other hand, maintained that they
these teachings were potentially in serious conflict with the
were symbolic of inner experiences and could only be under-
traditional Islamic understanding of revelation. Insofar as
stood by those who had attained to esoteric knowledge. Le-
philosophy could be seen as calling the Prophet a liar, it con-
galists were thus incapable of the spiritual exegesis (ta Dw¯ıl)
stituted blasphemy.
that alone could provide the correct interpretation of ecstatic
BLASPHEMY IN S:U¯F¯I MYSTICISM. The concept of blasphemy
sayings. A significant minority of legal scholars accepted this
is applied rather differently in the case of mysticism. The
distinction and so excused ecstatic sayings from the charge
growing S:u¯f¯ı movement, which was centered on meditative
of blasphemy, on the grounds that they were symbolic.
practices that interiorized the QurDa¯n and the ritual prayer,
distinguished itself also by creating a technical vocabulary to
BIBLIOGRAPHY
express the states of mystical experience. Legalists challenged
The QurDanic references to the Meccans’ verbal criticism of
this innovation as a departure from the usage of the QurDa¯n.
Muh:ammad are conveniently listed and discussed in W.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLAVATSKY, H. P.
977
Montgomery Watt’s Muhammad at Mecca (London, 1953),
Helena Blavatsky came to America in 1873, where she
pp. 123–131. For the legal status of blasphemy insofar as it
met Henry Steel Olcott (1832–1907), a lawyer, journalist,
relates to apostasy, see Rudolph Peters and Gert J. J. de
and student of spiritualism. He, Blavatsky, and others
Vries’s “Apostasy in Islam,” Die Welt des Islams, n.s. 17
founded the Theosophical Society in New York in 1875, an
(1976–1977): 1–25, especially pages 2–4. Most of the legal
organization initially devoted to the investigation of occult
treatises dealing with blasphemy remain unedited in manu-
lore, both Eastern and Western. In 1877 Blavatsky’s first
script form, but a French translation from the Mukhtas:ar by
book, Isis Unveiled, was published, based on her occult study
the Ma¯lik¯ı jurist S¯ıd¯ı Khal¯ıl (d. 1374) has been made by
Léon Bercher, “L’apostasie, le blasphème et la rébellion in
and experience.
droit Musulman malékite,” Revue tunisienne 30 (1923):
Then, in 1878, she and Olcott departed for India, be-
115–130 (occasioned by the controversy over the “natural-
lieved to be a reservoir of the wisdom she was seeking. She
ized” Tunisian Muslims who became subject to French in-
remained in India until 1885. Those were years of rapid
stead of Islamic law). Other important legal discussions of
growth for the theosophical movement, but also of much
blasphemy and apostasy can be found in David Santillana’s
Istituzioni di diritto musulmano malichita con riguardo anche
controversy related especially to a critical report on Blavatsky
al sistema sciafiita, vol. 1 (Rome, 1925), pp. 167–170
published by the Society for Psychical Research in 1885. Re-
(Ma¯lik¯ı and Sha¯fıE¯ı); Eduard Sachau’s Muhammedanisches
turning to Europe that year, Blavatsky settled in London in
Recht nach Schafiitischer Lehre (Stuttgart, 1897),
1887. Despite failing health, she produced several more
pp. 843–846; and Neil B. E. Baillie’s A Digest of Moohumm-
major works before her death in 1891: The Secret Doctrine
dan Laws, 2 vols. (Lahore, 1965) (see the index for apostacy
in 1888, and The Key to Theosophy and The Voice of the Si-
and apostate). A. J. Wensinck discusses the Fiqh Akbar I in
lence in 1889. The Secret Doctrine presents, often in mytho-
The Muslim Creed: Its Genesis and Historical Development, 2d
poeic language, the fullest and most mature articulation of
ed. (New Delhi, 1979), pp. 102–124. Al-Ghaza¯l¯ı’s treatise
her outlook, tracing through two large volumes the evolution
on heresy and blasphemy has been translated by Richard Jo-
of the universe, the solar system, the world, life, and humani-
seph McCarthy in Freedom and Fulfillment (Boston, 1980),
ty by the interaction of matter and consciousness from the
pp. 145–174. Ibn al-Jawz¯ı’s censure of blasphemy of S:u¯fism
has been translated by David S. Margoliouth in “‘The Devil’s
first light through various “root races” to its present state and
Delusion’ of Ibn al-Jauzi,” Islamic Culture 10 (1936): 363–
beyond. The Key summarizes theosophical basics in question-
368 and 21 (1947): 394–402. An analysis of the legal criti-
and-answer form. The Voice is a guidebook for “the few” who
cisms of S:u¯f¯ı sayings is available in my book Words of Ecstasy
follow a path of altruistic mysticism.
in Sufism (Albany, N.Y., 1985), in which see especially
The underlying theme of Blavatsky’s work was the re-
part 3.
covery of what she often called “the ancient wisdom”: pri-
CARL W. ERNST (1987)
mordial lore about the manifestation and inner nature of the
universe and humanity. She believed that in recent centuries
this wisdom had been largely obscured by dogmatic religion
BLAVATSKY, H. P. Helena Petrovna Blavatsky
and doctrinaire materialistic science, being preserved only in
(1831–1891) was the principal founder of the modern theo-
a scattering of esoteric groups and reservoirs of ancient truth
sophical movement. Blavatsky, née von Hahn, was born in
such as Tibet. However, certain adept teachers, those also
Ekaterinoslav, Russia, of distinguished parentage. Her father,
called mahatmas or masters, were prepared to instruct select
of German descent, was an army officer. Her mother, a pop-
candidates in the path to this almost forgotten learning.
ular novelist, died during Helena’s childhood. Helena was
These adepts were largely real persons living in out-of-the-
raised largely on the estate of her maternal grandfather, then
way places on earth, but able to communicate psychically
civil governor of Saratov. An unusual and gifted child, she
with one another and with students like Blavatsky.
read widely in her grandfather’s library, taking a special inter-
Blavatsky’s theosophy could be termed an enhanced
est in science and occultism. She also enjoyed riding vigor-
naturalism. She said that the universe works by law and
ously with her father’s regiment. In 1849 she married the
evolves naturally out of original oneness from within. But,
middle-aged Nikifor Blavatsky, vice-governor of Yerevan,
in contrast with the prevailing scientific view, as she per-
but quickly left him to make her way to Constantinople and,
ceived it, that process includes consciousness, which has co-
by her own account, to travel the world in pursuit of esoteric
existed with matter eternally and is evolving with it. In her
teachings, culminating with study and initiation in Tibet in
more picturesque hermetic language, the inner essence of
the late 1860s under the tutelage of mahatmas (highly
each individual is the “monad” or “pilgrim,” an entity of re-
evolved teachers). Much of this period of her life is undocu-
fined consciousness traveling from life to life, world to world,
mented. But she asserted throughout her mature life that her
and state to state as it descends into the realm of experience
work and teaching were guided by her mahatmas, and this
and ascends upward again toward ultimate unity.
is a key facet of her character. She was also by all accounts
a colorful and unforgettable person, capable of tempestuous
The ethical dimension of Blavatsky’s teaching must be
outbursts and great kindness, possessed of what many per-
underscored. Especially in her later writings, she emphasized
ceived as remarkable psychic talents, set apart by a certain air
that her evolutionary outlook and the ancient wisdom con-
of mystery.
cealed everywhere indicated the “brotherhood” of all human-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
978
BLEEKER, C. JOUCO
ity, the importance of kindness and justice, and the evil of
Meade, Marion. Madame Blavatsky: The Woman Behind the Myth.
dogmatism and persecution. The early theosophical move-
New York, 1980. A biography from an independent perspec-
ment clearly had a place in the reformism of the Progressive
tive, sometimes speculative as to psychological motivation.
Era in areas like feminism, education, anticolonialism, and
Oltramare, Paul. “Theosophy.” In Encyclopedia of Religion and
child and animal welfare.
Ethics, edited by James Hastings, vol. 12, pp. 304–325.
Edinburgh and New York, 1908–1926. Largely on theoso-
The influence of Blavatsky and her Theosophical Soci-
phy as a general category in the history of religion, but refers
ety is difficult to assess precisely, but it is increasingly recog-
to Blavatsky briefly from a critical perspective.
nized as a significant element within twentieth-century mod-
Washington, Peter. Madame Blavatsky’s Baboon: A History of the
ernism in art, music, and poetry. The tribute she paid to
Mystics, Mediums, and Misfits Who Brought Spiritualism to
Eastern and other submerged religions and cultures in the
America. London, 1993; New York, 1995. An entertaining
heyday of European imperialism by describing them as im-
portrait of Blavatsky and others by an “outsider,” presenting
portant custodians of ancient wisdom played a role in subse-
Blavatsky as a colorful eccentric.
quent spiritual revivals and national independence move-
ments from Ireland to India and Sri Lanka. Theosophy was
ROBERT S. ELLWOOD (2005)
no less important in popularizing Eastern religious concepts
such as karma and reincarnation in the West. Some aspects
of her philosophy hinted at forthcoming insights in relativi-
BLEEKER, C. JOUCO (1898–1983), Dutch histori-
ty, quantum, and evolutionary theory. More narrowly, her
an of Egyptian religion and leading figure in the field of phe-
work has had a powerful impact on all later occult, esoteric,
nomenology of religion. Claas Jouco Bleeker was born in
and New Age ideologies. Finally, as a woman of strong and
Beneden Knijpe, the Netherlands, and attended school in
independent personality, exercising international spiritual
Leeuwarden. He went on to study theology at the University
leadership outside established institutions, she could be con-
of Leiden. There he specialized in Egyptology and the history
sidered a feminist prototype.
of religions, chiefly under the tutelage of W. Brede Kristen-
Blavatsky aroused intense controversy in her lifetime,
sen, whose work influenced him greatly. He continued his
and she has continued to do so ever since. Charges of psychic
studies at the University of Berlin, and in 1929 he received
fraud and plagiarism have been made but not conclusively
his Th.D. from the University of Leiden for his thesis De
substantiated. In the end she must be assessed by the histori-
beteekenis van de Egyptische godin Ma-a-t (The Significance
cal significance of her movement and the inherent worth of
of the Egyptian Goddess Maat). In 1925 Bleeker began a ca-
her teachings.
reer as a minister in the Dutch Reformed church, serving first
in the town of Apeldoorn. He held pulpits in various Dutch
SEE ALSO Besant, Annie; Theosophical Society.
cities until 1946 when he was appointed professor of the his-
tory of religions and the phenomenology of religion at the
BIBLIOGRAPHY
University of Amsterdam. He remained in that post until his
Besant, Annie. “Theosophical Society.” In Encyclopedia of Religion
retirement in 1969.
and Ethics, edited by James Hastings, vol. 12, pp. 300–304.
Edinburgh and New York, 1908–1926. A concise summary
Bleeker’s interest both in the religion of ancient Egypt
of theosophical teaching and the early history of the Theo-
and in religious phenomenology continued throughout his
sophical Society by a major disciple of Blavatsky.
life. His writings on Egyptian religion consist for the most
part of studies of individual deities, such as Die Geburt eines
Blavatsky, H. P. Collected Writings. 15 vols. Edited by Boris de
Zirkoff. Wheaton, Ill., 1966–1991. Together with her major
Gottes: Eine Studie über den ägyptischen Gott Min und sein
books, the fundamental sources.
Fest (The Birth of a God: A Study on the Egyptian God Min
and His Festival; 1956), and research on particular aspects
Caldwell, Daniel, comp. The Esoteric World of Madame Blavatsky.
of Egyptian religious life, such as Egyptian Festivals: Enact-
Wheaton, Ill., 2000. A collection of first-hand personal im-
ments of Religious Renewal (1967).
pressions of Blavatsky by contemporaries of hers, the majori-
ty friendly but some negative.
His work in the field of phenomenology was strongly
Cranston, Sylvia (Anita Atkins). HPB: The Extraordinary Life and
influenced by Kristensen and Gerardus van der Leeuw.
Influence of Helena Blavatsky, Founder of the Modern Theo-
Bleeker was concerned with establishing phenomenology of
sophical Movement. 3d rev. ed. Santa Barbara, Calif., 1998.
religion as a distinct scholarly discipline that would examine
A modern sympathetic biography, uncritical but notable for
the meaning of religious phenomena in the light of their real-
its extensive documentation of Blavatsky’s impact on mod-
ized “essence.” He understood religion to be structured in
ern art and letters.
terms of “(a) a holy vision of the Supreme Being or of the
Gomes, Michael. The Dawning of the Theosophical Movement.
being and the will of the Deity, (b) a holy path that a man
Wheaton, Ill., 1987. An empathetic scholarly study of Bla-
must pursue in order to be freed from his sin and suffering,
vatsky and early theosophy in context.
and (c) a holy action that the believer must carry out in the
Gomes, Michael. Theosophy in the Nineteenth Century: An Anno-
cult and in his personal religious life” (The Rainbow, 1975,
tated Bibliography. New York, 1994. An essential resource.
p. 8). He proposed three main objectives for phenomenology
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLESSING
979
of religion. First, it must seek to understand individual phe-
pired religious contexts. Blessing nurtures hope and wards
nomena that appear in all or many religious systems, such
off fear; it is a companion and assurance in time of peace and
as prayer (this type of inquiry he called “theo¯ria”). Second,
a consolation and hope in time of crisis. Blessing is indis-
it must try to discover the inner laws that determine the
pensable in celebrations, initiations, rituals, sacrifices, and
structure of a particular religion (“logos”). Finally, it should
rites of passage.
attempt to elucidate the way in which religions develop and
The process of blessing involves the act of blessing, its
evolve (“entelecheia”).
content, the means, the agent who has the power to grant
Bleeker viewed the study of religion as an examination
the blessing, and the recipient who requests and receives the
of humanity’s varied relationships with God, and he at-
blessing. The act of blessing forms a bond between the su-
tempted to understand humankind in light of its various atti-
preme beings and the faithful. The contents of blessing reveal
tudes toward divinity. Furthermore, he believed that the sci-
the hopes and fears of humankind.
ence of religion could engender greater mutual respect and
understanding among religious groups holding widely differ-
GENERAL NOTIONS. Etymologically, the verb to bless comes
ing opinions.
from the word blood, suggesting the use of blood in consecra-
tion. Blessing thus directly invokes the ritual of consecration.
An able and energetic administrator, Bleeker served as
When the Bible was translated into English, to bless was de-
secretary-general of the International Association for the His-
rived from the Hebrew word berakh, which was earlier trans-
tory of Religions from 1950 to 1970. From 1960 to 1977
lated into Greek as eulogia and into Latin as benediction. In
he edited the I. A. H. R.’s review Numen and supervised that
the process of translation we find at least three meanings of
journal’s supplementary monograph series “Studies in the
what is supposedly the same word: consecration, eulogy, and
History of Religions.” With Geo Widengren he coedited the
benediction. In addition to these, there are common expres-
important, two-volume hand-book Historia Religionum
sions that we usually consider to be blessings: Happy Birth-
(1969–1971). He also oversaw the publication of the pro-
day; Happy New Year; Merry Christmas; may God protect
ceedings of several important international conferences.
you; peace be with you; long live the king; with this truth;
Upon his retirement Bleeker was honored with a fest-
may you attain liberation. These phrases show that blessing
schrift, Liber Amicorum (1969). Thereafter, until the time
has a broader meaning than that used in the process of trans-
of his death, he remained active as a scholar, organizer, and
lating the Bible.
editor.
Common and technical usages in different traditions re-
veal a wide range and many shades of meaning for the word
BIBLIOGRAPHY
blessing. Blessing can be an act or just an expression to convey
The fullest account of Bleeker’s life is J. H. Kamstra’s “In Mem-
good will or favor, frequently invoking God, gods, or a su-
oriam: Prof. Dr. C. J. Bleeker,” Nederlands theologisch tijd-
schrift 38 (January 1984): 67–69 (in Dutch). See also the
preme being. One may assign to blessing three primary mean-
obituary by R. J. Zwi Werblowsky in Numen 30 (December
ings: an act or rite of granting and receiving favor, with or
1983): 129–130. For assessments of Bleeker’s contribution
without divine power; the expression of human aspiration
to scholarship, see Geo Widengren’s “Professor C. J. Bleeker,
towards goodness; and praise to a supreme and powerful en-
A Personal Appreciation” in the festschrift Liber Amicorum:
tity. In order to cover all traditions, supreme entity is used
Studies in Honour of Professor Dr. C. J. Bleeker (Leiden,
here to mean superhuman authority, be it God, gods, holy
1969), pp. 5–7, and J. G. Platvoet’s “The Study of Rites in
men, or revered objects. There is no simple boundary among
the Netherlands,” in Nederlands theologisch tijdschrift 37 (July
these three meanings. They are in a sense derived from the
1983): 177–188.
one concept that there is a benign power able to confer bene-
A complete bibliography of Bleeker’s works up to 1969 may be
fits upon humanity, individually or collectively.
found in the Liber Amicorum. To this list may be added
Hathor and Thoth: Two Key Figures in Ancient Egyptian Reli-
Since God, gods, and holy persons are sources of good-
gion (Leiden, 1973). Many of Bleeker’s articles are collected
ness and mercy, offering praise to them can be a blessing au-
in two volumes: The Sacred Bridge: Researches into the Nature
tomatically. Consecrated objects are blessed; that is, empow-
and Structure of Religion (Leiden, 1963) and The Rainbow:
ered to bring benefits. Blessing, in the sense of accord or
A Collection of Studies in the Science of Religion (Leiden,
approval, suggests that what has been proposed will advance
1975).
shared aims for good. In all these meanings there is the unde-
M. HEERMA VAN VOSS (1987)
niable presence of religious elements, such as belief in a su-
preme entity or in the efficacy of morality and ethics.
Among communicative speeches, which could include
BLESSING. Blessing is one of the most common reli-
blessing, thanking, congratulating, or cursing, blessing is
gious acts in all belief systems. It is the beginning and the
positive and creative. But blessing is not confined to words
end of almost all rituals, including funeral services. Blessing
alone; the act of blessing involves semantic, social, psycho-
manifests in worldly activities and common speech, in which
logical, and other elements. It should therefore be defined
it may be imperceptibly embedded, as well as in highly as-
as a whole process of creating something beneficial.
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980
BLESSING
THE COMPONENTS OF BLESSING. Within the process of
sacred initials, anagrams, the cross, and others have long been
blessing one can discern three elements: verbal, nonverbal,
used as devices of blessing. Images of founders (buddhas, Jain
and religious actions. These rites are not distinct from each
T¯ırthan˙karas, Jesus, Laozi, Confucius), deities, bodhisattvas,
other, but rather act as coefficients. The third element is the
and saints, no matter whether they are painted, sculpted, or
most important, since without it blessing would not be
otherwise produced, are empowered to bless by consecration
effective.
rites, myths, auspiciousness of the location, connection with
relics, and so on. To witness these objects is to be blessed;
Verbal elements. Blessing expressed through language
a wish made in their presence is sure to be granted. Pilgrim-
is in fact the end-product of the process, the last to appear.
ages, miracles, and oracles reinforce the reputation of these
But since it is the most obvious, we shall consider this aspect
special images, relics, and shrines: the process of empower-
first. Blessing can embed in everyday language even without
ment is continuing and relational.
obvious religious context or intention. Whether the actual
statement of blessing is embedded or independent, what is
Natural features like the Ganges River, the Himalayas,
important is that it is a complete act, an attempt to do some-
caves, or even an island such as Delos are seen as sources of
thing by speaking. We can say that a blessing is an act done
blessing, and have been popular destinations for pilgrimage
by speaking: it is a speech-act. Verbal statements like “to
since ancient times. Myth and legend, images and relics rein-
bless,” “to promise,” “to pronounce,” “to wish,” and “to
force the holy or sacred status of these geographic locations.
vow” have the quality of performing or realizing themselves
For the Hindu, the Ganges River is a blessing: to merge into
when uttered. The actualization of what is pronounced is not
the Ganges is to liberate oneself from suffering and sins,
crucial. If circumstances are favorable it will materialize, but
which is one of the most sought-after blessings. The com-
the act of blessing is complete in itself. These favorable cir-
plexities of social activities that center upon the Ganges dem-
cumstances, the felicity conditions, may consist of various ele-
onstrate how a sacred locality can loom large in religion and
ments according to circumstances.
belief and develop into a socioeconomic phenomenon.
But a speech-act cannot be the whole blessing. Speech
Blessing is signified physically by gestures like raising or
has thought as its basis and it must have a semantic base.
extending the right hand with palm open, the varadamudra¯.
There are psychological and semantic elements in communi-
Blessings are usually accompanied by verbal elements or ver-
cative situations involving blessings, curses, vows, oaths, and
bal symbolism such as the sacred syllable Om: or a mantra.
so on. If one describes the act of blessing as performative,
Verbal embodiments of blessing, even when muttered or in-
then one might describe the pre-blessing state—the psycho-
scribed, generate the power of protection and benediction.
semantic or thought state—as generative. Speech-acts show
Music and dance are commonly used in ritual. In many cul-
the speaker’s attitude toward the good and bad things of life.
tures, for example Indian or Thai, there are specific songs or
The blessing must be said in context, otherwise how could
tunes auspicious for blessing, and there is also blessing by
we distinguish a blessing from a curse? The situation is con-
means of music: the music itself is sacred and is a blessing
textually dependent.
when played.
The relation between benefactor and beneficiary or be-
Nonverbal elements mainly concern the benefactor or
tween benefactor and petitioner or supplicant, whether bless-
situations favorable to giving a blessing. They mediate or en-
ing is sought for oneself or for another, can be explained
hance the blessing, as is evident in ritual, which usually in-
through the background of the supplicant. The content and
corporates symbolism, icons, and the concept of sacred
the process of blessing can be generalized or universalized
space. In ritual the verbal and the nonverbal elements unite.
from the point of view of the benefactor, since a powerful
Ritual is performed by religious experts, priests, monks, or
entity is usually considered to be omnipresent, omnipotent,
shamans, within a consecrated space, using implements, ges-
and omniscient. From the point of view of the petitioner,
tures, words, music, and chants. Nonverbal elements are also
blessing is specific and personal. Humanity is always imper-
used to transfer blessings. In some cases, such as in Armenian
fect, which is why blessing is needed.
tradition, fragments from an old Bible are inserted into a new
one as a blessing. The blessing is transferred by means of
Nonverbal elements. Nonverbal elements accompany,
nonverbal empowerment.
surround, and evolve with or around blessing. They com-
The religious elements of blessing. The religious ele-
prise a wide range of objects, places, persons, and phenome-
ment is the most important component of blessing, since
na. Everything worshiped, everything believed to be sacred
without it the other elements, verbal or nonverbal, cannot
and to have the power to bless, can be subsumed in this cate-
become a blessing. These elements are something already
gory. To attempt an inventory would be a superfluous en-
produced. To use a linguistic term, this is a surface structure.
deavor: some examples will suffice to show how vast the non-
The religious element is in the deep structure of blessing. It
verbal elements of blessing can be.
must be present before a blessing is performed, and not cease
Signs, symbols, emblems, or diagrams which are
to exist afterward. We can hear a blessing when it is uttered,
deemed sacred and auspicious can be an instant blessing. The
we can perceive its surroundings with our senses. But the
swastika, the Eight Auspicious Symbols of Indian tradition,
mystic power, which is the most fundamental element in the
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BLESSING
981
production of a blessing, is intangible. That power exists be-
bodied in God and blessing. In some traditions, like the Indi-
cause we believe in the power of the blessing, and that is why
an, speech is the outcome of thought, or the inner language
blessing is deemed to be religious. Human beings assume
system, of a person, which originates in the universal langue.
that there is an entity or, in some cultures, entities, that pos-
It is the bridge connecting the abstract and the concrete.
sess or generate power and transform it into a blessing; but
Words express, reveal, and expose reality. They are equal
the power and process of transformation is intangible and
to the essence of the universe itself. In other words they are
unquantifiable.
equal to god. In Vedic tradition the word vac (word or
The transcendental power. Generally, all religions wor-
speech) is said to be the origin and the essence of this uni-
ship and venerate something as sacred and powerful. The
verse. The ultimate word is brahman (the essence of the uni-
names might be different but the concept, and thus the rela-
verse.) And in the New Testament, the same concept is pro-
tion between the ultimate entity and humanity, is more or
pounded: “In the beginning was the Word, and the Word
less comparatively the same among people of different faiths.
was with God, and the Word was God” (John 1:1). Words
The sacred or the transcendental entity can take many forms.
in themselves are thus divine and have power. Speech-acts
It can be represented by a panoply of gods and goddesses,
such as blessings, curses, and vows are more intensified by
as in Indian and Chinese religions. It can be a pervasive and
psychological processes than normal significative ones. Since
universal essence, as in the concept of a¯tman-parama¯tman in
speech is powerful, blessing has the potential to be
Indian philosophy. It can be a one and only God as in Juda-
efficacious.
ism, Christianity, and Islam. In religions like Jainism and
Buddhism, where God or gods do not play the role of su-
Words are more powerful if they stem from the ultimate
preme power, the founders themselves—the Jinas, the bud-
power and are considered to be the words of god or the
dhas and the buddhas-to-be, and the bodhisattvas—because
Truth, realized or seen by sages such as Vedic seers or the
of the wisdom, purity, and mercy gained from their enlight-
Buddha. Holy texts like the Bible, the QurDa¯n, or the Bud-
enment, take the position of the ultimate.
dhist canon are considered to be blessings by themselves.
They are the words of power. Words can also become more
It is true that in some forms of belief, such as monism,
powerful through encrypted forms. Mantras, sacred syllables,
the supreme power is both fearful and graceful, as it encom-
chanting in a reversed order, or syllables set in diagrams are
passes and is the same as chaos and the cosmos. This perva-
examples of this type. They can bless and act as blessings.
sive power manifests in various forms to answer the needs of
These words of power are closely related to the action-
humanity, but it is, in whatever form, refuge to the faithful.
oriented blessing. To listen, chant, read, copy, or propagate
Since this power is transcendental and blissful it is always
the chosen words lead to happiness, a blessing gained by
available for supplication and always ready to bless. The ways
action.
and means to approach and ask favor from the power and
how the power is to be transferred to the supplicants vary.
FORMS AND CONTENTS OF BLESSINGS. The three ele-
ments—verbal, nonverbal, and religious—evolve into differ-
The divine or the sacred can transfer a blessing to
ent forms to express a blessing. Blessing can be simple and
human beings at will and without intermediary. However,
personal or ritualized and public, both in verbal and nonver-
in practice a blessing is usually transferred with some form
bal form. The act of blessing usually involves a benefactor,
of mediation. Two main intermediaries are common in most
a petitioner, and a beneficiary. In this case, one can say that
traditions (this is especially prominent in Catholicism). First,
blessing acts as a tie between humanity and the supreme
ritual or sacrifice, with its accessories and liturgical proce-
power or the sacred. It is a search for the benign qualities in
dures in which words or speech-acts form a vital role; second,
a supreme entity and an effort to transfer them.
the agents who perform the ritual, who can be priests,
monks, shamans, kings, or leaders, or the senior male or fe-
Blessing can be expressed in various forms of speech. In
male members of a community or family. It should be noted
relation to a benefactor, a blessing is expressed in eulogy,
that in Buddhism ritual is meant to bless and is performed
praise, or prayer. Praise and prayer breathe life into the sacred
mostly with words: chanting of the sacred texts or praises to
and make the sacred real and present. In relation to the sup-
the Three Gems and the dharma. It is a blessing ritual, not
plicant who requests something from a powerful entity,
a ritual in which blessing forms a part.
blessing conveys favors and is a gift from the sacred to hu-
mankind. Here blessing can take the form of an invocation
Power of the word: divine origin and origin of the
or supplication. It marks the relationship between the sacred
world. Speech possesses power because it is unique to hu-
and humanity as benevolent, in contrast to the malevolence
mans, so much so that it is thought to be divine or of divine
of evil. In ritual it takes the form of benediction.
origin. Language, as a vehicle of thought and emotion, is not
totally explicable. It is not actually known how the power of
Language formulas also reflect how the faithful receive
communication works, but language and thought are clearly
a blessing. Invocation and praises to god or the transcenden-
not separable. Words carry not only significative and sugges-
tal power are the most common formulas. They are mixed
tive, but also mystic, meaning. Words can convey not just
into common speech to the point that they have often be-
the content but also the power and the mystic elements em-
come exclamation words. They are personal, since one can
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982
BLESSING
invoke and praise a powerful entity by oneself. But they can
BLESSINGS IN MAJOR RELIGIOUS TRADITIONS. The four
also be ritualized and liturgical. In this case, blessing is sought
major religious traditions each have their own version of
through participation in ritual. Catholic liturgies usually end
blessing, governed by their individual natures. Judeo-
with a blessing, the benediction. The central activity of Bud-
Christian and Islamic tradition exemplifies strong monothe-
dhist rituals for auspicious occasions is the chanting of paritta
istic principles. The Indic religion is a challenge to classify
or raksa text, selected auspicious and protective blessings, by
because it embraces all conceivable types of religion: polythe-
monks. Even a funeral rite ends with stanzas of blessing.
istic, henotheistic, monotheistic, and monistic. In the Bud-
As a supplication, blessing is related to wishes for oneself
dhist tradition, gods and goddesses play some roles but are
or for another. Wishes for others may be expressed through
not essential. The Chinese tradition can be called mystically
vows and strong altruistic intentions. When the wish is for
pragmatic or naturalistic, and the mystic forces of nature ele-
oneself, the activity is mainly on the beneficiary’s part. This
ments play an essential role.
is generally an activity-oriented blessing, in which the peti-
Judaic, Christian, and Islamic traditions share the con-
tioner asks the sacred for help in doing something. In other
cept of the One God, the Almighty, the Creator, who has
cases something is done or promised which will make the re-
absolute, transcendental power over what he has created.
cipient worthy of blessing, or a vow is made to do something
God is thus the source of all blessings. The power to bless
to express gratitude to the sacred if the wish is granted. The
is the nature of God, but God himself is also considered a
petitioner may go to any sanctuary, or one associated with
blessing. He is evoked before any ritual can commence so
a specific need or wish. In strong monotheistic traditions like
that the ritual can become a blessing.
Christianity or Islam, total submission to God is the most
Judaic traditions. The word blessing in these traditions
meritorious act and is a form of blessing in itself: if one acts
is derived from the Semitic root brk (to bless). The deriva-
as God or the Prophet has prescribed, one is saved and
tions of the root evolve into various shades of meaning in
blessed.
these traditions, which reflect their thinking on blessing. The
Participation in religious ritual and sacrifice are also
Hebrew scriptures emphasize the principle of God as the sole
considered meritorious. In traditions where there is no divine
source of blessings. He created humans and bestowed various
authority, the path laid down by the founder is the way to
blessings on them. Of course he punished them from time
blessedness. In Buddhism the emphasis is on good karma,
to time, but less frequently than he blessed them. Forms of
the cultivation of meritorious deeds by body, speech, and
the word berakhah (blessing) appear 398 times in the He-
mind. Blessing is instantaneous when one does something
brew Bible. In Jewish tradition blessings are bestowed upon
good. In this case even an inferior in age, position, or spiritu-
the Chosen People, the people of God. But since all human
al attainment can bless a superior. This phenomenon is not
beings come from the same ancestor, the tradition extends
limited to Buddhism but can be observed in all religions.
blessings to all of humanity. And only through God’s bless-
One can bless priests or rabbis for the good they have done
ings can one attain salvation.
by wishing them long life or good health, for example. This
is blessing through gratitude or thankfulness. In Islam, per-
Blessing can also be transferred to humanity by means
forming the zaka¯t as prescribed is a blessing in itself. We may
of an intermediary—a family head, king, or priest—charged
say that in these cases rituals have been transformed into
with a mission. When the Hebrew religious institutions were
moral acts. In theistic religions moral acts function as inter-
established and the religious organization refined, the con-
mediaries because they are prescribed by God, who alone has
tent and intermediary of blessings were codified:
the power to bless.
And the Lord spoke to Moses, saying, Speak to Aaron
Generally speaking, the content of blessings is what one
and his sons, saying, This is the way you shall bless the
wishes for and asks from the Ultimate. Blessing can have gen-
children of Israel. Say to them: the Lord bless you and
eral content, unspecified and at the same time universal, as
keep you; the Lord make His face shine upon you and
be gracious to you; The Lord lift up His countenance
in expressions like “Bless you,” “God bless,” and “May good
upon you and give you peace. So they shall put My
merit protect you.” In religious ceremonies blessing is perva-
name on the children of Israel, and I will bless them.
sive—everyone who participates is blessed, and participants
(Num. 6:22–27)
can direct the blessing to whatever end they like. When bless-
ing is more specific in content it can be classified as material
But this is not the only means by which the Jewish peo-
or spiritual. The first category comprises all that is tangible:
ple ask for blessing and bless. Blessings as both a means of
wealth, health, prosperity, progeny, longevity, and protec-
praising God and of requesting his favor blend into every as-
tion. Examples of spiritual blessing are found in several tradi-
pect of Jewish life.
tions. In Ephesians 1:3, spiritual blessing is mentioned:
Berakhah (blessing), widely rendered in liturgical litera-
“Blessed be the God and Father of our Lord Jesus Christ,
ture as benediction, has a fixed formula in Jewish liturgy. It
who has blessed us with every spiritual blessing.” In Bud-
must contain the words baruch atta adonai elohenu melech
dhism it is common to wish for the ultimate blessing of liber-
ha’olam baruch (Blessed art thou Lord, our God, King of the
ation from suffering, which, ironically, is only possible
Universe). Berakhah can be found throughout every form of
through an arduous spiritual journey.
the Jewish liturgy.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLESSING
983
Jewish daily life starts with blessing from the moment
Islamic traditions. In the pre-Islamic Arab world the
of waking up. There are blessings for every activity: washing
root brk has two meanings: “to bless” and “to crouch.” The
one’s hands before a meal, saying grace before and after a
second meaning, as a noun, baraca, alludes to the crouching
meal, even smelling fragrant trees or bark. Blessings are spo-
camel and to mating, which suggests a fertility cult. The
ken over wine and over specially prepared food. In domestic
meaning is further extended to signify wealth and all desir-
and public rituals of worship, blessing, in the sense of prais-
able things. But in the uncompromising monotheistic view
ing and supplicating, pervades the liturgical sequences.
of Islam, the meaning of the word baraca and al baracat, the
Through blessing, activities, no matter how mundane, are
plural form, is restricted to blessings from God. It is God’s
sanctified, and the relationship between God and his people
mercy that makes blessing possible. Anyone who is totally
is confirmed.
submissive to his will, will be blessed.
In public worship there are two essential components
Indic traditions. In Indic tradition the word for bless-
in the liturgical sequence that show berakhah as the core and
ing, vara, is derived from the root vr (to choose). The con-
the focal point of the liturgy: the praise, shevah, which has
cept of blessing has its root in yajna, sacrifice to gods and
the Confirmation of the Faith as its focal point, and the
goddesses. Sacrifice is officiated over by priests to please the
prayer, tefillah or Eamida. They both contain berakhah, but
gods, and the yajamana, the person who sponsors the sacri-
it is in the prayer that blessing has a special status. Evidence
fice, chooses the blessing to receive. The way to obtain some-
shows that both sh Dma E and Eamida originated in the sacrifi-
thing through the action of sacrifice is called karma. The ar-
cial rites performed in the Temple of Solomon before its de-
rangement and the sequences of sacrifices, which in later
struction in 70 CE.
periods become more elaborate and complex, are seen as the
means by which the universe is regulated. In this sense sacri-
There are several terms used for tefillah. It may be called
fice can be called dharma, the upholder of the universe.
Eamida, because it is recited while standing; or shDmoneh
Eesreh, because it has eighteen blessings or benedictions (even
On a personal level, the act of sacrifice is further inter-
when the nineteenth is added, the name stands). It consists
nalized and becomes a moral act, good or bad, which will
of nineteen benedictions. These include three benedictions
entail a result. It can also be an act done to please the gods
called praise, thirteen petitions, and three thanksgivings. In
in the form of tapas (penance). This is one of the most popu-
regular daily services all are recited, first silently by each indi-
lar ways to obtain divine blessing, and appears abundantly
vidual so sinners can atone without embarrassment, then re-
in Indian literature. At times, the blessing that was chosen
peated aloud by the reader. At festive occasions the petitions
had a negative effect on other people or even upset the uni-
are replaced by an appropriate blessing.
verse, and the gods were obliged to convene to try to save
the situation.
The sh Dma Eand Eamida are the core of Jewish liturgy; in
fact they can be considered instrumental in holding the reli-
When ethics and morality are emphasized, good actions,
gion together. The Confirmation of the Faith holds Israel to
the kusalakarma or dharma, in the sense of the upholder of
be a nation no matter how far and wide the Jews spread over
society, are the source of blessings. In orthodox Indic tradi-
the world. Blessings accompanying the sh Dma E stress that
tion, dharma in this sense means action as prescribed by the
Jews are the Chosen People blessed by God. In Eamida bless-
gods for the four classes, or varna (Bra¯hman:, the priests;
ing shines forth with its whole range of meanings, be it
ks:atriya, the warriors; vai´sya, the merchants and craftmen;
praise, petition, or thanksgiving. It establishes God as the
´su¯dra, the serfs). Those who act according to the divine rule
sole resource, power, and refuge of humankind.
sustain the goodness and peace in this world and are blessed
by the gods.
Christian traditions. The Christian tradition is similar
Another aspect of blessings in Indic tradition is the inti-
to the Jewish in that God is the source of all blessings. The
macy between gods and man. There are many gods, goddess-
word berakhah is translated as eulogia in Greek and benedic-
es, local spirits, and sacred places to which the Indian will
tion in Latin, carries the meaning of “speak well” or “good
go for blessings. Images of gods and goddesses, whether in
words.” This can be interpreted in two ways: towards God,
a temple or private shrine, are worshiped daily as if they were
the good words are praises, while towards human beings,
alive; they are clothed and fed and offered ornaments, music,
they are gifts from God. There is parallelism here: Jesus is
and fragrances.
the gift of god to humankind, he is the eulogia and through
him the eulogia passes to humankind. Jesus’ communication
Words are crucial in all of these rituals. In Vedic times
to God is direct, thus his words, as praises and petitions to
the correct pronunciation of the mantra of the Veda was at
God, are the most effective. This direct communication with
the heart of a sacrifice. When it is internalized and intensified
God was continued by the Apostles and later by the priests
in the mind, action is considered to be a genuinely efficacious
of the church. Thus in Christianity blessings are passed along
power. When uttered solemnly, words, blessings, and curses
by means of ritual officiated over by the designated officers
become real and have a real effect. Words uttered by holy
of God. The most common blessing used by Jesus, pax vobis
or virtuous individuals and the Truth expressed through
(peace be with you), has become part of all the sacraments.
words are especially potent.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
984
BLESSING
Blessings penetrate into all actions in Indian life. No ac-
are represented in calligraphy, in personified form, and by
tivity can begin if the blessing of the gods is not first invoked.
symbols on almost everything, from the architectural ele-
In the morning the Savitr: stanza must be recited before any
ments of a house or a town to the decorations on utensils
activity is undertaken. In Indic tradition, as well as in South-
such as plates, cups, and bowls. As a result, the Chinese live
east Asian traditions such as those of the Thai, Burmese, and
amid a landscape of blessings.
Khmer, literary works start and end with blessing stanzas,
Blessing can be considered the act of giving blessing, the
which confer auspiciousness and protection to the writer, lis-
blessing itself, and the process by which blessing is trans-
tener, and reader. The performing arts and fine arts begin
ferred. Language and complex systems of communication are
with homage to the teachers to express gratitude, to obtain
believed to belong only to humankind; they enable humans
blessings, and to ward off all obstacles and mishaps.
to control society and their environment and thus express or
Buddhist traditions. Buddhist practice follows the
embody power. They convey meaning and transmit knowl-
same line as mainstream Indic tradition. Buddhists propitiate
edge, emotion, and thought. Words uttered intentionally,
buddhas and bodhisattvas as well as gods and goddesses for
like blessings, are moral and social acts by themselves. Inten-
good fortune and protection. They have paritta or raksa text,
sified by mental and spiritual factors they are invested with
the blessing literature, which they chant or have monks chant
potency both in the minds of the speakers and the audience.
in ceremonies for blessing. Monks, or even lay people by vir-
Words of god, pertaining to god or gods or the sacred, are
tue of their high moral status, can also be the source of
endowed with power by themselves.
blessings.
Blessings are an essential part of life. Even in religions
Chinese traditions. The Chinese concept of blessing
where they must be granted only by God and through the
and the blessed state stems from harmony among the three
intermediacy of authorized representatives, adherents bless
realms of the universe: Heaven, Earth, and Man. Heaven is
each other when they are on good terms and curse each other
the source of blessings through the king or emperor, who has
when on bad terms. They even bless God, whether or not
the right and duty to propitiate Heaven by performing sacri-
he can be or needs to be blessed. Blessings represent creative,
fices according to the treatises. The ideal state is expressed
benign, or even saving forces. They help reconcile us with
by the balance between the two forces of yin and yang and
this imperfect world. They are a primary consolation, since
the Five Elements. Since these elements are the components
they express the hopes of humankind. They manifest the be-
of the universe, they arrange themselves in various shapes and
nign relationship between the sacred and the human. In a
forms. The elements take turns to preside over Earth and
sense, blessing breathes life into the sacred and the supreme
human beings. One must know which element is predomi-
and makes them vivid and real in human life.
nant at a specific moment or period in order to act in harmo-
ny with that element and to gain thereby the energy and
BIBLIOGRAPHY
blessing in full force.
Regrettably not a single book has been written solely on blessing.
The word is found in dictionaries and encyclopedias, most
The same concept applies to feng shui practice, which
of which deal with blessing in Catholicism; see for example
is the art of drawing on natural forces to gain favor and bless-
“benediction” in Encyclopedie Catholique (Paris, 1948),
ings. Sacrifice is the key to harmony. The king or emperor
pp. 1405–1416; see also Livre des benediction, rituel romain,
performs sacrifices for the blessing of the state and his people.
(Paris, 1995), p. 5–13. For a general introduction one may
Heaven blesses through the medium of the emperor; this was
consult articles in the Encyclopedia of Religion and Ethics, ed-
the role of a priest-king in ancient times. In a household, the
ited by James Hastings, (Edinburgh, 1913) and the Encyclo-
head of the family performs sacrifices to ancestral and other
pedia of Religion. A brief entry on blessing in terms of the
gods to maintain the harmony of the family.
phenomenology of religion is found in G. van der Leeuw, La
religion dans son essence et ses manifestations, phenomenologie
Language, both spoken and written, plays a special role
de la religion (Paris, 1970), p. 59. The theory of the speech-
in the Chinese tradition of blessing. Auspicious characters,
act found its definitive form in John L. Austin, How to Do
singly or in combination, such as those for fortune, longevi-
Things with Words (Oxford, 1962). Further ideas on the sub-
ty, and promotion, confer blessings in their own right. Aus-
ject can be found in books on cognitive linguistics. For lin-
guistic analysis of blessing in a particular language, James A.
picious characters, graphic designs, and phrases represented
Matisoff, Blessings, Curses, Hopes, and Fears: Psycho-Ostensive
in calligraphy are affixed inside and outside of buildings to
Expressions in Yiddish (Stanford, Calif., 2000), is the only ex-
bring blessings. They may be represented in forms other than
ample. The relationship between human being, language,
calligraphy, appearing in paintings or decorative arts as sym-
and gesture is discussed in Jean Poirier, ed., Histoire des
bols derived from homonyms of auspicious words. A picture
moeurs, vol. 2 (Paris, 1991). For nonverbal elements of bless-
of a bat stands for fortune because bat and fortune are hom-
ing, there is no direct source, and one must turn to works
onyms. These visual representations confer instantaneous
on ritual, such as Roy A. Rappaport, Ritual and Religion in
and constant blessings.
the Making of Humanity (Cambridge Studies in Social and
Cultural Anthropology, Cambridge, Mass., 1999) and John
The primary blessings in Chinese thought are fu (felici-
R. Bowen, Religions in Practice: An Approach to the Anthropol-
ty), lu (prosperity or promotion), and shou (longevity). They
ogy of Religion (Boston, 2002), chap. 9, “Objects, Images,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BLOOD
985
and Worship”; pilgrimage and blessing is discussed briefly in
losophy and the spirit of Christianity; 1944–1949). One of
chap. 13, “Place and Pilgrimage,” in the same work. For
his closest collaborators was Lucien Laberthonnière, but
more general concepts on geography and religion see Chris
eventually Blondel fell out with him, as he did with most of
C. Park, Sacred Worlds: An Introduction to Geography and Re-
his contemporaries. He was involved in the modernist move-
ligion (London, 1994), especially chap. 8, “Sacred Places and
ment and obviously desired a renewal of the church’s teach-
Pilgrimage.” Philosophical and religious analysis of the
ing, but he insisted that he did not share the views of mod-
power of words, mainly expounded in Indian philosophy, is
ernists such as Alfred Loisy, Édouard Le Roy, and Friedrich
found in “Les pouvoir de la parole dans le Rgveda,” in Louis
Renou, Études Vediques et Panineennes, vol. 1 (Paris, 1955)
von Hügel. Though sometimes threatened with ecclesiastical
and the Encyclopedia of Indian Philosophy, vol. 5 (Delhi,
censure, he avoided it, and indeed received a certificate of or-
1990). For a good introduction to the anthropological ap-
thodoxy from Pope Pius X.
proach see John R. Bowen, Religions in Practice: An Approach
to the Anthropology of Religion (Boston, 2002), chap. 11, “Sa-
BIBLIOGRAPHY
cred Speech and Divine Power.” For Jewish liturgy see Abra-
In addition to L’action (1893; reprinted in 2 vols., Paris, 1936),
ham Z. Idelsohn, Jewish Liturgy and Its Development (New
The Letter on Apologetics, and History and Dogma (New York,
York, 1995) and Nicholas de Lange, Judaism (Oxford,
1964), and the other works mentioned above, several vol-
2003). For other terms used for blessing in Indian literature,
umes of Blondel’s correspondence have been published. In
especially in the Vedic period, see Jan Gonda, Prayer and
English there is the Correspondence of Pierre Teilhard de
Blessing: Ancient Indian Ritual Terminology (Leiden, 1989).
Chardin and Maurice Blondel, translated by William Whit-
For the Buddhist tradition see Peter Skilling, “The Raksa Lit-
man (New York, 1967), and Maurice Blondel and Auguste
erature of the Sravakayana,” Journal of the Pali Text Society
Valensin, 1899–1912, 2 vols. (Paris, 1957). None of Blon-
14 (1992): 109–182. For a brief introduction to Chinese tra-
del’s major works has been translated into English.
dition see Edward L. Shaughnessy, ed., China: The Land of
A comprehensive 240-page Blondel bibliography was produced by
the Heavenly Dragon (London, 2000).
René Virgoulay and Claude Troisfontaines, Maurice Blondel;
PRAPOD ASSAVAVIRULHAKARN (2005)
Bibliographie analytique et critique (Louvain, 1975). The fol-
lowing works about Blondel can be recommended: Frédéric
Lefèvre’s L’itinéraire philosophique de Maurice Blondel (Paris,
1928); Paul Archambault’s Vers un réalism intégral: L’œuvre
BLONDEL, MAURICE (1861–1949), French
philosophique de Maurice Blondel (Paris, 1928); Henri Bouil-
Roman Catholic philosopher. Blondel was born at Dijon
lard’s Blondel and Christianity (Washington, D.C., 1970);
and René Virgoulay’s Blondel et le modernisme: La philosophie
and educated at the École Normale Supérieure, where he was
de l’action et les sciences religieuses (Paris, 1980). Blondel’s
a pupil of Léon Ollé Laprune, to whom he dedicated his the-
work is also discussed in Bernard M. G. Reardon’s Roman
sis, published as L’action, which he presented at the Sor-
Catholic Modernism (Stanford, Calif., 1970) and in Gabriel
bonne in 1893. He was professor of philosophy at Aix-en-
Daly’s Transcendence and Immanence: A Study in Catholic
Provence from 1897 to 1927. L’action aroused much interest
Modernism and Integralism (Oxford, 1980).
and controversy because of its originality. Blondel claimed
ALEC VIDLER (1987)
that from purely philosophical premises he had reached theo-
logical conclusions. Unlike the positivists, who were domi-
nant in the university, and the scholastics, who controlled
the theological schools, Blondel worked from a subtle analy-
BLOOD. Among the religions of the world one finds
sis of what was involved in human experience, and main-
many ambivalent or contradictory attitudes toward blood.
tained that it pointed to, and in the end required, the super-
Blood is perceived as being simultaneously pure and impure,
natural. Thus by what was known as “the method of
attractive and repulsive, sacred and profane; it is at once a
immanence” he arrived at the transcendent. By “action” he
life-giving substance and a symbol of death. Handling blood
did not mean only activity but all that is involved in the
is sometimes forbidden, sometimes mandatory, but usually
human response to reality, including affection, willing, and
dangerous. Rites involving blood require the intervention of
knowing.
individual specialists (warriors, sacrificers, circumcisers,
butchers, or executioners) and always the participation of the
Blondel was not a lucid writer, and his teaching was re-
group or community.
garded as complicated and obscure. He spent the rest of his
life in trying to clarify his meaning and seeking to distinguish
In many primitive societies, blood is identified as a soul
his ideas from those of others with which they were liable
substance: of men, of animals, and even of plants. The Ro-
to be confused. He waited for many years before publishing
mans said that in it is the sedes animae (“seat of life”). In pre-
a revised edition of L’action, which, with other works, won
Islamic times, Arabs considered it the vegetative, liquid soul
for his thought a widespread influence in France. Most im-
that remains in the body after death, feeding on libations.
portant among these other works were Le problème de la
For the Hebrews, “the life of the flesh is in the blood” (Lv.
philosophie catholique (The problem of Catholic philosophy;
17:4).
1932), La pensée (Thought; 1934), L’être et les êtres (Being
The spilling of blood is often forbidden. This ban ap-
and beings; 1935), and La philosophie et l’esprit chrétien (Phi-
plies to certain categories of humans and animals: sacrificial
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
986
BLOOD
victims, royalty, game, and so on. The Iroquois, the Scythi-
or by pouring a few drops of blood into a cup, mixing it with
ans (Herodotus, 4.60–61), and the old Turco-Mongols, as
wine (called “the blood of the vine” in antiquity), and drink-
well as the rulers of the Ottoman empire, forbade shedding
ing it. The Turkic peoples, Scythians, and Tibetans used the
the blood of persons of royal lineage. There is reason to be-
tops of skulls for drinking cups.
lieve that the Indian Hindu religions that have abolished sac-
Murder within the community is forbidden. To kill
rifices, and the feasting that goes with sacrifice, have done
one’s relative is tantamount to shedding one’s own blood; it
so more to avoid the shedding of blood than to comply with
is a crime that draws a curse that lasts for generations. When
the dogmas of nonviolence and reincarnation. According to
Cain murdered Abel, Abel’s “blood cried out for vengeance,”
Genesis 9:4, the eating of raw meat is forbidden: “But you
and Cain’s descendants suffered as a result. When Oedipus
must not eat the flesh with the life, which is the blood, still
unknowingly killed his father, he gouged out his own eyes
in it.” The Islamic tradition has similar restrictions.
to confess his blindness, but his punishment fell upon his
Attitudes toward blood can be divided into two general
children. After Orestes executed his mother, Clytemnestra,
categories: toward the blood of strangers, foreigners, or ene-
he was followed by the Furies, spiritlike incarnations of
mies and toward the blood of members of one’s own com-
blood. The death of the just and innocent brings vengeance.
munity.
King David protested: “I and my kingdom are guiltless be-
fore the Lord forever from the blood of Abner. . . . Let it
The blood of enemies usually is not protected by any
rest on the head of Joab, and on all his father’s house” (2 Sm.
taboo. It has been suggested that one justification for war is
3:28–29). According to Matthew, after the sentencing of
the perceived necessity of shedding blood in order to water
Jesus to be crucified the Jews cried: “Let his blood be upon
the earth. One frequently encounters the idea that the earth
us and upon our children” (27:25).
is thirsty for blood—but only for licit blood. It can refuse
blood that is not licit or cry out for vengeance against such
A murder between families or between clans is a grave
illicit bloodshed, as the biblical passages Isaiah 26:21 and Job
wrong that must be avenged by killing the guilty party. The
16:18 illustrate. In pre-Columbian America blood was essen-
latter, who in turn becomes the victim, will have his own
tial to the survival of the Sun, and in other countries it was
avenger from among his relatives. Thus develops the cycle
demanded by the gods.
of vendetta killing, which can be broken only by “paying the
blood price.” Vendetta killing is found in ancient Greece,
The killing of enemies is sometimes mandatory. Among
pre-Islamic Arabia, modern Corsica, and among the Nuer of
the Turkic peoples in ancient times and again during the Is-
the Sudan. The Jewish and Muslim demands of “an eye for
lamic period in the sixteenth century, an adolescent did not
an eye” may be similar to this phenomenon.
acquire his adulthood, his name, and thus his soul until he
Under certain circumstances killing is perceived as a cre-
committed his first murder. Killing—and being killed—has
ative act, especially in the realm of the gods, where suicide
been the raison d’être for the Ojibwa and Dakota Indian
or parricide sometimes leads to birth or new life. Mesopota-
tribes, as well as, to a certain extent, the Muslim “martyrs”
mian and Babylonian cosmogonies feature gods who were
of holy war and the Japanese samurai. At one time, a bloody
slain in order to give life. The Greek Kronos severed the testi-
death at the hand of an enemy seemed more to be envied
cles of his father Ouranos (Sky) with a billhook while the lat-
than a natural death. However, concerning the caste of
ter lay in a tight embrace with Gaia (Earth). The blood of
Hindu warriors in India, it was believed that one whose voca-
Ouranos’s genital organs gave birth to new beings and, ac-
tion was killing awaited his own immolation.
cording to some traditions, to Aphrodite herself. This kind
The blood of the enemy is rarely dangerous, even
of suicide—relinquishing a part to preserve the whole—was
though the qualities and strengths of the soul remain in it.
sometimes magnified into a supreme act of love or redemp-
In antiquity people attempted to appropriate these qualities
tion: Odin gave up one eye for the sake of supernatural “vi-
of blood by drinking it or washing themselves in it. Herodo-
sion”; Attis emasculated himself; Abraham was prepared to
tus (17.64) notes that the Scythians drank the blood of the
slit the throat of his only son; Jesus accepted death volun-
first victims they killed.
tarily.
Within the community, however, attitudes toward
Some kinds of sacrifice are centered around blood.
blood and killing are different. Members of the community
Blood is the drink of the gods or the drink shared by mortals
are connected by consanguinity, and they share collective re-
with the gods. Blood sacrifices are varied in form and func-
sponsibility for one another; the blood of each is the blood
tion. In Jewish sacrifice (abolished since the destruction of
of all. The group’s totemic animals may be included in this
the Temple), the victim is not human but animal; its death
community, which is connected to the animals by adoption
has reconciliatory and expiatory value. In Muslim sacrifices,
or alliance. A stranger can enter the group through marriage
the gift of meat is the price paid by the genuinely guilty; there
or “blood brotherhood,” a custom practiced among the Fon
is no blessing or grace expected, and reconciliation and expia-
of West Africa and among Central Asian peoples. Relations
tion are not involved.
between blood brothers can be established in various ways,
In the Christian concept of sacrifice, the slitting of an
often through the juxtaposition of cuts made in their wrists
animal’s throat is abolished, and the animal is replaced 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
BOAS, FRANZ
987
the “Lamb of God,” Jesus on the cross. Crucifixion and as-
The menses are universally considered the worst impuri-
phyxiation, although not bloody in themselves, are perceived
ty, due to the involuntary and uncontrollable flowing of
as fundamentally bloody. The sacrifice (at least, as it is un-
blood. Menstruating women are believed to pose great dan-
derstood outside Protestantism) is renewed daily; it is both
gers to men, and for this reason many peoples of New Guin-
expiatory and redemptory. The sacrifice is accompanied by
ea, Australia, Polynesia, Africa, Central Asia, and the Arctic
a communal meal (Eucharist) where the believer is invited
have feared them and imposed innumerable bans on them.
to eat bread, symbolizing the body of Christ, and to drink
One finds similar fears in the Hebrew (Lv. 20:18), Islamic,
wine, symbolizing his blood. Charles Guignebert has noted
and Hindu traditions. Researchers have not yet properly em-
that the bread has been of less interest than the wine; the
phasized the implications of the interruption of menstrua-
wine “is the symbolism of blood that dominates in the Eu-
tion during pregnancy; one can surmise that the fetus, be-
charist . . . and affirms its doctrinal richness” (Guignebert,
lieved to be fed with the impure blood, acquires this
1935, p. 546). Christ, who offers the cup to his disciples,
impurity, which has to be removed at birth. The impurity
says, “This is the blood of the new testament that is shed for
only indirectly appears to be a function of the sexual act or
many for the remission of sins.”
of the vaginal bleeding at delivery.
Judaism had already established that the covenant be-
SEE ALSO Circumcision; Clitoridectomy; Human Sacrifice;
tween God and his people was one of blood, of circumcision
Mortification; Omophagia; Revenge and Retribution;
and sacrifice. Moses sprinkled the people with the blood of
Sacrifice.
sacrificed bulls, saying, “Behold the blood of the covenant
which the Lord hath made with you” (Ex. 24:8).
BIBLIOGRAPHY
Nearly all works on the history of religions mention blood, but
The idea of establishing a covenant through blood is
there are no valuable monographs on the subject other than
found in many cultures. People create covenants among
G. J. M. Desse’s Le sang dans le rite (Bordeaux, 1933). The
themselves as well as between their gods and themselves.
reader is referred also to Lucien Lévy-Bruhl’s The “Soul” of
the Primitive (New York, 1928) and to Mircea Eliade’s Rites
Some peoples in Central Asia, in Siberia, and on the steppes
and Symbols of Initiation (New York, 1958). Numerous facts
of eastern Europe cut a dog or other animal in two to seal
on the topic are found in Bronislaw Malinowski’s Sex and Re-
a treaty or to take a solemn oath, thus guaranteeing their loy-
pression in Savage Society (London, 1927) and Crime and
alty. The protective force of blood is illustrated in the cove-
Custom in Savage Society (New York, 1926). W. Robertson
nant between God and Israel in Exodus 13:7–13; the Israel-
Smith’s Lectures on the Religion of the Semites, 3d ed. (Lon-
ites, remaining in their homes, which were marked with
don, 1927), is still fundamental in the study of sacrifice.
blood, were spared from the death that struck the Egyptians.
Charles Guignebert discusses the symbolism of blood as
A similar idea is expressed in Indonesia when the doors and
found in the Christian Eucharist in Jesus (London, 1935).
pillars of houses are smeared with blood during sacrifices of
On circumcision, see B. J. F. Laubscher’s Sex, Custom and
domestic dedication.
Psychopathology (London, 1937). On blood brotherhood, see
Georges Davy’s La foi jurée (Paris, 1922). Bruno Bettel-
Blood can eliminate flaws and weaknesses. In Australia,
heim’s Symbolic Wounds: Puberty Rites and the Envious Male
a young man would spread his blood on an old man in order
(Glencoe, Ill., 1954) and Paul Hazoumé’s Le pacte de sang
to rejuvenate him. Some Romans, in honor of Attis, emascu-
au Dahomey (Paris, 1937) are also worth consulting.
lated themselves and celebrated the dendrophoria by beating
New Sources
their backs, hoping thus to escape the disease of death and
Jean-Paul Roux has published Le sang. Mythes, symboles et réalités
(Paris, 1988), which is the only monograph tackling this sub-
to wash themselves of its stain. Similarly, Sh¯ıE¯ı flagellants re-
ject in a cross-cultural perspective. There is a plentiful bibli-
live the martyrdom of H:usayn ibn EAl¯ı, grandson of the
ography but the approach is old-fashioned and the style not
prophet Muh:ammad.
very scholarly. An indispensable tool for any further research
is represented by the imposing series “Sangue e an-
The most common type of self-inflicted wound is cir-
tropologia,” edited for nine years in twenty two volumes by
cumcision. In the female the incision of the clitoris some-
Francesco Vattioni under the auspices of the Centro Studi
times corresponds with this rite. Male circumcision is re-
Sanguis Christi (Rome, 1981–1996). Philologists, historians
quired in Hebrew tradition, where it is the sign of a covenant
and theologians present and discuss a host of materials relat-
with God. It is common also in Islam. Many explanations
ed to blood functions and symbolism in various cultural con-
have been given for this almost universal rite. It is seen pri-
texts, with focus on Christianity in Biblical and patristic
marily as a manifestation of the desire to eliminate any traces
times.
of femininity in the male. It is doubtful that circumcision
JEAN-PAUL ROUX (1987)
is an attempt to imitate the menses. If the sexual act is con-
Translated from French by Sherri L. Granka
sidered a defilement, the removal of the foreskin could, in
Revised Bibliography
effect, rid the sexual organ of impurity transmitted from the
mother. Yet there are some societies where the circumcised
male is considered to be as impure as the menstruating fe-
BOAS, FRANZ (1858–1942), German-American an-
male and where he is treated as if he were one.
thropologist, was born at Minden, Prussian Westphalia, 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
988
BOATS
July 9, 1858, the son of Jewish parents of comfortable means,
the existence of a “magic power,” the “wonderful qualities”
both of whom were assimilated into German culture. His ed-
of which are believed to exist in objects, animals, humans,
ucation was largely at the local state school and gymnasium.
spirits, or deities and that are superior to the natural qualities
He seems not to have had significant Jewish religious instruc-
of humans. The actions of the Indians were regulated by the
tion. His mother, Sophie Meyer Boas, who had been part of
desire to retain the good will of powers friendly to them and
a circle of liberal and Marxist intellectuals dedicated to the
to control those that were hostile. Taboos, guardian spirits,
revolutionary principles of 1848, was a major influence in
charms, offerings and sacrifices, and incantations were all
his youth. He studied the sciences at the universities of Hei-
means to these ends. Boas also clearly associated religion with
delberg (1877), Bonn (1877–1879), and Kiel (1879–1881),
social structure in totemic kinship groups, in ceremonialism,
but he decided upon geography as a career. Shortly after re-
and in explanatory mythology.
ceiving his doctorate, he left for a twelve-month expedition
to Baffin Island, studying local geography and anthropology.
BIBLIOGRAPHY
He qualified as a university instructor at Berlin in 1886 but
Boas’s publications are numerous and scattered. He collected
never taught, instead going to the United States, where he
some essays into Race, Language and Culture (New York,
undertook a research trip to the Northwest Coast, whose na-
1940), including “The Idea of the Future Life among Primi-
tive peoples became the subjects of his most intensive ethno-
tive Tribes” and “The Ethnological Significance of Esoteric
logical scrutiny. He worked for a number of scholarly institu-
Doctrines.” George W. Stocking, Jr., edited another collec-
tion, including the essay “The Religion of American Indi-
tions in the United States and Canada from 1887 until 1896,
ans,” in The Shaping of American Anthropology, 1883–1911:
when he found secure employment in New York City at the
A Franz Boas Reader (New York, 1974), with a fine introduc-
American Museum of Natural History and Columbia Uni-
tion. Some of Stocking’s other studies of Boas are in his Race,
versity. He left the museum in 1906 but continued at Co-
Culture, and Evolution, 2d ed. (Chicago, 1982). Boas’s
lumbia until his retirement in 1936. In his later years he be-
Kwakiutl Ethnography (Chicago, 1966) is, with The Social
came increasingly involved in public affairs, speaking out
Organization and the Secret Societies of the Kwakiutl Indians
especially against racialist ideas. He died in New York on De-
(1897; reprint, New York, 1970), his most important discus-
cember 22, 1942.
sion of the Kwakiutl. Ake Hultkrantz’s The Study of Ameri-
can Indian Religion (New York, 1983), contains a discussion
Boas published in a wide range of anthropological fields,
of Boas and his students on the subject. See also Boas’s “An
exercising a dominating influence on American anthropolo-
Anthropologist’s Credo,” in The Nation 147 (27 August
gy both in his own right and through a network of associates
1938): 202.
and former students, including A. L. Kroeber, Paul Radin,
New Sources
Alexander Goldenweiser, Robert H. Lowie, Ruth Benedict,
Hyatt, Marshall. Franz Boas, Social Activist: The Dynamics of Eth-
Leslie Spier, J. R. Swanton, and Margaret Mead. Many of
nicity. New York, 1990.
these, Radin and Lowie in particular, were more systemati-
Williams, Vernon J. Rethinking Race: Franz Boas and His Contem-
cally concerned with religion than he.
poraries. Lexington, Ky., 1996.
Boas was himself a rationalist without conscious reli-
DOUGLAS COLE (1987)
gious views. One of the mainsprings of his intellectual life
Revised Bibliography
was the search for an explanation of the “psychological origin
of the implicit belief in the authority of tradition,” a belief
foreign to his own mind, and thus for an explication of how
“the shackles that tradition has laid upon us” might be recog-
BOATS. It is not surprising that those who live by the sea
nized and then broken. Alongside this, however, went a rela-
or on a river often visualize a person’s last journey as being
tivist’s tolerance of the beliefs and values of others.
undertaken in a boat. One enounters the use of boats in the
burial rites of such peoples as well as in their mythology. Al-
Boas’s anthropological methodology was so strongly
though boats figure in strikingly similar ways in the rituals
particularistic that his religious descriptions usually have lit-
and mythologies of peoples from all over the globe, their
tle generalizing value in themselves; his approach was so con-
exact significance in a given culture or religion and the pre-
cerned with the integrated totality of a culture that religion
cise relationship between their cultic use and their appear-
often seems to occur only as a by-product in his work. How-
ance in myth are often far from clear. In some cases a specifi-
ever, the enormous amount of material, especially texts, that
cally religious significance may be lacking, or the actual use
he published on mythology, ceremonialism, and secret socie-
of boats in the cult may bear no discernible relation to their
ties contains rich material for the study of beliefs, and his
role in mythology. These thoughts should be kept in mind
shorter treatments, including the religion entry in the Hand-
as one considers individual cases of the use of boats or boat
book of American Indians and his discussion of esoteric doc-
symbolism in the history of religions.
trines and the idea of future life among primitive tribes, are
THE MYTHIC FERRY ACROSS THE WATERS OF DEATH. The
valuable.
use of a boat to cross the waters of death is fairly common
The fundamental concept bearing on the religious life
in the ancient Near East and in classical antiquity. The Assyr-
of the North American Indians, Boas wrote, was a belief in
ian version of the well-known Babylonian Epic of Gilgamesh
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BOATS
989
(c. 1200 BCE) provides a particularly striking example. The
world, just as they had facilitated journeys in life. The pres-
tenth episode of the epic describes the hero’s long and ardu-
ence of war ships and hunting boats suggests a continuity be-
ous attempt to reach Utanapishtim, the Akkadian Noah, and
tween this life and the next. There was also a belief in a
obtain the secret of immortality. In order to do so Gilgamesh
journey to the west. A model boat or the ceremonial “formu-
must cross the sea and the Waters of Death, something no
las for bringing a ferry” were believed to guarantee that the
mortal has ever done. Only Shamash, the sun god, is able to
deceased would successfully reach his goal. Some of the boats
cross the sea. However, with the help of Urshanabi, Utanap-
found in or around the tombs lack equipment and in all
ishtim’s boatman, Gilgamesh manages to cross the waters in
probability were intended not as burial gifts but for use dur-
a boat equipped with 120 stout, ferruled punting poles, each
ing the funeral ceremonies.
60 cubits in length. Since the Waters of Death must not be
As worship of Osiris, god of the dead, gained ground,
touched by human hands, each pole can be used for only a
boats acquired yet another function: to take the dead to Bu-
single thrust. As the final pole is used, Gilgamesh and Ur-
siris and Abydos, the shrines of Osiris, so that they could par-
shanabi arrive at the dwelling of Utanapishtim, the keeper
take of the life-giving blessings of the god. During the jour-
of the plant of immortality.
ney, the mummy rested on a bier under a canopy while a
Most of the elements contained in later accounts of the
priest made offerings of incense and read from the sacred
journey to the otherworld can be found in the Gilgamesh
texts. Still later, the deceased acquired a superhuman quality,
epic. Thus one can understand the enthusiasm of the Ger-
assuming an Osiris-like form during the course of the
man Assyriologist Peter Jensen (1861–1936), who thought
journey.
he could detect traces of it in all subsequent epic writings.
Toward the end of the Old Kingdom, models of the two
In classical antiquity one finds a boat being used by
sun boats—the ships in which the eye of the day traveled
Charon, the ferryman of the underworld. According to an-
across the evening and morning sky—made their appear-
cient Greek belief, first documented in the fragmentary epic
ance. These are known from Tutankhamen’s tomb dating
Minyas and in paintings found at Delphi, Charon used a
from the New Kingdom period. From the Book of Going
boat to ferry the dead across the rivers of the underworld to
Forth by Day (often called the Book of the Dead) it is known
the gates of Hades, which were guarded by Kerberos. Vergil,
that these particular burial gifts expressed the desire to be
in the sixth canto of the Aeneid, describes Charon’s repulsive
united with Re, the sun god, and to accompany him in his
appearance and adds that his services are reserved for the
sun boat. According to texts found in the pyramids, the dead
dead alone. It was customary to bury the dead with an obol
king would thus be able to share in the governance of the
(a small coin) for Charon left in the mouth to make sure that
world. Later this privilege was extended to commoners, and
he would perform the necessary service. Charon has survived
the sun boats were laden with food offerings to be shared
in neo-Grecian Christian belief as the figure Charos.
among the fellow travelers.
The description of Charon’s boat was detailed by the
SHIP BURIALS. Boats and ships constitute the most frequent-
Greek satirist Lucian. In The Downward Journey, Lucian has
ly encountered images in the Bronze Age rock carvings of
Charon describe his vessel to Hermes, who has just delivered
central and southern Sweden (c. 1600–500 BCE). Interpreta-
to him more than three hundred souls ready for the crossing:
tion is difficult because no written sources exist from this pe-
“Our ship is ready and very well prepared for putting to sea.
riod or the one immediately following. The images consist
It is bailed out, the mast is raised, the sail is ready hoisted
of two parallel lines that curve upward at the ends and are
and each of the oars is furnished with its thong. Nothing pre-
joined by cross strokes, one of which sometimes terminates
vents us, as far as I am concerned, from weighing anchor and
in an animal head. The fact that several contain men obvi-
taking off.”
ously handling paddles argues against the theory that these
EGYPTIAN GRAVE BOATS. Boats and ships were part of Egyp-
images actually represent sleds. Occasionally, depictions of
tian burial gifts since earliest times. The simple clay represen-
a steering oar or helmsman are found. The ships may be out-
tations of boats found in prehistoric times were replaced,
rigged canoes or, in the case of the carvings found in north-
during the Old Kingdom period (c. 3000–2200 BCE), by re-
ern Scandinavia, skin boats similar to the Inuit (Eskimo)
liefs or by references to boats in the sacrificial lists. Near the
kayaks. It is unclear, however, whether these images repre-
end of the sixth dynasty (c. 2350–2260 BCE), representations
sent real boats, cultic objects associated with solar worship,
of boats in wall decorations gave way to simple sculptures,
or even scenes from mythology.
including model ships complete with crews and cabins where
Ships and other objects represented in these rock carv-
the dead rested. Sailboats were to be used for the journey up
ings are also found in Bronze Age graves. The end of this pe-
the Nile toward the south, rowboats for the journey down-
riod marks the appearance of both ship graves and ship set-
stream toward the north. During the New Kingdom period
tings (stones erected spaced so that they form the outline of
(c. 1569–1085 BCE), the use of such models was discontin-
a ship’s deck). The island of Gotland in the Baltic contains
ued for all but the royal tombs.
around three hundred such ship settings from the late Bronze
The primary function of these boats was to facilitate the
Age. After an interval of about a thousand years, ships were
continued journeys of the dead to specific places in the other-
once more used as funeral symbols on memorial stones found
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
990
BOATS
on the same island. They remained in use until the end of
and thence to Misty Hel (Niflhel, Niflheimr). The journey
the pagan era. These memorials stem mainly from the late
passes north through deep and dark valleys, and the traveler
Iron Age (c. 400–1050 CE). The dead were sometimes buried
must be well equipped. Nastrand (“the shore of corpses”)
in boats, or a ship setting was erected either on top of the
and the Land of Death, surrounded by rushing rivers, lie to
actual grave or as a memorial over an empty grave. All kinds
the north. Still, neither the journey to the underworld nor
of equipment were buried with the dead for use in the other-
the way to Valholl calls for sailing ships. The ships of the
E
world.
dead that are sometimes set ablaze and launched, such as
those mentioned in Beowulf, the Ynglingasaga, the Skjoldun-
At about the same time, boat burials came into use in
gasaga, and the Gylfaginning, all trace their origins to Celtic
Sweden, Norway, and, through Norse invaders, in East An-
legends and are thus not thought to be associated with Norse
glia. Seventh-century grave fields containing unburned boats
burial customs. Nor may any sure conclusions be drawn
have been uncovered in the Swedish province of Uppland
from the early medieval German usage of the words naufus
(Vendel, Valsgärde, Ultuna, and Tuna in Alsike). The dead
or naucus (“ship”) alongside truncus (“trunk”), used to de-
that the boats contain—in all probability they were wealthy
note a coffin. These may well be terminological relics of the
yeomen and heads of families—have been equipped with
ancient custom of boat burial but only the terms survive.
costly weapons and ample provisions. Ordinary family mem-
bers, by contrast, were cremated and their remains buried in
One must conclude, therefore, that the Norse sources
mounds in a routine fashion. Numerous boat graves have
ultimately fail to explain the purpose behind boat burials.
also been found along the Norwegian coast—at the ancient
While the introduction of the boat into burial customs is cer-
trading center by the Oslo Fjord, for instance. However, the
tainly an interesting innovation, it may well have been in-
best-known Norwegian ship graves are in Oseberg and Gok-
tended merely as an addition to such other burial parapher-
stad in the southern part of the country. The ships found
nalia as weapons and food. Such boats do not necessarily
here are lavishly equipped seagoing vessels, leading one to
have to be understood as burial ships designed to carry the
suspect that the dead men were kings. The same applies to
dead to a distant and unknown land.
the famous Sutton Hoo find made in Suffolk in 1939, which
also dates from the seventh century.
There is some evidence, however, that at least in some
instances the funeral boat was understood as such. A famous
By 1970 Michael Müller-Wille had found a total of 190
and detailed eyewitness account of the funeral of a Norse
Norse graves that contained boats. Graves containing burned
chieftain on the banks of the Volga in 922 CE was given by
boats or ships, however, are most numerous in Scandinavia
an Arabian diplomat, Ibn Fad:la¯n, a member of a delegation
(where a total of 230 have been found) and in the territories
sent by a caliph in Baghdad to the Bulgars along the Volga.
colonized by Norsemen, for example, in Knoc y Doonee,
According to Ibn Fad:la¯n’s description, all the grave offerings
Parish of Andreas, and Balladoolee, Parish of Arbory, on the
were first placed in a ship, then, as a final offering, a servant
Isle of Man, and on Colonsay in the Hebrides. Evidence
woman was brought forward to follow her master into death.
from the Hebrides makes it clear that women followed their
Before being killed, she looked three times over a kind of
men in death. A ship grave also has been discovered on the
door frame to see what was awaiting her and told the men
Île de Groix off the Brittany coast. Only a few cases of ship
who lifted her that she could see her father, her mother, and
burial are known from Denmark (e.g., Ladby, c. 900 CE).
her dead relatives. The last time she was lifted she added: “I
Five boat graves from the tenth century have been found so
can see my master, seated in Paradise, and Paradise is green
far in Iceland.
and fair. . . . He is calling me; send me to him.” She was
Thus there is a wealth of Norse archaeological material
then killed by an old woman known as “the angel of death,”
attesting to the custom of real boat burial, a custom unique
and everything was subsequently consumed by a fire lit by
to Europe and limited both chronologically and geographi-
the nearest kinsman. A mound was built up over the site and
cally to a single ethnic group. Similar customs in the Near
crowned by a wooden monument. Ibn Fad:la¯n also reported
East and among North American Indians do not include
that the Norsemen deride the Arabs for giving their dead to
burial of the actual boat. Nevertheless the significance of the
the earth and the worms: “We burn him in a moment, so
Norse practice remains unclear. What can be the explanation
that he enters paradise at once. . . . His master, out of love
for this way of burying the dead (or at least the most promi-
for him, sent him the wind to carry him off in an hour.”
nent among the dead)? Icelandic literary sources mention the
Although this description has been colored by Ibn
practice of placing the dead in a ship that was then covered
Fad:la¯n’s Islamic preconceptions and by his manner of pre-
with a burial mound, but they offer no explanation of why
sentation, the purpose of the funeral rites is clear, even
this was done.
though the role played by the ship remains uncertain. Does
One could reasonably assume that boat graves are in
the wind refer to the breeze fanning the flames or to a sailing
some way tied to the notion of a voyage on the water. Norse
wind? If the latter is the case, it may be concluded that, at
mythology in fact knows several worlds of death, all of which
least in this case, the burial ship was indeed intended to carry
are reached by a long journey. The Icelandic epic poet Snorri
the dead to the otherworld, although this may not have been
Sturluson (c. 1179–1241) relates that the wicked go to Hel
its only purpose. In addition to the report by Ibn Fad:la¯n,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BOATS
991
other studies confirm a link between eschatological myth and
sibly the earliest of these tales, the Voyage of Bran (eighth cen-
burial rites among the Norse.
tury), the hero sails from one marvelous island to another:
the Land beneath the Waves, the Island of Laughter, and the
Among certain North American Indians, burial customs
Island of Women. Other islands are mentioned in the Voyage
involving boats and a journey to the land of the dead have
of Maeldúin (ninth to eleventh century), in which the voyag-
been documented. For instance, the typical grave of the
er builds the boat himself. The same elements, combined
Twana and other Coast Salish Indians consists of a canoe sus-
with other motifs, are also found in the widespread account
pended on poles or on an elevated platform. A grieving hus-
of the Navigation of Saint Brendan (c. tenth century), where
band traditionally spends four days and four nights near the
the journey ends in the Land of Promise, or Paradise. In this
canoe, waiting for his wife to depart for the otherworld. Ac-
case, the story is obviously colored by Christian legends. The
cording to a Twana tale, the inhabitants of the realm of the
role of the seagoing vessel appears to have faded in the medi-
dead come in a canoe to claim the newly deceased. Late at
eval visionary literature and in the extracanonical apocrypha
night it is said that one can hear their paddles in the water
and apocalypses, possibly because of its pagan connotations.
as they come to carry away their new companion.
Medieval allegories, ballads, and romances, as well as
The same vivid imagination characterizes a song from
historical legends, contain stories about magic ships, often
an entirely different part of the world, the Trobriand Islands,
rudderless and unpiloted. Marie de France, the earliest
north of the eastern point of New Guinea. The tale is told
known French female writer (twelfth century), describes
of a warrior’s sweetheart who, fearing that her lover has fallen
such a ship in her lay Guigemar. Its sails are made of silk, the
in battle, waits by the shore to greet him in his spirit boat
timbers of ebony, and it contains a sumptuous bed in a pavil-
as he travels to the otherworld.
ion. It carries a wounded hero to a castle in an ancient town
In Late Megalithic cultures, there is a belief among cer-
where he encounters a fairy endowed with healing powers.
tain island people that their ancestors had arrived at their
This same motif of a rudderless boat is found in Beowulf
present location by canoe, having come across the sea from
where Scyld (Skjold), the founder of the Danish dynasty of
the west. On the Tanimbar Islands in Indonesia, for in-
the Skjoldunger, is said to arrive as a child in an unpiloted
stance, this belief is reflected in the roofs of the ceremonial
ship. He also departs for an unknown destination in a burial
huts, which are shaped like canoes and have gables that are
ship. The story appears to be patterned on the theme of the
referred to as “stems” and “sterns.” Canoes and stone or
journey to the otherworld but may also reflect notions con-
wooden representations of canoes also figure prominently in
nected with ship burials.
burial rites. The underlying thought is that the spirits of the
SHIP SYMBOLISM. Ship symbolism was very highly devel-
dead journey across the sea in a spirit boat to the land of their
oped in the Hellenistic world, a fact that helps explain its im-
ancestors in the west. The organization of the community
portance in Christian sources. But the Greeks did not go to
itself is modeled on that of a ship’s crew, exactly as it is in
sea with undiluted joy. “The sea is an evil thing, seafaring
ancient Scandinavia.
is a hazardous and dangerous undertaking,” declares the
Throughout central Polynesia the dead are placed in ca-
Greek rhetorician Alciphron; “the sailor is the neighbor of
noes or canoe-shaped coffins or receptacles. Robert W. Wil-
death.” But the danger, though mortal, was nevertheless con-
liamson (1977) speculates that the spiritual essence of the vis-
sidered wonderful and tempting, worthy of men who are like
ible canoe was intended to carry the soul on its journey to
gods. Courage, hope, and joy characterize the names of the
the spirit land called Hawaiki. The voyage could be un-
Athenian ships—names that might as easily refer to the ship
dertaken symbolically as well in miniature boats containing
of the church—and they are always feminine: Salvation,
bones and images of the dead person. In the case of inhuma-
Grace, Bringer of Light, Blessed, Victorious, Virgin, Dove, Sav-
tion and cremation, the grave on land could be shaped like
ior, Providence, Help, and Peace.
a ship, or pictures of ships could be carved on top of the me-
Allusions to ships are frequent in classical literature. The
morials. The canoe was also used as an instrument for the
ancient ship of Theseus, in which the planks of the hull are
removal of a dead person’s sins.
successively exchanged, is compared by Plutarch to the
CELTIC TALES OF SEA JOURNEYS TO MYTHICAL LANDS. The
human body that is also in a process of constant renewal.
Celtic imagination is especially fertile when it comes to de-
Meleager, the Greek epigrammatist (first century BCE), turns
picting the adventures of the deceased on the way to their
this image the other way around and refers to his beloved in
final resting place. This place is represented as an earthly Ely-
her old age as an old frigate: the various members of her with-
sium—the abode of the gods—a notion that is clearly de-
ered body are compared with nautical precision to the differ-
rived from Classical Greek sources. This paradise on earth
ent parts of a ship. Love is like a hazardous voyage; the cun-
has many names, such as Magh Mór (“great plain”), Magh
ning Greek or Roman “turns his sheet windward”; death
Mell (“plain of delights”), Tír na nÓg (“land of the young”),
overtakes one “with swelling sails.” To act to one’s own detri-
Annwn (“abyss”), and Tír nam Béo (“land of the living”).
ment was expressed by the ancient Greek or Roman as “drill-
Tales are told of a sea voyage (imram) to various scattered
ing holes through the hull.” To give up a fight was “to take
islands, often involving a magic ship or vessel. In what is pos-
down the sail”; from beginning to end was “from fore to aft.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
992
BOATS
An expression still in use, “to be in the same boat,” is bor-
“Who among us is such a sturdily built ship that he is able
rowed from Cicero. A good ship is necessary for the voyage
to escape this world without going down or running aground
through life.
on a rock—if he wants to reach salvation, the right sense (sen-
sus) must be his pilot.” The philosophical logos has thereby
Three classical images are of special importance and ex-
been replaced by reason enlightened by faith, and Christ as
erted a strong influence on the development of Christian
the true Logos becomes the real pilot of the soul. The ascetic
symbolism: the ship of state, the ship of the soul, and the ship
tradition refers to “the ship of the soul,” “the ship of the
of the world. In the shared fate of the crew and in their de-
heart,” and “the ship of life.” Augustine gives further impetus
pendence on their captain—reflected in such expressions as
to the notion of Christ dwelling in the heart as in a ship.
“our governor” and “to be at the helm”—the Greek sailors
saw a clear allegorical reference to their own city-state. The
The divinely governed world is also likened to a ship.
Greek lyrical poet Alcaeus wrote around 600 BCE of “the
Although worshiping the thing created is as reprehensible as
storm-tossed ship of state.” He is echoed by many, Horace
mistaking the ship for its captain, it is nevertheless possible
among them. The Greek writers of tragedy, Aeschylus and
to deduce the builder from the ship. Platonic, Neoplatonic,
Sophocles, used the same symbols, which entered the field
and Stoic thought lends itself especially well to adoption and
of political philosophy through Plato: all is well on a ship
christianization. The large eye, which is still painted on the
where all obey the captain (naukl¯eros), while nothing but
bows of Mediterranean boats, is interpreted by ancient phi-
misfortune awaits a ship where the captain is ignorant and
losophers and Christians alike as a symbol of Providence.
each sailor wants to be in command. The human body too
Furthermore, the ship of the world must perish one day; only
is likened to a ship where the soul and reason are the helms-
the ship of the church will survive.
man, and the eyes and ears constitute the lookout. Coopera-
The image of the ship of the church or of salvation can
tion is vital, just as governors and governed must cooperate
be further extended so that the cross becomes the mast and
in a good state. Aristotle maintains that the common goal
the yard, a spiritual wind fills the sails, and Christ himself
of all good citizens, regardless of their tasks and rights, must
is at the helm. The account of Odysseus, fettered to the mast
be a good voyage (that is, the welfare of the state). Nautical
in order not to succumb to the sirens’ song, is also easily
symbols are found in Demosthenes, Plutarch, and Cicero, as
christianized. The ship of salvation sails across the sea of
well as in the writings of emperors and church fathers.
time, past all temptations, toward the heavenly haven.
The idea of the body as the ship of the soul is based on
the image of a hull under construction: the spine is likened
BIBLIOGRAPHY
to the keel, the frame timbers represent the ribs, and the
Arbman, Holger. “Begravning.” In Kulturhistorisk Leksikon för
place of the helmsman is the head (see Ovid, Metamorphoses
Nordisk Middelalder, vol. 1. Copenhagen, 1956.
14.549–554). This comparison between the human body
Baldwin, B. “Usituma! Song of Heaven.” Oceania 15 (March
and a ship later becomes important in the characterization
1945): 201–238. Includes a canoe and a war song from the
of the ship as a symbol of the church. The church fathers per-
Trobriand Islands, where the author served as missionary.
ceived Noah’s ark as a symbol of the church and interpreted
Bar, Francis. Les routes de l’autre monde: Descentes aux enfers et voy-
it in terms of the human body. In this way, the images of
ages dans l’au-delà. Paris, 1946. A good short survey treating
the mystical body of Christ and the ship of the church were
European folklore, Asian, American, Near Eastern, and clas-
able to merge. What applies to the church as the collectivity
sical material, Jewish and Christian apocrypha, Norse and
of the redeemed applies as well to the individual soul, itself
Celtic stories, medieval literature on visions, and parodies
from antiquity.
conceived of as a vessel, a navicula animae.
Bonnet, Hans. Reallexikon der ägyptischen Religionsgeschichte. Ber-
The relationship between body and soul, which in Pla-
lin, 1952.
tonism and Neoplatonism is likened to the dependence of
Davidson, Hilda R. Ellis, ed. The Journey to the Other World. To-
a ship on its captain, is a recurring image in the Christian
towa, N.J., 1975. See pages 73–89. The South Sea and Egypt
sermon. Death is spoken of as a shipwreck. The emperor
are touched on as an introduction to the Norse material.
Constantine talks of the flotsam of the body on the under-
Caution is needed.
world river Acheron. In the image of Charon and his ferry,
Foote, Peter, and David M. Wilson. The Viking Achievement: The
death becomes a voyage to the other side. The fluidity of
Society and Culture of Early Medieval Scandinavia. New York,
such symbolism allows the images to merge independently
1970. A chapter on religion treats the ship burials.
of any restraints imposed by logic. This in turn leads to the
Fredsjö, A˚ke, Sverker Janson, and C.-A. Moberg. Hällristningar
Christian reference to “the blessed haven.”
i sverige. Stockholm, 1956. A short critical survey of Swedish
The Stoic philosopher Chrysippus claims that reason
rock carvings written by trained archaeologists.
(logos) governs humanity like a ship. Plutarch further devel-
Hultkrantz, A˚ke. The North American Indian Orpheus Tradition:
ops this metaphor: the governing part of the soul is itself gov-
A Contribution to Comparative Religion. Stockholm, 1957.
erned by God like a rudder, or it listens like an experienced
Tales of the recovery of a beloved person from the land of
helmsman to the divine captain. Jerome, in commenting on
the dead.
Psalm 103, is therefore able to preach to his attentive monks:
Meuli, Karl. Gesammelte Schriften, 2 vols. Basel, 1975.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BODHIDHARMA
993
Müller-Wille, Michael. Bestattung im Boot: Studien zu einer nord-
west through the Muisca region, then eastward again, he ar-
europäischen Grabsitte. Neumünster, Germany, 1970. Out-
rived at Sogamoso, on the eastern Muisca border. There, ac-
standing scientific monograph.
cording to different accounts, he died, disappeared, or be-
Müller-Wille, Michael, David M. Wilson, Hayo Vierck, and
came the Sun. At the time of the Conquest, there was an
Heinrich Beck. “Bootgrab.” In Reallexikon der Germanischen
important Temple of the Sun at Sogamoso. One Muisca
Altertumskunde, edited by Johannes Hoops, vol. 3. Berlin
myth tells that the world was created there, and one of
and New York, 1978. A concentrated, well-documented sur-
Bochica’s titles was “messenger of the creator.”
vey with an extensive bibliography.
Bochica combines the culture hero, sun, and transfor-
Patch, Howard R. The Other World according to Descriptions in
mation aspects characteristic of many New World gods. He
Medieval Literature. Cambridge, Mass., 1950. A reliable
study starting with Oriental and classical material, as well as
was the patron of chieftains and goldsmiths, the latter per-
Celtic and German mythology.
haps because of his association both with the sun and with
craft. Worked gold was offered to him. When an angry local
Pritchard, J. B., ed. Ancient Near Eastern Texts relating to the Old
god once caused a destructive flood, so a tale relates, the
Testament. 3d ed. Princeton, 1969. Contains Egyptian, Su-
merian, and Akkadian myths of death and the otherworld.
Muisca people appealed to Bochica, who appeared on a rain-
bow to strike and shatter a rock with his golden staff, releas-
Rahner, Hugo. Symbole der Kirche: Die Ekklesiologie der Väter.
ing the floodwaters from the Bogotá plateau and creating the
Salzburg, 1964. Half of this learned, voluminous work of a
great Tequendama waterfall, one of the wonders of the South
patristic scholar contains the Christian symbolism of the ship
and its classical background.
American landscape.
Strömberg Krantz, Eva. Des Schiffes Weg mitten im Meer: Beiträge
According to one set of mythical stories, a beautiful god-
zur Erforschung der nautischen Terminologie des Alten Testa-
dess taught the people promiscuity, pleasure, and dancing—
ments. Lund, 1982. Study of the nautical terminology of the
the opposite of Bochica’s instructions. In some accounts, she
Israelites and of the small traces in it of their contact with
was the Moon, or was changed by Bochica into the Moon;
seafaring people ever since their entrance into Palestine.
because she was evil, she was permitted to shine only at night.
Turville-Petre, E. O. G. Myth and Religion of the North: The Reli-
She was sometimes called the wife of the Sun (presumably
gion of Ancient Scandinavia. New York, 1964.
Bochica). In one tale, the goddess was turned by Bochica into
Vendel Period Studies. Stockholm, 1983. A multi-author work of
an owl.
twenty specialists that was connected with an exposition in
Stockholm of the boat graves from Vendel, Valsgärde (Swe-
BIBLIOGRAPHY
den), and Sutton Hoo (England). A good, popular summary
The best summary in English of early source material on Bochica
of the actual state of research. Contains a rich bibliography.
is A. L. Kroeber’s “The Chibcha,” in the Handbook of South
Vroklage, Bernardus A. G. “Das Schiff in den Megalithkulturen
American Indians, edited by Julian H. Steward, vol. 2 (Wash-
Südostasiens und der Südsee.” Anthropos 31 (1936): 712–
ington, D.C., 1946). In Spanish, José Pérez de Barradas’s Los
757. The author belongs to the Kulturgeschichtliche Schule.
Muiscas antes de la Conquista, vol. 2 (Madrid, 1951), quotes
the chroniclers, with references. Harold Osborne’s South
Wachsmuth, Dietrich. Pompimos ho daimon: Untersuchung zu den
American Mythology (London, 1968) publishes material
antiken Sakralhandlungen bei Seereisen. Exp. ed. Berlin,
taken largely from Kroeber, without citation of early sources;
1967. A very substantial study of all religious rites in connec-
it is the most comprehensive recent discussion.
tion with classical seafare.
Williamson, Robert W. Religious and Cosmic Beliefs of Central Pol-
New Sources
ynesia (1933). 2 vols. New York, 1977. A careful, systematic
Arango Cano, Jesús. Mitiología en América Precolombina: Méxi-
survey based on an extensive literature.
co—Aztecas, Colombia—Chibchas, Perú—Incas. Bogotá,
1989.
CARL-MARTIN EDSMAN (1987)
Translated from Swedish by Kjersti Board
ELIZABETH P. BENSON (1987)
Revised Bibliography
BOCHICA was a major deity of the Muisca (Chibcha)
Indians of the highlands around Bogotá, Colombia, at the
BODHIDHARMA (fl. c. 480–520), known in China
time of the Spanish conquest, in the sixteenth century. Early
as Damo and in Japan as Daruma; traditionally considered
Spanish chroniclers report varying mythical dates for Bochi-
the twenty-eighth patriarch of Indian Buddhism and the
ca’s appearance in Muisca territory. He was called by several
founder of the Chan (Jpn., Zen) school of Chinese Bud-
names or titles, one of which means “sun,” another “disap-
dhism.
pearing one.” Said to be a foreigner from the east (i.e., pres-
THE “HISTORICAL” BODHIDHARMA. Accounts of Bodhid-
ent-day Venezuela), he appeared as an old man with a waist-
harma’s life have been based until recently on largely hagio-
length beard, long hair, and a mantle. He preached and
graphical materials such as the Jingde chuandeng lu (1004).
taught virtuous behavior, religious ritual, and crafts, particu-
However, the discovery of new documents among the Dun-
larly spinning, weaving, and cloth painting. Traveling to the
huang manuscripts found in Central Asia at the turn of 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
994
BODHIDHARMA
century has led Chinese and Japanese scholars to question
bly been given to Daoxuan by Fachong (587?–665), an heir
the authenticity of these accounts. The oldest text in which
of the tradition. In any case, at the time of Daoxuan’s writ-
Bodhidharma’s name is mentioned is the Luoyang qielan ji,
ing, Bodhidharma was not yet considered the twenty-eighth
a description of Buddhist monasteries in Luoyang written in
patriarch of Indian Buddhism.
547 by Yang Xuanzhi. In this work, a monk called Bodhid-
In Daoxuan’s time, a new school was developing on the
harma from “Po-ssu in the western regions” (possibly Persia)
Eastern Mountain (Dongshan, in modern Hunan) around
is said to have visited and admired the Yongning Monastery.
the dhya¯na masters Daoxin (580–651) and Hongren (601–
This monastery was built in 516 and became a military camp
674). The latter’s disciples, Faru (638–689), Shenxiu (606–
after 528. Consequently, Bodhidharma’s visit must have
706), and Huian (attested dates 582–709), spread this new
taken place around 520. But no other biographical details
teaching, known as the “Dongshan doctrine,” in the region
can be inferred from this, and the aged western monk (he
of the Tang capitals (Ch’ang-an and Luoyang). Faru’s epi-
was purportedly one hundred and fifty years old at the time)
taph and two historiographical works of this metropolitan
bears no resemblance to the legendary founder of Chinese
Chan written in the first decades of the eighth century, the
Chan.
Chuan fabao ji and the Lengqie shizi ji, succeeded in linking
The most important source for Bodhidharma’s life is the
the Dongshan tradition to the Lan˙ka¯vata¯ra tradition. Bod-
Xu gaoseng zhuan, a work written by Daoxuan in 645 and
hidharma and Huike were defined in these texts as the first
revised before his death in 667. It states that Bodhidharma
two Chinese patriarchs of the Chan school and Daoxin and
was a brahman from southern India. After studying the Bud-
Hongren were designated the fourth and fifth patriarchs.
dhist tradition of the Greater Vehicle (Maha¯ya¯na), Bodhid-
The missing link was conveniently provided by an obscure
harma decided to travel to China in order to spread
disciple of Huike, Sengcan (d. 606)—baptized “third patri-
Maha¯ya¯na doctrine. He arrived by sea at Nanyue, in the do-
arch.” Having established its orthodoxy and spiritual filia-
main of the Liu Sung dynasty (420–479), and later traveled
tion, the new Chan school, popularly known as the Damo
to Lo-yang, the capital of the Northern Wei (386–534). In
zong (Bodhidharma school) or the Lengqie zong
Lo-yang, he attempted to win converts, apparently without
(Lan˙ka¯vata¯ra school), quickly developed as the main trend
great success. Nonetheless, he eventually acquired two wor-
of Chinese Buddhism and its “founder” Bodhidharma ac-
thy disciples, Huike (487–593) and Daoyou (dates un-
cordingly acquired legendary status.
known), who studied with him for several years. He is said
THE LEGEND OF BODHIDHARMA WITHIN THE CHAN SECT.
to have transmitted the Lan˙ka¯vata¯ra Su¯tra, the scripture he
About 150 years after Bodhidharma’s death, his legend had
deemed best fitted for Chinese practitioners, to Huike. Bod-
already grown considerably. His Indian origin plus the very
hidharma seems also to have met with some hostility and
scarcity of information available from the Xu gaoseng zhuan
slander. Daoxuan stresses that Bodhidharma’s teaching,
seem to have been the essential factors in Bodhidharma’s
known as “wall-gazing” (biguan), or as the “two entrances”
posthumous assumption of the status of “first patriarch” of
(via “principle,” liru, and via “practice,” xingru), was difficult
the new Chan school. In 686, Faru settled at Song Shan, near
to understand compared to the more traditional and popular
Luoyang (in modern Henan). Song Shan was already a Bud-
teachings of Sengchou (480–560). Daoxuan concludes by
dhist stronghold; Sengchou, Bodhidharma’s lucky rival, had
saying that he does not know where Bodhidharma died. In
once studied under another Indian monk named Fotuo
another section of the text, however, Daoxuan states that
(dates unknown) at Song Shan. Fotuo was revered by the
Bodhidharma died on the banks of the Lo River. That Bod-
Northern Wei emperor, Xiaowen di (r. 471–499), who, after
hidharma’s teachings evoked hostility in China is evident
moving the capital to Luoyang in 496, had the Shaolin Mon-
from the fact that after his death, his disciple Huike felt it
astery built for him at Song Shan. It seems that later, in
necessary to hide for a period. Since the locale mentioned is
Faru’s circle, an amalgam was made of the legends of Fotuo,
known to have been an execution ground, it is possible that
Sengchou, and Bodhidharma. This may be the reason why
Bodhidharma was executed during the late Wei rebellions.
Bodhidharma became associated with the Shaolin Monas-
tery. According to the Chuan fapao ji, Bodhidharma prac-
Although Daoxuan’s account is straightforward, suc-
ticed wall-gazing at Song Shan for several years. He thus be-
cinct, and apparently fairly authentic, it presents some prob-
came known as the “wall-gazing brahman,” the monk who
lems. Most important, it presents two different, almost con-
remained without moving for nine years in meditation in a
tradictory, images of Bodhidharma—as a practicer of “wall-
cave on Song Shan (eventually losing his legs, as the popular
gazing,” intent on not relying on the written word, and as
iconography depicts him). There he also met Huike, who,
a partisan of the Lan˙ka¯vata¯ra Su¯tra. Daoxuan clearly has
to show his earnestness in searching for the Way, cut off his
some difficulty in reconciling his divergent sources. Primari-
own arm. (The Chuan fapao ji severely criticizes Daoxuan for
ly, he draws on the preface to the so-called Erru sixing lun
claiming that Huike had his arm cut off by bandits.) This
(Treatise on the two entrances and four practices), written
tradition, fusing with the martial tradition that developed at
around 600 by Bodhidharma’s (or Huike’s) disciple Tanlin
Song Shan, resulted in Bodhidharma becoming the “found-
(dates unknown) and on information concerning the reputed
er” of the martial art known as Shaolin boxing (Jpn., Sho¯rinji
transmission of the Lan˙ka¯vata¯ra Su¯tra. This latter had proba-
kempo¯).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BODHIDHARMA
995
Bodhidharma’s legend continued to develop with the
(515–577), one of the founders of the Tiantai school (not-
Lidai fabaoji (c. 774), the Baolin (801), and the Zutang ji
withstanding the fact that Sho¯toku was born before Huisi
(Kor., Chodangjip, 952), and reached its classical stage in
died). In his Denjutsu isshin kaimon, a work presented to the
1004 with the Jingde chuangdeng lu. In the process, it bor-
emperor, Ko¯jo¯ mentions the encounter that took place near
rowed features from other popular Buddhist or Daoist fig-
Kataoka Hill (Nara Prefecture) between Sho¯toku and a
ures such as Baozhi or Fuxi (alias Fu Dashi, “Fu the
strange, starving beggar—considered a Daoist immortal in
Maha¯sattva,” 497–569, considered an incarnation of
the version of the story given by the Kojiki. Ko¯jo¯, arguing
Maitreya). But its main aspects were already fixed at the be-
from a former legendary encounter between Huisi and Bod-
ginning of the eighth century. For example, the Chuan fabao
hidharma on Mount Tiantai in China, and from Bodhidhar-
ji contains the following account concerning Bodhidharma’s
ma’s prediction that both would be reborn in Japan, has no
“deliverance from the corpse” (a typical Daoist practice): On
difficulty establishing that the beggar was none other than
the day of his death, he was met in the Pamir Mountains by
Bodhidharma himself.
Songyun, a Northern Wei emissary on his way back from
This amalgam proved very successful and reached far
India. After his arrival in China, Songyun told Bodhidhar-
beyond the Tendai school. Toward the end of the Heian pe-
ma’s disciples of his encounter. The disciples, opening their
riod a Zen school emerged from the Tendai tradition, and
master’s grave, found it empty except for a single straw san-
its leader, Dainichi No¯nin (dates unknown), labeled it the
dal. Bodhidharma returning to his home in the western re-
“Japanese school of Bodhidharma” (Nihon Darumashu¯).
gions on one sandal has become a standard motif in Chan
This movement was a forerunner of the Japanese Zen sect,
iconography.
whose two main branches were founded by Eisai (1141–
Another important—if somewhat later—motif is Bod-
1215) and Do¯gen (1200–1253) at the beginning of the Ka-
hidharma’s encounter with Liang Wudi (r. 502–549) on his
makura period (1192–1337). This eventually led to the pub-
arrival in China. This story, which became a favorite theme
lication of a Daruma sancho¯den (Biography of Bodhidharma
of Chan “riddles” or gongan (Jpn., ko¯an), has its prototype
in the Three Kingdoms [India, China, and Japan]) during
in Fuxi’s encounter with Liang Wudi. In both cases, the em-
the Edo period.
peror failed to understand the eminence of the person he had
But it is in popular religion that Bodhidharma’s figure
in front of him.
developed most flamboyantly. Early in China, Bodhidharma
not only borrowed features from Daoist immortals but be-
It is also noteworthy that many early Chan works for-
came completely assimilated by the Daoist tradition; there
merly attributed to Bodhidharma have recently been proved
are several Daoist works extant concerning Bodhidharma. In
to have been written by later Chan masters such as Niutou
Japan, Bodhidharma’s legend developed in tandem with that
Farong (594–657) or Shenxiu (606–706). That so many
of Sho¯toku Taishi; a temple dedicated to Daruma is still to
works were erroneously attributed to Bodhidharma may be
be found on the top of Kataoka Hill. The Japanese image
due simply to the fact that the Chan school was at the time
of Daruma, a legless doll known as fuku-Daruma (“Daruma
known as the Bodhidharma school, and that all works of the
of happiness”), presides over many aspects of everyday life
school could thus be considered expressive of Bodhidharma’s
(household safety, prosperity in business, political cam-
thought. Whatever the case, these works have greatly con-
paigns, etc.). This figure, impressed on every child’s mind,
tributed to the development of Bodhidharma’s image, espe-
has come to play an important role in Japanese art and
cially in the Japanese Zen tradition. Further confusing the
culture.
issue is the “discovery,” throughout the eighth century, of ep-
itaphs supposedly written shortly after his death. In fact,
SEE ALSO Chan; Liang Wudi; Shotoku Taishi.
these epitaphs were products of the struggle for hegemony
among various factions of Chan.
BIBLIOGRAPHY
B
Demiéville, Paul. “Appendice sur ‘Damoduolo’ (Dharmatra[ta]).”
ODHIDHARMA IN POPULAR RELIGION. The Genko¯sha-
In Peintures monochromes de Dunhuang (Dunhuang baihua),
kusho, a well-known account of Japanese Buddhism written
edited by Jao Tsong-yi, Pierre Ryckmans, and Paul De-
by a Zen monk named Kokan Shiren (1278–1346), opens
miéville. Paris, 1978. A valuable study of the Sino-Tibetan
with the story of Bodhidharma crossing over to Japan to
tradition that merged Bodhidharma and the Indian transla-
spread his teachings (a development of the iconographic tra-
tor Dharmatrata into a single figure, which was subsequently
dition representing him crossing the Yangtze River). In
incorporated into the list of the eighteen legendary disciples
Japan, Bodhidharma’s legend seems to have developed first
of the Buddha.
within the Tendai (Chin., Tiantai) tradition brought from
Dumoulin, Heinrich. “Bodhidharma und die Anfänge des
China at the beginning of the Heian period (794–1191) by
ChEan-Buddhismus.” Monumenta Nipponica (Tokyo) 7, no.
the Japanese monk Saicho¯ (767–822) and his disciples. One
1 (1951): 67–83. A good summary of the first Sino-Japanese
of them in particular, Ko¯jo¯ (779–858), was instrumental in
re-examinations of the early Chan tradition.
linking the Bodhidharma legend to the Tendai tradition and
Sekiguchi Shindai. Daruma no kenkyu. Tokyo, 1967. An impor-
to the legend of the regent Sho¯toku (Sho¯toku Taishi, 574–
tant work, with an abstract in English, on the Chinese hagio-
622), who was considered a reincarnation of Nanyue Huisi
graphical tradition concerning Bodhidharma.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
996
BODHISATTVA PATH
Yanagida Seizan. Daruma. Tokyo, 1981. The most recent and au-
Buddhism divided fairly early into a number of monas-
thoritative work on Bodhidharma. It examines the historical
tic ordination traditions, identified by different Vinayas, mo-
evidence and the development of the legend in Chan (Zen)
nastic codes. Thus one can speak of, for example, Therava¯da,
and in Japanese popular religion and also provides a conve-
Sarva¯stiva¯da, Maha¯sam:ghika, or Dharmaguptaka traditions.
nient translation in modern Japanese of Bodhidharma’s
In looking at texts deemed authoritative for each of these
thought as recorded in the Erru sixing lun.
monastic traditions, one finds discussions of the bodhisattva
New Sources
path and the gradual evolution of a common or preferred
Broughton, Jeffrey L. The Bodhidharma Anthology: The Earliest
“school” position. The details of those, however, may not be
Records of Zen. Berkeley, 1999.
identical.
Faure, Bernard. Le Traité de Bodhidharma, première anthologie du
bouddhisme Chan. Aix-en-Provence, 1986.
As Buddhism developed, it came to refer to three types
of enlightenment. There is the enlightenment of those who
Faure, Bernard. “Bodhidharma as Textual and Religious Para-
digm.” History of Religions 25, no. 3 (1986): 187–198.
heard and followed the teaching of the Buddha (i.e., “hear-
ers,” ´sra¯vakas), attaining nirva¯n:a, becoming an arhat (Pali,
McRae, John. “The Antecedents of Encounter Dialogue in Chi-
nese Ch’an Buddhism.” In The Ko¯an: Texts and Contexts in
arahant), and thus putting an end to all types of suffering.
Zen Buddhism, edited by Steven Heine and Dale S. Wright,
One has also the enlightenment of a shadowy group of “soli-
pp. 46–74. New York, 2000.
tary buddhas” called pratyekabuddhas (Pali, paccekabuddhas).
Welter, Albert. “Mahakasyapa’s Smile: Silent Transmission and
Finally, there is the supreme, full enlightenment of a buddha.
the Kung-an (Koan) Tradition.” In The Ko¯an: Texts and
How the enlightenment of a buddha differs was a point of
Contexts in Zen Buddhism, edited by Steven Heine and Dale
dispute, but no one denied that in certain important respects
S. Wright, pp. 75–109. New York, 2000.
it was different. Since bodhi means “enlightenment” and
BERNARD FAURE (1987)
three types of enlightenment have been identified, the term
Revised Bibliography
bodhisattva was therefore also recognized as having applica-
tion to persons on each of these three “vehicles.”
Although bodhisattva is commonly used colloquially for
BODHISATTVA PATH. A bodhisattva (Pali, bodhi-
a person on just the third of these paths, to full buddhahood,
satta) is a person who, according to Buddhism, is on the path
where texts want to make this point explicit the word bodhi-
to attaining the status of an enlightened being. More specifi-
sattva is linked with maha¯sattva. A Buddha-to-be is a bodhi-
cally the term is commonly used for one on the path to be-
sattva maha¯sattva. One significance of this is that if Nor-
coming a fully enlightened buddha. The “path of the bodhi-
man’s use of the Pali etymologies is correct, the maha¯ (great)
sattva” is usually known in Sanskrit as the bodhisattvama¯rga
in maha¯sattva might entail “one directed toward the great”
(bodhisattva-path), the bodhisattvaya¯na (bodhisattva-
or “one capable of the great.” If so then “the great” must be
vehicle), or the bodhisattvacarya¯ (bodhisattva-conduct). It is
buddhahood. It is not clear how early this bodhisattva
the path followed by such a person from the time he or she
maha¯sattva usage occurred, although it is found in fairly early
first attains bodhisattva status until reaching the “fruit of the
Maha¯ya¯na scriptures. It allows the hypothesis that maha¯ in
path,” commonly full buddhahood.
Maha¯ya¯na should also be taken as referring to “the great,”
There is no significant difficulty with the meaning of
that is, buddhahood (compare maha¯bodhiya¯na in Dham-
bodhi. This derives from the Indo-Aryan root budh-, from
mapa¯la’s c. sixth-century Carya¯pit:aka commentary). Thus
which the word buddha also derives, literally “awakening,”
Maha¯ya¯na would be in origin etymologically the “Vehicle
or “enlightenment.” The real problem is with sattva. This
[which leads to] the Great,” that is, buddhahood.
commonly means in Sanskrit a “[sentient] being,” an “es-
The path of the bodhisattva in this sense is central to
sence,” or sometimes “courage.” Thus a bodhisattva would
Maha¯ya¯na theory and practice. For Maha¯ya¯na, all who can
be an “enlightenment being,” “one who has enlightenment
should have buddhahood as their goals, as did the Buddha
as essence,” or occasionally perhaps an “enlightenment
himself. Because no Buddhist tradition would hold that to
hero.” And that is how the term is regularly glossed in Bud-
be enlightened as an arhat or as a pratyekabuddha is as distin-
dhist Sanskrit sources. But it is not clear how it relates to one
guished as becoming a buddha, the Maha¯ya¯na can be con-
that has not yet attained the goal of enlightenment. K. R.
trasted with a ya¯na that is by definition inferior, a H¯ınaya¯na.
Norman (1990–1996, p. 87) suggests that bodhisattva may
To translate h¯ına as “small” or “lesser” would be to miss the
have been “back-formed” as part of sanskritization of Middle
point. Those who disagree that it is necessary or even possible
Indo-Aryan (such as Pali) expressions. Thus the Middle
that all now should aim to become buddhas follow regular,
Indo-Aryan bodhisatta has been sanskritized as bodhisattva.
mainstream Buddhism as ´sra¯vakas aiming for enlightenment
There are other possible alternatives, however, and these al-
(to become arhats), without a Maha¯ya¯na understanding of
ternatives fit better with explanations given for the etymolo-
what it should all be about. They consider themselves simply
gy of bodhisatta in Pali commentaries. The Sanskrit of bodhi-
to be following the teaching of the Buddha, the way to en-
satta could equally be bodhisakta (directed toward
lightenment, the end of all suffering. Following some other
enlightenment), or it could be bodhi´sakta (capable of en-
contemporary scholars, this article refers to the non-
lightenment). Clearly these etymologies make better sense.
Maha¯ya¯na position as “Mainstream Buddhism.”
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Little is known about how specifically Maha¯ya¯na doctri-
(59) Human existence, attainment of the [(male)] sex,
nal schools developed and were transmitted in India. It
cause [possibility of becoming an arhat], seeing a
would be better to think (at least at this stage) in terms of
Teacher [a Buddha], going forth [as a renunciate], at-
various discussions in a number of different Maha¯ya¯na texts,
tainment of the special qualities [spiritual attainments],
some of which gradually came to influence each other. Thus
and an act of merit [sacrificing even one’s own life for
the Buddhas], and will power. (Horner, pt. 3, 1975,
one should not expect to find a single bodhisattva path, even
p. 15; commentary paraphrased from Buddhadatta,
in Maha¯ya¯na. To the extent to which texts know of each
1978, pp. 133–134)
other there may be mutual influences, positive or negative.
How far and in what way that was the case in India is still
D¯ıpam:kara predicts that Sumedha will indeed, many aeons
a subject of research. Outside India, in Tibet, for example,
hence, become the Buddha S´a¯kyamuni. And a buddha’s pre-
as synthesizing schools of Buddhism developed, attempting
diction, Sumedha reflects, cannot be mistaken. Others at
to make sense of all this Buddhist and particularly Maha¯ya¯na
that time, hearing this, are delighted. If they fail to attain en-
material, sources were harmonized and molded to create the
lightenment under D¯ıpam:kara, they can always attain it in
bodhisattva path of that school, eventually more or less ac-
the future with S´a¯kyamuni.
cepted by all school members.
The following points are notable. The story of Sumed-
This article will first describe how the bodhisattva and
ha’s vow under D¯ıpam:kara is intended (a) to engender re-
his or her path is seen in Mainstream Buddhism and will
spect for S´a¯kyamuni and (b) to encourage present followers
focus on material preserved in Pali associated with the
who had failed to gain enlightenment in his presence with
Therava¯da tradition. By far the most important sources are
the possibility of enlightenment in the future under the next
in the Khuddaka Nika¯ya section of the canon. These are the
buddha. This will be Metteyya (Sanskrit, Maitreya), already
Buddhavam:sa (Chronicle of buddhas) by Buddhadatta,
predicted by S´a¯kyamuni. In addition the bodhisattva makes
Carya¯pit:aka (Basket of conduct) by Dhammapa¯la, and
a firm vow. His vow takes place in the presence of a previous
Nida¯nakatha¯ (Story of the origins) attributed to Buddhagho-
buddha, who is able to predict the future success of the vow.
sa, with their associated commentaries (fifth and sixth centu-
Commentaries make it clear that it is not enough to take the
ries CE).
vow in the presence of a substitute, like the Buddha’s relics.
Thus at this time the bodhisattva had reached an irreversible
These discussions of the career of a bodhisattva are
stage. But what had led to this? Later Pali works describe
placed firmly within a descriptive account of the actual career
even earlier stages when, for example, a bodhisattva first con-
as a bodhisattva of Gautama (Pali, Gotama) Buddha, “our”
ceives the idea of becoming a buddha. The notion of earlier
S´a¯kyamuni. The Buddhavam:sa recounts that Gautama con-
stages had already been formalized in, for example, another
structed a miraculous jewel-walk in the sky. This is because,
important Mainstream Buddhist source, the Sanskrit
so the commentary relates, there were those who grumbled
Maha¯vastu (The great topic) of the Maha¯sa¯m:ghikas. First,
that he was still a young chap and therefore could not be any-
there is the “natural” stage, when the bodhisattva-to-be lives
thing that special. Gautama points out that actually it takes
a normal virtuous life before conceiving the wish to become
an enormous amount of time to become a buddha. It was
a buddha. Then there is the “resolving,” when the vow is first
four “incalculable” aeons plus a hundred thousand aeons ago
conceived, then that of “living in conformity” with it. Final-
that, as the accomplished Brahmin ascetic Sumedha, Gauta-
ly, the bodhisattva is declared “irreversible” (Maha¯vastu,
ma-in-a-previous-life, had fallen on his face in the mud be-
1949–1956, vol. 1, p. 1 n. 2, 39–46). The Maha¯vastu also
fore a previous buddha, D¯ıpam:kara, out of deep respect and
mentions ten successive “stages” (bhu¯mi) of a bodhisattva’s
admiration and in order to save that buddha from muddy
career to buddhahood (see Maha¯ya¯na below).
feet. At that time Sumedha vowed that he too would become
a Buddha:
Sumedha took the vow out of concern to help others
as well as himself but also perhaps out of some sort of recog-
(54) If I so wished I could burn up my defilements
nition that, under the circumstances that had come about,
today. (55) What is the use while I (remain) unknown
the highest fame and glory were fitting for him. It was, one
of realizing dhamma here? Having reached omni-
might say, his duty. Had Sumedha not taken the vow of a
science, I will become a Buddha in the world with the
bodhisattva at that time he would have wasted a precious op-
devas. (56) What is the use of my crossing over alone,
portunity, and crucially S´a¯kyamuni buddha would never
being a man aware of my strength? Having reached om-
niscience, I will cause the world together with the devas
have existed.
to cross over. (57) By this act of merit of mine towards
All the sources, but particularly the Carya¯pit:aka and
the supreme among men I will reach omniscience, I will
commentary, then describe the many rebirths of Sumedha
cause many people to cross over. (Horner, pt. 3, 1975,
p. 14)
between his vow and eventual fruition as S´a¯kyamuni. During
this time there were twenty-three further buddhas. The bo-
The Buddhavam:sa explains that at this fortunate time various
dhisattva renewed his vows under each of them but also de-
factors had come together through karma to make realistic
veloped those qualities necessary to become a buddha. These
aspirations to buddhahood possible:
are listed as ten and are called “perfections” (Pali, pa¯ram¯ı or
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998
BODHISATTVA PATH
pa¯ramita¯). In the Pali sources they are giving, morality, re-
to altruism, for there is nothing more to gain for oneself than
nunciation, wisdom, energy, patience, truth telling, resolute
becoming an arhat. If that is the case, then perhaps, some
determination, loving kindness, and equanimity.
thought, all should try to aim for buddhahood, that is, take
Dhammapa¯la reduced these to six: giving, morality, patience,
the vow of a bodhisattva.
energy, meditation, and wisdom. It has been suggested that
The Maha¯ya¯na goes beyond the descriptive account of
this shows Maha¯ya¯na influence, but this scheme of the per-
the bodhisattva’s path as a description of S´a¯kyamuni’s previ-
fections is also found in Mainstream Buddhist sources like
ous lives in order to generate respect for the buddha and
the Abhidharmako´sa. All of these perfections are to be ac-
hope for the future, to a prescription. Because buddhahood
quired by each Buddhist practitioner. It is the degree of per-
is much better than being an arhat in ways that actually
fection that distinguishes a buddha.
count, all who can should surely take the bodhisattva vow.
With the plan of the rebirths of Sumedha, in which he
It makes no sense in this Maha¯ya¯na context to talk, as do
develops the perfections, are recounted enjoyable stories of
some older books, of the bodhisattva postponing enlighten-
heroic virtue. For example, the bodhisattva was reborn as the
ment. The bodhisattva renounces the goal of ever becoming
prince Vessantara. In that life he particularly practiced the
an arhat in favor of attaining as quickly as possible a much
perfection of generosity. He gave everything away when
superior buddhahood.
asked, even his wife and children. In some lives the bodhisatt-
Textual evidence shows that the earliest Maha¯ya¯na no-
va was an animal, like the virtuous monkey king. Thus popu-
tion of bodhisattvas was as a group one should actually join.
lar fables with moral purpose were assimilated into Buddhist
But there is an obvious problem. How is one to do this, given
pedagogy. These “rebirth stories” are the Ja¯taka tales, and
that the vow has to be taken in the presence of a buddha?
throughout the Buddhist world they really tell the path of
There is currently no buddha around, and the next will not
the bodhisattva.
appear for a long time. Crucial here was the development of
Crucially this whole account is entirely descriptive,
the notion that buddhas are still around and still active on
within the context of admiration for the success and sheer
behalf of sentient beings. One can verify this, it was argued,
goodness of S´a¯kyamuni (and by implication the similar acts
because it is possible to see them in visions and receive new
that led to past buddhas and will lead to future buddhas).
teachings from them (Williams, 1989, 29–31; Williams and
No one denies that the concern of followers of S´a¯kyamuni
Tribe, 2000, pp. 108–111). If buddhas are still around even
should be their own acquisition of freedom from all suffer-
after their apparent deaths, everything changes. This makes
ing, that is, nirva¯n:a. There is no indication that anyone else
sense too of the claimed superiority of buddhas over arhats
need currently take the vow of a bodhisattva. Indeed they
in key matters relating to their liberation.
cannot, because a buddha is no longer around to confirm the
In any relatively comprehensive discussion of a
vow. The next buddha, Metteyya (Sanskrit, Maitreya), is al-
Maha¯ya¯na bodhisattva path the root source has to be the
ready predicted and “in process.”
Da´sabhu¯mika Su¯tra (Ten stage scripture). This can be sup-
plemented with Indian exegetical texts like the
Yet there is instability in this account of Sumedha. It
Abhisamaya¯lam:ka¯ra (Ornament for the realizations) and the
is quite clear that Sumedha could have become an enlight-
commentaries by Haribhadra (late eighth century
ened arhat there and then. So why did he take the bodhisattva
CE),
Asan˙ga’s (c. fourth century
vow? The suggestion is that factors came together that might
CE) Maha¯ya¯nasu
¯tra¯lam:ka¯ra (Or-
nament for the Maha¯ya¯na Scriptures) and Bodhisattvabhu¯mi
otherwise be wasted (there would now be no S´a¯kyamuni)
(Stages for the bodhisattva), the Madhyamaka¯vata¯ra (Supple-
and that Sumedha sought the greater glory, perhaps precisely
ment to the middling) and the commentary by Candrak¯ırti
out of a sense of duty. He was also astonished by the sheer
(seventh century), S´a¯ntideva’s Bodhicarya¯vata¯ra (Introduc-
magnificence of D¯ıpam:kara, and he wanted to save more
tion to the conduct that leads to enlightenment; eighth cen-
people than just himself. Overwhelmingly there is a feeling
tury
of moral justification, in Buddhist terms preeminently com-
CE), and summaries of practice such as Kamala´s¯ıla’s
three Bha¯vana¯kramas (Stages of cultivation; eighth century)
passion. The soteriological thrust of early Buddhism, in com-
and Ati´sa Bodhipathaprad¯ıpa (Lamp for the path to enlight-
mon with other contemporary Indian soteriologies, was to-
enment; eleventh century). Because of the limitation of
ward freedom through knowing (Williams and Tribe, 2000,
space, however, this article follows the typical late Indian
pp. 17–18). Yet with the account of Sumedha emerges a sug-
Maha¯ya¯na scheme of the first Bha¯vana¯krama.
gestion that it is actually in some way better to become a
buddha, and this must be for reasons not of knowing but of
As befits the prescriptive Maha¯ya¯na schema, where the
virtue. Sumedha wished to help others in such a way that im-
earlier stages in particular have direct relevance to conduct,
mediate freedom for himself was left behind. There is some-
Kamala´s¯ıla starts his account well before the bodhisattva has
thing better than immediate spiritual freedom. Almost all the
reached the stage of irreversibility or any prediction by a bud-
perfections are matters of moral qualities, virtue. The Ja¯taka
dha. It is assumed of course that the aspiring bodhisattva is
tales are accounts of heroic virtue. The liberation of a buddha
already an ardent Buddhist with a good practical apprecia-
must be significantly higher than, morally better than, that
tion of basic Buddhist tenets and practice, such as morality
of an arhat. And the ways in which this is the case must relate
and renunciation. Note incidentally that historically the the-
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BODHISATTVA PATH
999
sis (favored particularly by Japanese scholars) that the role of
a “not-settled-down nirva¯n:a” (apratis:t:hitanirva¯n:a), con-
the bodhisattva in Maha¯ya¯na had anything to do in India
stantly engaged in benefiting beings.
with the significance and aspirations of the laity is now
The path from now on is organized in accordance with
doubted. In practice Maha¯ya¯na path builds on existing pat-
a path structure familiar from Mainstream Buddhism, such
terns of morality and monastic renunciation rather than ig-
as the Sarva¯stiva¯da (but not Therava¯da). This is the five
noring, negating, or superseding them. The aspiring bodhi-
paths, and all the attainments of the way to buddhahood
sattva, Kamala´s¯ıla says, needs to strive in three things:
(typically spoken of as the thirty-seven principles conducive
compassion (karun:a¯), the “awakening mind” (bodhicitta),
to enlightenment) are plotted onto this scheme in due order.
and meditative cultivation. The basis of all is compassion. It
The first path is the path of accumulation (samb-
is compassion that generates the motivation that leads one
ha¯rama¯rga). Kamala´s¯ıla says little about this path. It initially
to undertaking the bodhisattva path. It is therefore compas-
occurs with the full arising of the awakening mind and is de-
sion that produces Maha¯ya¯na affiliation. Thus the bodhisatt-
scribed as having three progressive phases. Through increas-
va practices systematic meditations calculated to create a
ing depth in meditation, of integrating calm abiding and in-
deep sense of universal compassion for others. When com-
sight into the nature of reality, one reaches the path of
passion becomes perfect, it is called “great compassion”
preparation (prayogama¯rga). This has four progressive phases
(maha¯karun:a¯).
of meditative achievement (further subdivided), known as
Eventually the bodhisattva conceives the deep yearning
warmth, climax, patience, and highest mundane thing. It
to obtain perfect buddhahood for the sake of all sentient be-
leads to direct nonconceptual insight into the true nature of
ings. This is the “arising of the awakening mind”
things. At this point one attains the path of seeing (or vision,
(bodhicittotpa¯da). It is a completely self-transforming, deep
dar´sanama¯rga). As part of the bodhisattva path the bodhisatt-
revolution in the mind from selfishness to altruism in its
va is finally a noble one (a¯rya), no longer an ordinary world-
highest degree. It is hymned extensively and beautifully in
ling, and can inter alia control his or her rebirths. But the
S´a¯ntideva’s Bodhicarya¯vata¯ra, chapter one. Both Kamala´s¯ıla
bodhisattva still has far to go. Directly seeing the true nature
and (famously) S´a¯ntideva refer to two types of awakening
of reality is in a sense just the beginning. The bodhisattva is
mind. First is the aspiration, that is, the yearning intention,
only doing all this in order to become a buddha and benefit
for buddhahood. Second, there is actually engaging in the
others. From now on a bodhisattva animated by deep com-
bodhisattva path through making a vow and, over an enor-
passion, who also sees directly the true nature of things, may
mously long period of time, acquiring the stocks of merit and
act in ways not in keeping with legalistic “lower” moral
wisdom necessary to become a buddha. The bodhisattva-to-
codes.
be thus takes a vow to buddhahood. Kamala´s¯ıla speaks of
On attaining the path of seeing, the third of the five
formally taking this vow in the presence of a master who
paths, the bodhisattva also attains the first of the ten bodhi-
holds the vow (and who as the guru is to be seen as a bud-
sattva stages (bhu¯mi), the Stage of Joy. The sequential attain-
dha). If there is no master available, significantly it can be
ment of the six or ten Maha¯ya¯na perfections (pa¯ramita¯s) is
taken in the presence of all the buddhas and advanced bodhi-
grafted onto these stages. Thus at the first bhu¯mi the bodhi-
sattvas who, from a Maha¯ya¯na perspective, are still present
sattva strives and attains the perfection of giving. Therefore
throughout all directions.
for a bodhisattva giving and the other perfections are embed-
ded in the achieving in meditation of direct nonconceptual
This leads to a bodhisattva who truly practices as a bo-
insight into the true nature of things. This is no ordinary giv-
dhisattva. The practice is one of equal development in the
ing. That is why it becomes, at its highest degree, the “perfec-
means (of helping all sentient beings) and wisdom (seeing
tion of giving.”
things the way they really are) without neglecting either. This
The following nine bodhisattva stages all occur on the
requires mastery of meditative cultivation. The bodhisattva
fourth of the five paths, the path of cultivation (or contem-
acquires “calm abiding” (´samatha), an ability to steady the
plation, bha¯vana¯ma¯rga). Thus the corresponding perfection
mind on a meditation subject perfectly and at will. He or she
brings the:
masters the various trance states, with the possible acquisi-
tion of supernormal powers and ability in meditation to visit
Stainless Stage: morality
and see buddhas. He or she also applies a calm, steady mind
Luminous Stage: patience
to analyzing reality until coming to an understanding of the
Radiant Stage: energy
true nature of things through meditative “insight”
(vipa´syana¯). This true nature is described as “emptiness”
Difficult to Conquer Stage: meditation
(´su¯nyata¯), the complete absence anywhere of any sort of in-
Face-to-Face Stage: wisdom
trinsic existence. Eventually it becomes possible to place the
Gone Afar Stage: skill in means
mind steadily and one-pointedly in meditation on this true
Immovable Stage: vow
nature, the way things really are, but within the context of
a compassion that will not lead to abandoning sentient be-
Good Stage: power
ings and falling into the path of an arhat. Thus one aims for
Cloud of Dharma (Teaching) Stage: gnosis (jña¯na)
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BODILY MARKS
Four further perfections are added to the basic six of Sanskrit
Cleary, Thomas, trans. The Flower Ornament Scripture: A Transla-
Buddhism, correlating to the last four bodhisattva stages
tion of the Avatamsaka Sutra. Vol. 2. Boulder, Colo., and
(compare also the Pali ten).
Boston, 1984–1987. Includes the Da´sabhu¯mika Su¯tra trans-
lated from the Chinese.
At the seventh stage a bodhisattva is said to become irre-
versible. The last three stages are thus termed “pure.” At the
Horner, I. B., trans. The Minor Anthologies of the Pali Canon. Part
tenth stage the bodhisattva appears on a lotus seat, surround-
3, Chronicle of Buddhas (Buddhavam:sa); Basket of Conduct
(Cariya¯pit:aka). London, 1975.
ed by other bodhisattvas and buddhas, light rays fill the sky,
and he (there is little evidence in Indian Buddhism that it
Jayawickrama, N. A., trans. The Story of Gotama Buddha. Oxford,
could be a woman) is consecrated to full buddhahood. A
1990. The Nida¯nakatha¯.
tenth-stage bodhisattva is extraordinary. For example, he can
Maha¯vastu. The Maha¯vastu. 3 vols. Translated by J. J. Jones. Lon-
emanate innumerable forms to help others or place whole
don, 1949–1956.
world systems inside each pore of his skin. It is at this level
Norman, K. R. Collected Papers. 6 vols. Oxford, 1990–1996.
that commonly Maha¯ya¯na practitioners locate bodhisattvas
S´a¯ntideva. The Bodhicarya¯vata¯ra. Translated by Kate Crosby and
like Avalokite´svara (the Bodhisattva of Compassion) or
Andrew Skilton. Oxford, 1996.
Mañju´sr¯ı (the Bodhisattva of Wisdom), iconically represent-
ed bodhisattvas to whose compassionate care prayers for help
Sinor, Denis, ed. Studies in South, East, and Central Asia. Delhi,
1968. Includes the Da´sabhu¯mika Su¯tra translated from the
can be made.
Sanskrit by Megumu Honda.
Becoming a buddha is to attain the fifth path, the path
Tucci, Giuseppe, ed. Minor Buddhist Texts. Part 2. Rome, 1956–
of no more learning (a´saiks:ama¯rga). Kamala´s¯ıla observes that
1958. An English summary of Bha¯vana¯krama.
even buddhas could not fully tell of the wonderful qualities
possessed by buddhas for the welfare of all sentient
Williams, Paul. Maha¯ya¯na Buddhism: The Doctrinal Foundations.
beings.
London and New York, 1989.
This description of the path of the bodhisattva has been
Williams, Paul, with Anthony Tribe. Buddhist Thought: A Com-
plete Introduction to the Indian Tradition. London and New
in accordance with exoteric Indian sources. But in later Indi-
York, 2000. Contains a full bibliography.
an Buddhism esoteric Tantric materials and practices begin
to emerge. Two elements in Tantric doctrine taken as a
PAUL WILLIAMS (2005)
whole make considerable difference to the bodhisattva pic-
ture. First, through certain Tantric practices it is possible to
follow the whole bodhisattva path from beginning to end in
BODILY MARKS. The human body is constantly al-
just one lifetime. Second, no matter how much one practices
tered by natural and cultural processes. These alterations
the path described above, it becomes necessary to engage in
leave visible traces, which in many societies are associated
Tantric practice to attain full buddhahood. Great summas
with religious ideas, beliefs, and forces. Biological growth it-
of Buddhism, concentrating on the bodhisattva path and in-
self leaves marks on the body. Adolescence brings changes
tegrating Tantra at the appropriate point, are found particu-
in physical structure to members of both sexes. Aging alters
larly in Tibet. An example would be the Lam rim chen mo
the coloring and density of body hair. Firm flesh wrinkles;
(Greater stages of the path) by Tsong kha pa (late fourteenth
teeth drop out. Furthermore accidents at work and play mar,
century and early fifteenth century). This tendency to short-
scar, mutilate, and deform the body. Such biological and ac-
en (or even sideline) the lengthy bodhisattva path is also
cidental changes may in many cultures be evidence of the op-
found in some East Asian Buddhist traditions, such as Zen.
eration of invisible beings or powers, such as deities, ances-
SEE ALSO Amita¯bha; Buddha; Buddhism, Schools of, article
tors, or witchcraft. Or compensatory, supernormal powers
on Maha¯ya¯na Philosophical Schools of Buddhism; Iconogra-
may be attributed to the lame, to the malformed, to the
phy, article on Buddhist Iconography; Jña¯na; Karun:a¯;
blind, and to albinos. Just as certain kinds of diviners may
Merit, article on Buddhist Concepts; Pa¯ramita¯s; Prajña¯;
read hidden meanings in such natural phenomena as the
S´a¯ntideva; Soteriology; Stupa Worship.
flight of birds or the spoor of foxes in sand, so too may the
will of invisible entities be read into the natural marks left
BIBLIOGRAPHY
on the body by growth, illness, and violent mishap.
Beyer, Stephan V. The Buddhist Experience: Sources and Interpreta-
tions. Encino, Calif., 1974. Includes a translation of the first
But nature lags far behind culture in the use of the body
Bha¯vana¯krama.
as a “canvas,” as manipulable material for the expression of
Bodhi, Bhikkhu. A Treatise on the Pa¯ram¯ıs. Kandy, Sri Lanka,
meaning. Clothing, headgear, ornaments, and regalia are of
1996. Partial translation of Dhammapa¯la’s commentary on
course salient agencies for the situational communication of
Cariya¯pit:aka.
personal and social identity, religious and secular values, and
Buddhadatta.
The Clarifier of the Sweet Meaning
social status. Masks too have similar functions. Such external
(Madhuratthavila¯sin¯ı). Translated by I. B. Horner. London,
coverings indicate cultural transformations, particularly
1978. Translation of Buddhadatta’s commentary on
those of a transitory and repeatable character. It must be
Buddhavam:sa.
stressed, however, that in ritual settings in many cultures the
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BODILY MARKS
1001
same concepts and beliefs may be expressed by the marking
bade tattooing. Tattooing was also forbidden by
of the body and by its clothing and masking. Ritual enlists
Muh:ammad. Nevertheless tattooing has been frequently
many sensory codes, nonverbal and verbal, and orchestrates
practiced, for therapeutic or decorative reasons, by nominal
them to convey many-layered messages about the meaning
adherents of these three religions: for example, by Bosnian
of the human condition.
Catholics, where it may be a survival of an ancient puberty
Bodily marking proper may be divided into two main
rite (reported by Mary Durham, 1928, pp. 104–106), by
types. The first, permanent marking, involves surgical or
Muslims in the Middle East (exhaustively discussed in Henry
quasi-surgical operations on the surface of the body by means
Field, 1958), and (rarely) among Middle Eastern and North
of cutting or piercing instruments, such as knives, needles,
African Jews.
or razors. The general purpose here is to leave indelible marks
TATTOOING. European explorers during the fifteenth to
on the body, mute messages of irreversible status change, per-
eighteenth centuries were struck by the marks they found on
manent cultural identity, or corporate affiliation. The second
the bodies of the peoples they encountered in hitherto un-
category, temporary marking, includes the application to the
known lands. Captain John Smith in Virginia and Captain
body of decorations through such media as chalk, charcoal,
James Cook in Polynesia (who coined the term tattoo from
paint, or other substances that can readily be washed or dust-
the Tahitian word tattau, meaning “to mark”) were struck
ed off. In a sense such bodily marks are less durable than
by this form of body marking “by inlaying the Colour Black
clothing, but when they are used in ritual contexts, they may
under their skins in such a manner as to be indelible” (Cook,
convey more tellingly important aspects of the cosmological
1893, p. 93). European explorers found tattooing in general
order.
practice among the Maori of New Zealand and most other
Radical alteration of the genitalia is common to many
Polynesian islands. The custom was also common through-
cultures. It should be noted, however, that such operations,
out New Guinea, Melanesia, Micronesia, the Malay Archi-
both in preindustrial societies and among adherents of some
pelago, and the Malay Peninsula. On mainland Asia certain
of the major historical religions, take place in a religious con-
peoples of India, Burma, and the fringes of Tibet employed
text, often to mark an important stage of the patient’s life
tattooing. Some African groups, including the Nama Khoi,
cycle. Symbolic action reinforces the surgical message that
also practiced the art. Tattooing was relatively frequent
the patient, also an initiate, is undergoing an irreversible
among North and South American Indians.
change in status and mode of being as culturally defined. Re-
ligious as well as cultural definitions and evaluations—
Tattooing resembles painting, with the face and body
gender, age, social segmentation, and cultic, tribal, and na-
as canvas, while scarification resembles sculpture or woodcar-
tional affiliation—are given permanent expression precisely
ving. Both processes can be painful, but tattooing seems to
in the surgical refashioning of those bodily parts through
be less so than scarification, though a full design may take
which the very existence of the patient’s group is genetically
longer to apply. Perhaps the relative quickness of scarifica-
transmitted.
tion and cicatrization is one of the reasons they figure so
prominently in rites of passage and other religious and thera-
Many authorities hold that, generally speaking, tattoo-
peutic rituals, because they literally mark a sharp contrast be-
ing has flourished most among relatively light-skinned peo-
ples, whereas scarification and cicatrization are mostly found
tween the initiate’s previous and subsequent state and status.
among dark-skinned peoples because raised scars and keloids
Nevertheless if such rites include a lengthy period of seclu-
are more easily seen as pattern elements than the darker pig-
sion from the mundane domain, the slower, more cumula-
ments. In contrast to body painting, however, all forms of
tive operation of tattooing may proceed at a more leisurely
piercing, cutting, or cauterizing the body involve contact
pace.
with nerve endings resulting in pain, hence their not infre-
Full-body tattooing may take years to complete and may
quent association with initiatory ordeals, in which respect
be accomplished in several ritually significant stages. Wilfrid
they find common ground with such practices as genital exci-
D. Hambly (1925) reported, for example, that among the
sion, scourging, and knocking out teeth. Neuroscience may
Motu Koita of New Guinea tattooing played a prominent
someday discover the precise effects on the central nervous
role in rituals celebrating the physical development of the fe-
system and on such concomitant psychological functions as
male body. At about five years old, the hands and forearms
memory and sexuality that are produced by these often pro-
were tattooed. Between five and ten years of age, the chin,
longed operations on the subcutaneous neuronic network.
nose, lower abdomen, and inner thighs were tattooed as they
With the spread of Western culture, many societies that
lost their infantile appearance and grew firmer. At puberty,
formerly practiced surgical bodily marking in religious con-
the breast, back, and buttocks were tattooed as they took on
texts have abandoned these customs. Certainly the three
adult contours. During marital rites and then at mother-
major religions “of the book”—Judaism, Christianity, and
hood, the final designs were placed. Each phase of matura-
Islam—have interdicted tattooing since early times. Body
tion had its own design. Indeed the Motu believed that tat-
marking was forbidden to Jews by God in the Torah (Lv.
tooing not only signified growing up but even helped to
19:28; Dt. 14:1). In 787 CE a Roman Catholic council for-
cause it (Hambly, 1925, p. 32).
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BODILY MARKS
In a religious context, as distinct from a purely decora-
(1135/8–1204), commenting on the prohibition against tat-
tive context, tattoo marks are clearly symbolic. Hambly, for
tooing in Leviticus, reiterated the central Judaic argument
example, showed how the tattooing of initiates in girls’ pu-
against idolatry as its motive force, whereas other scholars in
berty rituals among the Omaha of North America was origi-
his tradition stressed the integrity of the human body made
nally associated with rites devoted to the sun, the dominant
in the express image and likeness of God as justification for
power in their universe. The Omaha deified day and night
the ban.
as the male and female cosmic powers, akin to the Chinese
In the cultural history of tattooing, certain main trends
opposition of yang and yin. At the apogee of solar ritual, a
are discernible. In antiquity and in many of the reports of
nubile girl was the focus of ritual dances, painting, and tat-
travelers in the early modern period, tattooing in preindustri-
tooing. She was tattooed with a disk representing the sun and
al societies dominantly relates the tattooed person to a social
a star standing for night. Four points on the star signified the
group or category (totemic clan, age or sex category, secret
four life-giving winds. The two marks together expressed the
society or warrior association, unmarried or married catego-
message that night gives way to the sun, a presage of the girl’s
ries, the widowed, and the like). Sometimes the tattooing
marriage. The tattoos were believed to confer life energy and
process is embedded in an encompassing ritual process. In
potential fecundity on the developing woman during this li-
other instances, as discussed, cumulative tattooing may oper-
minal phase. If her tattoo sores did not heal quickly, this was
ate independently from rites of passage, stressing individual
thought to indicate the displeasure of spirits because she had
development rather than collective affiliation. As societies in-
been unchaste (Hambly, 1925, pp. 83–84). This example il-
crease in scale and grow more complex and the division of
lustrates how ritual tattooing inscribes—or one might even
economic and social labor becomes more refined, tattooing
say incarnates—cosmological ideas and forces, leaving a per-
becomes more a matter of individual choice and serves the
manent impress, both subjectively and objectively.
purpose of self-expression, stressing the decorative rather
There is archaeological evidence for puncture tattooing
than the religious and corporate functions. Instead of class-
in the Middle East at least as early as the second millennium
ing individuals together, homogenizing them symbolically,
it now differentiates them. An antinomian character invests
BCE. Puncture marks on mummy skins with duplicate signs
painted on figurines have been found in Nubian burials from
tattooing. As the technology of the art develops (for example,
this period. Just as in preliterate societies, the polytheistic
the invention of the electric tattooing needle), the designs
cultures of the eastern Mediterranean world saw tattooing as
and colors multiply, allowing considerable scope for self-
an efficacious means of communication between the invisi-
expression and for making statements about the self not only
ble and visible domains, here regarded as divine and human.
to others but also to oneself, indelibly imprinting a complex
For example, the pharaoh Akhenaton (Amenhotep IV) is
image of one’s identity upon one’s body.
represented in reliefs as bearing the name Aton on his body.
In societies where tattooing is strongly interdicted or
Although Akhenaton was reared in a polytheistic tradition,
frowned upon for religious or political reasons, tattooing
he tried to develop a solar monotheism and encouraged natu-
comes to mark and identify not only recalcitrant individuals
ralistic art at the expense of symbolism. Hence his tattoo was
but also marginal groups that otherwise have few means to
a name, not a symbol. The great monotheistic religions went
display identity in mainstream society. A considerable litera-
even further in forbidding the marking of symbols of deities
ture exists on tattooing among such diverse categories as en-
on the body. Field (1958, p. 4) supplied further evidence of
listed men in World Wars I and II, criminals, prostitutes, ho-
rapport between humans and deities effected by tattooing.
mosexuals, juvenile delinquents, and motorcycle gangs such
The symbol of the goddess Neit, for example, was tattooed
as the Hell’s Angels.
on the arms and legs of Libyan captives figured on the tomb
walls of Seti I (1318–1304
In Japan, where the art of tattooing (irezumi) has been
BCE). Even in modern North Afri-
ca a tattoo pattern called Triangle of Tanit has been identi-
long established and may have had, as in Polynesia, ritual
fied as the symbol of the Carthaginian goddess Tanit, who
connections, the practice fell under interdict in the late
was perhaps the Libyan goddess Ta-Neit taken over by the
Tokugawa period, but it was strongly revived after 1881,
Carthaginians. Field also mentioned that the devotees of
when it ceased to be a penal offense. According to Robert
Dionysos were stamped with that god’s symbol, the ivy leaf.
Brain, the Japanese—who embroider the whole body with
In Syria-Palestine the worshipers of the moon goddess Mylit-
artistic designs, the equivalent of a suit of clothes to a culture
ta were tattooed with her figure or symbol on their hands or
that has never hallowed the nude—“use tattooing to give
the backs of their necks.
personality to the naked body. . . . Even the bare skin, in-
corporated into the overall design, acquires an appearance of
Subsequently, despite religious interdictions, both
artificiality” (Brain, 1979, p. 64). The designs are traditional
Christians and Muslims bore tattoos as evidences of pilgrim-
and include the dragon, “giver of strength and sagacity,” the
ages to the sacred places. This practice apparently derived
horse and the carp (mutations of the dragon), epic heroes
from the time of the Crusades. Coptic pilgrims were tattooed
such as Yoshitsune, Chinese sages, and the gods whose deeds
with the word Jerusalem with the date of the visit beneath
are recorded in the Kojiki and Nihongi (Nihonshoki). In
it or a standardized religious emblem. Moses Maimonides
Japan it has often been difficult to distinguish, in Western
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BODILY MARKS
1003
style, the religious from the aesthetic and social. Contempo-
Africa (1874), gave the classic definition of keloid formation
rary tattooed men and women wear on their bodies subtle
when writing of the Makwa, who have double lines of keloids
and beautiful expressions of a continuous tradition that links
on the face: “After the incisions are made, charcoal is rubbed
deity, nature, and humankind.
in, and the flesh pressed out, so that all the cuts are raised
above the level of the surface” (Livingstone, 1874, vol. 1,
As tattooing became detached from its earlier religious
p. 33). In many parts of sub-Saharan Africa cicatrization fol-
contexts, it seems to have become increasingly associated
lows the work of two instruments: a hooked thorn to raise
with the magical protection of individuals and with curative
the skin and a small blade to slice it. The more the skin is
rites performed in cases of individual affliction. Field (1958)
raised, the more prominent the resulting keloid.
provided innumerable examples of tattooing in Syria, Iraq,
Iran, Kuwait, Saudi Arabia, Palestine, Baluchistan, and West
In many preindustrial societies the cicatrization process
Pakistan used as prophylaxis, cure, and subsequent preven-
is embedded in a complex ritual sequence. In The Drums of
tion of a variety of diseases and ailments, mostly thought to
Affliction (Victor Witter Turner, 1968) Edith Turner report-
be due to supernatural causes, such as the evil eye, witchcraft,
ed such a ritual sequence among the Ndembu of Zambia.
or demons. Therapeutic tattooing is found in many cultures.
During the seclusion phase of a girl’s puberty ritual, the initi-
For example, the Sarawak Kaya of Borneo believe that sick-
ate is cicatrized by a woman skilled in the work. The girl is
ness is caused by the soul leaving the body. A ritual therapist,
said to feel much pain while the incisions are made, but after
the dayong, is called in to perform a ritual, including dancing
the operation she is allowed to revile the operator in compen-
and incantations, to recall the patient’s soul to its body. After
sation, just as boys are permitted to swear at the circumciser
he is sure the soul is back, the dayong tattoos an emblem on
during the corresponding male initiation rites. Groups of
the patient to keep it from straying again. Similar uses are
horizontal incisions converge on the navel from either side,
found cross-culturally in abundance.
like several sentences of braille. Other keloids are made be-
neath the navel toward the pubes and on the small of the
Mention should be made of the growth of tattooing in
back. Black wood ash mixed with castor oil is rubbed into
the United States, particularly in California during the late
the cuts. The raised cicatrices beside the navel constitute a
1970s. After World War II the practice subsided, but be-
kind of erotic braille and are “to catch a man” by giving him
cause of the influence of the “counterculture” of the late six-
enhanced sexual pleasure when he plays his hand over them.
ties, the role of electronic media in bringing the practices of
Initiates who can stand the pain are also cicatrized on the
other cultures into the American home, extensive tourism,
mid-chest above the breast line. Two parallel cuts, known by
a general emphasis on individuality (in dress, sexual mores,
a term signifying “to deny the lover,” are made. The first ke-
art, and religion), and improvements in the techniques of
loid, to the left, represents the initiate’s premarital lover, the
professional tattooing, there has been a marked revival in the
second, to the right, her husband-to-be. The girl is told never
art. In the early twenty-first century tattoos along with body
to mention her lover’s name to her husband, for the two men
piercing became such an integral part of American popular
should “remain friends” and not fight each other.
culture that, for many youths, obtaining a tattoo became
Although tattooing, cicatrization, and scarification have
something of a rite of passage into adulthood. As such the
much in common, may be combined in various ways, or may
ancient connection with religion has not been forgotten. In
each be applied in different contexts in the same society, it
addition at the Fifth World Convention of Tattoo Artists
may be broadly concluded that tattooing, like body painting,
and Fans, held in Sacramento, California, in 1980, the prize
lends itself well to decorative use and personal art. The body
tattoo was “a large back mural, which included the Virgin
becomes a canvas on or under the skin of which may be de-
of Guadalupe, set on a bed of bright roses, framed in the
picted naturalistic scenes and portraits, abstract designs, and
lower corners by a skull face and a human face, and in the
symbolic patterns. Cutting and scarring flesh too may result
upper, by flowing angels” (Govenar, 1981, p. 216).
in aesthetic effects of a quite sophisticated character but also
SCARIFICATION AND CICATRIZATION. Whereas tattooing is
constitutes a visible record of incarnate religious forces and
the insertion of pigment under the skin and involves pricking
a sacred chronicle of a culture’s life-crisis ceremonies. Here
instruments ranging from thorns, fish spines, cactus spikes,
the incised body itself proclaims carnally the disciplines in-
shells, and bones to steel and electric needles, scarification
volved in the cultural definition of its age, gender, and com-
and cicatrization are more drastic ways of marking the body.
munal and structural identifications and alliances. In certain
Many anthropologists equate these terms, but strictly speak-
societies these marks are believed to be inscribed on the ghost
ing scarification is the operation of marking with scars,
or spirit after death, enabling the gods or spirits to recognize
whereas cicatrization is the subsequent formation of a scar
the membership and status of the deceased and to send him
at the site of a healing wound, that is, the healing process.
or her to an appropriate place of posthumous residence. It
It might be useful to distinguish scarification, the production
is interesting that the Roman Catholic and Orthodox
of long cuts, from cicatrization, the deliberate formation of
branches of Christianity have sublimated similar beliefs,
keloids, sharply elevated, often round or oval scars due to the
while condemning body marking itself, in the notion that
rich production of collagen in the dermal layer. David Liv-
sacraments of baptism, confirmation, and ordination confer
ingstone, in his Last Journals of David Livingstone in Central
indelible marks upon the soul.
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BODILY MARKS
BODY PAINTING. Of the many languages of bodily adorn-
cieties body painting may assume an antinomian function;
ment, several may coexist in a single culture. Terence S. Tur-
bizarre and extravagant designs may betoken rebellion
ner (1977) pointed out, for example, that the Chikrí, a Ge-
against a society’s most cherished values. Or it may become
speaking group in central Brazil, possess elaborate body
merely an expression of personal vanity and love of
painting, adorn themselves with earplugs, lip plugs, and
adornment.
penis sheaths, and put on cotton leg and arm bands in ritual
MARKS OF SUPERNATURAL ELECTION. A considerable litera-
contexts. Turner argued that such body adornments are a
ture exists on bodily marks that are believed to be signs of
kind of symbolic language. Body painting is a code that ex-
election to high religious status. These must be distinguished
presses a wide range of information about social status, sex,
from blemishes or birthmarks taken to be indications of rein-
and age. More than this, wrote Turner, it “establishes a chan-
carnation. In many sub-Saharan societies, for example, re-
nel of communication within the individual, between the so-
cently born infants are carefully inspected for marks corre-
cial and biological aspects of his personality” (Terence S.
sponding to conspicuous scars and moles found on some
Turner, 1977, p. 98).
deceased relative. Among the Ndembu of Zambia, a child
Color symbolism is most important here, especially the
was called Lupinda because marks resembling scratches on
colors red, black, and white, all of which are used in determi-
his thigh were similar to the scar marks of a leopard-inflicted
nate ways. Red is always applied on bodily extremities, fore-
wound on the thigh of his mother’s brother, the great hunter
arms and hands, lower legs and feet, and the face. Black is
Lupinda. It was expected that the boy, Lupinda reborn,
used on the trunk and the upper parts of the limbs as well
would likewise excel at the chase. Similar beliefs have been
as for square cheek patches and borders along the shaved
reported among the Haida and Tlingit of northwestern
areas of the forehead. Black face paintings, executed with
North America.
great care, are often covered immediately by a heavy coat of
In the great historical religions founders, prophets,
red that renders them almost invisible. This practice may be
saints, and notable teachers of the faith are sometimes associ-
explained by the symbolic values of the colors. Red, accord-
ated with supernaturally generated bodily characteristics. For
ing to Turner, represents energy, health, and “quickness,”
example, it is reported that when Siddha¯rtha Gautama, who
both in the sense of swiftness and of heightened sensitivity.
became the Buddha, was born, his body bore the thirty-two
Black, per contra, is associated with transitions between
auspicious marks (mahapu-rusa laksanani) that indicated his
clearly defined states or categories, with liminal conditions,
future greatness besides secondary marks (anuvyañjanani).
or with regions where normal, precisely defined structures of
The Indian poet A´svaghos:a, who wrote his Buddhacarita
ideas and behavioral rules are “blacked out.” Black also
(Life of the Buddha) in the second century CE, mentioned
means “dead” and is adjectivally applied to a zone of land
some of these marks: the sign of a wheel on one foot, web-
outside the village, separating it from the wild forest, that is
bing between his fingers and toes, and a circle of hair be-
used for graveyards and seclusion camps for groups undergo-
tween his eyebrows. In Islam too there is a tradition of a per-
ing rites of passage. The Chikrí see death itself as a liminal
son bearing bodily marks signifying divine election.
phase between life and complete oblivion. Ghosts survive for
Muh:ammad’s son-in-law EAli predicted that the Mahdi, the
one generation in the village of the dead before they “die”
“divinely guided one,” would come to restore justice and
once more, this time forever. White represents the pure, ter-
righteousness to the world and that he would be recognized
minal state of complete transcendence of the normal social
by certain bodily traits, among them a balding forehead and
world, for white is the color of ghosts, and white clay is the
a high, hooked nose. A birthmark on his right cheek, a gap
food of ghosts. The Chikrí paint over the black designs with
between his front teeth, and a deep black beard were also pre-
red to make a symbolic statement, clearly uninfluenced by
dicted. Muh:ammad Ah:mad, who was believed to be the
aesthetic considerations. According to Turner, the black de-
Mahdi by many living in the Sudan during the nineteenth
signs represent the socialization of the intelligent part of the
century, was said to have all the looked-for attributes.
person, which is then energized by the biological and psychic
life force represented by the thick red overpainting.
Christianity also has its tradition of bodily marks divine-
ly imposed. For Christians the term stigmata refers to
Turner’s conclusion that body painting at this general
wounds some people bear on the hands and feet and occa-
level of meaning “really amounts to the imposition of a sec-
sionally on the side, shoulder, or back that are believed to
ond, social ‘skin’ on the naked biological skin of the individ-
be visible signs of participation in Christ’s passion. Francis
ual” (Terence S. Turner, 1977, p. 100) has a wide cross-
of Assisi (1181/2–1226) is said to have been the first stigmat-
cultural range of applications. The etymological link be-
ic. Since his time the number has multiplied. Historically the
tween cosmos and cosmetics has often been noted; both derive
stigmata have taken many different forms and have appeared
from the Greek term meaning “order, ornament, universe.”
in different positions on the body, hands, and feet of stigmat-
When the face and body are painted with designs and colors,
ics. For example, Francis’s side wound was on the right,
the cosmeticized ones are living links between the individual
while that of the celebrated modern stigmatic Padre Pio
and the sociocultural order with which he or she is temporar-
(1887–1968) was on the left. For the Catholic Church stig-
ily identified. But as with tattooing, in complex industrial so-
mata do not by themselves indicate sanctity. Of the several
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BODY PAINTING
1005
hundred stigmatics listed since the thirteenth century, only
Field, Henry. Body-Marking in Southwestern Asia. Papers of the
sixty-one have been canonized or beatified. Herbert Thurs-
Peabody Museum of Archaeology and Ethnology, Harvard
ton (1933), an authority on this phenomenon, was extremely
University, vol. 45, no. 1. Cambridge, Mass., 1958.
reluctant to attribute stigmatization to a miracle. Other theo-
Fisher, Angela. Africa Adorned. London, 1984. A beautiful collec-
logians are ready to await the verdict of neuroscientific re-
tion of photographs cataloging the various forms of African
search to settle the problem. Moreover C. Bernard Ruffin,
body adornment, both temporary and permanent.
a Lutheran minister, has pointed out that “for every genuine
Gell, Alfred. Wrapping in Images: Tattooing in Polynesia. Oxford,
stigmatic, whether holy or hysterical, saintly or satanic, there
1993. A comparative analysis of tattooing in Polynesia based
are at least two whose wounds are self-inflicted” (Ruffin,
on a comprehensive survey of both written and visual docu-
1982, p. 145).
mentary sources that attempts to demonstrate the role tat-
tooing played in constructing a distinctively Polynesian type
SUMMARY. In many societies birthmarks, blemishes, defor-
of social and political being.
mities, and other natural signs have been regarded as visible
indicators of the permanent or transient presence of invisible,
Govenar, Alan B. “Culture in Transition: The Recent Growth of
Tattooing in America.” Anthropos 76 (1981): 216–219.
preternatural forces and influences, whether of a magical or
religious character. They may be linked with notions of rein-
Hambly, Wilfrid D. The History of Tattooing and Its Significance:
carnation, illness caused by spirits or witches, election to a
With Some Account of Other Forms of Corporal Marking. Lon-
don, 1925. Reprint, Detroit, 1974. Still the classic study on
priestly or shamanic role, or the marking of basic group iden-
tattooing.
tity. However, the deliberate shaping of the body as an arti-
fact by cultural means is the most widely practiced marker
Livingstone, David. Last Journals of David Livingstone, in Central
of group identity, an identity that in the simpler societies is
Africa, from 1865 to His Death. London, 1874.
also religious identity. Here the body becomes a deliberately
Rubin, Arnold, ed. Marks of Civilization: Artistic Transformations
created badge of identity. Both permanent and temporary
of the Human Body. Los Angeles, 1988. A scholarly collection
changes are made for this purpose. In addition to the means
of ethnographic essays, photographs, and drawings that focus
on the divergent ways human beings have used bodily marks
described above, one might cite tooth filing, piercing or oth-
to inscribe the human body with social and cultural mean-
erwise changing the shape of ears, nose, tongue, and lips, and
ing. It also contains an extensive bibliography on bodily
changes made in the body’s extremities, such as hair, feet,
marks categorized by geographical region, including Euro-
fingers, and nails. Although discussion of clothing, the iden-
America.
tifying medium for all kinds of religions in all cultures, is be-
Ruffin, C. Bernard. Padre Pio: The True Story. Huntington, Ind.,
yond the scope of this article, as is detailed discussion of the
1982. A critical, sober, essentially nonhagiographical account
relationship between aesthetic and ritual bodily marking, it
of the life of the best-known stigmatic of the twentieth cen-
is clear that the body, whether clad or unclad, painted or un-
tury. The medical evidence about his stigma is thoroughly
painted, smooth or scarred, is never religiously neutral. It is
discussed.
always and everywhere a complex signifier of spirit, society,
Strathern, Andrew, and Marilyn Strathern. Self-Decoration in
self, and cosmos.
Mount Hagen. Toronto, 1971. A comprehensive account of
body decoration and its meaning in a single society, that of
SEE ALSO Circumcision; Clitoridectomy; Clothing; Human
Mount Hagen, New Guinea.
Body; Masks; Nudity.
Thurston, Herbert. “The Problem of Stigmatization.” Studies 22
(1933): 221–232.
BIBLIOGRAPHY
Turner, Terence S. “Cosmetics: The Language of Bodily Adorn-
Brain, Robert. The Decorated Body. London, 1979. A readable
ment.” In Conformity and Conflict, 3d ed., edited by James
cross-cultural description by an anthropologist of the decora-
P. Spradley and David W. McCurdy, pp. 91–108. Boston,
tion of the human body.
1977. A seminal article on bodily adornment among the
Caplan, Jane, ed. Written on the Body: The Tattoo in European and
Chikrí of Brazil. The author deciphers the complex code un-
American History. Princeton, N.J., 2000. An excellent cultur-
derlying various modes of decoration to reveal their meaning
al history of the tattoo in Europe and North America from
and suggests that body decorations have similar functions in
early Greek and Roman antiquity to contemporary Euro-
all societies.
America.
Turner, Victor Witter. The Drums of Affliction. Oxford, 1968.
Cook, James. Captain Cook’s Journal during His First Voyage
Round the World, in H.M. Bark “Endeavour,” 1768–1771.
VICTOR TURNER (1987)
Edited by William J. L. Wharton. London, 1893.
EDITH TURNER (2005)
DeMello, Margo. Bodies of Inscription: A Cultural History of the
Modern Tattoo Community. Durham, N.C., 2000. An eth-
nography of contemporary tattooing in the United States
BODY SEE HUMAN BODY
written by a female anthropologist who is also a member of
the tattoo community.
Durham, Mary Edith. Some Tribal Origins, Laws, and Customs of
the Balkans. London, 1928.
BODY PAINTING SEE BODILY MARKS
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1006
BOEHME, JAKOB
BOEHME, JAKOB (1575–1624), Protestant visionary
enth property represents the third principle (being of the
and theologian. Born into a Lutheran farming family in the
universe). The fourth property is the center on which all
village of Alt Seidenberg near Görlitz, Saxony, Boehme was
turn. All beings of the third principle are free and can turn
apprenticed to a shoemaker following his elementary educa-
to either of the first two principles, thereby upsetting the bal-
tion. In 1599 he became a citizen of Görlitz, where he
ance. Searching for the controlling fire of light, Lucifer re-
opened a shoemaking business and married. Boehme was
fused to accept the light principle within himself and as a re-
early associated with various religious groups in the city, and
sult fell.
through them he encountered the work of the alchemist Par-
At the moment of Lucifer’s fall, temporal creation came
acelsus (1493–1541) and the nature mystic Valentin Weigel
into existence. At its height stood Adam, a perfect balance
(1533–1588). He also shared with his religious associates an
of the four elements fire and light, male and female. But
interest in Qabbalah.
Adam, too, chose to know the principles separately and fell.
In 1600 Martin Moller (d. 1606) came to the city as Lu-
In the loss of the balance, these four elements were awakened
theran pastor and formed the Conventicle of God’s Real Ser-
and male and female divided. Thereafter human beings have
vants, which Boehme joined following a religious conver-
chosen the fiery origin that, untempered by light, love, or the
sion. Deeply concerned with the problem of theodicy,
spiritual water of the new life, would destroy each individual
Boehme in 1612 completed Aurora, but when a copy of the
human being. In his mercy, however, God fully revealed the
manuscript fell into the hands of the local Lutheran pastor,
light element in the New Man, Christ, in whose perfect bal-
the book was confiscated and the author banned from fur-
ance each human being can once more live in harmony with
ther writing. Seven years later, as the result of an illumina-
the divine contemplation, the virgin Sophia.
tion, Boehme broke his silence with the publication of On
Following Boehme’s death, his disciples, chief among
the Three Principles of Divine Being, a work abounding in al-
whom was Abraham von Franckenberg (1593–1649), spread
chemic imagery, which was to shape the form of his argu-
his ideas throughout Europe. The Silesian poet Angelus Sile-
ments for the next several years. In 1620 there appeared On
sius (Johann Scheffler, 1624–1677) used Boehme’s images
the Three-fold Life of Man, On the Incarnation, Six Theosophi-
extensively in his poetry before and after his conversion from
cal Points, and Six Mystical Points. Other major works fol-
Lutheranism to Roman Catholicism. By 1661 Boehme’s
lowed quickly, including, Concerning the Birth and Designa-
works appeared in English translation, and under the direc-
tion of All Being, On Election to Grace, the large commentary
tion of Jane Leade (1623–1704) the Philadelphian Society
on Genesis titled Mysterium magnum, and the various tracts
was founded in London on Boehmist principles. In England
that make up The Way to Christ. As a result of these publica-
alone Boehme’s influence can be traced in the seventeenth
tions, Boehme was involved in bitter controversy, and suf-
century to persons of such stature as the Cambridge Platonist
fered exile for a short time. He died in Görlitz on November
Benjamin Whichcote, the poet John Milton, and the physi-
17, 1624.
cist Isaac Newton, and in the eighteenth century to the spiri-
In an attempt to solve the problem of theodicy, Boehme
tual writer William Law and the visionary poet William
began with the nothing (unknown even to itself), which, as
Blake. In the Low Countries, Boehme’s thought was popu-
a single unified will, wills a something. In this act of willing,
larized by the most important of his editors and students, Jo-
the Son is begotten. In this begetting the nothing discovers
hann Georg Gichtel (1638–1710), and by radical Quietists
the something within itself, which is itself the ground of
such as Antoinette Bourignon (1616–1680) and Pierre Poi-
the abyss. Simultaneously the will proceeds from the Son as
ret (1646–1719).
Holy Spirit to an eternal contemplation of itself as wisdom
(Sophia).
SEE ALSO Alchemy; Sophia.
In this contemplation are conceived the various possibil-
ities of being present in the Word (the Son) and created by
BIBLIOGRAPHY
Boehme, Jakob. Sämmtliche Schriften. 10 vols. Edited by Will-
it. The will of the nothing looks out to the something as light
Erich Peuckert. Stuttgart, 1955–1960.
(love) and returns into itself as a desiring fire (wrath). In the
knowledge that results, eternal nature has its being. The two
Koyré, Alexandre. La philosophie de Jacob Boehme (1929). Reprint,
fused principles of fire and light reflect in themselves a third,
New York, 1968. The fullest introduction to Boehme’s
the being of the universe, which is progressively manifested
thought.
through seven properties: harshness; attraction; dread; the ig-
Peuckert, Will-Erich. Das Leben Jakob Böhmes (1924). Reprint,
nition of fire, which is the basis of sensitive and intellectual
Stuttgart, 1961. A detailed biography of Boehme.
life; love, which overcomes the individualism of the first
Stoudt, John Joseph. Sunrise to Eternity. Philadelphia, 1957. The
four; the power of speech; and speech itself. All properties
best introduction to Boehme’s life and thought in English.
are present in all being. Further, the seven properties can be
Thune, Nils. The Behmenists and the Philadelphians. Uppsala,
categorized according to three principles. The first three
1948. A limited but useful outline of the Boehmist heritage.
properties represent the fire (wrath) principle. The fifth and
sixth properties represent the light (love) principle. The sev-
PETER C. ERB (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
BON
1007
BOETHIUS (c. 475–c. 525), more fully, Anicius Manli-
Augustine in matters of terminology and method. In On the
us (Torquatus) Severinus Boethius, late Roman philosopher,
Trinity, he employed the term theology for the first time as
theologian, and statesman. Because of the paucity of sources
a technical Christian term denoting the philosophical inqui-
concerning Boethius’s life, no more than the most shadowy
ry into the nature of God. Methodologically, his contribu-
biographical sketch is possible. A member of one of the great
tion lies in the use of formal Aristotelian demonstrative logic
Roman families, Boethius was almost certainly born at
for the first time in the service of Christian theology. In
Rome. The Rome in which he lived had lost much of its im-
doing so, he anticipated the fundamental character of the
portance—imperial control had given way to the reign of the
Thomistic method of “scientific” theology by some five and
barbarian king Odoacer about the time of his birth—but the
one-half centuries.
prestige of the Anician family remained intact, as shown by
the consulship of Boethius’s father in 487. Upon completing
BIBLIOGRAPHY
his schooling, which he presumably received at Rome, Bo-
Most of Boethius’s works have not been translated into English,
ethius continued his education by studying philosophy,
but The Theological Tractates and The Consolation of Philoso-
probably at Alexandria, but possibly in his native city. Of his
phy, translated by H. F. Stewart and E. K. Rand, are widely
public life, it is known only that he served as consul in 510
available in a Loeb Classical Library edition (Cambridge,
Mass., 1926). The best work in English on Boethius’s writ-
and that, about 523, he became master of offices, one of the
ings in general is Pierre Courcelle’s Late Latin Writers and
highest civil officials in the court of the Ostrogothic king of
Their Greek Sources, translated by Harry E. Wedeck (Cam-
Italy, Theodoric. While master of offices, Boethius was im-
bridge, Mass., 1969). For specific discussion of the Christian
plicated in a treasonable conspiracy with the Eastern emper-
theological works, see my study titled “Boethius Conception
or, which apparently centered upon a plot to overthrow The-
of Theology and His Method in the Tractates” (Ph.D. diss.,
odoric. Although Boethius resolutely maintained his
University of Chicago, 1974).
innocence, he was imprisoned. During his imprisonment he
A. RAND SUTHERLAND (1987)
wrote On the Consolation of Philosophy, his most famous
work, which he completed only shortly before his execution.
Much more important than his public career, which was
BON. There are two organized religious traditions in
not unusual for a person of his standing, was his literary ca-
Tibet: Buddhism and a faith that is referred to by its Tibetan
reer. In one of his early works, he described his projected pro-
name, Bon. Since its introduction into Tibet in the eighth
gram of philosophical writings: in a world in which the Latin
century, Buddhism has been the dominant religion; in the
West was rapidly losing its knowledge of Greek, Boethius
person of the Dalai Lama, present-day Tibetan Buddhism
wished to translate into Latin all the works of Plato and Aris-
has an articulate and internationally respected spokesman.
totle and to show, through a series of commentaries on these
works, that there was no essential conflict between the Pla-
The Bon religion is much less well known, although the
tonic and Aristotelian traditions. He did not realize this plan
number of its adherents in Tibet is by all accounts consider-
in its entirety, but he did translate a number of the logical
able. In the West, the traditional view of Bon has been less
works of Aristotle (the so-called Organon) and wrote (or pos-
than accurate. It has been characterized as “shamanism” or
sibly only translated from the Greek) several commentaries
“animism,” and as such, regarded as a continuation of what
on these writings. In doing so, he rendered a very important
supposedly were the religious practices prevalent in Tibet be-
service to the early medieval West by providing the only
fore the coming of Buddhism. It has also been described in
Latin translations of Aristotle available until the gradual in-
rather unfavorable terms as a perversion of Buddhism, a kind
troduction of the “new learning” in the late Middle Ages.
of marginal countercurrent in which elements of Buddhist
doctrine and practice have either been shamelessly copied or
Despite his failure to translate any of the works of Plato,
inverted and distorted in a manner that has been somewhat
Boethius did provide the medieval world with one of its most
imaginatively compared with satanic cults. It was only in the
important source books of Neoplatonic thought, On the
mid-1960s that a more accurate understanding of this reli-
Consolation of Philosophy, one of the most widely read books
gion emerged (first and foremost thanks to the efforts of
of the Middle Ages. Cast in the form of a cosmological reve-
David L. Snellgrove), so that Bon is now recognized as close-
lation by Lady Philosophy to the imprisoned and perplexed
ly related to the various Buddhist schools in Tibet (in partic-
Boethius, the Consolation presents a highly sophisticated and
ular the Rnying ma pa [Nyingma pa] order) and yet pos-
systematic Neoplatonic worldview. The curious fact that
sessed of an identity of its own that justifies its status as a
Boethius, who was certainly a Christian, looked to Neoplato-
distinct religion.
nism rather than to Christianity to console him is inex-
P
plicable.
ROBLEMS OF DEFINITION. An adherent of the Bon religion
is called a Bonpo, again using the Tibetan term. A Bonpo
Boethius’s chief creative contribution to the intellectual
is “a believer in bon,” and for such a believer the word bon
tradition of the West comes in his five brief Christian theo-
signifies “truth,” “reality,” or the eternal, unchanging doc-
logical works. Although these works are highly Augustinian
trine in which truth and reality are expressed. Thus bon has
in their content, Boethius established his independence from
the same range of connotations for its believers as the Tibet-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1008
BON
an word chos (corresponding to the Indian word dharma) has
its own historical perspective, it was introduced into Tibet
for Buddhists.
many centuries before Buddhism and enjoyed royal patron-
age until it was supplanted and expelled by the “false reli-
A problem, however, arises when one is confronted with
gion” (Buddhism) coming from India.
the fact that an important group of ritual experts in pre-
Buddhist Tibet were likewise known as bonpos. It is possible
Before reaching Tibet, however, it is claimed that Bon
that their religious practices were styled Bon (although schol-
prospered in a land known as Zhang-zhung and that this
ars are divided on this point); certainly their practices were
country remained the center of the religion until it was ab-
so designated in the later, predominantly Buddhist historio-
sorbed by the expanding Tibetan empire in the seventh cen-
graphical tradition. Be that as it may, their religious system
tury. There is no doubt as to the historical reality of Zhang-
was essentially different not only from Buddhism, but also,
zhung, although its exact extent and ethnic and cultural
in certain important respects, from the Bon religious tradi-
identity are far from clear. It does, however, seem to have
tion as practiced in later centuries. For example, the pre-
been situated in what today is, roughly speaking, western
Buddhist religion of Tibet gives the impression of being pre-
Tibet, with Mount Kailash as its center.
occupied with the continuation of life beyond death. It in-
The ultimate homeland of Bon, is, however, to be
cluded elaborate rituals for ensuring that the soul of a dead
sought farther to the west, beyond the borders of Zhang-
person was conducted safely to a postmortem land of bliss
zhung. The Bonpos believe that their religion was first pro-
by an appropriate animal—usually a yak, a horse, or a
claimed in a land called Rtag gzigs (Tazik) or ’Ol mo lung
sheep—which was sacrificed in the course of the funerary
ring. Although the former name suggests the land of the Ta-
rites. Offerings of food, drink, and precious objects likewise
jiks in Central Asia, it has so far not been possible to identify
accompanied the dead. These rites reached their highest level
this holy land of Bon in a convincing manner.
of elaboration and magnificence in connection with the
death of a king or a high nobleman; as was the case in China,
In Rtag gzigs, so the Bonpos claim, lived Ston pa Gshen
enormous funerary mounds were erected, and a large num-
rab (Tonpa Shenrap), a fully enlightened being who was, in
ber of priests and court officials were involved in rites that
fact, nothing less than the true Buddha of our world age. The
lasted for several years. The purpose of these rites was two-
Bonpos possess a voluminous biographical literature in
fold: on the one hand, to ensure the happiness of the de-
which his exploits are extolled. Without entering into details,
ceased in the land of the dead, and on the other, to obtain
or discussing the many problems connected with the histori-
their beneficial influence for the welfare and fertility of the
cal genesis of this extraordinary figure, one may at least note
living.
that his biography is not closely related to the biographical
traditions connected with S´a¯kyamuni, the Buddha on whose
The term Bon refers not only to these and other religious
authority the Buddhists base their doctrines. Ston pa Gshen
practices of pre-Buddhist Tibet, but also to the religion that
rab was a layman, and it was as a prince that he incessantly
apparently developed in close interaction with Buddhism
journeyed from his capital in all directions to propagate Bon.
from the eighth century onward and that still claims the ad-
It is remarkable that this propagation also included the insti-
herence of many Tibetans. It is with the latter religion that
tution of innumerable rituals, the supervision of the erection
this article is concerned. The Bonpos claim that there is an
of temples and stupas, and the conversion of notorious sin-
unbroken continuity between the earlier and the later reli-
ners. His numerous wives, sons, daughters, and disciples also
gion—a claim that, whatever its historical validity, is signifi-
played a significant role (in a way for which there is no Bud-
cant in itself.
dhist parallel) in this soteriological activity. It was only late
The matter is further complicated by the fact that there
in his life that he was ordained as a monk, and at that point
has always existed a vast and somewhat amorphous body of
in his career he retired to a forest hermitage. On the other
popular beliefs in Tibet, including beliefs in various tech-
hand, Ston pa Gshen rab is considered to have been a fully
niques of divination, the cult of local deities (connected,
enlightened being from his very birth, endowed with numer-
above all, with certain mountains), and conceptions of the
ous supernatural powers. His importance in the Bon religion
soul. In Western literature, such beliefs are frequently styled
is crucial; it is he who—directly or indirectly—lends authori-
“Bon,” and reference is made to “Bon animism” and other
ty to the religious literature of the Bonpos, and he is the ob-
supposedly typical Bon attributes. This has, however, no
ject of their intense devotion.
basis in Tibetan usage, and since this popular, unsystema-
RELIGIOUS BELIEFS AND PRACTICES. In the same way as the
tized religion does not form an essential part of Buddhism
Buddhists of Tibet divide their sacred scriptures into two vast
or Bon (although it is, to a large extent, sanctioned by and
collections, the Bonpos also—probably since the middle of
integrated into both religions), an appropriate term for it is
the fourteenth century CE—possess their own Bka’ ‘gyur
the one coined by Rolf A. Stein, “the nameless religion.”
(Kanjur, texts considered to have been actually expounded
THE BONPO IDENTITY. Although limited to Tibet, Bon re-
by Ston pa Gshen rab) and Brten ’gyur (Tenjur, later com-
gards itself as a universal religion in the sense that its doc-
mentaries and treatises), comprising in all approximately
trines are true and valid for all humanity. For this reason it
three hundred volumes. Since the middle of the nineteenth
styles itself G’yung drung Bon, “Eternal Bon.” According to
century wooden blocks for printing the entire collection 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
BON
1009
been available in the principality of Khro bcu in the extreme
of the visionaries—both monks and laymen—who reveal
east of Tibet, and printed copies of the canon were produced
“hidden texts.” During the Buddhist persecution of Bon in
until the 1950s. (The blocks were destroyed during the Cul-
the eighth and ninth centuries, the Bonpos claim, their sa-
tural Revolution.) The Bka’ ‘gyur and Brten ’gyur have been
cred texts were hidden in caves, buried underground, or
reconstituted and printed editions have been published in
walled up in certain temples. Later (apparently from the
Tibet.
tenth century onward) the texts were rediscovered—at first,
it would seem, by chance, and subsequently through the in-
A common division of the Bonpo Bka’ ‘gyur is the four-
tervention of supernatural beings who would direct the cho-
fold one into Su¯tras (mdo), Prajña¯pa¯ramita¯ texts ( Dbum),
sen gter ston (“treasure finder”) to the site. Later still, texts
Tantras (rgyud), and texts dealing with the higher forms of
would be revealed in visions or through purely mental trans-
meditation (mdzod, lit. “treasurehouse”). The Brten ’gyur is
ference from divine beings. The greater part of the Bon BkaD
divided into three basic textual categories: “External,” in-
Egyur and Brten Dgyur consists of such “rediscovered” or su-
cluding commentaries on the Vinaya, the Abhidharma, and
pernaturally inspired texts. “Treasure finders” have been ac-
the Su¯tras; “Internal,” comprising the commentaries on the
tive until the present, and indeed may be said to play an im-
Tantras and the rituals focusing on the major Tantric deities,
portant role in the revival of religious activities in Tibet
as well as the cult of d:a¯kin¯ıs, dharmapa¯las, and worldly ritu-
today, as texts that were hidden for safekeeping during the
als of magic and divination; and finally, “Secret,” a section
systematic destruction of the 1960s and 1970s are once more
that treats meditation practices. A section containing trea-
being removed from their hiding places.
tises on grammar, architecture, and medicine is appended.
For the sake of convenience, the Indian (Buddhist)
As is the case in Tibetan religion generally, these texts
terms corresponding to the Tibetan have been used here, but
are particularly important in that they serve, in an almost lit-
it must be kept in mind that although the Bonpos employ
eral sense, as liturgical scores for the innumerable and ex-
the same Tibetan terms as the Buddhists, they do not accept
tremely complex rituals, the performance of which occupies
their Indian origin, since they trace, as explained above, their
much of the time and attention of the monks. Many of these
entire religious terminology to Zhang-zhung and, ultimately,
rituals do not differ significantly from those performed by
to Rtag gzigs.
the Buddhists, except that the deities invoked—although
falling into the same general categories as those that apply
As this review of Bonpo religious literature indicates, the
to the deities of Maha¯ya¯na Buddhism—are different from
doctrines they contain are basically the same as those of Bud-
the Buddhist ones. They have different names, iconographi-
dhism. The concepts of the world as suffering, of moral cau-
cal characteristics, evocatory formulas (mantras), and myths.
sality and rebirth in the six states of existence, and of enlight-
A systematic study of this pantheon has, however, only just
enment and Buddhahood are basic doctrinal elements of
begun, and likewise, our knowledge of the rituals of the Bon-
Bon. Bonpos follow the same path of virtue and have re-
pos is still extremely incomplete.
course to the same meditational practices as do Buddhist Ti-
betans.
The laypeople are confronted by many of these deities,
impersonated by monks, in the course of mask dances. The
In the early fifteenth century—and indeed even earli-
lay Bonpos have the same range of religious activities as Ti-
er—the Bonpos began to establish monasteries that were or-
betan Buddhist laypeople: the practice of liberality toward
ganized along the same lines as those of the Buddhists, and
monks and monasteries (in exchange for the performance of
several of these monasteries developed into large institutions
rituals); the mechanical multiplication of prayers by means
with hundreds of monks and novices. The most prestigious
of prayer flags and prayer wheels; and journeys of pilgrimage
Bonpo monastery, founded in 1405, is Sman ri (Menree) in
to the holy places of Bon, such as Mount Kailash in the west-
central Tibet (in the province of Gtsang, north of the Brah-
ern Himalayas, or Bon ri (“mountain of Bon”), in the south-
maputra River). Fully ordained monks, corresponding to the
eastern province of Rkong po (Kong po).
Buddhist dge slong (Gelong; Skt., bhiks:u), are styled drang
srong (a term that in Tibetan otherwise translates r:s:i, the
THE DIFFUSION OF BON. Both Buddhists and Bonpos agree
semidivine “seers” of the Vedas). They are bound by all the
that when Buddhism succeeded in gaining royal patronage
rules of monastic discipline, including strict celibacy.
in Tibet in the eighth and ninth centuries, Bon suffered a
serious setback. By the eleventh century, however, an orga-
Over the centuries the monastic life of Bon has come
nized religious tradition, styling itself Bon and claiming con-
increasingly under the influence of the tradition of academic
tinuity with the earlier, pre-Buddhist religion, appeared in
learning and scholastic debate that characterize the dominant
central Tibet. It is this religion of Bon that has persisted to
Dge lugs pa (Geluks pa) school, but the older tradition of
our own times, absorbing doctrines and practices from the
Tantric yogins and hermits, constituting an important link
dominant Buddhist religion but always adapting what it
between the Bonpos and the Rnying ma pas, has never been
learned to its own needs and its own perspectives. This is,
quite abandoned.
of course, not just plagiarism, but a dynamic and flexible
An important class of religious experts, which likewise
strategy that has ensured the survival, indeed the vitality, of
finds its counterpart in the Rnying ma pa tradition, consists
a religious 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
1010
BONAVENTURE
Until recent years, much has been made in Western lit-
betan Bonpo monks in exile have collaborated with Western
erature of the fact that the Bonpos perform certain basic ritu-
scholars. The first major work to result from this entirely new
al acts in a manner opposite to that practiced by the Bud-
situation was The Nine Ways of Bon: Excerpts from the gZi-
dhists. Thus, when circumambulating sacred places and
brjid, edited and translated by David L. Snellgrove (1967; re-
objects or when spinning their prayerwheels, the Bonpos
print, Boulder, 1980), in which doctrinal material from the
proceed counterclockwise rather than following the (Indian
important fourteenth-century Bon text Gzi brjid was pres-
ented for the first time. In the following year, David L. Snell-
and Buddhist) tradition of pradaks:in:a¯, or circumambulation
grove and Hugh E. Richardson presented a historical frame-
“toward the right.” For this reason, it has been said of Bon
work for the development of Bon in A Cultural History of
that “its essence lay largely in contradiction and negation,”
Tibet (1968; reprint, Boulder, 1980) that has since been gen-
and Bon’s “willful perversions and distortions” have been
erally accepted. An excellent presentation of Bon was also
pointed out. The error of such views cannot be too strongly
given by Anne-Marie Blondeau in her article “Les religions
emphasized. The Bonpos are conscious of no element of
du Tibet,” in Histoire des religions, edited by Henri-Charles
“contradiction and negation” in their beliefs and practices
Puech, vol. 3 (Paris, 1976), pp. 233–329.
but regard their religion as the pure path to liberation from
An important survey of the Bon religion is Samten G. Karmay’s
suffering and rebirth. It is true that down through the centu-
“A General Introduction to the History and Doctrines of
ries Bonpo historiographers have generally regarded the in-
Bon,” Memoirs of the Research Department of the To¯yo¯ Bunko,
troduction of Buddhism into Tibet as a catastrophe, which
no. 33 (1975): 171–218 (also printed as a separate booklet,
they have ascribed to the accumulated collective “evil karma”
The M. T. B. Off-prints Series, no. 3; Tokyo, 1975). The
of the Tibetans. On the other hand, conciliatory efforts have
same scholar has also translated a history of Bon written by
not been lacking; thus one source suggests that Ston pa
the Bonpo scholar Shar rdza Bkra sh¯ıs Rgyal mtshan (1859–
1935) in 1922 under the title The Treasury of Good Sayings:
Gshen rab and S´a¯kyamuni were really twin brothers.
A Tibetan History of Bon (London, 1972).
It is difficult to assess just how large the Bonpo commu-
On Bon literature, see Per Kvaerne’s “The Canon of the Bonpos,”
nity of Tibet is. Certainly the Bonpos are a not insignificant
Indo-Iranian Journal 16 (1975): 18–56, 96–144, and Sam-
minority. Particularly in eastern Tibet, whole districts are
ten G. Karmay’s A Catalogue of Bonpo Publications (Tokyo,
populated by Bonpos. Scattered communities are also to be
1977). The monastic life of Bon (based on information from
found in central and western Tibet, particularly in the
Sman-ri monastery) is outlined in Kvaerne’s “Continuity
Chumbi Valley (bordering Sikkim) and among nomads. In
and Change in Tibetan Monasticism,” in Korean and Asian
the north of Nepal, too, there are Bonpo villages, especially
Religious Tradition, edited by Chai-shin Yu (Toronto, 1977),
in the district of Dolpo. At a point in history that remains
pp. 83–98. On meditational practices, see Kvaerne’s “‘The
Great Perfection’ in the Tradition of the Bonpos,” in Early
to be determined precisely, Bon exerted a strong influence
Ch’an in China and Tibet, edited by Whalen Lai and Lewis
on the religion of the Nakhi people in Yunnan Province in
R. Lancaster (Berkeley, 1983), pp. 367–392.
southwestern China; with this exception, the Bonpos do not
seem to have engaged in missionary enterprises. In India,
A detailed description of a Bonpo ritual has been provided in Per
Kvaerne’s Tibet, Bon Religion: A Death Ritual of the Tibetan
Bonpos belonging to the Tibetan refugee community have
Bonpos (Leiden, 1984). The same book analyzes the extensive
established (since 1968) a large and well-organized monas-
iconography connected with that particular ritual. The biog-
tery in which traditional scholarship, rituals, and sacred
raphy of Ston pa Gshen rab has been studied intensively on
dances are carried on with great vigor. Since 1980, when reli-
the basis of the Gzi-rjid and a series of paintings in Per Kva-
gious life was revived in Tibet itself, the Bonpos there have
erne’s “Peintures tibétaines de la vie de sTon-pa-gçen-rab,”
rebuilt several monasteries (albeit on a reduced scale), in-
Arts asiatiques 41 (1986).
stalled monks, and resumed—to the extent that prevailing
A general survey of the iconography of Bon is provided in Per
conditions permit—many aspects of traditional religious life.
Kvaerne, The Bon Religion of Tibet. The Iconography of a Liv-
It would thus seem that there is good reason to believe that
ing Tradition (London, 1995; reprint, 2001).
Bon will continue to exist, and even, with certain limits, to
PER KVAERNE (1987 AND 2005)
flourish.
SEE ALSO Buddhism, Schools of, article on Tibetan and
Mongolian Buddhism; Dge lugs pa; Tibetan Religions,
BONAVENTURE, religious name of Giovanni di Fi-
overview article.
danza (c. 1217–1274), Italian scholastic theologian, minister
general of the Friars Minor, cardinal bishop of Albano, doc-
BIBLIOGRAPHY
tor of the church, and Christian saint.
A well-illustrated introduction to Bon for the nonspecialist is
LIFE AND WORKS. Information concerning the early life of
Christian Baumet, Tibet’s Ancient Religion Bon (Bangkok/
Trumbull, Conn., 2002). When it was published in 1950
Bonaventure is scant. His parents were Giovanni di Fidanza,
and for many years thereafter, Helmut Hoffman’s Quellen
who was a doctor in Bagnoregio in Tuscany, and Maria di
zur Geschichte der tibetischen Bon-Religion (Wiesbaden, 1950)
Ritello. Bonaventure himself tells that he was cured of a seri-
was the most reliable and comprehensive study of Bon, based
ous childhood illness through his mother’s prayer to Francis
as it was on all sources available at the time. Since 1960, Ti-
of Assisi. After early schooling at the Franciscan friary in Bag-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BONAVENTURE
1011
noregio, Bonaventure began his studies at the University of
tuality of Francis of Assisi and the thought of Augustine but
Paris in 1235. After earning a master of arts degree, he en-
also by Dionysius the Areopagite, Boethius, Joachim of
tered the Franciscan order (Friars Minor), probably in 1243,
Fiore, Richard of Saint-Victor, Aristotle, and Ibn Gabirol
pursuing the study of theology first under the Franciscan
(Avicebron).
masters Alexander of Hales and John of La Rochelle and later
Bonaventure’s theological system is strongly Christo-
under Odo Rigaldi and William of Meliton.
centric. While his early Commentary on John describes a view
After he received a bachelor of scripture degree in Paris
emphatically centered around the Word, his final work, Col-
in 1248, Bonaventure began lecturing on the Bible. Al-
lations on the Six Days of Creation, reveals a system for which
though not all his commentaries survived, those on Luke and
the Word as incarnate is the point of departure for theologi-
John remain important sources for his early theological view-
cal reflection. While Christ is the historical foundation of
points. After giving his courses on the Sentences of Peter
Christian theology, reflection on Christ reveals the ontologi-
Lombard between 1250 and 1252, he was ready to receive
cal foundation of theology, which is the triune God.
the licentiate and the doctorate in theology. Although there
Doctrine on God. Bonaventure is deeply Augustinian
is some debate concerning the exact date of his formal accep-
in his conviction that the existence of God cannot be denied
tance into the masters’ guild, there is strong evidence indicat-
(Opera, vol. 1, p. 155; vol. 5, pp. 45–51). Human reason can
ing that he functioned as regent master at the school of the
be called on either to affirm or to deny the existence of God.
Friars Minor at Paris from 1253 to 1257. During this period,
Bonaventure develops three approaches that he sees not as
he composed at least three well-known sets of disputed ques-
philosophical demonstrations but as spiritual exercises that
tions: On Evangelical Perfection, On Christ’s Knowledge, and
make one aware of the closeness of God to the human spirit.
On the Mystery of the Trinity. Because of his election as minis-
Any doubt concerning the existence of God can arise only
ter general, Bonaventure had to resign his university post to
from some deficiency in the human subject. Ultimately,
take up the pressing tasks of administration. Even though he
knowledge of God is not an affair of the intellect alone. Love
no longer lectured at the university, he made Paris his head-
pushes beyond reason. The knowledge of God through love
quarters and preached frequently to the students and masters
is the goal to which the intellectual analysis is directed and
gathered there.
to which it is subordinate (Opera, vol. 3, pp. 689, 775).
During his first years as minister general of the Friars
Bonaventure’s theology of the Trinity begins with the
Minor, Bonaventure produced three works that are impor-
New Testament perception of God as a mystery of goodness
tant sources for his system of thought: a concise handbook
and love. This theme is developed into metaphysical reflec-
of theology called the Breviloquium (1257), a brief tract titled
tion on the nature of goodness and love by drawing on the
Retracing the Arts to Theology (date unknown), and a synthe-
insights of Dionysius the Areopagite, Richard of Saint-
sis of his speculative and mystical theology known as The
Victor, Aristotle, and the Liber de causis, an influential Neo-
Journey of the Mind to God (1259). Most of the writings com-
platonic work of uncertain authorship. This perception of
ing from his years as minister general are directly religious
God as supreme love that is necessarily triune is the highest
or ascetical in nature, including many sermons, letters, and
level of metaphysical insight available to the human mind in
regulations for the friars, two lives of Francis of Assisi, and
this world. Open to us only through revelation, it leads us
the Defense of the Mendicants (c. 1269). Of particular impor-
beyond philosophical metaphysics, which is constrained to
tance for insight into the development of Aristotelianism are
reflect on the supreme reality under the name of being
three sets of conferences held for the friars of Paris: On the
(Opera, vol. 5, p. 308). As supreme, self-communicative
Ten Commandments (1267), On the Seven Gifts of the Holy
goodness and love, God is conceived as plenitudo fontalis, an
Spirit (1268), and On the Six Days of Creation or the Illumi-
overflowing fount of being and life that first flows into the
nations of the Church (1273). The final set of conferences was
two internal emanations through which the Son is generated
left unfinished when Bonaventure was named cardinal bish-
and the Spirit is breathed forth, then flowing outward into
op of Albano by Pope Gregory X in 1273.
creation. Peculiar in Western trinitarian theology is the em-
Bonaventure left Paris to help with preparations for the
phasis given to the primacy of the Father within the Trinity.
Council of Lyons, which convened on May 7, 1274, and he
As the Trinity is first with respect to the created world, the
took an active part in the council until his unexpected death
Father is first with respect to the divine persons (Opera, vol.
on July 15, 1274. Canonized by Sixtus IV in 1482, he was
5, p. 115).
declared a doctor of the church by Sixtus V in 1588 with the
Christology. From the centrality of Christ in the spiri-
title “Seraphic Doctor.”
tuality of Francis of Assisi, Bonaventure moves to systematic
THEOLOGICAL TEACHING. Although not a stranger to phi-
reflection on Christ as the center. The core of the Christolog-
losophy, Bonaventure is known primarily as a theologian. He
ical mystery is that in Christ the center of reality has become
acknowledged philosophy as a legitimate and important level
incarnate and has been made historically visible. The theme
of reflection, but he believed that it must be transcended by
of the center becomes ever more important in Bonaventure’s
speculative theology and finally by mystical union with God.
thought, finding its most extensive development in his Colla-
Bonaventure’s theology was influenced not only by the spiri-
tions on the Six Days of Creation. The Son who from eternity
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1012
BONAVENTURE
is the center of the Trinity mediates all the divine works of
To the enlightened eye, the entire created world may be-
creation, illumination, and consummation. When the Son
come a road that leads the human person to God and thus
became incarnate in Jesus, he assumed his place as the center
to the fulfillment of creation’s destiny. The return of creation
of the created universe and its history.
to God (technically, reductio), which takes place in and
through the spiritual journey of humanity, is above all the
The concept of Christ as center is grounded in Bona-
work of the illumination and grace mediated through Christ.
venture’s understanding of exemplarity. As a metaphysical
The redemptive process, begun decisively in Christ, includes
concern, exemplarity is the question of the original reality in
the overcoming of sin (satisfaction) and the completion of
whose likeness all the copies in creation are formed. The Pla-
the creative work of God (cosmic fulfillment). The theology
tonic influence in Bonaventure’s thought is apparent in his
of redemption is the elaboration of the return of an incom-
conviction that exemplarity is the most basic metaphysical
plete and fallen creation to God.
question. The Word is the most compact expression of the
original divine reality, copies of which are scattered through-
Spiritual life. Bonaventure has long been regarded as
out the created cosmos. When the Word becomes incarnate
one of the masters of the spiritual life. Reflecting the spiritu-
in a particular human being, that human being provides the
ality of Francis of Assisi, the spiritual doctrine of Bonaven-
crucial key to unlock the mystery of reality. As the incarnate
ture is centered around Christ as mediator of grace and inte-
Word, Jesus is both the temporal and the eternal exemplar
rior teacher of the soul. Christ’s historical life and teaching
(Opera, vol. 8, pp. 242–243). Therefore, his moral teaching
manifest the basic values by which human life is transformed
and example have normative significance in the search for au-
in its response to God’s grace. As risen Lord, Christ functions
thentic human existence. For Bonaventure, spirituality is
as a hierarch, exercising the three hierarchical acts of purga-
above all the journey of the human soul to God. This journey
tion, illumination, and perfection, which Bonaventure draws
is made through the person of Christ, who mediates grace
from Dionysius the Areopagite (Opera, vol. 8, pp. 3–27).
to the soul and draws the human person to respond to God
Through its response to Christ’s action, the soul becomes
by shaping human life in terms of the normative values that
hierarchized as the disorder of sin is replaced by order. The
have been lived and taught by Christ.
goal of the spiritual journey is contemplative union in love
Creation and salvation. Creation and salvation are
with God. All philosophical and theological reflection is sub-
symbolized by the two sides of a circle whereby Bonaventure
ordinate to this end. Bonaventure follows Dionysius in de-
expresses the spiritual journey that is the mainspring of world
scribing a level of ecstatic, loving contact with God that tran-
history. Emanation and return (egressus and reditus) speak of
scends all purely intellectual knowledge of God. At this
the origin and finality of creation. These paired concepts in-
point, apophatic theology and silence are appropriate (Opera,
dicate that in Bonaventure’s system creation and salvation
vol. 5, pp. 312–313).
are inseparably related. Creation is the movement of finite
The doctrine of the soul’s journey integrates the spiritu-
being from nothing toward that fullness of life that consti-
ality of Francis into the broader context of Augustinian and
tutes salvation. Salvation is the actualization of the deepest
Dionysian mysticism. Finally, the journey of the individual
potential latent in finite reality by reason of the creative love
soul is integrated into the journey of the church, and Francis
of God.
of Assisi becomes the model of the destiny of the church as
Bonaventure’s understanding of creation coheres with
ecclesia contemplativa.
his understanding of God as plenitudo fontalis. Since God is
Theory of knowledge. While Bonaventure agrees with
the fullest abundance of being, creation is like an immense
Aristotle that knowledge of the external world is dependent
river that flows from the fecund love of God. Emanating
on sensation, he attempts to integrate elements of Aristotle’s
from the depths of the Father through the mediation of the
empiricism with Augustine’s doctrine of illumination. Con-
Son and the Spirit, creation circles back to its point of origin.
vinced that the experience of certitude can be accounted for
Emanation is always a movement toward return.
neither in terms of mutable objects nor in terms of the muta-
The world of created reality takes shape in a hierarchical
ble human mind, Bonaventure suggests a mode of divine co-
order based on degrees of Godlikeness. The faintest reflec-
operation whereby the human mind is elevated by the light
tion of God is found in the shadow (umbra) or vestige (ves-
of the divine ideas and thus is able to arrive at certitude even
tigium) at the level of inorganic substances and lower forms
though all the objects of experience are mutable (Opera, vol.
of life. By nature, man is an image (imago) principally be-
5, p. 23). The divine ideas function as a regulatory and moti-
cause of his soul. As the image is reformed by grace, it be-
vating influence that illumines the mind so that it can judge
comes a likeness (similitudo) of God. An angel, by reason of
in accord with the eternal truth. Illumination is involved es-
its purely spiritual nature, is also a similitude. Bonaventure
pecially in the full analysis of finite being, which leads ulti-
employs the doctrine of Dionysius the Areopagite on the an-
mately to absolute being. Such analysis, or reduction, is pos-
gelic and ecclesiastical hierarchies as a means of elaborating
sible only if the human mind is aided by that being that is
the structure of the angelic world and the mediatorial nature
“most pure, most actual, most complete and absolute”
of the church.
(Opera, vol. 5, p. 304).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BONES
1013
Though the soul is dependent on the senses for knowl-
Boehner and M. Frances Laughlin (Saint Bonaventure, N.Y.,
edge of the external world, it enjoys a relative independence
1955–), are most useful because of their scholarly introduc-
of the senses in its knowledge of itself and its own activity.
tions and commentaries. This series has published Retracing
Thus Bonaventure departs from the Aristotelian view that
the Arts to Theology, translated by Emma Thérèse Healy
there is nothing in the intellect that is not first in the senses,
(1955); The Journey of the Mind into God, translated by
and he incorporates into his theory of knowledge the way of
Philotheus Boehner (1956); and Saint Bonaventure’s Disput-
ed Questions on the Mystery of the Trinity, translated by me
interiority inherited from Augustine and found in a variety
(1979). A five-volume series of translations by José de Vinck
of mystical systems.
entitled The Works of St. Bonaventure (Paterson, N.J., 1960–
Theology of history. Among the great theologians of
1970) provides no commentary. Three sermons on Christ
history, Bonaventure is one of the most consistently apoca-
with commentary offering an orientation to the Christology
of Bonaventure are found in my edited volume What Manner
lyptic. Influenced by Joachim of Fiore’s theory of exegesis,
of Man? (Chicago, 1974). Ewert H. Cousins’s Bonaventure
Bonaventure interpreted Francis of Assisi as a positive sign
(New York, 1978) provides fresh translations of The Soul’s
of the dawning of a new contemplative age. The adulteration
Journey, the Tree of Life, and the Life of Saint Francis with
of the wine of revelation by the water of philosophy was seen
an introduction relating the spiritual doctrine to Bonaven-
as a negative sign of apocalyptic import. To Bonaventure it
ture’s theology.
seemed that his own time was experiencing the crisis of the
Jacques Guy Bougerol’s Introduction to the Works of Bonaventure
“sixth age” of history. This would be followed by an age of
(Paterson, N.J., 1964) is a useful resource for information on
full revelation and peace prior to the end of the world, an
the sources, chronology, and stylistic characteristics of Bona-
age in which the Holy Spirit would lead the church into the
venture’s writings.
full realization of the revelation of Christ, making all rational
John Francis Quinn’s The Historical Constitution of Saint Bona-
philosophy and theology superfluous.
venture’s Philosophy (Toronto, 1973) gives a full historical ac-
INFLUENCE. Bonaventure’s theological views were instru-
count of the modern controversy concerning Bonaventure’s
mental in consolidating late-thirteenth-century opposition
philosophy together with an excellent bibliography. On the
to radical Aristotelianism. In the context of the controversy
philosophical aspects of Bonaventure’s thought, Étienne Gil-
concerning Thomas Aquinas’s philosophy, Franciscans, in-
son’s The Philosophy of Saint Bonaventure (Paterson, N.J.,
cluding John Pecham, Roger Marston, William de la Mare,
1965) is still the classic exposition. Examining the inner
Walter of Bruges, Matthew of Aquasparta, and others, devel-
structure of Bonaventure’s thought from the perspective of
oped a form of neo-Augustinianism that drew much inspira-
archetypal thought-patterns, Ewert H. Cousins’s Bonaven-
ture and the Coincidence of Opposites (Chicago, 1978) offers
tion from the work of Bonaventure. It is hardly possible,
a challenging and controversial analysis.
however, to speak of a Bonaventurian school in the four-
teenth century. The founding of the College of Saint Bona-
An excellent resource for Bonaventure’s trinitarian theology is
venture at Rome by Sixtus V in 1587 was intended to foster
Konrad Fischer’s De Deo trino et uno (Göttingen, 1978). A
full, systematic exposition of Christology emphasizing the
Bonaventurian studies. The most significant contribution of
synthesis of spirituality and speculative thought is presented
the college was the first complete edition of the works of
in my book The Hidden Center (New York, 1981). Joseph
Bonaventure (1588–1599). An attempted Bonaventurian re-
Ratzinger’s The Theology of History in Saint Bonaventure
vival in the seventeenth century met with little success. The
(Chicago, 1971) is an important study of the mature work
College of Saint Bonaventure at Quaracchi, near Florence,
of Bonaventure and its relation to Joachim of Fiore. The first
founded in the late nineteenth century, produced the critical
four volumes of S. Bonaventura, 1274–1974, edited by
edition of Bonaventure’s works, which provides the basis for
Jacques Guy Bougerol (Grottaferrata, 1973–1974), include
the many studies that appeared in the twentieth century.
discussion of iconography and articles on philosophy, theolo-
gy, and spirituality. Volume 5 contains the most extensive
The influence of Bonaventure as a master of the spiritual
and up-to-date bibliography.
life has been extensive, especially in Germany and the Neth-
erlands during the late Middle Ages. The Soliloquy and the
ZACHARY HAYES (1987)
Threefold Way were widely disseminated in vernacular trans-
lations and influenced Germanic education, piety, and theol-
ogy for centuries. In Bonaventura deutsch (Bern, 1956), Kurt
BONES have long been a major object of concern in buri-
Ruh calls Bonaventure “an essential factor in the history of
al, sacrificial, and divination practices throughout the world.
the German mind” (p. 295).
Indeed, this role has been so significant that a number of the-
ories have been developed to explain their prominence. In
BIBLIOGRAPHY
the earlier part of the twentieth century, many of these theo-
The most complete and reliable edition of Bonaventure’s works
ries were based upon evolutionary claims: several scholars hy-
is the critical edition published as Opera omnia, 10 vols.
pothesized that the rituals involving bones emerged from ear-
(Quaracchi, 1882–1902).
lier hunting cultures, and that the continuing prevalence of
Of the English translations available, those being published in the
bones in the rituals of agricultural societies represented a sur-
series “Works of Saint Bonaventure,” edited by Philotheus
vival of these earlier beliefs.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1014
BONES
Particular emphasis in many of the theories about bones
perhaps made bones—to paraphrase Lévi-Strauss (1963,
was based on ethnographic evidence from northern Eurasia
p. 89)—good to utilize in ritual actions dealing with human
and northern America, where several hunting societies be-
afterlife, as well as with sacrifices and divinations to immortal
lieved that after they killed an animal, its bones should be
or long-lived gods.
treated with ritual care (for instance, buried, hung in trees,
A
thrown into the sea). If done properly, the animal would
NCIENT GREEK SACRIFICE. In terms of Greek sacrificial tra-
ditions, the most significant attempt to analyze the meanings
then be reborn from the bones. The single most famous ex-
of the ritual acts has been undertaken by Jean-Pierre Vernant
ample of these beliefs is the bear ceremonial, practiced
and Marcel Detienne. According to Vernant (1989) and De-
among the Inuit, Saami, and Ainu, among others (see Hallo-
tienne (1989), the code of early Greek sacrifice can rather be
well, 1926).
explained with reference to the cultural concerns expressed
Building upon this evidence, figures such as Adolf Frie-
in Hesiod’s Theogony. There, sacrifice is presented as a reca-
drich, Karl Meuli, Joseph Henninger, and Walter Burkert ar-
pitulation of the actions of Prometheus. According to Hesi-
gued that these were probably widespread Paleolithic beliefs,
od, Prometheus killed an ox and split it into two portions:
and that sacrificial, burial, and divination practices in cul-
the meat and the bones. In order to fool Zeus, Prometheus
tures throughout the world should accordingly be explicated
then disguised both portions—wrapping the bones in fat to
as remnants of these early rituals. Henninger (1971), for ex-
make them look appetizing, and hiding the meat in the ox’s
ample, used this argument to analyze the proscription against
stomach to make it look unappetizing. He kept the meat for
breaking the bones of the Passover lamb. Meuli (1946) and
himself, and offered the disguised bones to Zeus. As a pun-
Burkert (1983) attempted to explicate ancient Greek sacrifi-
ishment for the trick, Zeus kept fire away from Prometheus,
cial practice along these lines as well. Combining archaeolog-
and Prometheus had to steal it in order to cook the meat.
ical data of bone assemblages with the ethnographic record
Zeus in turn gave humanity women and death. The acts of
of hunting societies in Siberia, Meuli and Burkert hypothe-
Prometheus thus won humanity autonomy from the gods,
sized that early hunters perhaps felt guilt over killing for
but they also condemned humanity to mortality and a life
food, so they would gather the bones of the killed animals
of labor, as opposed to the immortality of the gods. Accord-
to help restore the animals to life. Accordingly, Meuli and
ing to Vernant and Detienne, Greek sacrificial practice is
Burkert argued, the ancient Greek sacrificial practice of offer-
symbolically a repetition of the acts of Prometheus: the offer-
ing the bones of a slaughtered animal to the gods should be
ing of bones to the gods thus underscores that gods do not
understood as a survival of these earlier hunting rituals.
need to eat, while humans, who require sustenance to sur-
vive, consume the meat. The sacrificial meal is thus both a
The problems with such theories are twofold. To begin
communion between gods and humanity as well as a recapit-
with, the ethnographic record necessitates a qualification of
ulation of the tragic separation of humanity from the immor-
some of the assumptions made by these scholars concerning
tal life of the gods. Here, then, the practice of utilizing bones
hunting rituals. Although it is true that several hunting socie-
in sacrifice is explicated not through survivals of earlier hunt-
ties practice rituals to ensure the rebirth of the animals they
ing rituals but rather through the symbolic associations with
kill, these rituals are not necessarily focused predominantly
bones in the culture in question.
upon the bones. With the Algonquian Cree, for example, de-
positing bones in a mortuary is a crucial part of their ritual
BONES IN MORTUARY PRACTICES. Much scholarship has
practices, but equally important is the consumption of the
also been undertaken to study the meanings of bones in mor-
animals’ flesh because the cycle of reincarnation for animals
tuary practices. A particularly rich area for the study of these
includes the phase of passing through humans (Brightman,
practices is Southeast and East Asia, where one finds a strong
1993). Among the Kwakiutl, as well, a constant concern was
distinction made between flesh, seen as the inheritance of the
to recycle the souls of the animals one killed, but the animals’
mother, and the bones, seen as the inheritance of the father
skins were at least as important as the bones for this recycling
(Lévi-Strauss, 1969, pp. 393–405). In patrilineal cultures
process (see in particular Goldman, 1975, and Walens,
that support such a distinction, the goal is often to define an-
1981).
cestors solely in terms of the bones. This has led to the prac-
tice of “secondary burial.” After the dead have been buried,
The second problem with the theories mentioned above
they are later dug up again and reburied. The crucial issue
is that arguments of survival are often insufficient. Even if
here is that during the first internment, the flesh—a pollu-
a given ritual were to survive from an earlier period, it is still
tion that needs to be eradicated—decomposes. The society
important to understand the meanings that the ritual has for
is then free to bury the bones—associated with the patrilineal
the people who practice it. Because of this, scholars have
line—in a way that ensures the continuity of the patrilineal
more recently shifted the focus to analyses of the symbolic
line freed from the pollution of flesh.
associations of rituals in particular cultures. According to this
reading, the explanation for the importance of bones in reli-
Burial practices of this sort have been described in south
gious practices throughout the world would lie in something
China. As James Watson has described among rural Canton-
simpler than survival from earlier hunter-gatherer practices.
ese of the New Territories, Hong Kong, the goal of a family
The fact that bones survive long after the flesh decays has
is to maintain the patriline. Marriage is exogamous, so fe-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BONES
1015
males are brought in from other lineages in order for a patri-
this reproduction. Yet bones are not necessarily seen as the
line to continue. Because the patriline is associated with the
basis of that reproduction. The particular meanings attached
bones, the flesh that the females contribute is seen as bring-
to bones vary dramatically across cultures, and the ways that
ing in a dangerous pollution to the family as well. After
bones are utilized vary as well with the forms of reproduction
death, therefore, the goal is to eradicate this flesh and define
that the rituals seek to create.
the ancestor exclusively in terms of the bones. The corpse is
SCAPULIMANCY. Similar points made regarding mortuary
first placed in a coffin. Just before the coffin is taken out of
practices could also be made with regard to divination prac-
the village, the daughters and daughters-in-law of the de-
tices of scapulimancy. During the late period of the Chinese
ceased rub their hair against the coffin, thus absorbing the
Shang dynasty (c. 1500–1050 BCE), divinations to ancestors
pollution of the decaying flesh. The coffin is then buried.
were made through the use of the scapula of oxen and the
Then, after roughly seven years (and after the flesh has fully
carapaces of turtles (see Keightley, 1978). Heat was applied
decomposed), the bones are exhumed. The bones are cleaned
to the bones, and the diviner then read the resulting cracks
of every last scrap of flesh and are then placed in a ceramic
in the bones to foretell the future. The divinations them-
urn. An auspicious location is determined, and the bones are
selves were then carved into the bone. Similar forms of
reburied in a tomb. If done properly, the bones are then be-
scapulimancy (without the carved inscriptions) have been re-
lieved to bring fertility and good luck to the descendants.
corded in Mongolia (see in particular Bawden, 1959), Tibet,
The Merina of Madagascar, as described by Maurice
Japan, and Siberia (Cooper, 1936). It was also practiced in
Bloch (1971), also practice secondary burial, but with some-
North America among Algonquin speakers, who would uti-
what different cultural concerns. When a death occurs, the
lize the caribou or hare shoulder blade or grouse sternum
dead person is simply buried on a hillside near the place
(Speck, 1935, p. 139; Tanner, 1979, pp. 117–124), as well
where the death occurred. This first burial represents the
as among northern Athabaskan speakers (Cooper, 1936).
death of the individual. After the corpse has decomposed, the
Because scapulimancy is practiced in many of the same
remains are then exhumed. Unlike the Cantonese, however,
cultures across northern Eurasia and the Americas that schol-
effort is made to recover not just the bones but also some of
ars looked to for examples of hunting rituals concerning
the powdered remains of the flesh. The difference here pre-
bones, attempts have been made to connect scapulimancy to
sumably is due to the fact that, unlike the exogamous Can-
beliefs associating bones with rebirth. Mircea Eliade, for ex-
tonese, the Merina are endogamous: because the mother of
ample, proposed that bones were used for divination because
the deceased came from within the same kin group, the
they symbolized everything pertaining to the future of life
Merina do not feel the need to define the flesh as a nonline-
(Eliade, 1964, pp. 164–165). While this remains a hypothe-
age pollution requiring full eradication (Bloch and Parry,
sis worth exploring, other explanations have been attempted
1982, pp. 20–21). The decomposed corpse would then be
as well. Bogoras (1907, pp. 487–488), for example, points
moved to a communal ancestral tomb in the land of the de-
out that the Chukchi of Siberia treated the scapula used for
ceased’s kin group. For the reburial, the corpses of the other
divination as world maps. Keightley, in part inspired by Bo-
ancestors were taken out and—together with the corpses of
goras, has suggested that Shang divination bones may have
the recently deceased—danced with joyously, then reburied
also had the same symbolic associations (2000, pp. 93–96).
in the communal tomb. This communal secondary burial in
Further research on the meaning of bones in the numerous
the ancestral land represents the collectivity and continuity
cultures that practice scapulimancy would well repay the
of the ancestral line.
efforts.
In other burial practices, the goal is to have the soul es-
SEE ALSO Death; Relics; Sacrifice.
cape from the confines of the bones. In Hindu practices in
Benares, as described by Parry (1982), proper death is be-
lieved to occur when the chief mourner cracks open the skull
BIBLIOGRAPHY
Bawden, C. R. “On the Practice of Scapulimancy among the
of the corpse to release the vital breath. Following this, the
Mongols.” Central Asiatic Journal 4 (1959): 1–44. A detailed
entire body of the corpse is cremated, and the ashes are
study of Mongolian scapulimancy.
thrown into the Ganges. The goal, in short, is the complete
destruction of the body. Death is thus symbolically presented
Bloch, Maurice. Placing the Dead: Tombs, Ancestral Villages, and
as though the deceased had renounced his or her own body.
Kinship Organization in Madagascar. London, 1971. An ex-
emplary analysis of mortuary practice in relation to kinship
Parry argues that the goal is to present each individual death
organization, focused on the Merina of Madagascar.
as a recapitulation of the beginning of the cosmos, in which
Vis:n:u generated the world through a self-sacrifice. The mor-
Bloch, Maurice, and Jonathan Parry. “Introduction: Death and
tuary practice is thus presented symbolically as part of a re-
the Regeneration of Life.” In Death and the Regeneration of
Life, pp. 1–44. Cambridge, U.K., 1982. Penetrating discus-
generation of life.
sion of mortuary practices from a comparative standpoint.
In all of these mortuary practices, reproduction is in-
Bogoras, W. G. The Chukchee Religion. Memoirs of the American
deed crucial—the reproduction of the patriline, the kin
Museum of Natural History 11.2. Leiden and New York,
group, or the world as a whole. Bones play a crucial role in
1907. A classic study of Chukchi 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
1016
BONHOEFFER, DIETRICH
Brightman, Robert. Grateful Prey: Rock Cree Animal-Human Rela-
Bloch and Jonathan Parry, pp. 74–110. Cambridge, U.K.,
tionships. Berkeley, Calif., 1993. An excellent ethnography of
1982. A penetrating analysis of Hindu mortuary practices in
an Algonquian Cree group.
Benares.
Burkert, Walter. Homo Necans: The Anthropology of Ancient Greek
Speck, Frank G. Naskapi: The Savage Hunters of Labrador Peninsu-
Sacrifical Ritual and Myth. Translated by Peter Bing. Berke-
la. Norman, Okla., 1935. A classic ethnography of an Algon-
ley, Calif., 1983. An attempt to link Greek sacrificial practice
quian-speaking group.
to hypothetical Paleolithic hunting practices.
Tanner, Adrian. Bringing Home Animals: Religious Ideology and
Cooper, John M. “Scapulimancy.” In Essays in Anthropology Pres-
Mode of Production of the Mitsassini Cree Hunters. New York,
ented to A. L. Kroeber, edited by Robert H. Lowie,
1979. An excellent ethnography of the religion of an Algon-
pp. 29–43. Berkeley, Calif., 1936. A comprehensive study of
quian Cree group.
the geographical range of the practice of scapulimancy.
Detienne, Marcel. “Culinary Practices and the Spirit of Sacrifice.”
Vernant, Jean-Pierre. “At Man’s Table: Hesiod’s Foundation
In The Cuisine of Sacrifice among the Greeks, edited by Marcel
Myth of Sacrifice.” In The Cuisine of Sacrifice among the
Detienne and Jean-Pierre Vernant, pp. 1–20. Translated by
Greeks, edited by Marcel Detienne and Jean-Pierre Vernant,
Paula Wissing. Chicago, 1989. A superb study of the sym-
pp. 21–86. Translated by Paula Wissing. Chicago, 1989. A
bolic associations of bones and flesh in Greek sacrificial
penetrating reading of Hesiod in conjunction with Greek
practice.
sacrificial practice.
Eliade, Mircea. Shamanism: Archaic Techniques of Esctasy. Trans-
Walens, Stanley. Feasting with Cannibals: An Essay on Kwakiutl
lated by Willard R. Trask. Princeton, 1964. A classic study
Cosmology. Princeton, 1981. Excellent study of Kwakiutl reli-
of shamanism from a comparative standpoint.
gion.
Friedrich, Adolf. “Knochen und Skelett in der Vorstellungswelt
Watson, James. “Of Flesh and Bones: The Management of Death
Nordasiens.” Wiener Beiträge sur Kulturgeschichte und
Pollution in Cantonese Society.” In Death and the Regenera-
Linguistik 5 (1943): 189–247. A highly influential study of
tion of Life, edited by Maurice Bloch and Jonathan Parry,
North Asian bone symbolism.
pp. 155–186. Cambridge, U.K., 1982. A superb study of the
Goldman, Irving. The Mouth of Heaven: An Introduction to Kwaki-
social meanings of Cantonese mortuary practices.
utl Religious Thought. New York, 1975. An excellent study
of Kwakiutl religion.
MICHAEL J. PUETT (2005)
Hallowell, A. I. “Bear Ceremonialism in the Northern Hemi-
sphere.” American Anthropologist 28 (1926): 1–175. A classic
study of the bear ceremony.
BONHOEFFER, DIETRICH (1906–1945), Lu-
Henninger, Joseph. “Neure Forschungen zum Verbot des Knoc-
theran pastor, theologian, and martyr. The sixth of eight
henzerbrechens.” In Studia Ethnograpica et Folkloristica in
children, Bonhoeffer was raised in Berlin in the upper-
honorem Béla Gunda, pp. 673–702. Debrecen, Hungary,
middle-class family of a leading neurologist. He received his
1971. An attempt to see the prohibition against breaking
bones in various rituals as resulting from a survival of early
doctorate in theology from the University of Berlin. A stu-
hunting beliefs concerning the reanimation of undamaged
dent of Adolf von Harnack, Bonhoeffer was deeply influ-
bones.
enced by the writings of the young Karl Barth. From 1930
Keightley, David N. Sources of Shang History: The Oracle-Bone In-
to 1931, he studied at Union Theological Seminary in New
scriptions of Bronze Age China. Berkeley, Calif., 1978. An in-
York with Reinhold Niebuhr. He then returned to Berlin,
troduction to the study of Chinese oracle-bone inscriptions.
teaching theology and becoming student chaplain and youth
Keightley, David N. The Ancestral Landscape: Time, Space, and
secretary in the ecumenical movement.
Community in Late Shang China (ca. 1200–1045 B.C.). Insti-
As early as 1933 Bonhoeffer was struggling against the
tute of East Asian Studies. Berkeley, Calif., 2000. A compre-
Nazification of the churches and against the persecution of
hensive analysis of the world of Shang China as seen through
the Jews. Disappointed by the churches’ nonaction against
the oracle-bone materials.
Nazism, he accepted a pastorate for Germans in London.
Lévi-Strauss, Claude. Totemism. Translated by Rodney Needham.
However, when the Confessing church (i.e., Christians who
Boston, 1963. An influential attempt to analyze how cultures
utilize aspects of the natural world for social purposes.
resisted Nazi domination) founded its own seminaries, he re-
turned to Germany to prepare candidates for ordination, a
Lévi-Strauss, Claude. The Elementary Structures of Kinship. Trans-
lated by James Harle Bell, John Richard von Sturmer, and
task he considered the most fulfilling of his life. As a result
Rodney Needham. Boston, 1969. A structural analysis of
of this work, he was forbidden to teach at the University of
kinship.
Berlin. In 1939, after conflicts with the Gestapo, he accepted
Meuli, Karl. “Griechische Opferbräuche.” In Phyllobolia (Fest-
an invitation to the United States, again to Union Theologi-
schrift Peter Von der Mühll), pp. 185–288. Basel, 1946. A
cal Seminary. After four weeks, however, he returned to Ger-
controversial thesis arguing that aspects of Greek sacrificial
many, convinced he would be ineffectual in the eventual re-
practice involving bones should be understood as survivals of
newal of his nation were he to live elsewhere during its most
Paleolithic beliefs.
fateful crisis. He then became an active member of the con-
Parry, Jonathan. “Sacrificial Death and the Necrophagous Ascet-
spiracy against Hitler. On April 5, 1943, he was imprisoned
ic.” In Death and the Regeneration of Life, edited by Maurice
on suspicion. After the plot to assassinate Hitler failed, Bon-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BONIFACE
1017
hoeffer was hanged (on April 9, 1945), along with five thou-
ology because they seemed to him to touch only the insignifi-
sand others (including three other members of his family) ac-
cant corners of life.
cused of participating in the resistance.
The originality of Bonhoeffer’s thought may be summa-
Bonhoeffer’s writings have been widely translated. His
rized in three ways. First, by employing biblical and modern
early work reflects his search for a concrete theology of reve-
criticism of religion, he gave to theology and piety epochal
lation. His first dissertation, “Sanctorum Communio,” pub-
stress on the idea that the God who is not of this world posits
lished in Germany in 1930 (also under that title in London,
a requisite “this-worldliness” of faith, which is not, however,
1963; and as The Communion of Saints, New York, 1963),
absorbed by immanentism. Second, Bonhoeffer’s words and
relates the revelational character of the church to its sociolog-
deeds teach that each generation must discern its own partic-
ical features. An original statement at the time, it remains
ular means to express its contribution to faith and action.
evocative. His second dissertation, “Act and Being,” was
Third, in areas where developments press toward a “confess-
written in 1931 against a background of such opposing phi-
ing church,” Bonhoeffer challenges Christians to analyze and
losophies as Kantian transcendentalism and Heideggerian
to resist ideological syncretism with any zeitgeist, whether
ontology. This work tries to reconcile an existential theologi-
the result is a Greek, a Teutonic, or an American Christ.
cal approach with an ontological one. According to Bonhoef-
His influence is worldwide for two reasons. First, his life
fer, these approaches work themselves out in the church, in
as theologian and thinker was sealed by martyrdom. Second,
which revelational contingency and institutional continuity
Bonhoeffer’s legacy has stimulated ecumenism beyond his
merge.
own national, spiritual, and institutional borders, including
influence among Roman Catholics and Jews who see in him
Turning to the actual life of the church and to criticism
a Christian theologian who never cheaply evaded controver-
of it, Bonhoeffer, in 1937, published his controversial The
sial issues.
Cost of Discipleship (New York, 1963). Asserting that “cheap
grace is the deadly enemy of our Church,” this work, which
BIBLIOGRAPHY
is based on the sermon on the mount, critiques a Reforma-
For a comprehensive listing of primary and secondary literature,
tion heritage that breaks faith and obedience asunder. In Life
see Clifford J. Green’s “Bonhoeffer Bibliography: English
Together (New York, 1976), Bonhoeffer’s most widely read
Language Sources,” Union Seminary Quarterly Review (New
book, the author considers experiments to renew a kind of
York) 31 (Summer 1976): 227–260. This admirable work is
monastic life for serving the world. In 1939 Bonhoeffer
continually revised and amended in The News Letter of the
began to write a theological ethics, the work he intended to
English Language Section of the International Bonhoeffer
be his life-work, but he completed only fragments of it (Eth-
Society for Archival Research.
ics, New York, 1965). These fragments reveal Bonhoeffer as
In addition to the works by Bonhoeffer mentioned in the article,
moving beyond a situational ethic to a Christ-centered one.
see three collections of letters, lectures, and notes titled No
Rusty Swords (New York, 1965), The Way to Freedom (New
The most influential of Bonhoeffer’s posthumous publi-
York, 1966), and True Patriotism (New York, 1973). For
cations has become Letters and Papers from Prison (New
works about Bonhoeffer, see my Dietrich Bonhoeffer: Theolo-
York, 1972). Among his daily observations was a vision of
gian, Christian, Contemporary, 3d abr. ed. (New York, 1970);
a future Christianity ready for “messianic suffering” with
André Dumas’s Dietrich Bonhoeffer: Theologian of Reality
Christ in a “nonreligious world.” To Bonhoeffer “religion”
(New York, 1971); Clifford J. Green’s The Sociality of Christ
was a province separated from the whole of life—providing
and Humanity: Dietrich Bonhoeffer’s Early Theology, 1927–
cheap escapism for the individual—and a tool in the hands
1933 (Missoula, Mont., 1972); and Keith W. Clements’s A
Patriotism for Today: Dialogue with Dietrich Bonhoeffer (Bris-
of the powers that be for continuing domination of depen-
tol, 1984).
dent subjects. Bonhoeffer was critical of Western Christiani-
ty because of its complicity with the Holocaust; his letters
EBERHARD BETHGE (1987)
reveal his conviction that a life with Christ means “to exist
for others.” It was his belief in a “religionless Christianity”—
that is, a praying church that responds to Christ out of the
modern (not sinless) strength of human beings and their de-
BONIFACE (673–754), the most distinguished in the
cisions—that enabled Bonhoeffer to begin to write a revised
group of English missionaries who, in the eighth and suc-
theology of “Jesus, the man for others,” and to participate
ceeding centuries, felt impelled to cross the seas and to
in the conspiratorial counteraction against the deadly forces
preach the gospel to the peoples of the continent of Europe
of Hitler.
who were still non-Christians. Winfrith, to whom the pope,
as tradition has it, gave the name Boniface in 722, was a mis-
Bonhoeffer’s thought emerged from his cultural heritage
sionary, founder of monasteries, diffuser of culture, and
of German liberalism. He suffered when he experienced its
church organizer. Born in Devonshire, he was introduced to
weakness in the face of Nazism. He rethought this heritage
monastic life at an early age. Here he grew up in an atmo-
within a Christocentric theology, thus becoming a radical
sphere of strict observance of the Benedictine rule and accep-
critic of his contemporary church and of contemporary the-
tance of the vivid culture which was spreading abroad 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
1018
BONIFACE VIII
Northumbria. His many gifts would have assured him of a
and used his monasteries as centers for the diffusion of
distinguished career in the growing English church but he
knowledge. He himself wrote Latin clearly and elegantly,
felt within himself an intense inner call to carry the gospel
coming between the over-elaborate style of Aldhelm
to the as yet non-Christian world.
(d. 709) and the rather flat scholastic Latin of the Middle
Ages. Frank Stenton has called him the one great writer pro-
Two attempts at missionary work with Willibrord in
duced by the early schools of southern England and a man
Friesland led to nothing, perhaps because of temperamental
of individual genius.
differences between the two. In 719, Winfrith made the
journey to Rome and received a commission from the pope
The part played by women in the development of the
as missionary to the Frankish lands. This commission was
church in this period is astonishing. At a time at which the
later strengthened by his consecration as bishop. Before long
vast majority of women were illiterate, the religious houses
the missionary convictions of Boniface became firmly settled
of England produced a number of aristocratic and highly cul-
on three points: that the missions of the Western church
tivated nuns, a number of whom Boniface brought over to
must be controlled and directed by the central authority in
Europe to be the abbesses of his newly founded monasteries.
Rome, that religious houses both for men and women must
To Leobgytha (Leoba), abbess of Tauferbischofsheim, he was
be founded to supply the necessary continuity of Christian
bound, as the letters exchanged between them show, in a re-
life in a period of almost ceaseless military disturbance, that
lationship of specially affectionate friendship. She survived
regular dioceses must be founded and supplied with loyal
him by more than a quarter of a century, and when she died
and well-trained bishops.
in 780, she was buried near her venerable friend at Fulda,
in accordance with her earnest desire.
The first period of Boniface’s work was marked by nota-
In 752, Boniface, feeling that his work was done, and
ble successes in Hesse and Thuringia. At Geismar he dared
perhaps wearied by the increasing opposition of the Frankish
to fell the sacred oak of Thor. This episode was understood
churchmen to the English dominance, resigned all his offices
by the people of the time as a conflict between two gods.
and returned as a simple missionary to Friesland, where he
When Boniface felled the oak and suffered no vengeance
had begun his missionary career. Great success marked the
from the resident Germanic god, it was clear that the God
first year of this enterprise. But on June 4, 754, Boniface and
whom he preached was the true God who alone is to be wor-
his companions found themselves surrounded by a band of
shiped and adored.
pagans, determined to put a stop to the progress of the gos-
Boniface was successful in securing the confidence and
pel. Boniface forbade armed resistance, and he and fifty-three
support, first of the all-powerful Frankish ruler, Charles
of his followers met their death with the quiet fortitude of
Martel, who in 732 defeated the Muslims at the battle of
Christian martyrs.
Tours, and, after Charles’s death in 741, of Martel’s sons
The English are accustomed to speak of these years as
Carloman and Pépin. This helped Boniface greatly in his
“the dark ages,” but, as the eminent German church histori-
work of restoring or creating order in the churches in the do-
an K. D. Schmidt once remarked, “to us this was the period
minions of the Franks, the goal of his second period of the
of light, when the light of the Gospel and of Christian civili-
work. He was successful in creating four bishoprics in Bavar-
zation came to us.” Boniface, the apostle of Germany, was
ia, where churches existed but without settled order. He also
one of those burning and shining lights.
called into being four dioceses in the territories to the east
of the Rhine. During this period he brought in many col-
BIBLIOGRAPHY
leagues, both men and women, and founded a number of re-
The primary authority is the large collection of the letters of Boni-
ligious houses. His favorite was Fulda (744), where he was
face, to be found in Latin, Bonifacius: Die Briefe des heiligen
buried, and which for more than a thousand years was a great
Bonifacius and Lullus, vol. 1 (Berlin, 1916), admirably edited
by Michael Tangl. A good many of these letters are available
center of church life in Germany.
in English in The Anglo-Saxon Missionaries in Germany, ed-
Until 747 Boniface had been a primate and archbishop
ited and translated by Charles H. Talbot (New York, 1954).
without a diocese. In 747 he was appointed archbishop of
For those who read German the outstanding modern work
Mainz. In the meantime his influence had extended west-
is Theodor Schieffer’s Winfrid Bonifatius und die christliche
Grundlegung Europas (Darmstadt, 1972). In English the pio-
ward, until it was felt in many parts of what is now France.
neer work is William Levison’s England and the Continent in
In 742 he was able to hold a synod of the French churches,
the Eighth Century (Oxford, 1946). Among more popular
commonly known as the German Council, and in 744 an
works, Eleanor S. Duckett’s Anglo-Saxon Saints and Scholars
even more important meeting at Soissons. It is to be noted
(New York, 1947), pp. 339–455, can be specially recom-
that the decrees of the earlier council were issued in the name
mended as both scholarly and readable.
of Carloman and became the law of the church as well as of
STEPHEN C. NEILL (1987)
the state.
Two special features of the work of Boniface are to be
noted. Boniface was too busy to become an accomplished
BONIFACE VIII (Benedetto Gaetani, c. 1235–1303),
scholar but was deeply concerned for the spread of culture
pope of the Roman Catholic church (1294–1303). Connect-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BONIFACE VIII
1019
ed by family relationship not only with the earlier popes Al-
the absence of explicit papal permission) all lay taxation of
exander IV and Nicholas III but also with the Orsini and
the clergy. In the prevailing climate of opinion, with lay sen-
Colonna families, Gaetani studied law at Bologna, worked
timent in the two kingdoms favoring the monarchs and some
as a notary at the Curia Romana, served on embassies to
of the clergy inclining to support them too, threats of excom-
France and England, discharged the office of papal legate in
munication proved to be of no avail. The prestige of the pa-
France, and by 1291 had become cardinal priest of San Mar-
pacy had fallen too low to permit the successful deployment
tino. A capable, experienced, and energetic administrator, he
of such spiritual weaponry—so low, indeed, that in 1297,
was by temperament bold, hardheaded, formidably stub-
confronted also by the combined opposition in Italy of the
born, and, at least in his latter years, prone to damaging out-
Colonna family and the Spiritual Franciscans, Boniface was
bursts of irascibility that some have attributed in part to
forced to compromise on the question of taxation and in ef-
painful bouts with “the stone.” Unfortunately, the juxtaposi-
fect to concede the principle he had attempted to establish.
tion of his energetic pontificate with the brief (and chaotic)
That concession, however, did not prevent his reacting
reign of his predecessor, the devout hermit-pope Celestine
with great firmness when in 1301 Philip IV arrested Bernard
V, proved to be a case of the wrong men in a crucial role at
of Saisset, bishop of Pamiers, tried him, threw him into pris-
the wrong time and in the wrong sequence. The troubles be-
on, and demanded that the pope endorse those actions. Bon-
setting the two pontificates are usually taken to mark the
iface responded by issuing the bulls Salvator mundi and
great turning point in the fortunes of the late medieval
Ausculta fili, demanding the bishop’s release, revoking the
papacy.
taxing privileges earlier granted to the French king, and com-
manding attendance of the French bishops at a council to
Certainly, the difficulties and disputes that marked the
be held at Rome in November 1302 in order to consider the
reign of Boniface VIII have served to obscure for posterity
condition of religion in France.
the pope’s more positive achievements. These were real
enough. His reordering of the curial fiscal and administrative
Defeated by a Flemish army at Courtral in the summer
system, his publication in 1298 of the Liber sextus, a legal
of 1302, Philip adroitly used the excuse of a national emer-
compilation supplementary to the decretals of Gregory IX,
gency to prohibit attendance of the French bishops at the
his sponsorship in 1300 of the Jubilee Year at Rome, his deci-
Roman council. The abortive nature of that assembly, how-
sive ruling of that same year on the relationship between the
ever, did not prevent Boniface from issuing in November
diocesan clergy and the clergy of the mendicant orders, his
1302 the bull Unam sanctam, a rather derivative document
foundation in 1303 of a studium generale at Rome—all had
but one culminating with the famous declaration “It is alto-
important, and some of them enduringly positive, conse-
gether necessary to salvation for every human creature to be
quences. Nonetheless, even such unquestionably positive
subject to the Roman pontiff.” Philip’s response was even
achievements sometimes generated problems for Boniface.
more forceful. Rallying national opinion during the spring
Thus, the increase in financial support and papal prestige
of 1303 at a series of assemblies in Paris, and echoing the old
stemming from the enormous flow of pilgrims to Rome dur-
Colonna call for convocation of a general council to judge
ing the Jubilee may well have bolstered Boniface’s self-
the pope, Philip also authorized his adviser Guillaume de
assurance and encouraged him to be too unyielding in his
Nogaret to lead an expedition to Italy to seize the person of
subsequent dealings with the French king. Similarly, while
the pope and bring him back for judgment.
they were impartially and carefully framed, the measures he
Hence evolved the extraordinary chain of events leading
introduced to remedy the dissension and disorder in dioce-
up to the “outrage of Anagni” on September 7, 1303: the at-
san government spawned by the extensive exemptions and
tack on the papal palace by Nogaret and Sciarra Colonna,
privileges previously granted to the mendicant orders never-
the humiliation of the aged pope, his subsequent rescue by
theless succeeded in alienating many of the friars. Yet again,
the citizens of Anagni, and his demise soon after at Rome.
his tightening of the papal fiscal system after the chaos of the
French pressure by no means ended with his death, and Bon-
previous pontificate, and, within the papal territories, his
iface VIII has since been portrayed as the pope who, while
success in suppressing disorder, enforcing papal control, and
advancing some of the most ambitious claims ever made for
extending the property holdings of his Gaetani kin led him
the power of the medieval papacy, contrived also to precipi-
into a fatal conflict with the landed interests of the powerful
tate its decline.
Colonna family.
Problems with Philip IV, king of France, had begun al-
BIBLIOGRAPHY
ready in 1296 and centered on the right of monarchs to tax
Boase, T. S. R. Boniface VIII. London, 1933.
the clergy of their kingdoms. Hostilities between Philip and
Digard, G. A. L. Philippe le Bel et le Saint-siège de 1285 à 1304.
Edward I of England had broken out in 1294, and even in
2 vols. Paris, 1936.
the absence of papal consent the two kings had taken it upon
Digard, G. A. L., et al. Les registres de Boniface VIII. 4 vols. Paris,
themselves to tax their national churches. Responding to a
1904–1939.
protest launched by the French Cistercians, Boniface moved
Dupuy, Pierre, ed. and trans. Histoire du différend d’entre le Pape
in the bull Clericis laicos (February 24, 1296) to proscribe (in
Boniface VIII et Philippe le Bel. Paris, 1655.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1020
BOOK
Rivière, Jean. Le problème de l’église et de l’état au temps de Philippe
against Satan for the souls of individuals; the militant tone
le Bel. Paris, 1926.
of scripture and hymns was not figurative to Booth and his
Scholz, Richard. Die Publizistik zur Zeit Philipps des Schönen und
officers, but literal reality. The autocracy of military com-
Bonifaz VIII (1903). Reprint, Amsterdam, 1962.
mand was well suited to Booth’s decisive and uncompromis-
ing personality; and it appealed both to his close associates,
FRANCIS OAKLEY (1987)
who were devoted to him and who sought his counsel on
every matter, and to his more distant followers, the “soldiers”
recently saved from sin, most of them uneducated, new to
BOOK SEE CANON; SCRIPTURE
religion, and eager to fit themselves into the great scheme.
William and Catherine were convinced from the begin-
ning of their work in London that it was their destiny to
BOOTH, WILLIAM (1829–1912), English evangelist,
carry the gospel to those untouched by existing religious ef-
founder of the Salvation Army. William Booth was born on
forts. To them this meant the urban poor. Their sympathy
April 10, 1829, in Nottingham, England, the only son of the
led them to supplement their evangelism by immediate and
four surviving children of Samuel and Mary Moss Booth.
practical relief. They launched campaigns to awaken the
The elder Booth, an unsuccessful building contractor, and
public to the worst aspects of the life of the poor, such as
his wife were no more than conventionally religious, but
child prostitution and dangerous and ill-paid piecework in
William, intelligent, ambitious, zealous, and introspective,
neighborhood match factories. Soup kitchens, men’s hostels,
was earnest about Christianity from an early age. He was
and “rescue homes” for converted prostitutes and unwed
converted at the age of fifteen and two years later gave him-
mothers became essential parts of the Army’s program.
self entirely to the service of God as the result of the preach-
In 1890 William Booth published In Darkest England
ing of James Caughey, a visiting American Methodist reviv-
and the Way Out, which contained a full-fledged program to
alist. From the age of thirteen until he was twenty-two Booth
uplift and regenerate the “submerged tenth” of urban society.
worked as a pawnbroker’s assistant, first in Nottingham and
The heart of the scheme was a sequence of “city colonies”
after 1849 in London. His zeal for souls and compassion for
(urban missions for the unemployed), “land colonies” (re-
the poor drove him to preach in the streets. In 1852 he be-
training in agricultural skills), and “overseas colonies” (assist-
came a licensed Methodist minister. Although Booth had
ed emigration to one of Britain’s colonies). The book also
been forced by his father’s financial ruin to withdraw from
explained the existing programs and promised many new
a good grammar school at age thirteen, he read avidly, sought
schemes in addition to the colonies: the “poor man’s lawyer,”
instruction from older ministers, and developed an effective
the “poor man’s bank,” clinics, industrial schools for poor
style in speech and writing. In 1855 he married Catherine
children, missing-persons inquiries, a “matrimonial bureau,”
Mumford, a woman of original and independent intelligence
and a poor-man’s seaside resort, “Whitechapel-by-the-Sea.”
and great moral courage, who had a strong influence on him.
The Darkest England scheme, which was widely endorsed,
They had eight children.
represents an important turning point in public support for
In 1861 Booth began to travel as an independent evan-
the Army.
gelist, sometimes appearing with Catherine, who publicly
Booth would not have claimed to be a saint in any con-
advocated an equal role for women in the pulpit. In 1865
ventional sense, and there are certainly controversial aspects
the couple established a permanent preaching mission
to his life and work. Always overworked and chronically un-
among the poor in the East End of London, in a place where
well, he often had strained relationships with his close asso-
Booth had conducted an especially effective series of meet-
ciates, especially after the death of Catherine in 1890. Many
ings. This new endeavor, which soon included small-scale
of his statements about the Army overlooked the fact that
charitable activities for the poor, was known for several years
much of its program was not original. He offered no criti-
as the Christian Mission. In 1878 the mission was renamed
cism of the basic social and political structure that surround-
the Salvation Army.
ed him, and his confidence in the desirability of transferring
The military structure suggested by the new name ap-
the urban unemployed to the more healthful and “natural”
pealed to the Booths and to the co-workers they attracted to
environment of the country was romantic and impractical.
their work. Booth remained an orthodox Methodist in doc-
Yet the fact remains that Booth combined old and new tech-
trine, preaching the necessity of repentance and the promise
niques of evangelism and social relief in an immensely effec-
of holiness—a voluntary submission to God that opened to
tive and appealing program. He displayed great flexibility in
the believer a life of love for God and for humankind. A pre-
adapting measures to the needs of the moment, altering or
millennialist as well, he was convinced that the fastest way
eliminating any program, however dear to him, if its effec-
to complete the work of soul winning that would herald the
tiveness diminished. He abandoned anything in the way of
return of Christ was to establish flying squads of enthusiasts
theology (such as sacraments) or social theory that might
who would spread out over the country at his command. The
confuse his followers or dampen their zeal for soul winning
General, as Booth was called, saw evangelism as warfare
and good works.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BORNEAN RELIGIONS
1021
Guileless and unsentimental, Booth showed a rare and
only a few thousand strong. The ethnic diversity is of imme-
genuine single-mindedness in the cause of evangelism. His
diate consequence for religions, because the religions are
last public message, delivered three months before his death
rooted in the local community and contribute to much of
on August 20, 1912, is still cherished by the Army that is
its identity.
his most fitting memorial. The concluding words of the mes-
THE GENERAL CONCEPT OF RELIGION. Many of the cul-
sage were these: “While there yet remains one dark soul with-
tures of interior Borneo lack the concept of a separate do-
out the light of God, I’ll fight—I’ll fight to the very end!”
main of religion. Instead, ritual observance is incorporated
S
into a spectrum of prescribed behaviors that includes legal
EE ALSO Salvation Army.
forms, marriage practices, etiquette, and much else. All of
these are matters of collective representations shared by au-
BIBLIOGRAPHY
tonomous communities. Such communities often consist of
William Booth and the early Salvation Army are gradually receiv-
ing attention from serious scholarship. Roy Hattersley, Blood
a longhouse with a few hundred inhabitants and are separat-
and Fire: William and Catherine Booth and Their Salvation
ed from neighboring villages by tracts of jungle. There is no
Army (New York, 1999) is excellent on economic and social
notion of conversion to another religion; if an individual
issues and is a good introduction. St. John Ervine, God’s Sol-
moves to another community—for instance, as the result of
dier: General William Booth, 2 vols. (New York, 1935) and
a marriage—he or she simply adheres to the ritual forms of
Harold Begbie, The Life of General William Booth, the Found-
that place. Significantly, members of a community often ex-
er of the Salvation Army, 2 vols. (New York, 1920) held the
aggerate their ritual peculiarity. An outside observer readily
field of serious biography until recently, and are still almost
identifies items shared with neighboring groups, but the pat-
indispensable. William Booth’s In Darkest England and the
terns of distribution are complex, reflecting migration and
Way Out (1890; reprint, London, 1970) is important for an
borrowing over many centuries.
understanding of Booth and his work. The best biography
of Catherine Booth is Roger A. Green, Catherine Booth: A
The religions of interior Borneo are rich in both ritual
Biography of the Cofounder of The Salvation Army (Grand
and cosmology. In perhaps the best known account, Schärer
Rapids, 1996). Commissioner Frederick de Latour Booth-
(1963) describes the subtle notions of the godhead found
Tucker, The Life of Catherine Booth, the Mother of the Salva-
among the Ngaju, replete with dualistic aspects of upper
tion Army, 2 vols. (London, 1892), by Booth’s son-in-law,
world and underworld, multilayered heavens, and complex
remains an Army classic.
animal and color symbolism. Other peoples have comparably
EDWARD H. MCKINLEY (1987 AND 2005)
extensive spirit worlds. Because of the archaeologically attest-
ed antiquity of contact with India, some authors have dis-
cerned elements of Hindu belief. Schärer (1963, p. 13) attri-
butes one of the names of the Ngaju supreme deity to an
BORNEAN RELIGIONS. From earliest times, the
epoch of Indian influence. In the north there are features of
coasts of Borneo have been visited by travelers going between
the religion—for instance, in number symbolism—that may
ancient centers of civilization in Asia. Since the sixteenth
indicate influence from China, but there is no overall similar-
century Islam has slowly spread from coastal trading centers,
ity to Indian or Chinese religions.
such as Brunei in the north and Banjarmasin in the south.
Immigrant Chinese have brought the practices of their
THE PROMINENCE OF MORTUARY RITUAL. One element of
homeland, and in the last century Christian missionaries
ancient Southeast Asian provenance is a central feature of
have been increasingly successful in the interior, prompting
many Bornean religions: that is, a focus on death and, in par-
syncretic revivalist cults. This article, however, is concerned
ticular, on secondary treatment of the dead. This mortuary
with the indigenous religions of the great island. Many of
complex has been associated with Borneo at least since the
these have passed out of existence or are imminently about
publication of Robert Hertz’s classic essay (1907). By no
to do so without being studied in depth. The existing data
means did all interior peoples practice secondary disposal in
indicate wide variation in belief and practice. Nevertheless,
recent times. The custom is found across much of the south-
there are features widely characteristic of Bornean religions,
ern third of the island but has only a scattered distribution
and it is these that are summarized here.
further north. Stöhr (1959) surveys the variety of death rites
E
across the island. Where secondary treatment occurs, it is
THNIC DIVERSITY. All the indigenous peoples of Borneo
speak Austronesian languages, but they exhibit bewildering
part of an extended ritual sequence, often the most elaborate
ethnic diversity. There is still no generally agreed upon tax-
of that religion (Metcalf, 1982). The occurrence of second-
onomy, and many of the most familiar ethnic terms are
ary treatment also draws attention to the importance of the
vague. In the south and west there are large, politically frag-
dead in indigenous cosmologies. Other life-crisis rituals are
mented populations that nevertheless manifest considerable
generally celebrated on a smaller scale, one that does not in-
cultural uniformity. Examples of these are the Ngaju and
volve the participation of entire communities.
Iban, both numbering some hundreds of thousands. To the
AGRICULTURAL RITES. Major calendrical rituals are usually
north the terrain is mountainous and the rivers difficult to
coordinated with the agricultural cycle. This is especially true
navigate. Here are found many small groups, each at most
among the Iban, who speak of the soul of the rice in anthro-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1022
BORROMEO, CARLO
pomorphic terms, and focus rites upon it at every stage of
Hertz, Robert. “A Contribution to the Study of the Collective
cultivation (Jensen, 1974, pp. 151–195). In some areas,
Representation of Death” (1907). In Death and the Right
however, notably the northwestern subcoastal belt, reliance
Hand, two of Hertz’s essays translated from the French by
on hill rice is relatively recent. In these areas, where sago is
Rodney Needham and Claudia Needham. New York, 1960.
produced, rice ritual is less prominent.
A brilliant essay by a prominent student of Émile Durkheim
concerning the significance of mortuary rites, particularly
HEAD-HUNTING RITES. Head-hunting is another practice
secondary treatment of the dead. Hertz utilized published
commonly associated with Borneo. Formerly prevalent, it
sources, and much of his data came from the Ngaju of south-
usually occurred in the context of warfare or as an adjunct
ern Borneo.
to mortuary rites. Frequently heads were required in order
Hose, Charles, and William McDougall. The Pagan Tribes of Bor-
to terminate the mourning period for community leaders. In
neo. 2 vols. London, 1912. Despite the title, these volumes
contrast to other parts of Southeast Asia, heads were the
mostly concern the people of central northern Borneo, par-
focus of much ritual. Hose and McDougall describe the tech-
ticularly the Kayan. Based on Hose’s years of experience as
niques of warfare and head-hunting found among the Kayan
a government officer. Contains much useful information;
and Kenyah of central northern Borneo, and also the large
most of that on religion is in volume 2.
festivals periodically held to honor the heads (Hose and Mc-
Jensen, Erik. The Iban and Their Religion. Oxford, 1974. A read-
Dougall, 1912, vol. 1, p. 159; vol. 2, pp. 20–22, 41, 47).
able ethnographic account based on Jensen’s seven years
among the Iban as an Anglican missionary and community
RITUAL SPECIALISTS. Even in societies with little technologi-
development officer. Emphasizes world view, cosmology,
cal and political specialization, ritual specialists are impor-
and longhouse festivals.
tant. But there is great variation in the particular combina-
Metcalf, Peter. A Borneo Journey into Death: Berawan Eschatology
tions of roles played by priest, shaman, and augur. Women
from Its Rituals. Philadelphia, 1982. Describes in detail the
often play a major part. Among the Dusun of northern Bor-
elaborate mortuary ritual sequence, involving secondary
neo, for example, priestesses officiate at all major rituals
treatment of the dead, in a small ethnic group of central
(Evans, 1953, p. 42). Often in association with death rites
northern Borneo. Shows how these rites reflect Berawan con-
there are psychopomps to conduct the deceased to the land
cepts of the soul in life and death.
of the dead. In all of this, ritual languages are prominent.
Schärer, Hans. Ngaju Religion: The Conception of God among a
Often the major function of priests and priestesses is to recite
South Borneo People (1946). Translated from the German by
long chants that deal with mythical events. These chants are
Rodney Needham. The Hague, 1963. Schärer was a mission-
complexly structured in terms of parallel phraseology; even
ary with the Baseler Mission in southern Borneo for seven
prayers uttered by laymen in small family rituals display for-
years and later studied under J. P. B. de Josselin de Jong at
mal structure (Evans, 1953, pp. 42–56). Ritual is often ac-
Leiden. His account of Ngaju cosmology is impressive, but
companied by the sacrifice of chickens, pigs, or buffalo.
he unfortunately gives little idea of the social or ritual con-
text.
Shamanism is found everywhere and typically involves
Stöhr, Waldemar. Das Totenritual der Dajak. Ethnologica, n.s.
the recovery of errant souls through séances. Concomitantly,
vol. 1. Cologne, 1959. A compendium of sources on death
theories of illness usually focus on soul loss, in which all man-
practices from the entire island. Contains no analysis but is
ner of nonhuman, malign agencies are implicated. Yet there
useful as a guide to bibliography.
is often a complementary theory of illness that results from
New Sources
the infraction of primordial taboo. Although not entirely ab-
Appell, Laura W.R., and George N. Appell. “To Do Battle with
sent, there is remarkably little concern with witchcraft.
the Spirits: Bulusu’ Spirit Mediums.” In The Seen and the
RITUAL AND SOCIAL DIFFERENTIATION. Some societies of
Unseen: Shamanism, Mediumship and Possession in Borneo,
interior Borneo are hierarchically stratified, while others are
edited by Robert L. Winzeler Williamsburg, Va., 1993.
egalitarian. But even in the latter, major public rituals are
Guerreiro, Antonio J. “Contexte et Metaphore: A Propos du
closely bound up with the forms of leadership and social con-
Mythe Kayan de l’Introduction de la Nuit (Borneo).” An-
trol. There is a dearth of rites of prestation, in which wealth
thropos 84, no. 4–6 (1989): 487–505.
passes between similar collectivities. This may in part be a
Kershaw, Eva Maria. A Study of Brunei Dusun Religion: Ethnic
result of social organization that is predominantly cognatic,
Priesthood on a Frontier of Islam. Phillips, Maine, 2000.
that is, lacking groups defined by fixed rules of descent. In
Rousseau, Jerome. Kayan Religion: Ritual Life and Religious Reform
large-scale festivals, however, leaders coordinate the efforts
in Central Borneo. Leiden, 1998.
of entire communities in order to feed guests and erect mon-
Schneider, William M. and Mary-Jo Schneider. “Selako Male Ini-
uments.
tiation.” Ethnology 30 (1991): 279–291.
PETER METCALF (1987)
BIBLIOGRAPHY
Revised Bibliography
Evans, Ivor H. N. The Religion of the Tempasuk Dusuns of North
Borneo. Cambridge, U.K., 1953. Describes in list format the
beliefs and ceremonies of a subgroup of the extensive but cul-
turally varied Dusun people of Sabah. The major emphasis
BORROMEO, CARLO (1538–1584), reforming
is on folklore and mythology.
archbishop of Milan, cardinal, and canonized saint 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
BRAHMA¯
1023
Roman Catholic church. Carlo Borromeo, second son of
erned the duchy of Milan, and particularly with the redoubt-
Count Gilberto Borromeo and Margherita de’ Medici, was
able viceroy, Requesens, whom he excommunicated. But
born at Arona, northwest of Milan, on October 2, 1538.
Borromeo never heeded opposition, and during his relatively
From 1552 he attended the University of Pavia, where he re-
short span of years he established the model of the Triden-
ceived a doctorate in civil and canon law in 1559. At the end
tine bishop, a model destined to perdure for nearly four cen-
of that year his maternal uncle, Gian Angelo de’ Medici, was
turies. He was canonized on November 1, 1610.
elected Pope Pius IV and immediately bestowed upon his
twenty-one-year-old nephew the archbishopric of Milan, a
BIBLIOGRAPHY
collection of other wealthy benefices, and a cardinal’s hat.
Borromeo’s own works, especially letters and devotional literature,
Borromeo, however, proved by his seriousness and personal
are in Opere complete di S. Carlo Borromeo, 5 vols., edited by
austerity to be an atypical beneficiary of nepotism; thus when
J. A. Sassi (Milan, 1747–1748). His reform legislation is
his elder brother died heirless and his family attempted to
found in Acta ecclesiae mediolanensis, 2 vols. (Lyon, 1683).
persuade him to revert to lay status, marry, and assume the
The standard life is Andrée Deroo’s Saint Charles Borromée,
cardinal, réformateur, docteur de la pastorale (Paris, 1963); a
noble title, he refused and instead had himself secretly or-
popular treatment is Margaret Yeo’s A Prince of Pastors: St.
dained a priest July 17, 1563.
Charles Borromeo (New York, 1938). A particularly incisive
Borromeo’s most significant role in the pontifical gov-
treatment of Borromeo’s work is Roger Mols’s “Saint Charles
ernment of his uncle was his work as liaison between the
Borromée, pionnier de la pastorale moderne,” Nouvelle revue
Curia Romana and the third session of the Council of Trent
théologique 79 (1957): 600–622.
(1560–1563). Afterward he served on various postconciliar
MARVIN R. O’CONNELL (1987)
commissions and oversaw the preparation of the Catechism
of the Council of Trent—not so much a catechism in the ordi-
nary sense as a doctrinal manual for the use of parish priests.
This book was completed in 1564 and published in 1566.
BRAHMA¯ is the creator in Hindu mythology; sometimes
he is said to form a trinity with Vis:n:u as preserver and S´iva
Among the most important reforms of the Council of
as destroyer. Yet Brahma¯ does not have the importance that
Trent was the requirement that bishops reside in their dio-
creator gods usually have in mythology, nor is his status
ceses, but Pius IV would not allow his nephew to fulfill this
equal to that of S´iva or Vis:n:u. Though Brahma¯ appears in
obligation. Borromeo did however visit Milan in September
more myths than almost any other Hindu god, as the central
and October of 1565, during which time he summoned and
figure in quite a few, and as a bit player in many more, he
presided over his first provincial council. Recalled to Rome
was seldom worshiped in India; at least one important ver-
to assist at his uncle’s deathbed, he participated in the con-
sion of the myth in which S´iva appears before Brahma¯ and
clave that followed and was instrumental in the election of
Vis:n:u in the form of a flaming phallus explicitly states that
his fellow-reformer, Pius V, on January 8, 1566.
Brahma¯ will never again be worshiped in India (to punish
Borromeo returned to Milan in April 1566 and labored
him for having wrongly sworn that he saw the tip of the infi-
there for the rest of his life. He became during those years
nite pillar). Brahma¯’s ability to create is little more than an
the ideal of the Counter-Reformation bishop, not only be-
expertise or a technical skill that he employs at the behest of
cause his own spiritual life was rich and deep and in accord
the greater gods; he is called upon whenever anyone is need-
with the ascetic principles of his time, but also because he
ed to create something, or even to create a pregnant situa-
reconstructed his great diocese and province along the lines
tion—to give power to a potential villain so that the action
mandated by the Council of Trent. He was present every-
of the conflict can unfold. But if one were to create a func-
where to oversee the moral reform of clergy, laity, and reli-
tional trinity of gods who wield actual power in Hindu
gious, either through tireless journeys of episcopal visitation
mythology, one would have to replace Brahma¯ with the
or through the six provincial and eleven diocesan synods he
Goddess.
held during his tenure. He founded six seminaries and a spe-
Brahma¯’s mythology is derived largely from that of the
cial missionary college to train priests to work in nearby
god Praja¯pati in the Brahma¯n:as. Unlike Brahma¯, Praja¯pati
Switzerland. He established hundreds of catechetical centers,
is regarded as the supreme deity, and he creates in a variety
which by the time he died were serving regularly more than
of ways: he casts his seed into the fire in place of the usual
twenty thousand children. He founded orphanages, hospi-
liquid oblation; he separates a female from his androgynous
tals, and homes for abandoned women. In his educational
form and creates with her through incestuous intercourse; or
projects he worked closely with the new Society of Jesus. He
he practices asceticism in order to generate heat, from which
was punctilious in carrying out his pastoral duties and care-
his children are born. In this way he creates first fire, wind,
less of his personal safety, notably during the plague years of
sun, moon; then all the gods and demons (the devas and as-
1570 and 1576.
uras, who are his younger and older sons); then men and ani-
Borromeo’s severity earned him enemies as well as ad-
mals; and then all the rest of creation. In the epics and
herents. In 1569 a friar attempted to assassinate him. He was
Pura¯n:as, when Brahma¯ takes over the task of creation he still
constantly at odds with the Spanish authorities who gov-
uses these methods from time to time, but his usual method
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1024
BRAHMAN
is to create mentally: he thinks of something and it comes
priestly or inspired utterance. As such, it came to be viewed
into existence. While he is under the influence of the element
as embodied in the Veda when the latter was fixed in a body
of darkness (tamas) he creates the demons; under the influ-
of texts. The masculine form of the word, brahmán, denotes
ence of goodness (sattva) he creates the gods. Or he may dis-
the priest who knows and speaks such utterances; in the later
member himself, like the R:gvedic cosmic man (Purus:a), and
standardized Vedic ritual he is one of the four main priests
create sheep from his breast, cows from his stomach, horses
who, mostly silently, oversees and rectifies errors in the sacri-
from his feet, and grasses from his hairs. Paradoxically (or
ficial proceedings. The derivative term bra¯hman:a has two de-
perversely), he usually employs less abstract methods (such
notations. One indicates the Vedic prose texts that expound
as copulation) to produce the more abstract elements of cre-
the ´srauta (“solemn”) ritual; these texts are also known in
ation (such as the hours and minutes, or the principles of
English as the Bra¯hman:a. The other indicates a person of the
logic and music).
first of the four varn:as, or “castes”; in English this becomes
Brahma¯’s name is clearly related both to brahman, the
brahman or brahmin. Finally, Brahman or Brahma¯ is a name
neuter term for the godhead (or, in earlier texts, for the prin-
for the creator god in Hinduism.
ciple of religious reality), and to the word for the priest, the
ETYMOLOGY. Notwithstanding many and various attempts
brahma¯n:a. In later Hinduism Brahma¯ is committed to the
to establish the linguistic derivation of brahman, the question
strand of Hinduism associated with pravr:tti (“active creation,
remains unsettled. The old equation with Latin flamen has
worldly involvement”) and indifferent, or even opposed, to
been vigorously and repeatedly championed by Georges
nivr:tti (“withdrawal from the world, renunciation”). He
Dumézil. Louis Renou suggests derivation from the root
therefore comes into frequent conflict with S´iva when S´iva
barh (or brah), which would mean to speak in riddles. Jan
is in his ascetic phase, and competes with S´iva when S´iva is
Gonda wants to derive brahman from the root br:h (“to be
in his phallic phase. Brahma¯’s unilateral attachment to
strong”), a view that he finds supported by the ancient Indi-
pravr:tti may also explain why he alone among the gods is able
an exegetes and that has the advantage of bringing together
to grant the boon of immortality, often to demon ascetics:
the two largely interchangeable Vedic divinities Br:haspati
he deals only in life, never in death. This habit unfortunately
and Brahman:aspati. Paul Thieme, rejecting Gonda’s reliance
causes the gods serious problems in dealing with demons,
on traditional Indian exegesis, starts from a basic meaning
who are usually overcome somehow by S´iva or Vis:n:u. Im-
of “form(ing), formulation” and pleads for connecting it
mortality (or release from death) is what Brahma¯ bestows in
with Greek morph¯e. These, as well as other proposed etymol-
place of the moks:a (release from rebirth and redeath) that
ogies, run into formal or semantic difficulties. Much depends
S´iva and Vis:n:u may grant, for these two gods, unlike
on the view one takes of the basic meaning. Consensus tends
Brahma¯, are involved in both pravr:tti and nivr:tti. This one-
to look for the basic meaning in the sphere of (sacred) word
sidedness of Brahma¯ may, finally, explain why he failed to
or formulation, as is in accordance with abundant textual ev-
capture the imagination of the Hindu worshiper: the god
idence. The main problem, however, is the multi-
who is to take responsibility for one’s whole life must, in the
interpretability of the element brah, which keeps frustrating
Hindu view, acknowledge not only the desire to create but
attempts to arrive at a satisfactory solution.
the desire to renounce creation.
MYTHOLOGY. In the Bra¯hman:as and especially in the
SEE ALSO Indian Religions, article on Mythic Themes;
Upanis:ads, brahman comes to designate the impersonal eter-
Praja¯pati; S´iva.
nal principle and first cause of the universe. It plays, howev-
er, no distinct role in Vedic cosmogony. Its connection—
BIBLIOGRAPHY
under the form of the god Brahma¯—with the cosmogonic
The best study of Brahma¯ is Greg Bailey’s The Mythology of
myth of the golden germ or egg (hiranyagarbha) is post-
Brahma¯ (Oxford, 1983), which also contains an extensive
Vedic. In the Laws of Manu (1.5ff.) the golden egg is said
bibliography of the secondary literature. Many of the rele-
to have arisen from Brahma¯’s seed, which he deposited in the
vant texts are translated in my Hindu Myths (Baltimore,
primordial waters. After remaining in this embryonic state,
1975), pp. 25–55, and interpreted in my S´iva: The Erotic As-
Brahma¯ is born from the golden egg as the cosmic man,
cetic (Oxford, 1981), pp. 68–77 and 111–140.
Purus:a-Na¯ra¯yan:a. The essential point of this and similar pas-
New Sources
sages is that Brahma¯ as the single principle and cause of the
Mishra, Rajani. Brahma-Worship, Tradition and Iconography.
universe is “self-existent” (svayam:bhu¯) and therefore can only
Delhi, 1989.
put the cosmogonic process into motion by reproducing
Nagar, Shanti Lal. The Image of Brahma in India and Abroad.
himself. In the same line of self-reproduction we find the
Delhi, 1992.
motif of Brahma¯’s incest with his daughter, Va¯c
WENDY DONIGER (1987)
(“speech”)—a motif transferred from the Vedic creator god
Revised Bibliography
Praja¯pati, lord of creatures. Though fused with the cosmic
man, Purus:a, and with Praja¯pati, he has not given rise to a
cosmogonic myth specific to him. In Hindu cosmology he
BRAHMAN. In the Vedic hymns the neuter noun bráh-
is either a presiding but inactive deity—not unlike the brah-
man denotes the cosmic principle or power contained in the
man priest in the sacrificial ritual—or a demiurge who comes
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRAHMAN
1025
into his own only in the second stage of the cosmogony,
elaborate Brahmodya of the horse sacrifice the last round is
when the phenomenal world starts its deployment. He is
concluded by the brahman priest who asserts himself, appar-
then seated on the lotus that grows out of Vis:n:u’s navel, or,
ently as the winner, with the words: “This brahman is the
again, he is born from the cosmic egg (brahma¯n:d:a).
highest heaven of speech” (brahma¯yam: va¯cah: paramam:
vyoma). In the last resort, then, man as a contestant must
In the Hindu pantheon, Brahma¯ is united, as the static
place himself in the open gap of the unresolved cosmic riddle
center, with the dynamic supreme deities Vis:n:u and S´iva in
and vindicate himself as the live “connection” that holds to-
the trimu¯rti, the triple form of the divine. Iconographically,
gether the cosmos.
he is represented with four bearded heads and four arms. His
attributes are the four Vedas, the water vessel, the offering
The original Brahmodya, therefore, is not an innocuous
ladle, the rosary (emblems of the brahman), the lotus, and
riddle game but a matter of life and death. This still tran-
the scepter (or bow), while his mount is the ham:sa or goose.
spires in the Brahmodya-like debates of the Upanis:ads,
The otherwise abundant Hindu mythology does not, howev-
where the losing contestant who fails to submit to his superi-
er, give much attention to Brahma¯, nor is there clear evi-
or opponent and goes on challenging him has to pay for his
dence of a cult. In essence, brahman remained an abstract
boldness with his life or, more precisely, with his head. As
concept that was elaborated in the Upanisads and the monis-
a contest, the Brahmodya takes its place among other con-
tic Veda¯nta philosophy.
tests, such as chariot races, surviving in fixed, ritualized form.
In fact, the Vedic sacrifice itself appears originally to have
SEMANTIC DEVELOPMENT. Hermann Oldenberg summa-
been a perilous and violent contest for the goods of life.
rized the general meaning of brahman (neuter) as the sacred
However, the Vedic sacrificial ritual, as the prose texts de-
formula and the magic power inherent in it (“die heilige For-
scribe it, is a perfectly peaceful and all but obsessively ordered
mel und das sie erfüllende Fluidum der Zauberkraft”; 1917,
procedure that has no place for adversaries and real contests.
vol. 2, p. 65). Although this is consistent overall with Vedic
It is the exclusive affair of an individual sacrificer.
usage, it still leaves a large distance between sacred formula
and the later meaning of principium omnium. Moreover, the
This fundamental change is expressed in interesting
Vedic brahman, far from being eternal and immutable, is
fashion in a ritualistic myth relating the decisive sacrificial
said to be made or “carpented.” Gonda’s view of brahman
contest between Prajapati and Mrtyu, or Death (Jaimin¯ıya
as “power,” derived from the verbal root br:h (“to be strong”),
Bra¯hman:a 2.69–2.70). Praja¯pati wins his final victory by his
is useful but too general to answer the problem in more pre-
“vision” of equivalence that enables him to assimilate his ad-
cise terms. Thieme’s analysis leading to “form(ing), formula-
versary’s sacrificial panoply and thereby to eliminate him
tion” (Formung, Gestaltung, Formulierung) as the original
once and for all. “Since then,” the text concludes, “there is
meaning, especially in the sense of (improvised) poetic for-
no sacrificial contest anymore.” But this also meant that the
mulation and later (stereotyped) truth formulation, goes a
formulation of the cosmic life-death riddle with its hidden
long way toward filling the gap. Renou, apart from the
connection was replaced with flat and artless statements of
doubtful etymology proposed by him, draws attention to a
equivalence, establishing the identification of the elements
particular dimension of the formulation. In his view, brah-
of macro- and microcosmos with those of the standardized
man is distinguished by its enigmatic or paradoxical nature.
ritual. Thus the so-called “four hotr:” (caturhotr:) formulas are
The brahman, then, is the formulation of the cosmic riddle,
still said to be “the highest hidden brahman of the gods” and
a riddle that cannot be solved by a direct answer but only
their original context appears indeed to have been the verbal
formulated in paradoxical terms that leave the answer—the
contest. However, in the way these formulas are given in the
(hidden) connection (bandhu, nida¯na) between the terms of
texts, they are no more than a string of simple identifica-
the paradox—unexpressed. In Renou’s felicitous phrase, the
tions—“Thinking is the ladle, thought is the ghee, speech is
brahman is the “énergie connective comprimée en énigmes”
the altar . . .”—without mystery or enigma, to be learned
(1949, p. 43).
and recited by rote. The dynamic tension of the hidden con-
nection has collapsed into flat and static identification. The
Yet another element must be taken into account in fix-
uncertain outcome of the contest has been replaced by the
ing the semantic range of brahman, namely, the verbal con-
ritualistic knowledge of him “who knows thus” (ya evam
test. This element is preserved, albeit in fixed and ritualized
veda), namely the identifications that concentrated the whole
form, in the Brahmodya of the Vedic ritual, especially in the
of the universe in the ritual proceedings and, ultimately, in
horse sacrifice, or A´svamedha. It consists of a series of rounds
the single sacrifice.
of verbal challenges and responses. In each round two contes-
tants put riddle questions to each other. The point of the rid-
In the context of the ritual’s development and fixation
dle contest is to show that one has “seen” or understood the
the brahman evolves from the visionary formulation of the
hidden “connection” by responding with a similar, if possible
cosmic riddle to comprise the immutably fixed corpus of
even more artfully contrived, riddle. The one who holds out
Vedic texts. From the subjective truth of the visionary poet
longest and finally reduces his opponent to silence is the win-
it has become the objective truth of the suprahuman, tran-
ner, the true brahman, holder of the hidden connection.
scendent law of the universe, realized in the ritual and under-
Hence the importance of silence stressed by Renou. In the
pinned by identification. This also meant that the function
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1026
BRA¯HMAN:AS AND A¯RAN:YAKAS
of the brahman (masc.), that is, the speaker or knower of
New Sources
brahman (neuter), was narrowed down to that of the mostly
Myers, Michael W. Brahman: A Comparative Theology. Rich-
silent brahman priest in the ritual, while the bra¯hman:a be-
mond, 2001.
came (ideally) the human carrier of the Veda (hence the
JAN C. HEESTERMAN (1987)
scriptural stress on its oral preservation and transmission by
Revised Bibliography
the brahman).
At the same time, the brahman kept up its intimate con-
nection with speech, which gave rise to the later speculations
BRA¯HMAN:AS AND A¯RAN:YAKAS. The
on the primordial utterance as the cosmic principle
Bra¯hman:as are the oldest Indian Sanskrit prose texts, usually
(´sabda-brahman) and to philosophy of language, as well as
dated from the first half or the middle of the last millennium
to grammatical description.
BCE. Their chronology, like that of most classical Indian
texts, is uncertain and hinges on equally uncertain external
On the other hand, identification made it possible to
factors such as the dates for the R:gveda, for the grammarian
concentrate the whole of the spoken and acted proceedings
Pa¯n:ini, and for the Buddha; moreover, the time span be-
of the ritual in the person of the single sacrificer, who in this
tween their first formulation and their final redaction may
way internalizes the whole of the ritual, that is, the transcen-
have been considerable. The word bra¯hman:a means a state-
dent cosmic order, and so becomes identical with brahman.
ment on brahman, that is, on the cosmic importance or
This was already prefigured in the brahman who, as we saw,
meaning of the Vedic sacrificial ritual, whether of each indi-
identifies himself with “the highest heaven of speech.” Here
vidual act (karman) and formula (mantra), or of the combi-
the development leads over to the Upanisadic doctrine of the
nation of such acts and formulas that constitute a particular
unity of a¯tman, the principle of individuation or the individ-
sacrifice. Bra¯hman:a then becomes the generic term applied
ual “soul,” and brahman, which gave rise to the monistic phi-
to such collections of statements or commentaries. As a class
losophy of the Veda¯nta.
of texts, they deal in a step-by-step, rite-by-rite manner with
the whole of the ´srauta (“solemn”) ritual. Together with the
SEE ALSO Brahma¯; Priesthood, article on Hindu Priesthood;
usually metrical mantras, the prose Bra¯hman:as constitute the
Upanis:ads; Varn:a and Ja¯ti; Veda¯nta.
´sruti (whence the adjective ´srauta), the corpus of the “re-
vealed” Veda.
BIBLIOGRAPHY
The Bra¯hman:as follow the division of the four Vedas
The most original view of brahman is presented by Louis Renou
(with the collaboration of Liliane Silburn) in “Sur la notion
and the corresponding parts of the ritual—R:gveda, recita-
de brahman,” Journal asiatique 237 (1949): 7–46, reprinted
tion; Yajurveda, performance; Sa¯maveda, chanting; and
in his L’Inde fondamentale (Paris, 1978). Jan Gonda’s Notes
Atharvaveda, officiating. The central and oldest group of
on Brahman (Utrecht, 1950) brings in anthropological mate-
Bra¯hman:as are those of the Yajurveda, which is concerned
rials concerning power concepts. He is criticized by Paul
with the overall scheme of the ritual process. In the older ver-
Thieme, who presents a balanced view of the semantic devel-
sions or ´sa¯kha¯s (“branches”) of the Yajurveda, the mantra
opment, in “Brahman,” Zeitschrift der Deutschen Morgen-
and Bra¯hman:a parts are intermingled in the Sam:hita¯s of the
ländischen Gesellschaft 102 (1952): 91–129, reprinted in
relevant “branch” (Ka¯t:haka, Maitra¯yan:¯ı, and Taittir¯ıya
Thieme’s Kleine Schriften, vol. 1 (Wiesbaden, 1971). For a
Sam:hita¯s together forming the Kr:s:n:a or “Black” Yajurveda).
discussion of Gonda’s and Thieme’s views, see also Hanns-
In the younger S´ukla or “White” Yajurveda, the Sam:hita¯
Peter Schmidt’s Br:haspati und Indra (Wiesbaden, 1968),
with the mantras pertaining to the ritual acts is separated
pp. 16–22, 239ff. The element of verbal contest is stressed
in my essay “On the Origin of the Na¯stika,” Wiener
from the Bra¯hman:a (the S´atapatha Bra¯hman:a), as is also the
Zeitschrift für die Kunde Sud- und Ost-asiens 12–13 (1968–
case with the R:gveda and the Sa¯maveda, while the Atharvave-
1969): 171–185, which has been revised and reprinted in my
da has appended to its Sam:hita¯ (which stands apart from the
The Inner Conflict of Tradition (Chicago, 1985). For the
basic threefold Veda) a Bra¯hman:a that is only loosely con-
equation of flamen and brahman, see Georges Dumézil’s Fla-
nected and derivative. In this way the Bra¯hman:as developed
men-Brahman (Paris, 1935); see also the Revue de l’histoire des
into a separate class or genre characterized by a standardized
religions 38 and 39 for Dumézil’s responses to criticism. For
expository prose style. As a genre they remained, however,
Oldenberg’s views, see his Die Religion des Veda (Stuttgart,
tied up with the ´srauta ritual and came to a halt with the ulti-
1917) and his Kleine Schriften (Wiesbaden, 1967),
mate institutionalization of the associated ceremonies. On
pp. 1127–1156. A critical survey of the various etymologies
the other hand they spawned the productive genre of the
is to be found in Manfred Mayrhofer’s Kurzgefasstes ety-
mologisches Wörterbuch des Altindischen, vol. 2 (Heidelberg,
Upanis:ads, which originally were part of the Bra¯hman:a liter-
1963), pp. 453–456.
ature but eventually turned away from the ritual to treat
meta-ritualistic and esoteric speculation.
The philosophical developments and the concept of sabda-
brahman are discussed in Madeleine Biardeau’s Théorie de la
The ritualistic thought of the Bra¯hman:as owes its ori-
connaissance et philosophie de la parole dans le brahmanisme
gins to a fundamental change in worldview that gave rise to
classique (Paris, 1964).
a new conception of sacrifice. Though direct and coherent
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRA¯HMAN:AS AND A¯RAN:YAKAS
1027
information on the ritual of sacrifice preceding the
parts) are identified with those of the universe and of the self.
Bra¯hman:a texts is lacking, they do contain in their explana-
In this way the course of the universe, of man, and of his life
tions many scattered and archaic but telling references that
are reduced to the denominator of the ritual. In the last resort
allow us to reconstruct a rough outline of previous ritual
it is the sacrificer who, through his identification with
practices. In fact, the Bra¯hman:a authors show themselves to
Praja¯pati, the God-Sacrifice, integrates the ritually ordered
be aware of restructuring the sacrifice within the context of
universe in himself. We are here on the threshold of the Up-
a new, rationalized system of ritual. The old pattern of sacri-
anisadic doctrine of the identity of the a¯tman, the self, with
fice was intimately bound up with conflict, contest, and bat-
the brahman (principium omnium)—a doctrine that an-
tle, corresponding with the mythological motif of the enmity
nounces itself already in a passage of the S´atapatha Bra¯hman:a
and combat between the conquering gods (devas) and their
(10.6.3.1–2).
adversaries, the lordly asuras. The agonistic sacrificial festival
was the central institution in an essentially tragic-heroic wor-
It is possible to view the Bra¯hman:as’ conception of sac-
ldview. Its destructive violence is preserved in hypertrophic
rifice as “a piece of magic pure and simple,” enabling the sac-
form in the all-embracing epic war of the Maha¯bha¯rata. The
rificer to obtain fulfillment of his wishes—cattle, progeny,
constant threat of sacrally sanctioned violence, death, and
prestige, power, health, long life—and indeed the texts are
destruction provided the impetus for the intensive reflection
effusive in promising such rewards to the sacrificer. It is,
on sacrifice and the construction of the ´srauta ritual ex-
however, a subtly different matter when, as is frequently the
pounded in the Bra¯hman:as.
case, heaven and immortality are brought in. The problem
of death appears as the central motif of the Brahmanic cosmi-
The main thrust of this new exposition of ritual practice
co-ritual system, which is aimed at escaping from the cyclic
served to remove the agonistic festival with its unsettling
life-death alternation (the dreaded “re-death,” punarmr:tyu)
dangers and uncertain outcome from its central position and
by making for oneself an immortal body in the hereafter in
to replace it with the absolutely failsafe order of a mechanis-
accordance with the transcendent order of the ritual. Al-
tic, rational rite. To this end, sacrifice was taken out of its
though the ritual system of the Bra¯hman:as remains open to
agonistic context. This meant the exclusion of the adversary
magic interpretation, this should not obscure their rigorously
from the place of sacrifice. With that, sacrifice became a
systemic reflection on the sacrifice resulting in the maximiza-
strictly personal affair of the individual sacrificer (acting in
tion of the structuring capacity of ritual and the construction
perfect unison with the priestly technicians of the ritual en-
of an absolute, comprehensive, and exhaustive system of
gaged by him for the purpose). Hence the striking absence
rules. In this sense we can speak of a “science of ritual” (cf.
of sacra publica from the ´srauta ritual. Even in the royal ritu-
Hermann Oldenberg’s view of the Bra¯hman:as as “vorwissen-
als the king is just a single sacrificer and as such no different
schaftliche Wissenschaft”). Although the term bra¯hman:a
from a commoner. In other words, sacrifice was desocialized
refers primarily to the ritual’s cosmic importance, express-
and set apart in a separate sphere of its own, transcending
ed in the form of identifications, the ´srauta tradition gives
the social world. Outside society the sacrificer creates his own
pride of place to the system of rules as such. Thus the
conflict-free, perfectly ordered universe, subject only to the
Bra¯hman:as are already characterized early on as ritual injunc-
absolute rules of the ritual.
tions (codana¯), while the explanatory discussions
(arthava¯da)—including the statements of the cosmic impor-
Mythologically, this ritualized agon is expressed in the
tance of the rites, illustrated by mythological tales and rela-
identification of the sacrificer with the creator god Praja¯pati,
tions of past events—are qualified as secondary, a mere “re-
the Lord of Creatures, who personifies the monistic concep-
mainder.” Only the pure systematics of the ritual count. In
tion of sacrifice, being himself both victim and sacrificer.
the final analysis, the potential for magic is rejected. The rit-
Through sacrifice Praja¯pati makes the beings go forth from
ual system stands by itself, divorced from mundane reality
his dismembered body, recalling the relatively late R:gveda
and unaffected by its uses or abuses.
hymn (10.90) that celebrates the cosmogonic sacrifice by the
gods of Purus:a, the Primordial Being. In this respect
At this point the development of the ritual bifurcates.
Praja¯pati supersedes the warrior-god Indra and his cosmo-
On the one hand, the doctrine of the Bra¯hman:as gave rise
gonic martial exploits. The outcome no longer depends on
to the prescriptive handbooks, the S´rautasu¯tras, and ulti-
prowess in the sacrificial contest involving martial arts such
mately, via the meta-rules contained in them, to the classical
as charioteering and verbal skills, but on unerring knowledge
M¯ıma¯m:sa¯ school of jurisprudence. On the other hand, the
of the complicated but systematic (and therefore readily
statements on brahman, that is, the cosmic importance of the
learnable) body of ritual rules.
rites contained in the arthava¯da parts, prefigure the musings
of the Upanis:ads, which go on to form the final series of an-
In contrast to the poetic or visionary metaphor, which
skrit prose commentaries and speculation classified as
was based on numerical equivalence (sam:pad, sam:khya¯na),
Veda¯nta, the “conclusion of the Veda.”
the mainstay of Brahmanic thought in elaborating the ritual
system was identification in uncomplicated “this-is-that”
A¯ran:yaka, literally pertaining to the wilderness (aran:ya),
terms. Elements of the ritual (mantras, recitations, chants,
is the name of a loosely defined class of texts that form part
acts, ritual implements, the place of sacrifice and its various
of or are attached to the Bra¯hman:as. Their distinctive trait
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1028
BRA¯HMO SAMA¯J
is that the material contained in them—both mantra and
Numen 26 (1979): 2–22, which, however, passes over the
Bra¯hman:a—is traditionally qualified as secret or dangerous
Bra¯hman:a explanations based on cosmic identifications; see
and therefore has to be studied outside the settled communi-
my own comment in Festschrift R. N. Dandekar (Poona,
ty (gra¯ma) in the wilderness while submitting to restrictive
1984).
rules of behavior (vrata). Why these texts should be so classi-
For the A¯ran:yakas see Hermann Oldenberg’s still valuable
fied is not explained. Although the A¯ran:yakas vary in their
“A¯ran:yaka,” Nachrichten von der Kgl. Gesellschaft der Wissen-
contents, they are mainly concerned with the Maha¯vrata,
schaften zu Göttingen (1915), pp. 382–401, reprinted in Kl-
originally a New Year festival with agonistic and orgiastic fea-
eine Schriften, edited by Klaus Janert (Wiesbaden, 1967),
tures, and with parts of the ritual concerning the fire, espe-
pp. 419–438. Louis Renou’s “Le passage des bra¯hman:a aux
cially the Pravargya (milk offering), featuring an earthen pot
upanis:ads,” Journal of the American Oriental Society 73
(1953): 138–144, traces the linkage between Bra¯hman:a,
brought to glowing temperature in the fire, while funerary
A¯ran:yaka, and Upanis:ads.
rites also occur. The latter item might explain the putatively
secret or dangerous nature of the A¯ran:yakas, but funerary
Translations include Julius Eggeling’s The S´atapatha-Bra¯hman:a,
rites as such do not form a commonly shared or preeminent
5 vols. (1882–1900; reprint, Delhi, 1963); Arthur Berriedale
part of these texts. Perhaps their common denominator
Keith’s The Veda of the Black Yajus School Entitled
Taittir¯ıya-Sanhita¯, 2 vols. (1914; reprint, Delhi, 1967), and
could be found in that their contents were still recognized
Rigveda Brahman:as (1920; reprint, Delhi, 1971); and Wil-
as being specifically bound up with life outside the settled
lem Caland’s Pañcavim:´sa Bra¯hman:a (Calcutta, 1931) and
community, that is, not, as has been erroneously thought,
Das Jaimin¯ıya-Bra¯hman:a in Auswahl (Amsterdam, 1919).
the life of the ascetic (va¯naprastha), but of the nomadic war-
Of the A¯ran:yakas Keith has translated the S´a¯nkhya¯na (Lon-
riors of old setting out with their fires and cattle into the
don, 1908) and the Aitareya (Oxford, 1909).
wilds. An indication to this effect may be contained in the
J
formulas giving the names of the divine warriors, the Maruts,
AN C. HEESTERMAN (1987)
and in those celebrating the dread forms or bodies (ghora¯
tanvah:) of the fire. Since systematization of the ritual was
aimed at the exclusion of the warrior and his deeds, the rele-
BRA¯HMO SAMA¯J. The Bra¯hmo Sama¯j, also known
vant traditions were relegated to the margin of the ritualistic
as Bra¯hma Sama¯j and Bra¯hmo (or Bra¯hma) Sabha¯, was the
Bra¯hman:as. On the other hand, the wilderness was of old the
first modern Hindu reform movement. It was founded in
typical locus of revelatory vision, which therefore became as-
Calcutta in 1828 by Ram Mohan Roy (1772–1833). As an
sociated with the warrior. The links between wilderness, war-
expression of the social and religious views of a small but in-
rior, and vision may have been the original basis for the repu-
fluential group of westernized Indians, the Bra¯hmo Sama¯j
tation of danger and secrecy attached to the A¯ran:yakas, while
(“congregation of brahman”) sought to create a purified form
their marginalization may explain the mixed and disjointed
of Hinduism, a Hindu dharma free of all Puranic elements
nature of their contents (to which later materials may have
such as temple rituals and image worship. Led by a series of
been added) as hallowed remnants of the otherwise discred-
prominent Bengali intellectuals, the movement was a major
ited world of the warrior that could not be easily fitted into
factor in shaping Hindu responses to both secular and Chris-
the ritual system. For the same reasons, however, it would
tian influence from the West and thus helped pave the way
seem that the A¯ran:yakas offered the proper slot for attaching
for the so-called Hindu Renaissance in the late 1800s. The
the Upanis:ads to the ritualistic Bra¯hman:as. In this respect
Bra¯hmo Sama¯j, along with the A¯rya Sama¯j, was one of the
it is interesting that in their form the Upanis:ads recall an im-
most important religio-political influences in the Indepen-
portant aspect of the warrior-and-seer phenomenon, namely
dence movement, the Bra¯hmo Sama¯j being a reform move-
the verbal contest (brahmodya) on the hidden cosmic con-
ment and the A¯rya Sama¯j tending toward a revitalistic con-
nection.
cern for the religious heritage of the Vedas mediated through
new social and theological forms.
SEE ALSO Brahman; Praja¯pati; Upanis:ads; Vedas; Vedism
and Brahmanism.
The Hindus involved in the Bra¯hmo Sama¯j were not
broadly representative of the Bengal Hindu population, but
B
instead belonged to a group of castes and families that had
IBLIOGRAPHY
A general survey of the Bra¯hman:a and A¯ran:yaka literature is to
prospered in the late eighteenth and early nineteenth centu-
be found in Jan Gonda’s Vedic Literature (Wiesbaden, 1975),
ries after Mughal domination had given way to rule by the
pp. 339–432.
British East India Company. The Bengalis who gained
money and land during this difficult economic period were
The classic studies of the Bra¯hman:a texts are Sylvain Lévi’s La doc-
mainly those who served as suppliers, agents, or bankers for
trine du sacrifice dans les Brâhman:as (1898; 2d ed., Paris,
1966) and Hermann Oldenberg’s Die Weltanschauung der
the British. In the early period of company rule, those who
Bra¯hman:a-Texte (Göttingen, 1919). The proto-scientific na-
were prepared to take this westernizing route to new wealth
ture of these texts has recently been emphasized again in Frits
were mostly Hindus from a few select castes, and it was they
Staal’s P. D. Gune Memorial Lectures, The Science of Ritual
and their descendants who provided the leadership and most
(Poona, 1982); see also his “The Meaninglessness of Ritual,”
of the membership of the Bra¯hmo Sama¯j.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRA¯HMO SAMA¯J
1029
The initial Indian response to British rule in Bengal was
In Bengal, this meant the recognition of upper non-kul¯ınas
strongly influenced by caste and religious factors. Muslims
such as the Tagores, the Sens, and the Dutts as valid religious
deprived of political power and related social privileges large-
guides, and it was they in fact who provided leadership for
ly withdrew from involvement with their conquerors, while
most of the new religious movements throughout the nine-
Hindu response was divided between what were known in
teenth century.
Bengal as kul¯ına and non-kul¯ına castes. In the unique Bengal
Roy’s successors in Bra¯hmo leadership, Debendranath
hierarchy, the highest status was given to five kul¯ına
Tagore (1817–1905) and Keshab Chandra Sen (1838–
(“superior”) brahman castes and three kul¯ına castes of
1884), converted the fledgling enterprise into a vital move-
ka¯yasthas (traditional writer/clerical castes of ´su¯dra origin).
ment for religious and social reform. Between 1843 and
Faced with British rule these kul¯ına castes remained aloof,
1858, Tagore recruited hundreds of new members, codified
as they previously had from Muslim rulers, in order to pre-
Bra¯hmo teachings, and campaigned actively against Chris-
serve their ritual purity. The upper echelons of non-kul¯ınas,
tian proselytizing. Sen, the son of a Vais:n:ava vaidya banker,
however, were less concerned about purity and were in many
expanded the efforts for social reform and brought the move-
cases accustomed to relations with non-Hindu rulers. Mem-
ment national attention with his charismatic missionary ac-
bers of these castes, whose ranks included the non-kul¯ına
tivities. Most significantly, as non-kul¯ınas, both men rein-
brahman families of Roy and Tagore as well as non-kul¯ına
forced Roy’s principle that religious authority rests on reason
ka¯yasthas and vaidyas, recognized the benefits of working
and ability and not on priestly caste.
with the British, and using this involvement to their advan-
tage, they had emerged by the early 1800s as wealthy entre-
By the time Sen died, the Bra¯hmo Sama¯j had largely
preneurs and landowners more receptive than other Bengalis
completed its mission, having met the initial impact of
to Western social and religious influences.
Christianity and Western culture and having shown how
they could be used to strengthen Hinduism instead of de-
The newly affluent non-kul¯ına Hindus formed a natural
stroying it. In the process, the movement created a new and
constituency for Hindu reform. They were wealthy, but
lasting religious model that could release the creative energies
within the traditional Hindu system they had to accept reli-
of a class of people who formerly had been patrons rather
gious leadership from kul¯ınas. Although attracted to West-
than leaders in the Hindu system. Although the Bra¯hmo
ern culture, most were unwilling to reject Hinduism in favor
Sama¯j survived as an independent organization, the energies
of Christianity—a choice increasingly urged on them after
of that class after 1884 were largely expressed in other move-
the British East India Company opened Bengal to Christian
ments of religious, social, and political reform. Such non-
missionaries in 1813. If they were to acquire Western cul-
priestly religious leaders as Vivekananda and Gandhi, howev-
ture, retain their Hindu identity, and also improve their reli-
er, were certainly both beneficiaries and worthy successors to
gious status, a new form of Hinduism in which they could
Roy’s initial vision.
set the terms and take the leading role was necessary. Thanks
to the genius of Ram Mohan Roy, this need was met by the
SEE ALSO A¯rya Sama¯j; Gandhi, Mohandas; Roy, Ram
creation of the Bra¯hmo Sama¯j in 1828.
Mohan; Sen, Keshab Chandra; Vivekananda.
The son of a non-kul¯ına brahman and himself a success-
BIBLIOGRAPHY
ful entrepreneur, Roy had a passion for reason and universal-
The Bra¯hmo Sama¯j has inspired a massive literature from Ram
ity that led him by 1815 to reject Hindu polytheism and
Mohan Roy to the present. The best work on the movement
image worship in favor of the monotheism of the early
as a whole is David Kopf’s The Bra¯hmo Sama¯j and the Shap-
Veda¯nta texts, the Upanis:ads and the Brahma Su¯tra, which
ing of the Modern Indian Mind (Princeton, 1979). J. N. Far-
he interpreted as teaching the worship of brahman as the sole
quhar’s Modern Religious Movements in India (New York,
creator and supporter of the universe. Applying his standards
1915) gives an interesting early description of the Bra¯hmo
to Christianity, he concluded that Jesus’ ethical teachings
Sama¯j in the context of other nineteenth-century Indian reli-
had universal validity, though he rejected trinitarian theolo-
gious developments. Two recent and more analytic studies
gy. For a brief period in the early 1820s he aligned himself
of the religious views of the movement and its founder are
with the Unitarian movements in England and America, but
provided in Spencer Lavan’s “The Brahmo Samaj: India’s
First Modern Movement for Religious Reform” and in James
when he saw that Hindus could not satisfy their spiritual and
N. Pankratz’s “Rammohun Roy,” in Religion in Modern
religious needs by becoming Unitarians, he founded the
India, edited by Robert D. Baird (New Delhi, 1981),
Bra¯hmo Sama¯j as a Hindu counterpart.
pp. 1–25, and pp. 163–177. The standard source for more
As Roy conceived it, the Bra¯hmo Sama¯j was a rational
detailed information on Roy is Sophia Dobson Collet’s The
Life and Letters of Raja Rammohun Roy, 3d ed. rev., edited
and ethical expression of Vedantic monotheism, reformist
by Dilip Kumar Biswas and Prabhat Chandra Ganguli (Cal-
rather than radical in its ideas and goals. One radical ele-
cutta, 1962), and many of his important writings have been
ment, however, was the assumption of religious leadership
collected in the single-volume edition of The English Works
by Roy himself, a worldly self-taught non-kul¯ına who reject-
of Raja Rammohun Roy, edited by Kalidas Nag and Debajyoti
ed traditional priestly authority. Once this example was ac-
Burman (Calcutta, 1958). Narayan Chaudhuri’s Maharshi
cepted, the way was open for a new type of religious leader.
Devendranath Tagore (New Delhi, 1973) provides a good 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
1030
BRAINWASHING (DEBATE)
scription and evaluation of Tagore’s contributions to the
of converts by Mormons, and imprisonment of nuns in
Brahmo movement, and Meredith Borthwick’s Keshub
Catholic convents. Although the term brainwashing had yet
Chunder Sen: A Search for Cultural Synthesis (Calcutta, 1977)
to be coined, these earlier forms are related to more modern
gives an excellent scholarly assessment of his successor. The
forms in which the real or imagined subversive agents are
unique and complex caste system of Bengal is explained in
Communists, mafioso, religious cult leaders, extraterrestrials,
detail in Ronald B. Inden’s Marriage and Rank in Bengali
satanists, and terrorists.
Culture (Berkeley, 1976).
New Sources
The debate over brainwashing and its predecessor forms
Takeuchi, Keiji. The Philosophy of Brahmo Samaj: Rammohun Roy
has centered on forces influencing individual-group relation-
and Devendranath Tagore. Calcutta, 1997.
ships. Over the last several centuries, the culturally appropri-
ate form of individuality has increasingly emphasized auton-
THOMAS J. HOPKINS (1987)
Revised Bibliography
omy, voluntarism, and self-directedness. Individuals are
deemed autonomous to the extent that they are not subject
to external constraint through coercion, accident, miracle, or
nature. Voluntarism is presumptively present when individu-
BRAINWASHING (DEBATE). The current debate
als orient their motives and intent in a goal-directed fashion
over brainwashing (the term is used here generically to refer
by exercising choice. Self-directedness involves the pursuit of
to mind control, coercive persuasion, or thought reform un-
goals that reflect external self-interest or internal self-
less otherwise stipulated) is best understood in the broader
fulfillment. Relational involvement in any context that may
context of recurrent concerns through Western history over
compromise these attributes, particularly those outside of re-
powerful, illicit sources of influence on individual loyalty and
lationships in support of legitimate institutional mandates,
commitment. Brainwashing is a contemporary version of
are likely to be contested.
such historic concerns. These anxieties have periodically as-
sumed crisis proportions when there have been extreme so-
The focus of this entry is on allegations of brainwashing
ciocultural tensions that have given rise to allegations of the
in the case of contemporary religious movements. The his-
existence of subversive forces and the marshaling of counter-
torical context for the current debate is cold war era disputa-
subversion campaigns, with the objective of controlling spe-
tion over alleged Communist brainwashing. There also have
cific types of contested relationships. As in the case of its pre-
been a number of other related events and episodes in which
decessors, the contemporary debates over brainwashing em-
brainwashing has been alleged that have contributed to
body these related elements. The evidence in both the
broad public acceptance of the reality of brainwashing and
historical and contemporary episodes supports the conclu-
to the availability of brainwashing as an explanation for trou-
sions that concerns about powerful, illicit sources of influ-
bling events.
ence are pronounced during periods of sociocultural tension
COMMUNIST BRAINWASHING. The term brainwashing origi-
and that certain types of relationships have repeatedly been
nated in the cold war division of nations into socialist and
at issue. However, there is little support for the existence or
capitalist blocs. The historic tensions between those two
efficacy of subversive forces as depicted in brainwashing ide-
forms of political and economic organization were reflected
ologies.
in high levels of militarization, a succession of regional wars,
Extreme sociocultural tensions are likely to occur during
and an ongoing threat of nuclear conflagration. The English
unsettled periods when a society experiences conflict be-
term brainwashing derives from a Chinese counterpart (si
tween alternative, incompatible organizing principles or is
xiang gai zao) that roughly translates into English as “to
moving from one set of organizing principles to another. In
cleanse (or wash clean) thoughts” and refers to sociopolitical
Western history, the movement from premodern to modern
attitude correction. During the cold war era, American gov-
to postmodern social structures has yielded a succession of
ernment officials were confronted by a series of disquieting
these unsettled periods. During such moments the major so-
events: public confessions by dissidents during Soviet show
cial forms that orient individual and institutional patterns
trials, apparent conversions by individuals who were subject-
stand in opposition to one another and therefore yield con-
ed to Chinese revolutionary universities, and collaborationist
tradictory behavioral imperatives. It is during unsettled peri-
statements and actions by American prisoners of war during
ods that subversion fears are most likely to surface. Through-
the Korean War. It was a Central Intelligence Agency (CIA)
out history, subversives have appeared in various forms, such
operative and journalist, Edward Hunter, who in 1953
as gods, fate, demons, and witches. What such subversives
coined the term brainwashing to account for apparent cases
purportedly have in common has been their tendency to
of conversion or collaboration with Communist regimes.
work in a secret, conspiratorial fashion with malevolent in-
During the 1950s and 1960s the CIA undertook its own re-
tent to corrupt individuals’ natural essence or purpose, vari-
search on brainwashing, conducting experiments that in-
ously conceived as free will, soul, or sanity. American history
volved the use of pain, sensory deprivation, and hypnosis on
is replete with subversion fears, such as allegations of the
a variety of subjects. While these experiments were successful
transformation of early settler captives into savages by Ameri-
in psychologically destabilizing subjects, they did not result
can Indians, colonial-era witchcraft possession, mesmerism
in implanting new attitudes and values. The CIA version 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
BRAINWASHING (DEBATE)
1031
brainwashing theory permeated popular culture, most nota-
individuals are more predisposed to seek or accept totalistic
bly in the 1962 film, The Manchurian Candidate. In that
solutions. To the extent that thought reform occurs, then,
film, Communist captors attempt to turn an American pris-
it is the product of an interaction between individual predis-
oner of war into a robotlike agent through the use of pro-
positions and a totalistic situation. In the cases that Lifton
gramming by hypnosis and drugs.
studied, however, thought reform was not very successful. All
Two major studies of Communist brainwashing pub-
of the forty individuals Lifton studied did indeed collaborate
lished in 1961 were particularly influential in shaping later
with their jailers in various ways (such as signing public state-
conceptions of the process—Edgar Schein’s Coercive Persua-
ments condemning the United States or confessing to germ
sion and Robert Lifton’s Thought Reform and the Psychology
warfare). However, only two maintained these positions
of Totalism. In his study of Korean War prisoners and the
once they were outside of the control of Communist officials,
Chinese indoctrination program, Schein identified three
and Lifton found totalistic predispositions in both cases.
processes in coercive persuasion: (1) unfreezing (displacing
Further evidence of the relative lack of success of brain-
the individual’s former identity); (2) changing the identity;
washing programs can be found in the aggregate statistics on
and (3) refreezing (establishing a new identity). However,
the impact of these programs on American prisoners during
Schein criticized the crude CIA brainwashing model, argued
the Korean War. Only about half of captured American sol-
that preexisting individual beliefs and values were relevant to
diers survived the brutal conditions to which they were sub-
the impact of coercive persuasion techniques, and concluded
jected in internment camps. Facing the prospect of starvation
that the Korean and Chinese techniques had been ineffective
and torture, about one-third of the survivors collaborated
in producing an attitude change in the targeted individuals.
with their captors. However, only twenty-one of the nearly
Schein was careful to draw a distinction between conformity
4,500 Americans held at the end of the war refused repatria-
to captors’ demands during incarceration and actual conver-
tion; several years later eleven members of that group re-
sion. On the basis of his research, he could find no cases of
quested repatriation. This defection rate is roughly compara-
conversion. He further argued that there were significant
ble to the rate for other wars. By contrast to American
similarities between Communist indoctrination programs
prisoners of war, about ninety thousand captured North Ko-
and the social pressures generated by such mainstream West-
rean and Chinese soldiers refused repatriation.
ern entities as educational institutions, psychotherapy, reli-
gious orders, and religious revivals.
In the case of allegations of Communist brainwashing,
The most influential model remains Lifton’s theory of
then, it is clear that there were tensions between capitalist
thought reform. Lifton studied twenty-five Westerners and
and socialist states that at various times rose to crisis levels,
fifteen Chinese who were imprisoned and subjected to
and those tensions produced mutual fears of subversion.
thought reform programs and subsequently migrated to
However, there is little evidence to support the CIA version
Hong Kong. On the basis of those cases, Lifton developed
of brainwashing, and the agency’s own brainwashing experi-
eight “themes” that are integral to ideological totalism,
ments were unsuccessful. Independent research by Lifton
which is produced by a combination of extreme ideology and
and Schein produced evidence of collaboration under duress
extreme individual character traits. Conditions fostering
but no evidence of an overpowering psychotechnology that
ideological totalism include the following:
produced lasting transformation of beliefs and attitudes. Lif-
ton’s work, in particular, has continued to be influential as
1. Milieu control (controlling internal communication
a model of totalistic environments and processes. Further-
and eliminating external communication);
more, the generic concept of brainwashing has been incorpo-
2. Mystical manipulation (manipulating individuals’ per-
rated into American popular culture. Both formal theories
ceptions of their own behavior);
and informal cultural beliefs have created a reservoir of credi-
3. The demand for purity (moral polarizing of insiders and
bility for brainwashing that served as the basis for its intro-
outsiders);
duction into the disputes involving new religious groups in
4. The cult of confession (using confession rituals to ex-
the 1970s.
pose unacceptable relationships and actions);
CULTIC BRAINWASHING. The controversy over new religious
5. Sacred science (propounding totalitarian ideology as ab-
movements (NRMs), popularly referred to as cults, is most
solute truth);
immediately a product of the 1960s countercultural period.
6. Loading the language (utilizing emotionally laden con-
As political and social countercultural movements dissipated,
cepts that impede critical thought);
alienated young adults began seeking alternative forms of
protest. A wave of new movements, some of which immi-
7. Doctrine over person (interpreting reality and other per-
grated to the West following the rescinding of Asian immi-
sons through group ideology);
gration exclusion legislation and some domestic groups that
8. Dispensing of existence (elevating the group and its ide-
had languished in relative obscurity, suddenly began attract-
ology as the highest value).
ing converts. Although characteristics of converts varied by
Lifton’s theory does not rely simply on the compliance gen-
movement, in general the first recruits to NRMs were white,
erated by a totalistic situation, as he also argues that some
middle-class, well-educated young adults. The movements
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1032
BRAINWASHING (DEBATE)
quickly drew attention from families of converts, established
Although Singer’s theories were the most influential within
churches, and scholars studying religion and social
anticult circles and judicial forums, there were a variety of
movements.
other theories ranging from cybernetic trauma to manipula-
Opposition to new religions soon mounted as the
tive use of trance and hypnotic states to relational disorders.
groups challenged educational, political, occupational, reli-
More recently, there have been efforts to reorient brain-
gious, and familial institutions. There were two major wings
washing theory. For example, Benjamin Zablocki has argued
to the opposition, both of which sought to distinguish be-
that brainwashing is better understood as a technique for re-
tween legitimate churches and pseudo-religious “cults.” The
taining (rather than obtaining) members, that it may be ef-
religious opposition groups involved in the countercult
fective on only a small number of individuals, and that indi-
movement existed long before the cult controversy and typi-
viduals may participate voluntarily in the process. All of these
cally challenged sectarian Christian and non-Christian
theories share in common a focus on group-induced, delete-
churches. When new movements appeared, countercult or-
rious effects on individuals affiliated with religious move-
ganizations simply added them to their list of opponents.
ments. While they admit some measure of both individual
The countercult movement, which drew its strength largely
and group influence, the latter is asserted to be more power-
from the ranks of conservative denominational groups, re-
ful and determinative of outcomes.
garded new movements as a spiritual threat because they
propagated heretical doctrines. Religious countercult groups
NRMs quickly attracted the attention of scholars in the
were more likely to regard recruits to NRMs as deceived
social sciences and religious studies because their appearance
rather than brainwashed. The secular anticult associations
and growth during the 1970s appeared to contravene estab-
were founded by family members of NRM converts. Anticult
lished theories among social scientists predicting the contin-
ideology sought to distinguish cults from legitimate groups
ued secularization of Western societies. Affiliation to (and
on the basis that the former employed brainwashing tech-
later disaffiliation from) new religions, based on studies of
niques. Brainwashing in this context typically refers to a de-
members, has been by far the most researched aspect of new
liberate, potent program of indoctrination and control that
religions. The vast majority of published findings have em-
reduces individual autonomy, voluntarism, and self-
ployed conversion or affiliation theories that do not presume
directedness.
the illegitimacy of the groups or the manipulative practices
inherent in brainwashing models. In mainstream scholarly
As initially formulated, anticult ideology depicted
work, affiliations of individuals with new religions have been
NRMs as rapidly growing; unprecedented in their organiza-
interpreted as the product of ongoing countercultural pro-
tion, tactics, and destructiveness; and capable of dramatically
test, youthful experimentation with alternative lifestyles, or
altering individual beliefs and behaviors and of creating long-
tensions surrounding the transition from adolescence to
term emotional damage to anyone subjected to them. The
adulthood, rather than the subversive power of cults. The
earliest brainwashing theories were developed by deprogram-
conversion process is described not in terms of powerful
mers who sought to reverse the effects of cultic “program-
brainwashing techniques but rather in terms of such process-
ming” and thereby extract individuals from new religions.
es as adherents’ adoption of a new symbolic identity, a
These crude and easily disproved theories alleged that indi-
strengthening of one set of ties to a social network with a cor-
viduals were rendered powerless by some combination of
responding weakening of ties to another network, and role
hypnosis, sleep deprivation, relentless indoctrination, altered
playing and experimentation by individuals searching for
diet, and extreme isolation.
meaning in their lives.
Much more influential was the work of psychologist
Margaret Singer who provided the foundation of anticult
There have been a number of major studies of move-
brainwashing theory, as well as expert witness testimony in
ments associated with brainwashing allegations, including
many cases based on brainwashing allegations. Singer identi-
the Unification Church, the Family (originally the Children
fied six conditions that she argued are integral to the brain-
of God), and the International Society for Krishna Con-
washing process:
sciousness (ISKCON or Hare Krishnas). These studies in-
clude three books on Unificationism—John Lofland’s
1. Preventing the individual from becoming aware of the
Doomsday Cult (1966), David Bromley and Anson Shupe’s
group’s control or change program;
Moonies in America (1979), and Eileen Barker’s The Making
2. Controlling the individual’s environment by limiting
of a Moonie (1984); four books on the Family—David van
and shaping information and contacts;
Zandt’s Living in the Children of God (1991), Ruth
3. Creating a sense of fear, dependence, and powerlessness
Wangerin’s The Children of God (1993), James Chancellor’s
in the individual;
Life in the Family (2000), and William Bainbridge’s The
4. Eradicating the individual’s old attitudes and behavior;
Endtime Family (2002); and two books on the Hare Krish-
nas—E. Burke Rochford’s Hare Krishna in America (1985)
5. Instilling new attitudes and behavior in the individual;
and Larry Shinn’s The Dark Lord (1987). The clear implica-
6. Creating a closed logical system through which the indi-
tions in these works are that there is no single process of affil-
vidual processes information.
iation but rather a variety of kinds of conversion with differ-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRAINWASHING (DEBATE)
1033
ent dynamics—the personal transformation associated with
outcomes in some cases. Access to conservatorships based on
religious movements may be limited or pervasive, and what-
allegations of cultic brainwashing was dramatically reduced
ever transformation does occur is a product of both individu-
following Katz v. Superior Court (1977). After a California
al volition and group socialization.
judge had granted legal custody of five adult members of the
Unification Church to their parents, a California court of ap-
Furthermore, these and many other studies challenged
peals overturned the order based in part on the conclusion
basic assumptions of the brainwashing approach. They
that inquiry into coercive persuasion involved a constitution-
found that, contrary to the expectations of brainwashing
ally impermissible investigation of the legitimacy of a reli-
models, the recruitment rates of NRMs were very low while
gious faith. The later anticult strategy of bringing civil suits
turnover rates were very high. They questioned how such di-
against NRMs on the basis that brainwashing involved the
verse, unrelated groups all could have discovered and imple-
intentional infliction of emotional distress also was gradually
mented brainwashing techniques at precisely the same mo-
eroded as successes became more problematic. Molko and
ment. They also found that organizations within the same
Leal v. Holy Spirit Association (1983) exemplifies these mixed
movement used different recruitment and socialization prac-
results. Two former members of the Unification Church,
tices, and movements changed these practices frequently.
David Molko and Tracey Leal, sued the church for damages
Based on movement membership patterns, they concluded
suffered as a result of brainwashing after having been success-
that movement recruitment success declined rather than im-
fully deprogrammed. Molko and Leal’s complaints were re-
proved over time, a finding difficult to reconcile with brain-
jected by the trial court, and expert testimony on brainwash-
washing theory. Finally, they reported that movements dis-
ing was rejected on the grounds that it lacked scientific
played a pervasive pattern of factionalism, schism, and
standing. However, in 1988 the California Supreme Court
conflict, a pattern inconsistent with the compliance that
reversed the lower court ruling in asserting that the constitu-
would be predicted by a brainwashing explanation.
tion did not preclude brainwashing claims in cases of fraud
The debate over brainwashing became legal disputation
involving flagrant deception.
when the anticult movement initiated a program to “rescue”
members of new religious groups who allegedly had been
Another major case involving infliction of mental dis-
brainwashed. The process of reversing the effects of putative
tress as a result of brainwashing was brought against the In-
cultic programming was called deprogramming. The proce-
ternational Society for Krishna Consciousness. In Robin
dure was devised by Theodore “Ted” Patrick, who depro-
George v. ISKCON (1983), brainwashing charges were dis-
grammed members of many movements. As practiced by
missed by a Los Angeles court after several appeals, and the
Patrick and others, deprogramming bore a striking resem-
suit was finally settled in 1993. An important federal case was
blance to the brainwashing process it was designed to reverse.
U.S. v. Fishman (1990). In that case Steven Fishman claimed
NRM members were physically abducted, held in isolation
that his fraudulent activities were the result of the debilitat-
for extended periods, and bombarded with ideology and
ing influence of his membership in the Church of Scien-
pressure from deprogrammers, former NRM members, and
tology. The judge ruled against allowing mind-control testi-
family members. The process was relatively successful, par-
mony in the trial on the basis that it did not possess scientific
ticularly with recent affiliates who lacked strong group ties,
standing. Psychologist Singer was the most active and influ-
but it soon encountered legal problems due to a reliance on
ential anticult expert witness in brainwashing cases. Forensic
coercive restraint. Anticult groups therefore sought legal war-
psychologist Dick Anthony played a pivotal role in convinc-
rant for deprogramming by obtaining guardianship and con-
ing courts to exclude Singer’s testimony in a number of these
servatorship orders that awarded parents custody of NRM
cases. These and other cases made presenting brainwashing
converts based on assertions of brainwashing. This strategy
claims increasingly problematic.
succeeded until religious groups began legally contesting the
The brainwashing debate spilled over into professional
conservatorships.
societies as well, most notably the American Psychological
Subsequently, anticult organizations encouraged and
Association (APA). In 1983 the APA formed the Deceptive
sometimes orchestrated civil suits against religious groups by
and Indirect Methods of Persuasion and Control (DIM-
former members who had disaffiliated and agreed to “exit
PAC) task force headed by Singer to evaluate the status of
counseling.” Suits were initiated on grounds that individuals
such theories. Although the task force was dominated by psy-
had been brainwashed and were suffering from an infliction
chologists sympathetic to anticult brainwashing theories, the
of emotional distress or post-traumatic stress syndrome. The
APA’s Board of Social and Ethical Responsibility rejected the
litigation strategy avoided problems of coercive restraint and
DIMPAC report. Other professional associations also debat-
allowed the introduction of expert witnesses who testified to
ed the brainwashing issue, but none has endorsed brainwash-
cultic brainwashing practices. This strategy produced a num-
ing theory.
ber of favorable trial verdicts, although verdicts often were
While brainwashing theory has not fared well in U.S.
modified or reversed by appellate courts.
legal and political forums, it has had an impact in Europe
Litigation gradually undermined the viability of cases
and the People’s Republic of China. A number of European
based on brainwashing assertions, but there were divergent
governments proposed controls over new religions in the
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1034
BRAINWASHING (DEBATE)
wake of the 1994 murder/suicides by the Solar Temple in
believed to be occurring. In these cases the testimony of very
Switzerland and Canada. American anticult officials consult-
young children under the care of therapists was pivotal in
ed with European governmental officials, who made anticult
gaining criminal convictions. Ultimately these cases were dis-
brainwashing theory a key component of reports and legisla-
credited as evidence mounted that the biographies of ritual
tion. In 1998, France established a new office, the Mission
abuse survivors had been fabricated, therapists had implant-
Interministérielle de Lutte les Sectes (Interministerial com-
ed memories of abuse in impressionable children, and no vic-
mission to make war on sects) to monitor sectes (cults). A key
tims of satanic rituals were to be found. A series of academic
defining characteristic of sectes is “mental manipulation” (a
books and reports by investigatory commissions and police
parallel to brainwashing). In the People’s Republic of China,
agencies unanimously concluded that allegations of under-
anticult representatives have consulted with government offi-
ground satanic cults were baseless. Analyses concluded that
cials concerning efforts to suppress Falun Gong, which Chi-
satanic cults symbolically represented a widely experienced
nese officials refer to as a dangerous cult.
sense of vulnerability and danger among American families
by high rates of child sexual abuse; increasing participation
OTHER EPISODES AND EVENTS. There has been a succession
of women in the labor force; and unreliable, expensive child-
of other occurrences that have provided popular legitimation
care facilities.
for brainwashing. In 1973 the term Stockholm syndrome was
coined after four Swedish bank employees, who were held
Like their historical predecessors, contemporary epi-
hostage for six days by bank robbers, resisted police efforts
sodes of brainwashing allegations have involved claims that
to free them and publicly defended their captors. The hos-
culturally illicit groups possessed the capacity to undermine
tages continued to express support for the robbers, and two
culturally appropriate expression of autonomy, voluntarism,
female captors subsequently became engaged to their captors.
and self-directedness. Brainwashing allegations involving
According to the Stockholm syndrome theory, hostages may
Communists, cultists, and satanists all reflect this pattern.
bond with their captors when their lives are in imminent
Theory and research on these episodes indicate that allega-
danger, when they are unable to escape the situation, when
tions of brainwashing occurred in response to sociocultural
they do not have access to alternative sources of information,
tensions and that culturally appropriate autonomy, volunta-
and when the captors are humane. Like brainwashing theo-
rism, and self-directedness were the behaviors at issue. In
ries, the Stockholm syndrome is vigorously debated. None-
each case, social science research has not supported the over-
theless it has been invoked to account for a variety of contest-
whelming psychotechnology theories, and the judicial sys-
ed behaviors, including abused wives who do not support
tem and professional social science associations have like-
feminism, parents who are unable to win their children’s loy-
wise declined to grant brainwashing explanations scientific
alty in custodial disputes, and liberal Israelis who are concil-
standing.
iatory toward Palestinians.
EMERGING DEVELOPMENTS. Rejecting brainwashing as a
One of the most celebrated events related to brainwash-
general explanation for individual and collective conduct re-
ing involved the kidnapping of the Hearst publishing empire
quires offering an adequate alternative explanation for the
heiress Patty Hearst by the Symbionese Liberation Army
dynamics of highly regulated or conformist situations. Many
(SLA) in 1974. Hearst was confined to a closet for an extend-
questions remain unanswered. There is little doubt that some
ed period, raped, and subjected to SLA indoctrination. She
group contexts complicate and may compromise individuals’
resurfaced months later as Tania, apparently now a convert
ability to sustain culturally appropriate autonomy, volunta-
to the SLA since she participated with the group in a bank
rism, and self-directedness. Once the presumption of the ex-
robbery and did not attempt to escape when she had obvious
istence of an overpowering psychotechnology (brainwashing)
opportunities to do so. After her capture, Hearst’s defense
by groups has been rejected, the question of how actual uni-
team argued that she collaborated with her captors because
formities in behavior in diverse groups occur becomes open
she had been terrorized and had continuously feared for her
to explanation. Social scientists are now beginning to explore
life. The jury rejected this argument, however, and Hearst
these issues. For example, the brainwashing model’s assertion
was convicted and imprisoned. She later received a presiden-
that behavioral uniformities are the product of the personali-
tial pardon.
ty characteristics of a manipulative charismatic leader is
being displaced by a more complex analysis of charisma as
Finally, brainwashing was a core element of the Satan-
a social construction. In this emerging analysis, charismatic
ism scare that swept through North American and Europe
influence is understood as the product of interactive forces
during the 1980s. Proponents claimed the existence of an in-
that include internal challenges to leadership, pressures to
ternational, underground cult of satanists who engaged in a
demonstrate charismatic competence, influences by inner
range of nefarious activities. Most horrific were the claims
circle leadership on the charismatic leader, and external con-
that satanists sought enhanced personal power by absorbing
straints on charismatic legitimacy.
the life energy of young children in ritual sacrifices. Brain-
washing, drugs, and hypnosis were all allegedly used to main-
Similarly, there is active investigation of the conditions
tain control over children. The most significant legal cases
under which religious movements become involved in vio-
emanated from child-care facilities where satanic activity was
lent confrontations with their host societies. Challenging 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
BRAINWASHING (DEBATE)
1035
logic that new religious movements are inherently unstable
Chancellor, James. Life in the Family: An Oral History of the Chil-
and prone to violence, there is an emerging consensus that
dren of God. Syracuse, N.Y., 2000. A participant observation
such extreme outcomes involve both internal and external in-
study of the Family conveying the movement’s development
fluences to varying degrees. High tension between a move-
from a member’s perspective.
ment and the established social order can produce polariza-
Hunter, Edward. Brain-washing in Red China: The Calculated De-
tion such that each side poses an inherent threat to the other.
struction of Men’s Minds. Rev. ed. New York, 1953. A highly
Under these conditions, factors such as secretive actions on
influential, journalistic account of the process and effects of
both sides, centripetal and centrifugal forces within the
brainwashing.
movement or control groups, and the disempowerment of
Lifton, Robert J. Thought Reform and the Psychology of Totalism:
third parties that might mediate conflict are likely to destabi-
A Study of “Brainwashing” in China. New York, 1961. One
lize an already volatile situation. For these and other impor-
of the most systematic and influential studies of thought
tant questions, simplistic answers are gradually giving way to
reform.
more complex analyses.
Lofland, John. Doomsday Cult: A Study of Conversion, Proselytiza-
tion, and Maintenance of Faith. Englewood Cliffs, N.J.,
While the specifics of explanations for extreme behav-
1966; rev. ed., New York, 1977. The earliest social science
ioral uniformities remain to be determined, it appears likely
study of Unificationism in the United States.
that satisfactory explanations will include sociocultural con-
Long, Theodore, and Jeffrey K. Hadden. “Religious Conversion
ditions, organizational characteristics of the groups, dynam-
and the Concept of Socialization: Integrating the Brainwash-
ics of relationships within the groups, and personality predis-
ing and Drift Models.” Journal for the Scientific Study of Reli-
positions of individual members. It is also likely that there
gion 22 (1983): 1–14. A theoretical attempt to bridge brain-
will be continuing debate over issues of conformity and con-
washing and socialization theories.
trol because these are inherently normative matters and the
Richardson, James, Joel Best, and David Bromley, eds. The Satan-
cultural norms are constantly changing. There is every rea-
ism Scare. Hawthorne, N.Y., 1991. Interdisciplinary essays
son, then, to expect that there will be no final resolution to
analyzing the 1980s Satanism scare in North America and
the question of what types of organizations may shape indi-
Europe.
vidual autonomy, voluntarism, and self-directedness, and
Rochford, E. Burke, Jr. Hare Krishna in America. New Brunswick,
what influence processes they may legitimately exercise.
N.J., 1985. A participant observation study of the early
Krishna Consciousness movement in California.
SEE ALSO Anticult Movements; Cults and Sects; Depro-
gramming; Law and Religion, article on Law and New Reli-
Saliba, John A. Social Science and the Cults: An Annotated Bibliog-
raphy. New York, 1990. The most comprehensive bibliogra-
gious Movements.
phy on NRMs, organized by topic.
B
Sargent, William. Battle for the Mind: A Physiology of Conversion
IBLIOGRAPHY
Anthony, Dick. “Religious Movements and Brainwashing Litiga-
and Brain-Washing. Garden City, N.Y., 1957. An analysis of
tion: Evaluating Key Testimony.” In In Gods We Trust: New
influence techniques employed in religion, therapy, medi-
Patterns of Religious Pluralism in America, 2d ed., edited by
cine, and politics.
Thomas Robbins and Dick Anthony, pp. 295–343. New
Schein, Edgar H. Coercive Persuasion: A Socio-psychological Analysis
Brunswick, N.J., 1990. Interdisciplinary essays on contem-
of the “Brainwashing” of the American Civilian Prisoners by the
porary religion in the West, with an emphasis on NRMs.
Chinese Communists. New York, 1961. A study of brainwash-
Bainbridge, William S. The Endtime Family: Children of God. Al-
ing during the Korean War that reports POW compliance
bany, N.Y., 2002. A sympathetic case study of the Family
but not conversions.
based on survey data and personal interviews.
Shinn, Larry. The Dark Lord: Cult Images and the Hare Krishnas
Barker, Eileen. The Making of a Moonie: Choice or Brainwashing?
in America. Philadelphia, 1987. A participant observation
Oxford, 1984. A classic study of Unificationism in England,
study of Hare Krishna history, theology, and ritual with ex-
examining conversion and brainwashing models of NRM af-
tensive description of the conversion and deprogramming
filiation.
processes.
Bromley, David G., and J. Gordon Melton, eds. Cults, Religion,
Shupe, Anson, and David G. Bromley. The New Vigilantes: Depro-
and Violence. Cambridge, U.K., 2002. Interdisciplinary anal-
grammers, Anti-cultists, and the New Religions. Beverly Hills,
yses of the relationship of NRMs and violence focusing on
Calif., 1980. A study of the ideology and organization of the
the major cases of the 1990s.
anticult movement during its formative period in the United
Bromley, David G., and James T. Richardson, eds. The Brain-
States.
washing/Deprogramming Controversy: Sociological, Psychologi-
Singer, Margaret, with Janja Lalich. Cults in Our Midst. San Fran-
cal, Legal, and Historical Perspectives. Lewiston, N.Y., 1983.
cisco, 1995. A forceful argument for the dangers of cults and
Essays offering analysis and critique of the brainwashing
brainwashing by one of the anticult movement’s major pro-
model and the practice of deprogramming.
ponents.
Bromley, David G., and Anson Shupe. Moonies in America: Cult,
Snow, David, and Richard Machalek. “The Sociology of Conver-
Church, and Crusade. Beverly Hills, Calif., 1979. A partici-
sion.” Annual Review of Sociology 10 (1984): 167–190. A sys-
pant, observation-based study of the early development of
tematic review of theories of conversion with an emphasis on
the Unificationist Movement in the United States.
NRMs.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1036
BRANCH DAVIDIANS
van Zandt, David. Living in the Children of God. Princeton, 1991.
ute to the schisms that eventually produced Koresh’s group
A participant observation study of the organization and de-
of Branch Davidians.
velopment of the Family.
FROM DAVIDIANS TO BRANCH DAVIDIANS. The Davidian
Wangerin, Ruth. The Children of God: A Make-Believe Revolution?
Adventists, precursors to the Branch Davidians, originated
Westport, Conn., 1993. An anthropological and mildly criti-
in 1929 in the teaching of Victor Houteff. A Bulgarian im-
cal study of the organization and development of the Family.
migrant to the United States, Houteff became a Seventh-day
Zablocki, Benjamin, and Thomas Robbins, eds. Misunderstanding
Adventist in 1918. His intensive study of biblical prophecy
Cults: Searching for Objectivity in a Controversial Field. To-
led him to two conclusions that conflicted with orthodox
ronto, 2001. A collection of essays presenting contrasting
Adventist doctrine. First, he indicted the church for having
views of brainwashing theory in a debate format.
become complacent and far too “worldly.” Houteff believed
DAVID G. BROMLEY (2005)
that his divinely appointed task was to purify the church
from within and to gather the 144,000 “servants of God”
mentioned in Revelation 7 to wait for the imminent arrival
of Jesus Christ. In addition, Houteff concluded that the
BRANCH DAVIDIANS. On February 28, 1993, the
coming Kingdom of God would be a literal, physical, millen-
United States Bureau of Alcohol, Tobacco, and Firearms
nial rule on earth, centered in the holy land of Palestine.
(ATF) staged a raid on the home and church of a millennial-
Houteff’s teaching attracted some of his fellow Adventists,
ist, sectarian group outside of Waco, Texas. The thoroughly
but church elders quickly barred him from teaching and in
bungled attempt to serve a search warrant took the lives of
1934 officially removed him from membership.
four ATF agents and six members of the millennialist group
and led to a fifty-one day siege that climaxed with a devastat-
Forced out of the mother church, Houteff named his
ing fire that claimed seventy-four more lives. Although many
movement the Davidian Seventh-day Adventists to empha-
of the people within the Mount Carmel Center simply saw
size their belief in the imminent restoration of a Davidic
themselves as students of the Bible, particularly the apocalyp-
messianic kingdom in Palestine whose practices would close-
tic message of the book of Revelation, they became known
ly follow those of traditional Judaism. Houteff came to see
to the public as Branch Davidians and followers of the self-
himself as the seventh and final link in a line of reformers
proclaimed messiah, David Koresh.
including Martin Luther, Miller, and Ellen White. As rela-
tions between his group and the main body of Adventists
BEGINNINGS. The group that gathered around Koresh had
worsened, Houteff excoriated the denomination as a hea-
a long history in the Waco area, and an even longer history
then, apostate group; in 1935 he moved the Davidians to an
before that. With only a few exceptions, Koresh’s disciples
isolated 189-acre parcel of land outside Waco and named
had religious roots in the Seventh-day Adventist tradition,
their settlement Mount Carmel. Although the anticipated
which itself grew out of the Millerite movement of the mid-
move to the holy land never materialized, Houteff led Bible
nineteenth century. After painstaking study of the scriptures,
studies every night and eventually conducted a vigorous
William Miller (1782–1849) had come to the conclusion
proselytization program that sent out tracts to thousands of
that the second coming of Jesus Christ would occur some-
Seventh-day Adventists and sent missionaries to Adventist
time between March 21, 1843, and March 21, 1844. When
groups throughout the world.
the second date passed without incident, the Millerites recal-
culated the date to October 22, 1844. The failure of Jesus
When Houteff died in 1955, he was succeeded by his
to reappear on that second date provoked what came to be
wife, Florence. Convinced that the end would come in 1959,
known as the “Great Disappointment,” but it only diffused
she urged Davidians and Adventists all over the world to as-
rather than decreased the general Adventist fervor. By the
semble at the new Mount Carmel Center near Elk, Texas,
end of 1845, a small group of New Hampshire Millerites had
which the group had recently purchased. In April 1959 some
begun to observe the Sabbath on the seventh day, Saturday,
nine hundred Davidians were gathered there. But, in an out-
and to fashion a new understanding of Miller’s prophecy.
come reminiscent of the “Great Disappointment” of Miller’s
Led by Joseph Bates, James White, and Ellen G. Harmon,
time, their expectations were frustrated. The numbers of
who would marry White in 1846, the group argued that Oc-
faithful then quickly dwindled, and Florence Houteff herself
tober 22, 1844, had in fact been a crucial date for human
moved away and became inactive.
salvation, because Jesus Christ had entered the heavenly tem-
Out of the infighting among those remaining in the
ple on that day in preparation for the final judgment. His
1960s, Ben Roden and his wife, Lois, eventually took control
return would happen at an unspecified time in the future.
of the Mount Carmel property and became the leaders of the
To their observance of the seventh-day Sabbath, Bates
handful of stalwarts who still lived there. Like Miller, Ellen
and the Whites added another distinctive theological tenet.
White, and Houteff before him, Ben Roden believed that he
They believed that God’s will is revealed progressively and
had a prophetic calling. He portrayed himself as the anointed
that each new generation could expect to receive its “present
“Branch” mentioned by Zechariah (Zech. 3:8; 6:12) who was
truth” or “new light.” That doctrine introduced a dynamism
to organize the theocratic kingdom in preparation for
into the Seventh-day Adventist tradition that would contrib-
Christ’s return. Roden revivified the group, adding the bibli-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRANCH DAVIDIANS
1037
cal festivals of Passover, Pentecost, and Tabernacles to their
In his Bible studies, Koresh impressed upon his students
ritual calendar and renewing Houteff’s publishing and mis-
the imminence of the end and urged them to be ready to
sionary programs. On his death in 1978, Roden was suc-
fight on behalf of God at the battle of Armageddon. Koresh
ceeded by his wife as leader of the Branch Davidians, now
expected the events prophesied in Revelation to unfold in the
a distinct offshoot from Houteff’s movement.
land of Israel very soon. But in the meantime, in the daily
life of the Mount Carmel community, Koresh’s authority de-
Like her predecessors, Lois Roden also claimed special
pended less on his claim to the extraordinary experience of
revelations. She taught that the Holy Spirit was a feminine
ascent into the heavens than it did on his repeated ability to
figure and that the coming messiah would fully embody the
make sense of the message of Revelation in his Bible studies.
female aspects of the divinity. Roden actively spread her new
He frequently challenged his students to provide alternative
version of the Branch Davidian message through extensive
readings of the text that they all shared; every time they ac-
missionary travels and the publication of a magazine named
cepted his interpretation, his authority was reinforced. The
SHEkinah, after the feminine Hebrew word for the spirit or
daily Bible studies were Koresh’s most important tool for
presence of God. Lois Roden was the leader of the Branch
maintaining and enhancing his power, authority, and status
Davidians when David Koresh, then known as Vernon Ho-
within the group. It is an indication of his confidence in his
well, joined in 1981. Koresh’s embrace of Lois Roden’s
mission, persuasiveness, and interpretive facility that Koresh
teachings, the possibility that they formed an intimate per-
maintained his position, but it is also an indication of his fol-
sonal relationship, and her implicit recognition of Koresh as
lowers’ deep yearning for a thorough renovation of the world
her successor, sparked the enmity of Lois’s son George, who
that they continued to accept Koresh’s teaching about the
had tried to establish himself in a leadership position during
seven seals and to find in it the promise of their own
his mother’s travels. Even before Lois’s death in 1986, rela-
salvation.
tions between George Roden and Koresh were hostile; by
1987 they flared into violence over George’s bizarre chal-
Koresh’s hold on his followers could be breached, how-
lenge to Koresh that he could resurrect a long-dead member
ever. When Koresh proclaimed a “new light” revelation in
of the community. When Koresh and his armed followers
1989 that enjoined celibacy on all of his male followers and
tried to secure evidence of George Roden’s grotesque prac-
reserved all females for mating with him in order to produce
tices, a gun battle erupted between the two groups. In the
children who would inherit an exalted status in the coming
ensuing trial, Koresh’s accomplices were found not guilty
Kingdom of God, several members left the group. One of
and the jury split on the question of Koresh’s guilt, with the
them, Marc Breault, would later be instrumental in spread-
judge declaring a mistrial. After an unrelated incident,
ing damaging information about Koresh both to media out-
George Roden was found guilty of murder, declared insane,
lets and the United States government.
and sentenced to a state mental hospital. Koresh paid the
The February 28, 1993, assault unsettled the Branch
back taxes on the property and his group took over the
Davidians’ expectations. In some ways it seemed that the
Mount Carmel Center.
forces of “Babylon” had indeed begun the apocalyptic battle,
T
but not where it was anticipated. During the fifty-one day
HE BRANCH DAVIDIANS UNDER DAVID KORESH. Koresh’s
leadership of the Branch Davidians was founded on his abili-
siege, in addition to striving unfruitfully to explain his theo-
ty to interpret the Bible. Many of those who lived with him
logical system to a series of negotiators sent in by the Federal
at the Mount Carmel Center explicitly cited his unparalleled
Bureau of Investigation (FBI), Koresh attempted to fit the
exegetical ability as the reason why they had taken up resi-
unfolding events into his scenario of the end. In an April 14
dence. Koresh’s characteristic mode of teaching was the oral
letter to his attorney, Koresh claimed that he had finally re-
Bible study, often lasting several hours or more, in which he
ceived “word from God” that he could write down his mes-
recited many portions of the text from memory, wove them
sage of the seven seals and share it with the world. In that
together into a single apocalyptic scenario, and exhorted his
letter Koresh promised to finish his commentary as quickly
as he could and then to come out of Mount Carmel to an-
students to prepare themselves for the coming end. Although
swer any questions about his actions. The FBI agents in com-
much of his teaching resembled that of many other Christian
mand, however, did not take the offer seriously; the final as-
millennialists, Koresh saw things in the Bible that no one be-
sault was quickly authorized, and early on the morning of
fore him had. Most notably, he saw himself. As a conse-
April 19, 1993, the sequence of events that initiated the cata-
quence of a 1985 experience of ascent into the heavens that
strophic fire commenced. One of the nine people who es-
happened while he was in Jerusalem, Koresh became con-
caped the flames carried with her a computer diskette of
vinced that he was the Lamb of God described in Revelation
Koresh’s unfinished work.
4 and 5 as the only one who could open the scroll sealed with
seven seals. Koresh also referred to himself as a “Christ,” a
REVIEWING THE SIEGE. The siege that dramatically forced
person anointed by God to undertake a specific mission. He
the Mount Carmel community out of its decades of obscuri-
understood his calling to include not only preaching the
ty was not inspired by theological issues. Acting on allega-
message of the seven seals but also enacting the apocalyptic
tions that the residents of Mount Carmel were illegally turn-
events foretold in that message.
ing semiautomatic weapons into automatic machine guns,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1038
BRANCH DAVIDIANS
the ATF had conducted surveillance of Mount Carmel and
lence and must thus be constantly monitored and militantly
had begun planning to serve its search warrant. The affidavit
opposed. In the minds of many, and despite more nuanced
in support of the warrant also included allegations that chil-
analyses, the Branch Davidians have been indelibly identified
dren were being abused by members of the group and that
as a “cult” and Koresh stands as the paradigm of the manipu-
methamphetamines were being manufactured in Mount
lative “cult” leader who exploited his followers for his own
Carmel. In the later stages of their preparations, agents of the
gain.
ATF were worried that the group would react negatively to
AFTER DAVID KORESH. Although the April 19, 1993, fire
a forthcoming investigative report by the Waco Tribune-
virtually obliterated the Branch Davidian community, sever-
Herald that cast Koresh as the “Sinful Messiah” who brain-
al people have tried to keep it alive. What remains of Mount
washed his followers, sexually exploited women and young
Carmel has become both a memorial and a contested site.
girls, and maintained a large, threatening arsenal.
Though she no longer lives on the property, Amo Paul Bish-
The ATF’s planning, the FBI’s conduct of the siege, and
op Roden, the former wife of George Roden, has abandoned
the media’s coverage of the ongoing drama were all influ-
neither her claims to Mount Carmel nor her claims of leader-
enced by powerful stereotypes developed by the American
ship of the Branch Davidians. Clive Doyle, who survived the
anticult movement over the previous two decades. Building
fire in which his daughter died, lives in a trailer on the
primarily on the example of the 1978 murder/suicide of 914
Mount Carmel site and leads a small group of survivors, but
people at the Peoples Temple Agricultural Mission in Jones-
the claim of those faithful to Koresh to legal ownership of
town, Guyana, a loose confederation of aggrieved parents,
the property remains unsettled. Despite his own difficult
moral entrepreneurs, concerned mental health professionals,
economic circumstances, Doyle has helped erect a small
and other sympathizers had aggressively marketed the notion
chapel at Mount Carmel and to conduct the annual memori-
that all new religious movements or “cults” were led by dan-
al services. From prison, Livingstone Fagan—who left
gerously unstable con men who destroyed the mental free-
Mount Carmel during the siege and, after a controversial
dom of their members and could easily lead them to their
1994 trial, began serving a forty-year prison sentence (later
death. The anticult caricatures so thoroughly shaped public
reduced to fifteen) for his actions on February 28—
and governmental understandings of the Branch Davidians
continues to represent Koreshian orthodoxy in his self-
that it still remains difficult to come to a balanced under-
published writings, including Mt. Carmel: The Unseen Reali-
standing of the siege and its aftermath, even after multiple
ty (1994). Fagan remains convinced of Koresh’s messianic
government, academic, and other investigations, as well as
mission and limits his own contribution to re-presentation
several court cases.
and clarification of Koresh’s message. Another imprisoned
Branch Davidian, Renos Avraam (writing as the “Chosen
In that context, the question of whether the Branch
Vessel”), has claimed divine approval to further develop
Davidians were illegally converting firearms largely fades into
Koresh’s message of the seven seals. Appealing to the familiar
the background. Even if they were, the violation is typically
Adventist concept of “present truth” or “new light,” the
punishable by a simple fine. Also, survivors of Mount Car-
Chosen Vessel emphasizes the limitations and inaccuracies
mel vigorously dispute the claim that they were training for
of Koresh’s message and claims that his book reveals the nec-
an apocalyptic war. They assert that the weapons were the
essary new understanding of the imminent end. Both Fagan
lucrative hobby of a few members who sold them at gun
and the Chosen Vessel retain the apocalyptic expectations
shows for a profit. The affidavit’s assertions about drug man-
that have been so central to the Adventist and Branch
ufacturing have been totally discredited. But the accusations
Davidian traditions, but the Chosen Vessel claims an insight
of child abuse have gained increasing support as the extent
that eclipses even Koresh’s. The development of Branch
of Koresh’s sexual involvement with young girls has come to
Davidian thought and practice after Koresh is fluid and mul-
light. Proper investigation and prosecution of those charges,
tifaceted; some wait for Koresh’s imminent resurrection,
however, would involve agencies other than the ATF.
while others put forward innovative interpretations of his
teaching about the seven seals. By all accounts, however,
The ATF has been severely criticized for both its plan-
there has not been a substantial influx of converts into the
ning and execution of the initial raid and for its failure to
movement since 1993.
attempt to take Koresh into custody during his frequent trips
off the property. Similarly, the FBI has been criticized for
Beyond the small circles of surviving and newly convert-
failing to take Koresh’s religious concerns seriously and for
ed Branch Davidians and their sympathizers, the destruction
quickly deciding that they were merely “Bible babble,” but
of the Mount Carmel Center and the near extinction of the
reorganizations within the bureau and the conduct of subse-
community have had other reverberations. Orthodox Sev-
quent encounters, such as the 1996 Montana Freemen
enth-day Adventist have reviewed events to see if they could
standoff, suggest a growing FBI sensitivity to religious fac-
identify why faithful Adventists would accept Koresh as a
tors. On the other hand, the anticult movement has seized
self-proclaimed messiah. Members of several other new reli-
upon “Waco” and subsequent events, such as the 1997
gious movements have tried to distance themselves and their
Heaven’s Gate suicides and the 1995 Aum Shinrikyo¯ attack
groups from association with Koresh’s abusive leadership in
in Tokyo, as further proof that all “cults” are prone to vio-
order to insulate themselves from public criticism and poten-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRANDON, S. G. F.
1039
tial governmental intervention. Some more extreme advo-
N.J., 2000. Sets the events at Waco in comparative and theo-
cates of the right to bear arms have made the Branch Davidi-
retical perspective.
ans into symbols of the damaging effects of the United States
Hamm, Mark S. Apocalypse in Oklahoma: Waco and Ruby Ridge
government’s efforts to curtail individual freedoms. Most
Revenged. Boston, 1997. Traces the impact of Waco on the
noteworthy among the latter group is Timothy McVeigh,
radical right.
who was executed in 2001 for his role in the 1995 bombing
Haus, Cari Hoyt, and Madlyn Lewis Hamblin. In the Wake of
of the Alfred P. Murrah federal building in Oklahoma City.
Waco: Why Were Adventists among the Victims? Hagerstown,
McVeigh explicitly characterized his actions as revenge for
Md., 1993.
what the government had done at Waco.
Lewis, James R., ed. From the Ashes: Making Sense of Waco. Lan-
ham, Md., 1994. An early collection of essays including
The Branch Davidians did not cease to exist after the
some primary documents.
trauma of the destruction of the Mount Carmel Center.
Moore, Carol. The Davidian Massacre: Disturbing Questions about
Some of the survivors have struggled to rebuild their lives
Waco Which Must Be Answered. Franklin, Tenn., 1995. A
and to stay together as a worshiping community, despite
thorough critique of the government’s actions by a libertari-
their radically diminished membership. Writing from pris-
an activist.
on, their theologians have endeavored to keep the message
Reavis, Dick J. The Ashes of Waco: An Investigation. New York,
of the seven seals alive, even as they have contended over its
1995. A journalist’s vivid account.
adequacy for the present time. For some Seventh-day Ad-
Swett, Mark, ed. Waco Never Again! An exhaustive electronic ar-
ventists, the events at Waco provide a cautionary tale about
chive of writings from Branch Davidians. Includes tran-
the consequences of accepting false messiahs. For other new
scripts of Koresh’s Bible studies, Fagan’s works, and other
religious movements the destruction of the Mount Carmel
materials. Available at http://home.maine.rr.com/waco.
Center raises the specter of the awesome power of the state
Tabor, James D., and Eugene V. Gallagher. Why Waco? Cults and
to crush religious innovation. And for the shadowy and over-
the Battle for Religious Freedom in America. Berkeley, Calif.,
lapping subcultures of self-styled patriots, constitutionalists,
1995. Contains Koresh’s unfinished commentary on the
militia members, and other denizens of the radical right, the
seven seals, and a thorough presentation of Branch Davidian
theology.
Branch Davidians’ fate remains the embodiment of their
worst fears about a rogue government turning its military
Thibodeau, David, and Leon Whiteson. A Place Called Waco: A
Survivor’s Story. New York, 1999. An insider’s story that dis-
might against its own citizens. The remaining Branch
putes many accepted interpretations of what happened inside
Davidians continue to voice their own millennial hopes, and
Mount Carmel.
they also serve as a point of reference for the millennial ex-
Wessinger, Catherine. How the Millennium Comes Violently: From
pectations of others.
Jonestown to Heaven’s Gate. New York, 2000. Provides the
best short description of the events of the siege and attempts
SEE ALSO Aum Shinrikyo¯; Heaven’s Gate; Koresh, David;
to isolate factors that promote violent interactions.
New Religious Movements, overview article, articles on
New Religious Movements and Violence, New Religious
Wright, Stuart A., ed. Armageddon in Waco: Critical Perspectives
Movements and Millennialism; Seventh-day Adventism;
on the Branch Davidian Conflict. Chicago, 1995. An impor-
tant collection of essays on the history, context, and interac-
White, Ellen Gould.
tions of the Branch Davidians with law enforcement, the
media, and the courts.
BIBLIOGRAPHY
Docherty, Jayne Seminare. Learning Lessons from Waco: When the
EUGENE V. GALLAGHER (2005)
Parties Bring Their Gods to the Negotiating Table. Syracuse,
N.Y., 2001. A thorough treatment of the negotiations be-
tween the FBI and the Branch Davidians.
BRANDON, S. G. F. (1907–1971), English historian
Faubion, James D. The Shadows and Lights of Waco: Millennialism
of religions and of the early Christian church. Born in Dev-
Today. Princeton, 2001. An anthropologist’s self-reflective
onshire, Samuel George Frederick Brandon was trained for
study of Amo Paul Bishop Roden’s relationship to the
the priesthood of the Church of England at the College of
Mount Carmel site and the Branch Davidian movement.
the Resurrection, Mirfield, during which time he also stud-
Gallagher, Eugene V. “‘Theology Is Life and Death’: David
ied history at the University of Leeds. He was graduated in
Koresh on Violence, Persecution, and the Millennium.” In
1930 and was ordained two years later. After seven years as
Millennialism, Persecution, and Violence: Historical Cases, ed-
a parish priest in the west of England, he became in 1939
ited by Catherine Wessinger, pp. 82–100. Syracuse, N.Y.,
a chaplain in the British army, serving in the European and
2000. Includes an analysis of Koresh’s Bible studies and his
unfinished manuscript.
North African campaigns and taking part in the Dunkirk
evacuation. He remained in the regular army until 1951,
Gallagher, Eugene V. “The Persistence of the Millennium: Branch
when he was appointed professor of comparative religion at
Davidian Expectations of the End after ‘Waco.’” Nova Re-
ligio 3 (2000): 303–319. Examines the writings of Living-
the University of Manchester despite a lack of previous aca-
stone Fagan and the Chosen Vessel.
demic teaching experience; he held the post until his death.
Hall, John R. Apocalypse Observed: Religious Movements and Vio-
Brandon’s work centered on two areas. The first and
lence in North America, Europe, and Japan. New Brunswick,
more controversial was the early history of the 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
1040
BREAD
church. Here he took with the utmost seriousness the older
Sharpe, Eric J. “Comparative Religion at the University of Man-
theory of a conflict in the early church between a Petrine,
chester, 1904–1979.” Bulletin of the John Rylands Library
Jewish group and a Pauline, gentile community, the latter
(Manchester) 63 (Autumn 1980): 144–170.
gaining the upper hand only after 70 CE. This was the theme
Sharpe, Eric J., and J. R. Hinnells, eds. Man and His Salvation:
of his first book, The Fall of Jerusalem and the Christian
Studies in Memory of S. G. F. Brandon. Manchester, 1973.
Church (1951). Over a decade later he returned to the subject
Includes a personal appreciation of Brandon by H. C. Snape,
of Christian origins in Jesus and the Zealots (1967) and The
a summary of Brandon’s contribution to scholarship by E.
Trial of Jesus of Nazareth (1968), in which he emphasized
O. James, and a bibliography of Brandon’s works.
that Jesus had been executed by the Romans for sedition, and
Simon, Marcel. “S. G. F. Brandon, 1907–1971.” Numen 19 (Au-
drew parallels between Jesus’ followers and the violent anti-
gust-December 1972): 84–90.
Roman movements of the time. Coming as they did at a
ERIC J. SHARPE (1987)
highly volatile period in Western religious history, these
books gained him a considerable (and to Brandon, unwel-
come) radical following, and much international attention,
owing to reports in Time, Newsweek, and other newsmaga-
BREAD. We learn from the Epic of Gilgamesh that bread
zines.
was offered to the gods over five thousand years ago. Since
that time, wherever grain has been cultivated, bread has held
Brandon’s other major interest was centered on the be-
a place of honor in rituals. Bread is the staff of life and often,
lief that religion is a human response to the inexorable pas-
as in the Lord’s Prayer, stands for food in general.
sage of time. His thesis was stated in Time and Mankind
(1951), and was repeated in various ways in such books as
Raised bread was invented by the Egyptians, who made
Man and His Destiny in the Great Religions (1962), History,
it the basis of their administrative system. Although the Isra-
Time, and Deity (1965), and The Judgment of the Dead
elites used bread in many of their religious rites and the
(1967). Wider interests were revealed in A Dictionary of
Greeks honored a bread goddess, it was Jesus who exalted
Comparative Religion (1970), planned, edited, and to a great
bread to the highest religious value when he said, “This is
extent written by him, and in his last work, published after
my body.”
his death, Man and God in Art and Ritual (1975). Here the
In early agricultural societies, the first fruits of the har-
focus shifted to iconography, but the underlying theme re-
vest were offered to the gods (cf. Lv. 23:15–22). For the har-
mained that of history and time.
vest feast, ShavuEot, the Feast of Weeks, the Israelites were
In 1970 Brandon was elected general secretary of the In-
instructed to bring two loaves of bread made of wheaten
ternational Association for the History of Religions, but his
flour as an oblation to Yahveh. Because the festival occurred
unexpected death a little more than a year later prevented
fifty days (seven weeks) after Passover, it came to be known
him from exercising any permanent influence on that organi-
by the Greek name Pentecost and commemorated the giving
zation.
of the Law at Sinai.
Despite his years as a parish priest and chaplain, after
H:ag ha-Matsot, the Feast of Unleavened Bread, was one
1951 Brandon virtually lost touch with the church, and as
of the three great agricultural festivals celebrated by the Isra-
a professor he had no interest in Christian apologetics. He
elites after they settled in Canaan. Originally a rite of thanks-
was a historian pure and simple, who saw Western religion
giving at the beginning of the grain harvest, it was later
as having been in irreversible decline since the high Middle
linked to the nomadic pastoral feast of Passover as a historical
Ages, and who believed that understanding of religious tradi-
commemoration of Israel’s deliverance from Egypt. For
tions could be gained only from a study of their origins. His
seven days, only unleavened bread was eaten, as a sign of a
view of the interrelations of religion and the sense of time
new beginning (cf. 1 Cor. 5:6–8).
was undoubtedly valid; however, being uninterested in psy-
Somewhat similar to first fruits was the “bread of the
chology, philosophy, or phenomenology—or in method-
presence” (shewbread), which the Israelites laid out before
ological questions generally—he seldom carried his investi-
the Holy of Holies in the Temple (Lv. 24:5–9). Twelve cakes
gations far enough. Although he was a disciplined scholar
of pure wheaten flour, representing the twelve tribes of Israel
and a fastidious writer, his mind lacked flexibility, and his
and their unending covenant with Yahveh, were placed on
short academic career can now be seen as having marked the
a table in two lines. Each Sabbath they were replaced and
end of the era of traditional comparative religion in Britain.
then eaten by the priests. Because incense was burned while
In the area of Christian origins, his views were too controver-
the loaves were being replaced, scholars have viewed the
sial to win ready acceptance, but it was important that he
bread as either a sacrificial or a thanks offering.
drew attention to the political setting of early Christianity,
a field in which much work remains to be done.
From the seventh century BCE, the Greeks celebrated the
mysteries of Demeter, the bread goddess of Eleusis, whose
BIBLIOGRAPHY
cult was the established religion of Athens. Demeter was also
Sharpe, Eric J. “S. G. F. Brandon, 1907–1971.” History of Reli-
the intercessor in the realm of the dead. Her two roles were
gions 12 (August 1972): 71–74.
complementary, for grain must die in the earth before it 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
BREATH AND BREATHING
1041
generates. Little else is known about the Eleusinian mysteries
Leiden, 1965. A careful study of John’s sixth chapter in rela-
because adherents took a vow of secrecy.
tion to Jewish concepts about the “bread from heaven.”
Bread was among the food offerings that the ancient
Jacob, Heinrich E. Six Thousand Years of Bread: Its Holy and Un-
Egyptians provided for their deceased. An incantation in the
holy History. Garden City, N.Y., 1944. A popular history that
Book of Going Forth by Day was to be recited if an enemy
should be used with caution.
challenged the deceased’s right to bread. In the Book of Tobit
New Sources
(4:18), Tobias is told to “be generous with bread and wine
Broshi, Magen. Bread, Wine, Walls, and Scrolls. New York, 2001.
on the graves of virtuous men.”
Douglas, Mary. “The Eucharist: Its Continuity with the Bread
The ritual use of bread may have originated as an offer-
Sacrifice of Leviticus.” Modern Theology (April 15, 1999):
ing of nourishment to the deity. But since the God of the
209–224.
Israelites refused all nourishment (Jgs. 13:16), the loaves be-
Kelly, Tony. The Bread of God: Nurturing a Eucharistic Imagina-
came a symbol of communion between Yahveh and his peo-
tion. Linguori, Mo., 2001.
ple. In cultures where bread was the staple of life, it was natu-
JAMES E. LATHAM (1987)
ral that communion be symbolized by the sharing of bread,
Revised Bibliography
since eating together has always been a sign of fellowship.
Bread was elevated to a symbol of supreme importance
when Jesus spoke of himself as the “bread of life” that would
BREATH AND BREATHING. The concept of
give eternal life to those who believed in him, quite unlike
breath figures prominently in the development of thought
the manna that the followers of Moses fed upon in the desert
in many religions. Egyptian ka, Hebrew nefesh and ruah,
(Jn. 6). In New Testament accounts of sharing bread at a
Greek psuch¯e and pneuma, Latin anima and spiritus, Sanskrit
meal, a recurrent series of words (took, gave thanks or blessed,
prana, Chinese qi, Polynesian mana, and Iroquoian orenda
broke, and gave) describes the actions of Jesus at the Last Sup-
all demonstrate that the theme of breath has had a major
per when he instituted the Eucharist. By the ritual act of
place in humanity’s quest for religious understanding. More-
breaking bread (Acts 2:42, 20:7) and eating it, Christians
over, theological conceptions of breath have led many of the
would become one with Christ and his Father in heaven.
world’s traditions to feature respiratory exercises in their reli-
The bread that becomes the body of Christ has an inter-
gious disciplines, especially in Asia and among groups influ-
esting parallel among the Aztec, who made a doughlike paste
enced directly or indirectly by practices from the Indian sub-
from the crushed seeds of the prickly poppy and molded it
continent.
into a figure of the god Huitzilopochtli. The ritual involved
BREATH AND THE RELIGIOUS UNDERSTANDING OF HUMAN-
“god-eating”: the bread body was broken into pieces and
ITY. The centrality of breath in defining humanity has fo-
eaten.
cused on understanding what it is that gives humans life and
Bread presented by the faithful for the Eucharist but not
under what circumstances humans define their own deaths.
used for that purpose was called the eulogia. The bishop
Moreover, the theme of breath, along with related notions
blessed it and had it distributed to catechumens and to ab-
of vitality and energy, has been associated with views of the
sent members of the community. By the fourth century,
soul and with questions regarding the mortal and immortal
Christians were sending the eulogia to one another as a sym-
aspects of human life.
bol of their union. Hippolytus of Rome (170–235) pointed
Greek views. Although the theme of breath is seldom
to another sign of the special unity that bound early Chris-
mentioned by Plato and Aristotle, some of their predecessors,
tians together when he spoke of the bread of exorcism that
for whom the universe was a quasi-living organism, saw air,
should be given to catechumens in place of eucharistic bread.
wind, or breath as central to the definition of the soul. Pre-
Bread as a symbol has also had negative aspects. The
Socratic philosophers identified two qualities of the soul,
good wife does not eat the “bread of idleness” (Prv. 31:27).
movement and knowledge. Empedocles, for example, be-
The ungodly “eat the bread of wickedness” (Prv. 4:17). The
lieved that because the soul knows all natural things, and be-
“bread of deceit” has a sweet taste but leaves the mouth full
cause natural things can be analyzed into four constituent
of gravel (Prv. 20:17). Yahveh, when angry with his people,
parts—fire, air, water, and earth—the soul must be made up
sends the “bread of adversity” (Is. 30:20) or the “bread of
of a combination of these four elements, together with the
tears” (Ps. 80:5). These expressions evolved from a recollec-
principles of love and strife.
tion of God’s curse on Adam, who was to earn his bread by
Diogenes, taking up the position of the Ionians (one of
the sweat of his brow (Gn. 3:19).
whom, Anaximenes, described the soul as having an airlike
SEE ALSO Leaven.
nature that guides and controls the living being), credited air
itself with sentience and intelligence. For Diogenes, air was
BIBLIOGRAPHY
the element most capable of originating movement, because
Borgen, Peder. Bread from Heaven: An Exegetical Study of the Con-
it was the finest element in grain; in this characteristic, he
cept of Manna in the Gospel of John and the Writings of Philo.
thought, lay the grounds of the soul’s own powers of know-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1042
BREATH AND BREATHING
ing and of originating movement. Moreover, he stated, the
(cf. Akkadian napashu, “expand”), nefesh occasionally desig-
internal air in the body had an important role in the func-
nates the neck or throat (which opens for breathing), but is
tioning of each of the sense organs. Similarly, some of the
more often the concrete sign of life, the breathing substance,
Pythagoreans believed that the particles in the air, or the
and then the soul or inner being, in man. Moreover, since
force that moved them, were soul, and Heraclitus declared
the living are distinguished from the dead by breath, nefesh
that the soul as first principle was a “warm exhalation” of
indicates the individual, the person or “I,” which after death
which everything else was composed.
goes to SheDol. As the life force in individual beings, nefesh
Of the words Plato used for “soul,” including nous,
is mentioned in referring to both animals and humans, and
so¯ma, psuch¯e, and genesis, psuch¯e was the closest to a concept
is that which makes flesh alive. The relation between nesha-
that incorporated breath. In Homer, psuch¯e refers to the life
ma, as “breath,” and nefesh, denoting “person,” is seen in
that is lost at death, as well as to the shade or wraith that lives
Genesis 2:7: “Then the Lord God formed man of dust from
on. Like the ancient Egyptian ka (“breath”), the “double” of
the ground, and breathed into his nostrils the breath [nesha-
humanity that was born with humans but survived death and
mah] of life; and man became a living being [nefesh].” This
remained close to the tomb, the Homeric soul was an airy,
belief in the unity of body and soul is continued from the
ethereal entity identified with the breath of life. In Plato,
biblical period into later Jewish philosophy.
however, psuch¯e designates a comprehensive personal soul,
Like ruah:, pneuma in the New Testament denotes “spir-
the divine aspect of humanity that is the seat of rational intel-
it,” and it refers both to the Holy Spirit and the spirit of an
ligence and moral choice, entirely separate from the body.
individual person, as well as to the evil spirits or demons that
Although, from the beginning of Greek philosophy, psuch¯e
are responsible for mental illness. Although it has the same
referred to the “life force” in all its psychosomatic connota-
psychosomatic implications as ruah, its ties to the notion of
tions, it was not always related to breath per se. Because
breath are less obvious.
Greek philosophy placed such a premium on the intellectual
life of the soul, the “breath of life” came to be relegated to
The New Testament term psuch¯e, on the other hand, al-
a place of little stature.
though it continues to carry the old Greek sense of life force,
corresponds more to the Hebrew notion of breath of life than
Biblical views. In the Bible, the role of breath rests on
it does to its use in Plato or the pre-Socratics. Like nefesh,
several concepts: ruah:, neshamah, nefesh, psuch¯e, and pneuma.
psuch¯e is the individual soul, the “I” that feels, loves, and de-
Of these, nefesh and psuch¯e refer specifically to the individual
sires, and that lives only because it has been infused with
as the subject of life, while ruah: and pneuma refer to a more
breath. Nevertheless, under Greek influence, the nefesh-
generic understanding of breath as a symbol of life and even
become-psuche concept was gradually opposed to the mortal
as life itself.
body and used to designate the immortal principle in hu-
The Hebrew term ruah: means “breath, wind,” or “spir-
mans.
it.” As a concept of nature, it refers to the winds of the four
directions, as well as to the wind of heaven. For humans as
Breath is of little importance in later Christian investiga-
a species, ruah: is a general principle, covering such things as
tions of the soul. Tertullian, however, relying on the Stoic
the physical breath that issues from the mouth and nostrils,
tradition, emphasized the union of soul and body, and said
words carried forth on this breath, animated emotions (such
that the soul is “born of the breath of God, immortal, corpo-
as agitation, anger, vigor, courage, impatience, bitterness,
real, and representable”—though it was only Adam’s soul
troubled disposition, discontent, uncontrollable impulse,
that was created by God, as all others have come into being
and jealousy), and, occasionally, mental activity and moral
by an act of generation.
character. Ruah: is also the spirit in humans that gives them
Islamic views. Arabic terms related to breath parallel
life; because this spirit is created and preserved by God, it
the Hebrew. In pre-QurDanic poetry, for example, nafs is the
is thus understood to be God’s spirit (the ruah: elohim of Gen-
“self” or “person” and ru¯h: is breath and wind. Beginning
esis 1:2), which is breathed into humans at the time of cre-
with the QurDa¯n, nafs takes on the additional meaning of
ation. Biblical literature sees evidence of God’s spirit in such
“soul,” while ru¯h: comes to refer to an angel, or heavenly mes-
phenomena as prophecy (whereby human beings utter in-
senger, or to a special divine quality. The two words are even-
structions or warnings), ecstatic states of frenzy and posses-
tually synonymous in post-QurDanic literature, where they
sion, and situations of authority through which divine wis-
refer equally to the human spirit, to angels, and to jinn (su-
dom is revealed.
pernatural beings). The term nafas, “breath” and “wind,” is
The term neshamah, although used considerably less
cognate to nafs through its root and to ru¯h: in some mean-
often than ruah:, nevertheless carries many of the same mean-
ings. It first appears in Islamic literary history in the early
ings: the breath of God as wind (hot, cold, life creating, or
poetry.
life destroying), the breath of humans as breathed into them
Classical Islamic philosophy gives a central role to
by God, and breath as found in every living thing.
breath in the perfection of humanity within the cosmos. Ac-
The individual soul of humans is usually designated by
cording to Ibn Sina, God created the left side of the heart,
the term nefesh. From a root probably meaning “to breathe”
the main organ of breathing, to be a source and storehouse
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BREATH AND BREATHING
1043
for breath, which is the rallying point for the faculties of the
indicate a subtle psychic force, but this is the force awakened
soul and the conveyor of these faculties to various parts of
by the process of pra¯n:a¯ya¯ma and not pra¯n:a¯ya¯ma itself.
the body. Breath begins as a divine emanation moving from
The Bra¯hman:as and Upanis:ads equate breath, as “vital
potentiality to actuality, proceeding without interruption
breath,” with the a¯tman or soul (cf. German Atem, “breath”)
until each form is complete and perfect. There is one breath
and with brahman, the cosmic essence. The vital air in the
that acts as the origin of the others; this principal breath
upper part of the body is here thought to be immortal and
arises in the heart and moves throughout the body, giving
to be the inspirer of thoughts. Moreover, it is by the breath
its parts their proper temperament. It is identified with the
of his mouth that Prajapa¯ti created the gods and by the pra¯n:a
force of life itself and is thus the link between the bodily and
of his lower body that he created the demons. Finally, in the
spiritual aspects of an individual’s being. The principal
Vedic sacrifice, bricks for the altar are sniffed by the sacrifi-
breath of humans, then, makes possible the perfect equilibri-
cial horse, who thereby bestows “breath” upon them—
um and balance of the elements—a condition necessary for
explained as a “sniff-kiss” in which the horse transfers benefi-
the manifestation of the divine.
cent power to ritual objects.
Hindu views. The Sanskrit term pra¯n:a is a word of
broad import that can refer to breath, respiration, life, vitali-
Chinese views. In ancient China, each person was
ty, wind, energy, and strength. In general, it is used in the
thought to have two souls, both composed of very subtle
plural to indicate the vital breaths in the body, but is also re-
matter: the hun (“air soul”) came from the upper air and was
lated to speculation about the individual soul. Early Indian
received back into it at death, while the po (“earth soul”) was
literature proposed a variety of notions about the relation be-
generated by the earth below and sank back at the end to
tween human breath (pra¯n:a), its natural correlate the atmo-
mingle with it. Of the two, it was the hun that was the object
spheric wind, and the cosmic order. The most important of
of ancestor worship. This two-part system corresponded to
these equated the atmospheric wind with the breath of
the yinyang equilibrium, the hun soul being the yang aspect,
Purus:a, the cosmic man (R:gveda 10.90.13) who was, like the
in which the spiritual dominates, and the po being the yin
Egyptian god Amun, a deity manifest in the wind and, as
aspect, in which the demonic dominates. In later tradition,
breath, the mysterious source of life in men and animals.
the hun soul was thought to give rise to the seminal and men-
tal essences, while the po was responsible for the existence of
Indian medical theory, the basis for hat:hayoga, identifies
the flesh and bones of the body.
five pra¯n:as operative within the body: pra¯n:a, the “breath of
BREATH AND RELIGIOUS DISCIPLINES. Many of the major
the front,” or thoracic breath, which ensures respiration and
religious traditions are familiar with some type of respiratory
swallowing; uda¯na, the “breath that goes upward,” which
practice. The oldest known and most comprehensive of these
produces speech; sama¯na, “concentrated breath,” which pro-
breathing disciplines is that of Hindu yoga, from which the
vides air to the internal “cooking” fire for digesting food;
disciplines of Jainism and Buddhism are derived. Some
apa¯na, the “breath that goes downward,” or abdominal
scholars have suggested that other traditions as well (particu-
breath, which controls the elimination of urine and feces;
larly Daoism and Islam) have been influenced, at least in
and vya¯na, the “diffused breath,” which circulates through-
part, by Indian practices.
out the entire body and distributes the energy derived from
food and breath. The general process of inhalation and exha-
Hindu yoga. The Indian science of respiratory disci-
lation is referred to by the compound pra¯n:a¯pa¯nau.
pline, pra¯n:a¯ya¯ma, fits within the larger complex of Hindu
yoga, the most important type of which, for understanding
In addition, there are five subsidiary “winds” or va¯yu¯s:
breath control, is hat:hayoga. In general, yoga has as its goal
na¯ga, which relieves abdominal pressure through belching;
the steady control of the senses and mind, leading to the abo-
ku¯rma, which controls the movements of the eyelids, thereby
lition of normal consciousness and to freedom from delu-
preventing foreign matter and bright light from entering the
sion. Pra¯n:a¯ya¯ma, the rhythmic control of the breath, is the
eyes; kr:kara, which controls sneezing and coughing, thereby
fourth in the traditional eight states of yoga, coming after
preventing substances from passing up the nasal passages and
a¯sana, posture, and before pratya¯ha¯ra, withdrawal of the
down the throat; devadatta, which provides for the intake of
senses. Its main purpose is to change the ordinarily irregular
extra oxygen into the tired body by causing a yawn; and
flow of breath—which can be upset by indigestion, fever,
dhanam:jaya, which remains in the body after death, often
cough, and cold, or by emotions like fear, anger, and lust—
bloating up the corpse.
by bringing the breath under conscious control so that its
There is some debate about the relation of yogic pra¯n:a
rhythm becomes slow and even and respiratory effort is elim-
to the cosmic forces in the universe. In modern literature on
inated. By means of pra¯n:a¯ya¯ma not only are the lungs
yoga, pra¯n:a, even in the compound pra¯n:a¯ya¯ma, “the restraint
cleansed and aerated, the blood oxygenated, and the nerves
of breath,” is often interpreted as a subtle psychic force or
purified, but longevity as well as subtle states of conscious-
cosmic element. This is not borne out by the early texts,
ness leading to spiritual release are promoted. Although
however, and Patañjali, who provided the first real exposure
pra¯n:a¯ya¯ma came to be a yogic exercise of great importance,
to yoga, uses the term pra¯n:a¯ya¯ma to refer only to respiratory
Patañjali allots only three su¯tras to it (1.34, 2.29, 2.49). The
movements. Later hat:hayoga texts do use the word pra¯n:a to
technical details for pra¯n:a¯ya¯ma were then elaborated 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
1044
BREATH AND BREATHING
commentaries of Vya¯sa, Bhoja, and Va¯caspati Mi´sra, and es-
empty, and especially that the stomach has little or no food
pecially in the classical works on hat:hayoga.
in it when he or she begins the practice: for the physical cul-
Although extraordinary feats resulting from respiratory
turist, pra¯n:a¯ya¯ma should take place at least one half hour be-
discipline have been documented in numerous sources, in-
fore the next meal and four and a half hours after the last;
cluding submersion in water or burial alive for unbelievable
for the spiritual culturist, one meal a day is best, but at least
lengths of time, more frequent mention is made of the dan-
six hours should have elapsed since the last meal was eaten.
gerous results of improper breathing. Practitioners are cau-
For serious students, pra¯n:a¯ya¯ma should be practiced four
tioned to undertake pra¯n:a¯ya¯ma only under the instruction
times a day (early morning, noon, evening, and midnight),
of a knowledgeable teacher, and to proceed with the exercises
with a count of eighty cycles per sitting. The best seasons to
very slowly at first and according to their own capacity; oth-
begin are spring and fall, when the climate is equable, and
erwise they will incur disease or even death. By improper
the best place to practice is one that is well ventilated but
practice of pra¯n:a¯ya¯m, for example, a pupil can introduce dis-
without a strong draft. Traditionally pra¯n:a¯ya¯ma was per-
orders into his system, such as hiccups, wind, asthma, cough,
formed on a carpet of ku´sa grass covered with a deer hide
catarrh, pains in the head, eyes, and ears, and severe nervous
and then with a clean thick cloth, but current rules prescribe
irritation; by proper practice, however, one is freed from
a folded blanket on the floor. The eyes should be fixed in
these and most other diseases. The classic example of im-
a special gaze (usually directed ahead or at the tip of the
proper respiratory discipline is that of the nineteenth-century
nose), while the mind is passive but alert. The breathing itself
Hindu saint Rama-krishna. When he was young, Rama-
is directed through the nostrils only, not through the mouth.
krishna’s practice of yoga almost always ended in blackout.
Specific rules for pra¯n:a¯ya¯ma differ according to the authority
He later developed bloodshot eyes, then bleeding of the
in question, but in most treatises, special respiratory rules are
gums, and finally the cancer of the throat from which he
given for pregnant women and those just completing child-
died. In this regard, the classical tradition holds that when
birth.
pra¯n:a¯ya¯ma is too intensive, that is, when the body becomes
Breath is made to flow through the yogin’s body by an
overloaded with pra¯n:a, colored flames dance before the eyes
elaborate system of controls designed to prevent internal
and blackout inevitably occurs.
damage: the bandhas are postures in which certain organs or
The respiratory rhythm of pra¯n:a¯ya¯ma is measured in
parts of the body are contracted and controlled; the na¯d:is are
units of time called ma¯tra¯pra¯ma¯n:a, one ma¯tra¯ being the time
tubular channels in the body through which the breath ener-
necessary for one respiration. This rhythm is achieved by
gy flows; and the cakras are the flywheels controlling the
harmonizing the three basic activities of inhalation (pu¯raka),
body’s machinery. The three most important bandhas are the
retention of breath (kumbhaka), and exhalation (recaka). The
ja¯landhara bandha (“chin lock”), whereby the chin is pressed
most favored proportion of pu¯raka to kumbhaka to recaka
against the chest and the abdomen is withdrawn; the
is 1:4:2, although other traditions recommend 1:2:2 (for be-
ud:d:¯ıya¯na bandha (“raising of the diaphragm”), whereby the
ginners) or an equal measure for all three parts. Still another
diaphragm is pulled up and the abdominal organs are
tradition recommends that beginners not practice kumbhaka
brought against the back and held toward the spine; and the
at all. Although this particular terminology is not used by ei-
mu¯la bandha (“anal contraction”), whereby the sphincter
ther Patañjali or Vya¯sa, it is traditional in hat:hayoga texts,
muscle is tightened. These postures affect what most authori-
where kumbhaka alone can sometimes refer to all three respi-
ties believe are the seventy-two thousand nadis, along which
ratory processes. A more detailed analysis describes two dif-
the breath or life current flows to all parts of the body. Some
ferent states of “breath retention,” antara kumbhaka, when
na¯d:is are more important than others, the single most impor-
breathing is suspended after full inspiration (the lungs being
tant being the sus:umna, identified with the spinal cord. The
full), and ba¯hya kumbhaka, when breathing is suspended
breath energy flowing through the na¯d:is is then regulated by
after full exhalation (the lungs being empty).
the cakras, control points placed at crucial locations in the
The technique of pra¯n:a¯ya¯ma is thought to transform the
body.
natural processes already at work in the body. It is believed
Respiratory discipline is central in bringing about the
that every living creature breathes the prayer “SoDham” (“The
unification of consciousness, the goal of yoga. From an early
immortal spirit, he am I”) with each inward breath, and
period, mind and breath were held to be intimately connect-
“EHamsah” (“I am he, the immortal Spirit”) with each outgo-
ed, and the arousal or cessation of one was known to affect
ing breath. This unconscious repetitive prayer goes on
the other. Patañjali, for example, recommended pra¯n:a¯ya¯ma
throughout life, and is to be brought into full consciousness
for achieving equanimity and inner peace, and Bhoja noted
through the discipline that begins with breathing.
that through the suspension of sense activity, breath control
Pra¯n:a¯ya¯ma should be undertaken only when the third
could bring about single-pointed concentration (the fifth
stage of yoga has been mastered, for it is only when correct
stage of yoga, pratya¯ha¯ra). The classical image used here is
posture has been achieved and complete relaxation has set in
that of the chariot, according to which the mind is a chariot
that breath can be made to flow freely. The student of
yoked to a pair of powerful horses, one of which is breath
pra¯n:a¯ya¯ma should be sure that the bowels and bladder are
(pra¯n:a), the other, desire. The chariot moves in the direction
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BREATH AND BREATHING
1045
of the more powerful animal; if breath prevails, desires are
“methodical breathing,” and a Chou dynasty inscription,
controlled, but if desires prevail, breath becomes irregular.
dating from as early as the sixth century BCE, prescribes a pre-
Through pra¯n:a¯ya¯ma, which ensures the controlled progress
cise collection and circulation of the breath inside the body
of the chariot, the advanced yogins can penetrate the four
that is designed to achieve long life. Also known were archaic
basic structures of consciousness—waking, sleeping with
shamanic techniques that imitated the movements and
dreams, sleeping without dreams, and the tu¯ıya state—
breathing of animals—a practice reflected later in the Daoist
thereby unifying all four within themselves.
notion that the deep and silent breathing of ecstasy is like
the breathing of animals in hibernation.
With the development of Tantrism, the yogic disci-
plines of posture and breath control were combined with sex-
Unlike the many alchemical practices of Chinese tradi-
ual practices that served to unite the practitioner with cosmic
tion, which use aphrodisiacs to restore sexual activity, Daoist
energy or ´sakti, as symbolized by the great goddess. Accord-
yoga aims primarily at restraining and rechanneling the sexu-
ing to Tantric texts, the object of pra¯n:a¯ya¯ma is to arouse
al urges of the body. Through the regulation of breathing
kun:d:alin¯ı, the divine cosmic force in the body, symbolized
and other yogic techniques, the practitioner learns to subli-
by a coiled and sleeping serpent that lies dormant in the low-
mate the generative force that produces sexual fluid, and to
est nerve center (cakra) at the base of the spinal column.
prevent this fluid from following its normal course of satisfy-
Once aroused by pra¯n:a¯ya¯ma, this energy rises up through the
ing desires and producing offspring. The correct method of
spinal column, piercing each cakra on its way until it reaches
breathing is essential in Daoist yoga, for it serves to circulate
the head and there unites with the supreme soul.
an inner fire through a microcosmic orbit and so immobilize
the generative force, causing the genital organ to retract and
Buddhist meditation. For Thera¯vada Buddhists, respi-
stopping the drain of vitality caused by the emission of
ratory discipline is counted as part of the contemplation of
semen.
the body—a¯napa¯nasati (“mindfulness of breathing”). The
Pali canon describes the meditation as “mindfully he
The ultimate purpose of stemming the generative force
breathes in, mindfully he breathes out,” and then enumerates
is to obtain chang sheng (“long life”), a state understood as
sixteen ways in which mindful breathing can be practiced.
a material immortality of the body. The practitioner begins
The work begins with developing an awareness of “breathing
by holding the breath through a period of 3, 5, 7, 9, and 12
in a long breath, breathing out a long breath, breathing in
normal respirations, then up to 120 or even more. To attain
a short breath, breathing out a short breath,” and continues
immortality, however, one must hold the breath through
through the practices until discursive thinking has been cut
1,000 respirations. The practitioner will, in the end, enter
off and full concentration attained. Unlike yogic breathing
a state of serenity characterized by the qualities of nianchu
techniques, however, Buddhist mindfulness of breath does
(“thoughtlessness”), xizhu (“breathlessness”), mozhu (“pulse-
not hold or control the breath but lets it come and go natu-
lessness”), and mie jin (“unmindfulness of worldly exis-
rally, with the goal only to become fully aware of all states
tence”).
of the breathing process.
Daoist respiratory disciplines are not, like pra¯n:a¯ya¯ma,
In Tibetan Buddhism, breathing is a part of the com-
preliminary or auxiliary exercises in meditation to prepare
plex process of visualization by which a deity is mentally cre-
the yogin for spiritual concentration but, rather, techniques
ated in front of the practitioner out of his internal psychic
that actually accomplish the purpose of the yoga itself: the
elements. Tibetan Buddhists believe that breath or vitality
indefinite prolongation of bodily life. The question whether
in the body enters not only through the nose but also
there may be a historical relation between Daoist and Indian
through the eyes, ears, mouth, navel, male or female organ,
practices has not been resolved. Some scholars believe that
anus, and head and body hair pores. Since these “winds” act
Neo-Daoism borrowed from Tantric yoga practices. Others
as a mount or basis for consciousness, the mind’s scattering
have noted that Daoism must have taken the notion of a
is stopped when they are restrained. Visualization, therefore,
physiological role of breath from India, for ancient Chinese
can proceed only when vitality (or breath) and exertion (or
medicine—Daoism’s most likely source—had no such no-
distraction) have been controlled. To achieve the mental sta-
tion. Whatever the case, the results of both yogas are, in some
bility needed for visualization, meditators are advised to
instances, very similar, for the Daoist’s ability to enter the
practice “wind yoga,” that is, to hold their breath—“hold the
water without drowning or walk on fire without being
wind”—while simultaneously holding their mind on the di-
burned resemble Indian yogic powers or siddhis.
vine body that is the object of meditation. When they can
The aim of the breathing exercises is to try to return to
no longer retain the breath, they should let it out gently, see
the type of breathing experienced by the embryo in the
themselves clarified as the deity, and then hold their breath-
womb; when the umbilical cord was cut at birth, this initial
ing again, keeping in mind, as before, one aspect of the deity.
type of breathing was replaced by breathing through the nos-
It is only when the mind is thus stabilized that the divine
trils. During the practice, inspiration and expiration are kept
body will appear.
as quiet as possible, and breath is held closed up in the
Daoist yoga. In China, breathing exercises go back to
body—“swallowed,” some texts say—until it is intolerable,
an early period. Laozi and Zhuangzi were familiar with a
and then let out through the mouth. “Embryonic breathing”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1046
BREATH AND BREATHING
or “immortal breathing” is thus a restoration of profound
For the S:u¯f¯ı, every breath that goes out without remem-
fetal breathing; it wipes out all postnatal conditions so that
bering God is “dead,” while every breath that goes out in rec-
prenatal vitality can be transmuted and the seed of immortal-
ollection of the Lord is “alive” and connected with him. In
ity nurtured. As a stage in the quest for immortal breath, the
dhikr one is enjoined not to speak much but rather, in a vari-
embryonic breathing of Daoism is not merely a checking of
ant form of the above text, to say, three times in one breath,
respiration, but an internal circulation of vital principles
“La¯ ila¯ha illa¯ Alla¯h” from the right side and then, having
whereby the individual can remain completely airtight. If,
brought the breath down to the heart, to bring forth
however, breathing through the nostrils and mouth is used
“Muh:ammad rasu¯l Alla¯h” from the left side. The importance
(and used randomly) in advanced stages of this yoga, then
of breath regulation in dhikr to the advanced S:u¯f¯ı is seen in
the psychic center in the heart will burst and the practitioner
the following example from Pashto poetry: “Thy every
will become deranged.
breath is a pearl and a coral of inestimable price / Be careful,
Central to the yogic endeavor of Daoism is the theory
therefore, and guard every respiration well!” Directions are
of the five vital breaths located in the heart, spleen, lungs,
given in various texts for the exact count and duration of the
liver, and kidneys that keep these organs functioning, and
respiratory cycle in dhikr, and some sources state that the ex-
without which the body perishes. These vitalities have their
perienced mystic is often able to hold his breath for almost
source in the brain, and when they converge again in the
three hours. Dhikr is also used for healing purposes. Even in
head into one vitality, a golden light is made manifest. This
the early twenty-first century the recitation of the Fa¯tih:ah or
system of vital breaths is held to correspond to the interac-
some other prayer, together with a “breathing upon” the sick,
tion in the body of the five basic elements: heart (fire), spleen
is common in the Muslim world.
or stomach (earth), lungs (metal), liver (wood), and kidneys
The extent to which the breath control used by S:u¯f¯ıs
(water).
in their dhikr developed under the influence of Indian prac-
The vital breaths are linked to one another by a network
tices is not certain. It is known that regulated breathing exist-
of eight main psychic channels that, when clear, have two
ed among the S:u¯f¯ıs of eastern Iran before Sufism spread to
distinct roles: the unimpeded flow of the generative force and
India, but in the later period when there was contact with
the unrestricted circulation of the vital breaths. This network
India, yogic practices undoubtedly further colored numerous
contains a microcosmic orbit with four cardinal points: at the
aspects of S:u¯f¯ı life.
root of the penis, where the generative force is gathered; at
the top of the head; and at the two points between them in
Christian prayer. Respiratory techniques similar to
the spine and in the front of the body, where the genera-
those used in Hindu yoga can be found in the Christian tra-
tive force is cleansed and purified during the microcosmic
dition of hesychasm. Hesychasm is a type of prayer in East-
orbiting.
ern Christianity based on a control of physical faculties and
a concentration on the Jesus Prayer to achieve peace of soul
Dysfunctional breathing in Daoism is designated by the
and union with God. Although the earliest descriptions of
“nine unsettled breaths.” They are caused by anger, which
the hesychastic method of contemplation go back at least to
lifts the breath, and fear, which lowers it; joy, which slows
it down; grief, which disperses it; terror, which throws it out
the fifth century, to John of Jerusalem, the earliest datable
of gear; thinking, which ties it up; toil, which wastes it; cold,
combination of the Jesus Prayer with respiratory techniques
which collects it; and heat, which scatters it.
is in the writings of Nikephoros the Solitary (fl. 1260). Nike-
phoros writes: “Sit down, compose your mind, introduce
Islamic prayer. The Muslims belonging to the school
it—your mind, I say—into your nostrils; this is the road that
of Ibn al-EArabi practiced a technique comparable to the
the breath takes to reach the heart. Push it, force it to de-
pra¯n:a¯ya¯ma of Hinduism. In breathing out, the words
scend into your heart at the same time as the inhaled air.
la¯-ila¯ha (“There is no god”) are formed, while the inward
When it is there, you will see what joy will follow.”
breath coincides with the words illa¯ Alla¯h (“but God”), re-
sulting in a profession of faith. Breath control is practiced
The traditional breath control that begins hesychastic
by Islamic mystics in dhikr (“remembrance”), a practice ded-
contemplation is used, like pra¯n:a¯ya¯ma, to prepare for mental
icated to the glorification of God that repeats certain fixed
prayer, that is, to bring about a “return of the mind.” In a
phrases in a ritual order, either out loud or in the mind, and
quiet cell, with the door closed, one sits in the corner and
is accompanied by certain breathing and physical move-
presses the (bearded) chin against the upper part of the chest,
ments. Although it is not known exactly when methods of
much as in the ja¯landhara bandha of Hindu yoga. One then
breath control (h:abs-i dam, “keeping one’s breath in recollec-
directs the eye—and with it all the mind—to the navel, and
tion”) were adopted into Sufism, there is a twelfth-century
compresses the inspiration of air in the nose so that normal
text prescribing the following: the breath is “emitted above
breathing does not come easily, all the while ceaselessly re-
the left breast (to empty the heart); then the word la¯ is ex-
peating the Jesus Prayer: “Lord Jesus Christ, Son of God,
haled from the navel (against the sexual demon); then ila¯ha
have mercy on me!” This exercise prepares one for the attain-
is uttered on the right shoulder, and illa¯ at the navel; finally
ment of absolute quietude of the soul and for the experience
Alla¯h is strongly articulated in the empty heart.”
of divine light.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRELICH, ANGELO
1047
SEE ALSO Buddhist Meditation; Inspiration; Life; Medita-
in Hungary under Károly Kerényi and Andreas Alföldi,
tion; Pra¯n:a; Samadhi; Yoga.
Brelich became the assistant to the chair of history of reli-
gions at the University of Rome, a chair then held by Raffaele
BIBLIOGRAPHY
Pettazzoni, whom he succeeded as professor ordinarius in
Good summaries of the role of breath in biblical theology can be
1958. His first publication, Aspetti della morte nelle iscrizioni
found in The Interpreter’s Dictionary of the Bible, 4 vols., ed-
sepolcrali nell’Impero romano (Aspects of Death in the Sepul-
ited by George A. Buttrick (New York, 1962), under such
chral Inscriptions of the Roman Empire; 1937), was based
headings as “man,” “soul,” and “spirit.” Likewise, important
upon a thorough exploration of the Corpus inscriptionum La-
discussions of breath and the soul in Christian and Jewish
tinarum and anticipated Brelich’s future interest in method-
theology appear in the New Catholic Encyclopedia, 17 vols.
ological reflection. There followed in 1949 Die geheime
(New York, 1967), and in the Encyclopaedia Judaica, 16 vols.
Schutzgottheit von Rom (The Secret Protecting Deity of
(Jerusalem, 1971). David B. Claus’s Toward the Soul: An In-
Rome) and Vesta, which show the strong influence of his
quiry into the Meaning of ΨυΧ  before Plato (New Haven,
Conn., 1981) is an important, but often very technical, sur-
teacher Kerényi and bear witness to Brelich’s own search for
vey of the development of the concept “psyche” in pre-
scientific originality. In these two books, which were con-
Socratic thought. Jean Gouillard’s Petite Philocalie de la
ceived as a unit, Brelich distinguishes between “analytical re-
prière du cœur (Paris, 1953), on the tradition of hesychasm,
search,” aimed at delineating the fundamental elements of
has a good bibliography and an excellent sampling of textual
themes present in a divine figure, and “historical research,”
translations. On the respiratory technique in Islamic dhikr,
which is concerned with the figure’s specific content and fur-
see Louis Gardet’s “La mention du nom divin, dhikr, dans
ther developments.
la mystique musulmane,” Revue Thomiste (Paris) 52 (1952):
642–679 and 53 (1953): 197–216.
A new period in Brelich’s studies began in the 1950s.
The best book on hat:hayoga is B. K. S. Iyengar’s Light on Yoga
Tre variazioni romane sul tema delle origini (Three Roman
(Yoga Dipika) (New York, 1966). It has an excellent intro-
Variations on the Theme of Origins; 1955) emphasizes the
duction and detailed yet accessible sections on pra¯n:a¯ya¯ma.
theme of historical creativity. Unlike the evolutionist notion
Svami Kuvalaya¯nanda’s Pra¯n:a¯ya¯ma, 4th ed. (Bombay,
of survival (i. e., the notion of vestigial cultural elements sur-
1966), is a comprehensive handbook on the breathing pro-
viving merely as erratic blocks in the living stream of more
cess and respiratory technique in Hinduism. Kuva-
recent cultural formations), Brelich’s notion of historical cre-
laya¯nanda’s work also appears in the quarterly journal
ativity implies the validation of elements already found with-
Yoga-M¯ıma¯m
˙ sa¯ (Lonavla, Poona District, India, 1924–),
in different mythological and religious horizons on the part
which contains vast scientific information on actual labo-
of new, emerging cultural-historical settings. Brelich also
ratory and clinical experiments done on yogic breathing.
makes use of a basic opposition between primordial chaos or
Hans-Ulrich Rieker’s excellent translation of the
Hat:hayogaprad¯ıpika¯ called The Yoga of Light, translated from
“non-order” and the order that results from the organization
the German by Elsy Becherer (New York, 1971), describes
of the cosmos. These methodological principles recur in the
the combination of the two yogic paths hat:ha and ra¯ja, and
volume Gli eroi greci (The Greek Heroes; 1958), where
makes special reference to the arousal and control of the
Brelich advocates the inclusion of the study of the religions
kun:d:alin¯ı. Mircea Eliade’s Patañjali and Yoga (New York,
of the classical world within the problematic of the history
1969) and Yoga: Immortality and Freedom, 2d ed. (Princeton,
of religions. In the same book, Brelich also reflects on the
N. J., 1969), contain excellent summaries of respiratory tech-
type of the hero, especially as the object of a funerary cult
niques in various traditions, as well as abundant bibliograph-
and in its connection with cosmogonic themes. He was later
ic references. Finally, for those who may wish to go directly
to alter those views expressed here, however, because of the
to the source, Georg Feuerstein’s recent translation of The
radicalization of his analytic hermeneutics.
Yoga-Su¯tras of Patañjali (Folkestone, U.K., 1979) has an ex-
ceedingly helpful commentary.
During this period Brelich became deeply interested in
A good introduction to breathing and mindfulness meditation in
polytheism, which had been a rather neglected topic in the
Buddhism is Bhikkhu Khantipa¯lo’s Calm and Insight: A Bud-
field of comparative, cultural-historical studies. He saw in
dhist Manual for Meditators (London, 1981). For a basic
polytheism a religious phenomenon typical of the archaic
sourcebook on breathing in Daoist yoga, see Daoist Yoga, Al-
“high cultures” such as were found in Japan, India, Mesopo-
chemy, and Immortality, translated by Charles Luk (Kuan
tamia, Egypt, and Greece, as well as in Central America and
Yulu) (London, 1970); the classic article on the topic is, of
Peru. He believed that the polytheistic conception of “god”
course, Henri Maspero’s “Les procédés de Enourrir le princi-
or deity was to be distinguished from both the ghosts of ani-
pe vital’ dans la religion taoïste ancienne,” Journal asiatique
229 (1937): 177–252, 353–430.
mism and the dei otiosi (“idle gods”) of some nonliterate cul-
tures. Polytheism for Brelich is a sui generis phenomenon and
ELLISON BANKS FINDLY (1987 AND 2005)
the proper object of historical research aimed at discovering
its structure and raison d’être in the religious history of hu-
mankind.
BRELICH, ANGELO (1913–1977), was an Italian
Guerre, agoni, e culti nella Grecia arcaica (Wars, Ritual
historian of religions. After completing his academic studies
Competitions, and Cults in Archaic Greece; 1961) marked
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1048
BRETHEREN OF PURITY
Brelich’s growing interest in initiatory institutions. These in-
greatly increased our knowledge of the conditions of life and
stitutions are central to his Paides e Parthenoi (1969), which
the creative work of Paleolithic people. He drew attention,
is a study of the way in which tribal initiation rites were
for example, to the religious aspects (i.e., the symbolic and
adapted to use in the Greek polis once their original purpose
possible ritual functions) of paintings such as that of “the
had been lost. Here again is seen Brelich’s interest in histori-
Sorcerer” in the cave of Les Trois Frères, discovered in 1916
cal creativity. He showed less interest in soteriological and
in southern France. He was also interested in the religious
eschatological aspects of these institutions.
meaning of funerary practices and their hieratic manifesta-
Brelich left unfinished a complex history of the cult of
tions, to which he ascribed a common origin. Breuil gave the
Jupiter, a history that was to trace Jupiter’s development
first scholarly description of the famous caves of Lascaux
from the status of an Indo-European prepolytheistic heaven-
(1940). In his thinking about human evolution (and the evi-
ly being to that of the head of an entire pantheon, noting
dences for such evolution that he found in humanity’s early
especially the political implications of this development. As
religious history), Breuil envisaged a developing cosmic order
for his view of religion as a general phenomenon, Brelich’s
moved by energy. Pierre Teilhard de Chardin, who for some
introduction to Henri-Charles Puech’s Histoire des religions
time was associated with Breuil, developed these ideas more
(1970) seems to indicate that he accepted functionalist expla-
systematically.
nations.
BIBLIOGRAPHY
Most of Breuil’s publications are descriptions of the more than
BIBLIOGRAPHY
eighty painted caves he studied in France and Spain and the
A notable work by Brelich not mentioned in the text is his posthu-
hundreds of rock paintings he investigated in Spain, Ethio-
mously published Storia delle religioni: Perche? (Naples,
pia, and southern Africa. An excellent example of these de-
1979). Two memorial volumes for Brelich have appeared.
scriptions is his Les peintures rupestres schématiques de la
They are Perennitas: Studi in onore di Angelo Brelich, edited
Péninsule ibérique, 4 vols. (Lagny-sur-Marne, 1932–1935).
by Giulia Piccaluga (Rome, 1980), and Religioni e civiltà:
Breuil’s more extensive works, done in collaboration with
Scritti in memoria di Angelo Brelich (Bari, 1982).
other scholars, include Afrique (Paris, 1931), which Breuil
UGO BIANCHI (1987)
edited with Leo Frobenius and which contains Breuil’s essay
“L’Afrique préhistorique” (pp. 60–119), and Les hommes de
la pierre ancienne (Paris, 1951). A significant example of
Breuil’s works on the religion of early humanity is his piece
BRETHEREN OF PURITY SEE IKHWA¯N
“Pratique religeuses chez les humanités quaternaires,” in
AL-S:AFA¯D
Scienza e civiltà (Rome, 1951), pp. 47–73. Among Breuil’s
books that have been translated into English, the following
should be mentioned: Rock Paintings of Southern Andalusia,
written with M. C. Burkitt and Montagu Pollock (Oxford,
BREUIL, HENRI
1929); The Cave of Altamira at Santillana de Mar, written
(1877–1961), French scholar of pre-
with Hugo Obermaier (Madrid, 1935); Beyond the Bounds
historic humans. Henri-Édouard-Prosper Breuil was born in
of History: Scenes of the Old Stone Age (London, 1949); and
Mortain, Manche. As a youth, he developed an interest in
Four Hundred Centuries of Cave Art (Montignac, 1952). A
natural history and the history of early humankind, which
bibliography of Breuil’s writings is contained in Hommage à
he pursued during his years at the seminary of Issy. Ordained
l’abbé Henri Breuil pour son quatre-vingtième anniversaire,
a priest in 1900, he devoted the rest of his scholarly life to
compiled by G. Henri-Martin (Paris, 1957).
human paleontology. Breuil was introduced to Paleolithic
Publications on Breuil’s life and work include “Recollections of
studies by Émile Cartailhac, with whom in October 1902 he
the Abbé Breuil” by Mary Boyle and others, Antiquity 37
opened the Altamira cave in Spain, and his studies of Paleo-
(1963): 12–19; Alan H. Brodrick’s The Abbé Breuil: Prehi-
lithic art and artifacts were furthered by Édouard Iette and
storian (London, 1963); and Nicolas Skrotzky’s L’abbé Breuil
Joseph-Louis Capitan. In these early stages, Breuil’s work
(Paris, 1964).
was actively supported by Prince Albert of Monaco.
JACQUES WAARDENBURG (1987)
After having taught from 1905 to 1910 at the Universi-
ty of Fribourg, Breuil became professor of prehistoric eth-
nography at the Institut de Paléontologie Humaine in Paris.
BRIDGES. All over the world, in different religions and
From 1929 to 1947 he served as professor of prehistory at
cultures, there are vivid descriptions of a perilous way that
the Collège de France. During his career, Breuil taught also
the dreamer, the ecstatic visionary, or the deceased has to fol-
in Lisbon (1941–1942) and Johannesburg (1942–1945). He
low on his journey to the otherworld. One of the perils may
traveled extensively in Europe and southern Africa, and even
be a bridge leading across a chasm, a rapacious stream, or the
journeyed to China, searching for survivals of Paleolithic
void. Success in crossing the bridge may depend on the trav-
humans.
eler’s own behavior during life or on the sacrifices he or his
Through his global studies of Paleolithic cave art and
surviving relatives have performed. Ethical qualifications are
the tools and techniques of Paleolithic craftsmen, Breuil
not always needed.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRIDGES
1049
Parallel with these eschatological ideas, actual bridge-
tent, and difficulties of philological interpretation (cf. Lom-
building on earth has been connected with sacrifices and
mel, pp. 263ff., with Nyberg, 1966, pp. 180ff.). Some
with religious, folkloric, and magical conceptions. At times,
general ideas may be summarized, however, with the help of
the construction of a tangible bridge—whether for day-to-
a present-day specialist.
day use or for ritual use only—is related to the soul’s passage
In ancient Iran, the ceremonies of the first three days
to the afterlife. Finally, the bridge in itself has often been a
after death were regarded as very important for the soul of
very useful symbol to signify the transcendence of the border
the dead person. It had to be protected against evil powers
between two realms or the ascension from a lower to a higher
and had to be strengthened before the dangerous journey to
dominion.
the otherworld. Originally, at least, princes, warriors, and
HISTORY. One of the striking characteristics of the bridge as
priests might hope to come to a luminous paradise with all
symbol is its universality among traditions from all over the
its delights. The “crossing of the Separator” (Av., Chinvato¯
world.
Peretu) was imagined as passing over a bridge that began on
Indo-Iranian religions. In the Hindu religion, from
top of Mount Hara¯ and ended on the road to Heaven. Only
the R:gveda (9.41.2) onward, the bridge occurs as a link be-
worthy souls, perhaps those who had given rich offerings,
tween earth and heaven, the world of illusion (ma¯ya¯) and re-
could reach the heavenly way; the others fell down into the
ality. The sacrifice terminology and the lofty speculations of
subterranean Hell (Boyce, 1979, pp. 13ff.).
the Upanisads use it in a figurative rather than a literal sense,
Zarathushtra taught that everyone had the possibility of
though the popular imagination might suppose the latter to
gaining Paradise and that the successful passing of the bridge
be the case. Just as the gods enter the heavenly world by
depended on the moral qualities of the departed, not on so-
means of the “southern fires” (daks:in:a¯s) in the Agnicayana
cial rank or costly sacrifices. Three godly judges weigh the
ritual, using them as steps and ladders, so the sacrificer
soul’s good and bad thoughts, words, and deeds. If the good
“crosses a bridge and enters into the world of heaven” (Yajur-
are heavier, the bridge is made broader, and the soul can pass,
veda, Ka¯t:hakam 28.4). It is necessary to make a ladder or a
accompanied by a beautiful maiden, Dae¯na¯, its own heavenly
bridge with sacrificial gifts in order to ascend into that heav-
double or good conscience. Otherwise, the bridge gets as nar-
enly realm.
row as a blade edge, and the soul is propelled into the place
On the other hand, this luminous brahman world is at-
of torment by an ugly hag (Boyce, 1979, p. 27). The classical
tained by recognition of a¯tman, the spiritual reality. To the
sources of this short abstract are the ritual law contained in
extent that this universal self is conceived of as a person, God
the Younger Avesta, Vendidad 19.28–32, combined with the
himself is called “the highest bridge to immortality”
fragment of the Hadho¯kht Nask belonging to the same
(Sveta¯´svatara Upanis:ad 6.19). That bridge, God, in itself is
canon, composed in pre-Christian times and supplemented
not ethical, but all evil is excluded from the brahman world:
with later Pahlavi literature, from the ninth century CE
“Therefore, if blind people go over the bridge they receive
(M¯eno¯g i Khrad 2; Bundahishn 30), as quoted in detail by
their sight, if wounded, they are cured; therefore, if the night
Nyberg (pp. 180ff.; cf. Duchesne-Guillemin, 1973,
crosses the bridge, it is turned to day” (Cha¯ndogya Upanis:ad
pp. 333ff.).
8.4.1).
Judaism and Islam. Probably through Iranian influ-
According to Herman Lommel (1930, pp. 264ff.), the
ence, a similar conception appears in Judaism. It has been
greatest significance of the ancient Indian bridge is that it
mistakenly cited as existing in the Jewish apocalypse of Ezra
holds two worlds, heaven and earth, apart. But, speaking of
(2 Esdras 7:8ff., end of first century CE). There, according
the Na¯ciketas fire—“the bridge of the sacrificers to that eter-
to Silverstein (1952, pp. 95f.), the bridge, whose width ac-
nal highest brahman”—Lommel does not mention some
commodates only a single person’s feet, becomes broader
later lines where the road is described as the “sharp edge of
when the righteous cross it and narrower for the sinners. But
a razor, difficult to pass over” (Ka¯t:haka Upanis:ad 3.14).
this passage actually refers to two different ways (not brid-
The bridge, however, is not explicitly mentioned in this con-
ges), one belonging to this earthly world, the other to the
nection.
heavenly one. The ordeal of crossing the bridge over the Val-
A comparison of the Indian and Iranian sources reveals
ley of Jehoshaphat, which according to Jewish eschatology
common as well as differing conceptions of the bridge and
occurs in the Last Judgment, is of a later date.
of the whole structure of ideas to which it belongs. The para-
The corresponding eschatological ideas in Islam also
disiacal delights of the virtuous are pictured in a very con-
seem to be dependent on Iranian tradition, perhaps with a
crete way in Kaus:¯ıtaki Upanis:ad 1.4: “Five hundred nymphs
Jewish intermediary. The Islamic name of this bridge is S:ira¯t:,
[Apsaras] go to meet him, one hundred with fruit in their
which simply means “way.” Thus it has been possible to dis-
hands, one hundred with ointment in their hands, one hun-
cover the bridge in QurDanic passages concerning the afterlife
dred with wreaths, one hundred with raiment, one hundred
that refer only to a way (36:66, 37:23f.). But the later tradi-
with fragrant powder in their hands” (Lommel, p. 270).
tion (h:ad¯ıth) describes a real bridge, “thinner than a hair and
Space does not allow a thorough account here of the Ira-
sharper than the edge of a sword,” which leads the dead over
nian sources with their various chronologies, varying con-
Hell’s uppermost part, Jahannam. Out of compassion or 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
1050
BRIDGES
recognition of the good deeds of the person concerned, God
and demons over a person who had slipped on the bridge so
makes it possible for believers to pass over the bridge. The
that half his body was hanging over the edge (Dialogues
just and those who have received forgiveness come over with-
4.36). As Howard Rollin Patch (1950, pp. 95f.) points out,
out mishap, while sinful Muslims plunge down into Hell and
Gregory quotes Matthew 7:14 as part of his interpretation:
remain there for a limited time in a sort of purgatory. Unbe-
“For very narrow is the path which leads to life.” This quota-
lievers, however, remain in those portions that function as
tion, in turn, demonstrates the technique of combining bib-
places of punishment. Gabriel stands before the bridge and
lical and extrabiblical source material.
Michael upon it; they question those who pass over about
the lives they have led (Gardet, 1968, p. 87).
The bridge motif occurs in many different categories of
medieval literature and belongs to Celtic and Germanic my-
According to a tradition that goes back to Ibn MasEu¯d,
thology also (Patch, 1950; Dinzelbacher, 1973). It can have
everyone must cross the bridge. In accordance with their
greater or lesser importance in the Christian representations
works, they do it more swiftly or more slowly: as the wind,
of the general topography of the otherworld, where the ac-
as a bird, as a fine horse or a camel, as a running person, or
count of the soul’s union with the Savior on the other shore
as a person walking only on the big toes, who is immediately
may outweigh the description of the horrors on the way
shaken off into the fire by the sharp, slippery bridge bristling
(Dinzelbacher, 1978). Moreover, the eschatological ideas
with barbs. In his passage, the walker is also attacked by an-
were combined with the practical construction of a bridge;
gels with fiery pitchforks (Jeffery, 1962, p. 247). The bridge
this was considered a pious work that was also helpful for the
may be arched, ascending for a thousand years, running level
future fate of the builder. Frequently, a bridge had its own
for a thousand, and descending for a thousand years. In this
chapel for prayers and often its own hospital. Papal and epis-
tradition, the gate of Paradise is opened only if the deceased
copal indulgences encouraged such construction. Conse-
gives the right answers. Then he is accompanied over the
quently, legacies became common, and bridge-building
now soft and level bridge by an angel (Coomaraswamy,
brotherhoods were founded beginning at the end of the
1944/1945, p. 203, with references).
twelfth century (Knight, 1911, p. 856; Boyer, 1967,
Christianity. In the literature of classical antiquity and
p. 798).
in the Bible, no soul-bridge is known. But the classical writer
Buddhism. That the soul-bridge also turns up in Bud-
of the Syrian church, Ephraem (fourth century), speaks of
dhism is hardly surprising, since Buddhism is a daughter reli-
the cross of Christ as a bridge leading over the terrible abyss
gion of Hinduism. As conceptions of an afterlife influenced
with its menacing fire. This river or sea of fire as an obstacle
by Islam can be found in the great stretches of Central Asia
on the journey of the soul can be transcended in other ways,
into which the Muslim religion has penetrated (Paulson,
too; the righteous may even pass through it without being
1964, 152f.; cf. Eliade, 1964, pp. 482ff.), so a corresponding
damaged. Because of their vividly striking descriptions, it is
eschatology has followed Buddhism into East Asia. But here
sometimes difficult to say whether these passages are to be
a new feature is observed. Even though people have tried in
taken literally or figuratively (Edsman, 1940, pp. 121ff.; cf.
various ways in the different religions to affect the fate of de-
pp. 52ff.).
ceased persons (for example, during the Christian Middle
In medieval Russian spiritual songs, which represent
Ages, by accomplishing the actual construction of a bridge
popular religion, the language is very realistic (Edsman,
as a spirit-gift for the deceased), it is only in “northern” Bud-
1959, pp. 106ff.). In medieval times, the world of folk imag-
dhism that there is found a comprehensive symbolic bridge-
ery knew well the perilous bridge. It also has a place in the
building ceremony combined with the funeral. One of the
literature of Christian visionaries, with its roots in the an-
classical Sinologists, J. J. M. de Groot, has written in careful
cient church’s rich outpouring of apocalyptic descriptions of
detail about the Buddhist rites for the dead in Amoy, which
the hereafter. To a great extent, these descriptions are found
lies in Fukien opposite Taiwan (1885, pp. 97ff.). According
in the extracanonical apocrypha; these, in turn, are descend-
to de Groot, the bridge ceremony that takes place in connec-
ed from Judaism and Iran.
tion with these rites is based on a quotation from a relatively
late description of Hell. According to the latter, no less than
However, the classic Christian image of a bridge, which
six bridges of different materials lead from the underworld
has been very influential throughout history, is contained in
to the world of rebirth. There, the souls are sorted out, and
the Dialogues of Gregory I (c. 540–604). The framework is
their impending fates in the six different forms of existence
the same as in the famous vision of Er in the last book of
are decided in detail.
Plato’s Republic: one who seems to be dead revives and tells
those around him what he has experienced. In Gregory’s
The rites for the dead are intended to help the souls over
story, it is a certain soldier who tells of a bridge under which
some of these bridges. If a deceased person has not complete-
a dark and stinking river runs, but that leads to the heavenly
ly atoned for his crimes by enduring the torments of Hell or
green meadows and shining mansions inhabited by men in
has not, through the actions of clergy, been freed from his
white clothes. Any wicked person who tries to go over the
remaining punishment, he has to plunge down into the pit,
bridge tumbles down into the river, whereas the righteous
which is filled with snakes and writhing monsters. Therefore,
pass safely across. The soldier also saw a fight between angels
in the room where the rites for the dead are being carried 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
BRIDGES
1051
the priests build a temporary bridge out of boards that are
thors. According to James G. Frazer, the river god must be
laid upon chairs or out of a long bench without a back. The
propitiated when humans intrude into his domain and tran-
soul-bridge is also provided with railings of bamboo and
scend a border. Or, as Eliade (1957) explains, any building,
cloth or paper, sometimes even with an overhead canopy. As
to withstand its hardships, ought to have a life and soul that
soon as the ceremony, which is called “the beating of Hell,”
are transferred to it by a bloody sacrifice.
is completed, they undertake “the crossing of the bridge.”
A Greek folk song, “The Bridge at Arta,” which speaks
The happy completion of this is reported to the powers of
of this matter, has become famous. The song describes how
the underworld, so that they will not be able to hinder the
people keep on building the bridge for three years, but the
soul in its progress.
last span is never finished because what is built by day col-
Just as the variations in such rituals are numerous, the
lapses by night. When the builders begin to complain, the
afterlife concepts that lie behind them also change. Thus,
demon or genius loci, perhaps originally the river god, lets his
Nai-ho Bridge (“the bridge without return”) is also found in
voice be heard: he tells the people that unless they sacrifice
the popular color illustrations that the Jesuit father Henri
a human life, no wall is securely founded. They are not, how-
Doré reproduced in his instructive and comprehensive work
ever, to give an orphan child, a traveler, or a foreigner but
on what he calls “superstitions” in China (1914, pp. 194f.,
instead the construction foreman’s beautiful wife. From one
fig. 52). The text quoted by Doré describes the picture exact-
of the Ionian islands, Zante (Gr., Zákinthos), there is the tale
ly: souls receive the wine of forgetfulness from the ten under-
that, as late as the second half of the nineteenth century, the
world judges before they continue to what is also called the
people had wanted to sacrifice a Muslim or a Jew at the
Bridge of Pain, which goes over a red foaming stream in a
building of the more important bridges. There is also a leg-
hilly region. When the souls have read a text on the condi-
end that a black person was walled up in an aqueduct near
tions of existence, they are seized by two devils, Short Life
Lebadea in Boeotia (Lawson, 1910, pp. 265f., 276f.; Armis-
and Quick Death, who hurl them into the stream. They are
tead and Silverman, 1963). In 1890, China’s department of
swept out through the stream into new existences to live as
public works paid the price of ten pounds for a human bridge
men, four-footed animals, birds, fish, insects, or worms. As
sacrifice, if one is to believe a highly respected English refer-
late as after World War II such ceremonies were carried
ence work (Knight, 1911, p. 850). In Western countries sac-
out both in mainland China (Hsu, 1948, p. 165) and on
rificial ceremonies at the building of bridges have survived
Taiwan.
as only partly understood reminiscences; they take the form
RITUAL SACRIFICES. The Latin word pontifex is composed
of children’s games (Knight, 1911, p. 852; Edsman, 1959).
of the noun pons and the verb facere, and it signifies “he who
SYMBOLISM. In Christian metaphorical language, life is lik-
makes or builds bridges.” One cannot prove historically that
ened to a pilgrimage. One is not to become so captivated
the incumbents of this ancient Roman office literally had
with the joy of traveling, whether by wagon or ship, that one
such a function. However, the etymology, which existed as
forgets the destination. It is a matter of using the world, not
early as the Roman librarian and scholar Varro (116–27
of enjoying it. Augustine conveys this theme in On Christian
BCE), is disputed both in antiquity and among modern re-
Doctrine (1.4), while in his discourses on the Gospel of John
searchers. Evidently an old Indo-European meaning is hid-
(40.10) he speaks of the world as a lodging where one has
den in pons, giving it the sense of a “path” or “way,” not nec-
temporarily stopped over during one’s journey.
essarily over a river (Szemler, 1978, cols. 334ff.).
This metaphor can easily be reformulated using the
Discussing the various interpretations of the term pon-
bridge symbol. One can then consider a saying of Jesus that
tifices and rejecting that of “bridge builders,” the Greek writ-
is lacking from the New Testament, a so-called agraphon,
er Plutarch (b. 46?–d. around 119 CE) gives us the arguments
that has survived in Islamic tradition. It is best known
of those who defend that theory: the name refers to the sacri-
through the inscription that, in 1601, Emperor Akbar caused
fices performed at the very ancient and sacred bridge Pons
to be affixed at the chief entrance to the great mosque in Fa-
Sublicius over the Tiber, which were necessary to prevent a
thepur Sikri in North India: “Jesus, peace be upon him, has
sacrilegious demolition of the entirely wooden construction
said: ‘The world is a bridge, walk over it, but do not sit down
(Numa 9.2). The Roman poet Ovid (43 BCE–17 CE) makes
on it.’” The saying can be traced through Islam as far back
reference to this ceremony, at which the Roman high priest,
as the seventh century (Jeremias, 1955).
pontifex maximus, officiated together with the first Vestal:
Among the extremes of modern psychoanalytical inter-
“Then, too, the Virgin is wont to throw the rush-made effi-
pretations of the bridge is the Freudian-inspired theory that
gies of ancient men from the oaken bridge” (Fasti 5. 621f.).
the bridge constitutes a phallic symbol, with all that suggests
This ancient festival in the middle of May is also mentioned
about sexual fantasies, castration complexes, and incest
by another historian, Dionys of Halikarnassos (fl. 20 BCE).
(Friedman, 1968). A different interpretation is found in the
Dionys already understands that the puppets are a substitute
writings of Hedwig von Beit, who was inspired by C. G.
offering for men (1.38.3).
Jung to apply his categories to research into fairy tales. The
The purpose of this and corresponding sacrifices is in-
bridge, which divides two land areas, would thus reflect a
terpreted in different ways by both ancient and modern au-
psychic situation in which a gap in consciousness occurs 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
1052
BRIGHID
where a transition is occurring to another area. It is at just
Eliade, Mircea. “Bauopfer.” Die Religion in Geschichte und Gegen-
such a point that the “demons” of the unconscious are free
wart, 3d ed., vol. 1, p. 935. Tübingen, 1957.
to make an appearance (Reimbold, 1972, pp. 66f., pp. 71f.).
Eliade, Mircea. Shamanism: Archaic Techniques of Ecstasy (1951).
Mircea Eliade, who has also been influenced by Jung,
Rev. & enl. ed. New York, 1964.
gives a phenomenological interpretation of the bridge sym-
Friedman, Paul. “On the Universality of Symbols.” In Religions
bol in the initiation of shamans among the Mongolian Bur-
in Antiquity: Essays in Memory of Erwin Ramsdell Goode-
iats of southern Siberia. A climbing ceremony is involved in
nough, edited by Jacob Neusner, pp. 609–618. Leiden, 1968.
which the candidate climbs nine birches that are tied togeth-
Gardet, Louis. Islam (1967). Cologne, 1968.
er with a rope and called a “bridge.” Eliade interprets the red
Groot, J. J. M. de. “Buddhist Masses for the Dead.” In Actes du
and blue ribbons, which further bind this arrangement with
Sixième Congrès International des Orientalistes tenu en 1883
the yurt, as a symbol of the rainbow. This would lend sup-
à Leide, vol. 4, pp. 1–120. Leiden, 1885.
port to the interpretation that Eliade gives to the whole cere-
Hsu, Francis L. K. Under the Ancestors’ Shadow: Chinese Culture
mony: it is a visualization of the shaman’s heavenly journey,
and Personality (1948). Enl. ed. Stanford, 1971.
his rite of ascension. Therefore, the initiation of the Mongo-
Jeffery, Arthur, ed. A Reader on Islam: Passages from Standard Ara-
lian shaman can be connected with the crossing of the Chin-
bic Writings Illustrative of the Beliefs and Practices of Muslims.
vat Bridge in ancient Iranian eschatology, which also consti-
The Hague, 1962.
tutes a test or an initiation. But both pertain to an even larger
Jeremias, Joachim. “Zur Überlieferungsgeschichte des Agraphon:
framework: the reinstitution of the paradisiacal antiquity
Die Welt ist eine Brücke; Zugleich ein Beitrag zu den Anfän-
when humans and gods could converse with each other with-
gen des Christentums in Indien.” Nachrichten der Akademie
out difficulty, thanks to the bridge that then connected them
der Wissenschaften in Göttingen 4 (1955): 95–103.
(Eliade, 1964, pp. 116ff.; cf. Berner, 1982). Eliade has treat-
Knight, G. A. Frank. “Bridge.” In Encyclopaedia of Religion and
ed this theme in his fiction, in a tale entitled “Bridge” (1963)
Ethics, edited by James Hastings, vol. 2. Edinburgh, 1911.
included in his collection Phantastische Geschichten (1978),
Lawson, John Cuthbert. Modern Greek Folklore and Ancient Greek
as Berner has pointed out. Eliade’s critics, in turn, consider
Religion: A Study in Survivals (1910). Reprint, New York,
a hermeneutic of this kind fantastic; other specialists (e.g.,
1964.
Blacker, 1975) have found his interpretation confirmed by
Lommel, Herman. “Some Corresponding Conceptions in Old
their own material.
India and Iran.” In Dr. Modi Memorial Volume,
SEE ALSO Chinvat Bridge; Pontifex.
pp. 260–272. Bombay, 1930.
Nyberg, H. S. Die Religionen des alten Iran. 2d ed. Osnabrück,
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Duchesne-Guillemin, Jacques. La religion de l’Iran ancien. Paris,
BRIGHID (c. 454–c. 524) was an early medieval Irish
1962. Translated as Religion of Ancient Iran (Bombay, 1973).
Christian saint celebrated as a virgin and miracle worker and
Edsman, Carl-Martin. Le baptême de feu. Uppsala, 1940.
the founder of an important monastic community at Kildare.
Edsman, Carl-Martin. “Själarnas bro och dödens älv.” Annales Ac-
According to early annals, she died in 524 CE at the age of
ademiae Regiae Scientiarum Upsaliensis 3 (1959): 91–109.
seventy. However, that date is best understood as evidence
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BRIGHID
1053
of the tradition that holds Brighid to be a younger contem-
aspects of a pre-Christian Irish goddess called Brigit or Bríg.
porary of Saint Patrick rather than as a precise record. Al-
Traces of this figure are faint in the written record, as one
though Brighid has always been associated with the province
might expect them to be in early medieval Irish literary cul-
of Leinster, in southeastern Ireland, she was also, from at
ture, since it was the product of Christian monasteries. A
least as early as the seventh century, revered along with Saint
tenth-century list of terms deemed already archaic identifies
Patrick and Colmcille as one of the principal patrons of all
Brigit as a goddess once worshiped by poets and the sister
Ireland. With the movement of Irish monks in the eighth
of two other Brigits, one a healer and one a smith, but it is
and ninth centuries, the cult of Brighid spread throughout
rather Bríg briugu, a legendary hospitaler or innkeeper men-
much of Europe. The spelling Brighid is the Middle Irish
tioned briefly in a seventh-century Irish law tract, who might
form of the Old Irish Brigit, the modern Irish Bríd, and the
more readily be imagined to have had affinities with the saint
English Brigid.
as she came to be represented in Christian hagiography. The
EARLY RECORDS. The earliest surviving records of Brighid’s
name of the goddess Brigant¯ı (Exalted One) appears in in-
life date from the seventh century, more than a hundred
scriptions and in the name of the British people known to
years after her death; both accounts are in Latin, one anony-
the Romans as the Brigantes. Quite possibly cognate with
mous and the other composed by Cogitosus. The former de-
Brighid or Bríg, this name suggests that Brighid may repre-
scribes her birth to a slave woman who was the concubine
sent the Irish version of a goddess revered by various Celtic-
of a nobleman; her infancy and early childhood with the
speaking peoples. Since Brigant¯ı was the tutelary goddess of
druid to whom her mother was sold; her eventual return to
the Brigantes, so was Saint Brighid understood to be the
her father’s home; her resistance to his efforts to arrange a
guardian of the Irish province of Leinster. In the anonymous
marriage for her; her consecration of her virginity; and her
early life, known as the Vita Prima, she appears leading the
travels throughout Ireland with the women who gathered
king of Leinster into battle, “with her staff in her right hand
around her, doing good and performing miracles. Her birth
and a column of fire blazing skywards from her head” (Con-
and infancy are said, in this life, to have been accompanied
nolly, 14–49, at 41).
by many portents of her future greatness, and it is of consid-
Many practices are associated with Brighid and with
erable interest that druids as well as Christian bishops recog-
February 1, her feast in the Christian calendar, which was
nize them.
also the pre-Christian festival of Imbolc. The Brighid’s Day
The miracle stories give considerable emphasis to
customs, well attested into the second half of the twentieth
Brighid providing food and drink: turning water into milk
century and surviving into the twenty-first century, include
on some occasions and into beer on others, making butter
weaving crosses of rush that can be hung over the byre to
out of nettles and bacon out of bark, feeding a large crowd
protect livestock and in the home to protect the family, and
on “twelve loaves, a little milk, and one sheep,” and produc-
particularly its women; making a figure or doll representing
ing salt from a stone. Although they are certainly modeled
Brighid, the brídeog, which is carried around a village and
to some extent on accounts of Christ’s multiplication of the
welcomed into each home; and preparing the brat Bhríde, or
loaves and fishes and transformation of water into wine in
Brighid’s cloak, a piece of cloth left outdoors overnight to
the New Testament, the multiplicity of these stories suggests
receive the saint’s blessing and then employed throughout
that abundance and hospitality were qualities associated
the following year to protect and heal humans and animals.
from a very early date with Saint Brighid’s cult.
Numerous springs or wells regarded as having curative prop-
The early lives also represent Brighid as having extraor-
erties are associated with Brighid, and many prayers and
dinary sympathy with animals. In one of these stories, a wild
charms in Irish and Scottish Gaelic tradition invoke her
boar that is being hunted joins her herd of swine and be-
name.
comes tame. In another, a man has been condemned to die
The explicit linking of the Christian saint and the pre-
and his family to be enslaved because he has killed a king’s
Christian goddess may be traced to 1900, when Brighid in
pet fox, mistaking it for an ordinary one. At Brighid’s behest,
her two aspects was adopted as the patron of Inghinidhe na
a wild fox plays tame and performs tricks just long enough
hÉireann (Daughters of Ireland). Since 1993, several organi-
for the king to accept it as a replacement for his lost pet and
zations have developed a cult of this dual Brighid; their prac-
free the man; then it flees the court and returns to the wild.
tices center on maintaining a perpetual flame at Kildare,
Several miracle stories involve both her empathy with ani-
which was inspired by a twelfth-century account of such a
mals and her liberal provision of food, as when she feeds a
fire tended by women and by Brighid herself, and on the two
substantial portion of bacon to a hungry dog but when it is
holy wells in the area associated with Brighid. Brighid’s feast
time to serve her human guests finds the total quantity of
is observed at Kildare with a candlelight procession and vigil.
meat to be undiminished. As Cogitosus has it, “It is plain
These groups place a strong emphasis on women’s spirituali-
that the whole order of beasts, flocks and herds was subject
ty, but they are by no means exclusively composed of
to her rule” (De Paor, 1993, pp. 207–224).
women.
CHRISTIAN AND PRE-CHRISTIAN TRADITIONS. The associa-
tion of Saint Brighid with food and with animals may reflect
SEE ALSO Celtic Religion, overview article.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1054
BRINDAVAN
BIBLIOGRAPHY
Christians (1582) is the first outline of an Independent
The early lives of Saint Brighid are available in English translation
church polity.
in Sean Connolly, “Vita Prima Sanctae Brigitae: Background
and Historical Value,” Journal of the Royal Society of Anti-
Browne was a contentious individualist who frequently
quaries of Ireland 119 (1989): 5–49; Liam de Paor, trans.,
had to be rescued from trouble by his kinsman Lord Burgh-
“Cogitosus’s Life of St Brigid the Virgin,” in Saint Patrick’s
ley. He fell out with his fellow Separatists Henry Barrow and
World (Dublin and Notre Dame, 1993), pp. 207–226; and
John Greenwood over the eldership. In 1586, he became
Donncha Ó hAodha, ed. and trans., Bethu Brigte (Dublin,
master of Saint Olave’s School in Southwark but continued
1978). A complete catalogue of the early documents pertain-
to minister to dissenting congregations. In 1591, however,
ing to Saint Brighid can be found in James F. Kenney, The
Burghley presented him with the living of a church in North-
Sources for the Early History of Ireland: Ecclesiastical; An Intro-
amptonshire, where he remained for the rest of his life. He
duction and Guide (New York 1929; reprint, New York
appears to have continued to be contentious even in confor-
1966), pp. 356–363. For Saint Brighid’s importance in the
mity, because he died in Northampton jail after assaulting
early Irish Christian church, see Christina Harrington,
Women in a Celtic Church: Ireland 450–1150 (Oxford,
a constable.
2002), and for a thorough and intelligent analysis of the evi-
Browne is best thought of as a precursor rather than a
dence for the pre-Christian goddess, see Kim McCone,
founding father of the later Congregational churches. The
Pagan Past and Christian Present in Early Irish Literature
word Brownists became a general term of abuse for English
(Maynooth, Ireland, 1990), especially pp. 162–166. Séamas
Protestants who favored a democratic church polity.
Ó Catháin, The Festival of Brigit: Celtic Goddess and Holy
Woman (Dublin, 1995), especially pp. 1–26, provides a good
introduction to the folklore and customs associated with
BIBLIOGRAPHY
Brighid and Saint Brighid’s Day. See also Catherine McKen-
Little book-length literature is available other than an edition of
na, “Apotheosis and Evanescence: The Fortunes of Saint
Browne’s writings in Albert Peel and Leland H. Carlson’s
Brigit in the Nineteenth and Twentieth Centuries,” in The
The Writings of Robert Harrison and Robert Browne (London,
Individual in Celtic Literatures, edited by Joseph F. Nagy
1953). See also Champlin Burrage’s The True Story of Robert
(Dublin, 2001), pp. 74–108, and Catherine McKenna, “Be-
Browne, 1550?–1633, Father of Congregationalism (Oxford,
tween Two Worlds: Saint Brigit and Pre-Christian Religion
1906).
in the Vita Prima,” in Defining the Celtic, edited by Joseph
F. Nagy (Dublin, 2002), pp. 66–74.
DANIEL JENKINS (1987)
CATHERINE MCKENNA (2005)
BRUNNER, EMIL (1889–1966), Swiss Protestant
BRINDAVAN S
theologian. Brunner was a critic of liberalism and secularism.
EE VR:NDA
¯ VANA
His writing on knowledge and faith was influenced by Kant;
his stress on religious experience by Kierkegaard and Husserl;
and his stress on God’s transcendence and the need for vigor-
BROADCASTING, RELIGIOUS SEE
ous social and political action by Luther and Calvin.
RELIGIOUS BROADCASTING
Brunner anticipated Martin Buber’s notion of the I-
Thou relationship, elucidating throughout his Dogmatics the
encounter between humanity and God as humanity’s most
BROWNE, ROBERT (c. 1550–1633), leading Protes-
significant existential experience. In The Divine Imperative,
tant Separatist from the Church of England in the reign of
Brunner argues that the source of Christian ethics lies in
Elizabeth I. Although he finally conformed, his teaching an-
God’s imperative. He deemed personhood to be the center
ticipated much in later Independency, or Congregational-
of human-divine interaction, deploring the reductionism of
ism. He was born at Tolesthorpe in Rutlandshire. For about
positivism and behaviorism. Although sympathetic to philos-
twenty years after leaving Cambridge, he was an active Sepa-
ophy, he opposed its attempts to stand in judgment of theol-
ratist. On receiving the bishop’s license to preach in 1579,
ogy, as well as attempts by Paul Tillich and others to use such
he threw it in the fire, asserting that he preached “not as car-
philosophical terms as being and ground of being in reference
ing for or leaning on the Bishop’s authority, but only to satis-
to God. In contrast to Barth, Brunner asserted that even sin-
fy his duty and conscience.” He helped gather a dissenting
ful man can attain some knowledge of God but that, apart
congregation in Norwich in 1518 and was frequently impris-
from the Christian revelation, this knowledge has no salvific
oned. In 1582 he was in exile in Holland.
value.
During exile, he wrote the tracts that later became influ-
Brunner’s theology is rich in the areas of ethics and so-
ential among more radical Protestants in which he insisted
ciopolitical thought. We are told in his The Divine Impera-
on the voluntary nature of church membership. The best-
tive, Christianity and Civilization, and Justice and the Social
known is A treatise of Reformation without Tarying for Anie
Order that God’s command is to love and that the person
(1582). A Booke which Sheweth the life and Manner of All true
who has faith in Jesus Christ responds to God’s love by living
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUBER, MARTIN
1055
a life of hope and love in “orders of creation”—the family,
Among Bruno’s better-known works are On Heroic Rages, ex-
the economy, the state, the culture, and the church. Though
pounding a Neoplatonic theodicy cast in mythical form, de-
the New Testament contains no blueprint for a socio-
scribing the soul’s ascent to God as its return to the original
economic-political order, Brunner believed that human in-
and highest unity; An Ash Wednesday Conversation, discuss-
stitutions could be informed by love and by justice in the ser-
ing the Copernican heliocentric theory; On the Infinite Uni-
vice of God.
verse and Worlds, an ecstatic vision of a single infinite uni-
verse; The Expulsion of the Triumphant Beast, an allegory
B
dealing mostly with moral philosophy; and On the Begin-
IBLIOGRAPHY
Brunner’s three-volume Dogmatics (Zurich, 1946–1960) is the de-
nings, Elements and Causes of Things, his cosmic philosophy.
finitive statement of his theology. The first two volumes have
Bruno’s writings influenced Jakob Boehme, Spinoza, Leib-
been translated into English by Olive Wyon, and the third
niz, Descartes, Schelling, and Hegel.
by David Cairns and T. H. L. Parker (Philadelphia, 1950–
1962). Crucial to an understanding of Brunner’s ethics and
BIBLIOGRAPHY
his Reformed stance is Das Gebot und die Ordnungen (Tü-
Virgilio Salvestrini’s Bibliografia delle opere di Giordano Bruno
bingen, 1932), translated by Olive Wyon as The Divine Im-
(Pisa, 1926) is an excellent comprehensive bibliography of
perative (Philadelphia, 1947). The existentialist and personal
Bruno’s works, including references to him by other writers.
aspects of Brunner’s thought are best exhibited in Wahrheit
The best book in English on Bruno is Dorothea Waley Sing-
als Begegnung (Berlin, 1938), translated by Amandus W.
er’s Giordano Bruno: His Life and Thought with Annotated
Loos as The Divine-Human Encounter (Philadelphia, 1943),
Translation of His Work “On the Infinite Universe and
and Der Mittler (Tübingen, 1927), translated by Olive
Worlds” (New York, 1968). An authoritative treatment of his
Wyon as The Mediator: A Study of the Central Doctrine of the
thought is Giovanni Gentile’s Giordano Bruno e il pensiero
Christian Faith (Philadelphia, 1947). For a critical evaluation
del rinascimento, 2d ed. (Florence, 1925). Irving Louis Horo-
of all Brunner’s works, see my The Theology of Emil Brunner
witz’s The Renaissance Philosophy of Giordano Bruno (New
(New York, 1962). This volume contains works by Brunner,
York, 1952) offers a general introduction to his natural phi-
interpretative essays, replies to these essays by Brunner, and
losophy or ontology and an analysis of the interactions of his
a complete bibliography.
philosophical system and method. Frances A. Yates’s Gior-
C
dano Bruno and the Hermetic Tradition (London, 1964) re-
HARLES W. KEGLEY (1987)
lates his thought to the mystical and Platonic tradition.
LEWIS W. SPITZ (1987)
BRUNO, GIORDANO (1548–1600), Italian philoso-
pher. Bruno was a brilliant and encyclopedic though erratic
thinker of the Italian Renaissance, a man who synthesized
BUBER, MARTIN (1878–1965) was a Jewish philoso-
and transformed thought in terms of the situation of his own
pher and educator. Born in Vienna to Carl and Elise Buber,
times. Born in Nola, Bruno joined the Dominican order in
he was raised by his paternal grandparents, Salomon and
Naples at the age of fifteen. He was expelled for his views
Adele Buber, following the breakup of his parents’ marriage.
on transubstantiation and the immaculate conception and
He studied at universities in Vienna; Leipzig, Germany; Zu-
fled Rome about 1576. After wandering over half of Europe,
rich, Switzerland; and Berlin. In 1904 he received a Ph.D.
he finally returned to Italy, only to be imprisoned by the
from the University of Vienna, writing his dissertation on
Roman Inquisition for his cosmological theories and burned
Nicholas of Cusa (1401–1464) and Jakob Boehme (1575–
as a heretic, the “martyr of the Renaissance.”
1624). In 1899 Buber married Paula Winkler, a well-known
Bruno was strongly influenced by the German philoso-
German writer, with whom he had two children.
pher Nicholas of Cusa and the latter’s theory of the “coinci-
During his late teens and early university years, Buber
dence of opposites,” namely, that the infinitely great coin-
experienced a sense of alienation from Judaism and the Jew-
cides with the infinitely small, and that God relates to the
ish community. The newly formed Zionist movement
world as does one side of a piece of paper to the other side
opened the way to a renewed connection to the Jewish com-
(panentheism). Drawing on Neoplatonic philosophy in de-
munity. Embracing Zionism as a form of Jewish spiritual re-
veloping his theories about the universe, Bruno rejected Aris-
newal, Buber began to write extensively on Judaism and Jew-
totle’s conception of the structure of the universe, held to a
ish nationalism. From 1901 to 1904 he edited the official
theory of animate monads, taught the relativity of space,
journal of the Zionist movement, Die Welt.
time, and motion, and maintained that the universe is infi-
A five-year (1904–1909), intensive engagement with
nite in extension and eternal in its origin and duration.
the sources of Hasidism, an eastern European movement of
Bruno was a prolific author and, especially in his Italian
Jewish religious renewal, helped revive Buber’s connection
works, a beautiful writer, though some of his Latin works
to the religious and spiritual dimensions of Judaism. In Hasi-
were prolix and confused. He had obsessions, such as his pre-
dism, which he first encountered as a child living with his
occupation with mnemonic theories, and he was easily dis-
grandparents in central Europe, Buber experienced a spiritu-
tracted by strange thinkers like Ramón Lull (c. 1235–1315).
al energy that he considered missing from most forms of Jew-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1056
BUBER, MARTIN
ish life. This five-year period of study resulted in two vol-
demic scholarship, Buber, according to Scholem, produced
umes in German, The Tales of Rabbi Nachman (1906) and
a subjective, idiosyncratic, misleading representation of Has-
The Legend of the Baal-Shem (1908). These were followed by
idism. Ignoring such basic sources of Hasidic teachings as li-
volumes of essays and translations, including For the Sake of
turgical texts and biblical commentaries, Buber focused ex-
Heaven (1945), Tales of the Hasidim (1947), and The Origin
clusively on the Hasidic tales. Moreover, ignoring the
and Meaning of Hasidism (1960), which first appeared in He-
nihilistic tendencies in Hasidic teachings, Buber, according
brew, and Hasidism and Modern Man (1958). Other early
to Scholem, focused solely on Hasidism’s affirmation of ev-
writings include studies in mysticism, Ekstatische Konfes-
eryday life. Finally, swayed by his own anarchistic tenden-
sionen (1909) and Reden und Gleichnisse des Tschuang-Tse
cies, Buber had neglected the central role of formal religious
(1910), as well as two collections of essays on Jewish national
practices (halakhah) in Hasidism.
and religious renewal, Die Jüdische Bewegung (2 vols., 1916–
Responding to Scholem in “Interpreting Hasidism,”
1920) and Reden über das Judentum (On Judaism, 1923). He
Buber distanced himself from conventional historical schol-
also edited a monographic series on social thought, Die Gesel-
arship that “addresses the past as an object of knowledge with
lschaft (1904–1912), and a journal, Die Jude (1916–1924),
the intention of advancing the field of historical knowledge”
that focused on Jewish history and culture.
(Buber, 1963, p. 218). To Buber the study of the past was
Buber taught at the University of Frankfurt from 1923
important not for its own sake, but because of its power in
to 1933 and had a powerful spiritual impact on Jewish
assisting people to confront the spiritual crisis of the present.
youth. Active in Jewish cultural life, he also lectured at the
While never explicitly denying the validity of historical in-
Frankfurt Jüdische Lehrhaus directed by Franz Rosenzweig
quiry, Buber considered it an ineffective way to address the
(1886–1929). During the 1930s Buber’s lectures and writ-
spiritual demands of the present.
ings served as an important source of spiritual inspiration for
the besieged German Jewish community. In 1938 Buber im-
To Buber, Hasidism incorporated a spiritual power that
migrated to Palestine, where he served as professor of social
could help the modern person overcome the alienation that
philosophy at the Hebrew University in Jerusalem and ac-
separated people from one another, from the world of na-
tively engaged in adult education. Buber was a founder and
ture, and from the divine. More than a system of theological
active participant in Brit Shalom and Ihud, movements for
concepts and ritual practices, Hasidism, argued Buber, was
Arab-Jewish rapprochement. A staunch advocate of a bina-
a way of life. As such, its dynamic power is best revealed
tional state in Palestine, he wrote and lectured on its behalf.
through tales and legends that emerged out of life situations.
PHILOSOPHY OF JUDAISM. Buber’s imaginative reading of
Biblical writings provided another important founda-
Hasidism served as an important foundation for his distinc-
tion for Buber’s interpretation of Judaism. In such works of
tive interpretation of Judaism and religion. He was particu-
biblical interpretation as Kingship of God (1932), Moses
larly drawn to Hasidism’s emphasis on the hallowing of the
(1945), Prophetic Faith (1942), and On the Bible (1968),
everyday. Rather than seek the sacred in special places, mo-
Buber sought to recover the living situations from which the
ments, or ritual practices, Hasidism, according to Buber,
biblical text emerged. While his biblical writings reveal a
found it in everyday encounters with other people, animals,
great appreciation for critical scholarship, his primary con-
and nature. As he read them, the Hasidic teachings provided
cern was to engage the Bible as a living record of Israel’s on-
a viable path whereby his generation could bridge the gulf
going dialogue with God. In his German translation of the
between the sacred and the profane.
Hebrew Bible, Buber, together with his collaborator Rosenz-
weig, sought to recover the sensuous, poetic force of the spo-
Buber did not consider becoming a member of a Ha-
ken language. (The first volumes of this translation were
sidic community to be a viable possibility. Rejecting Ortho-
published in 1925; following Rosenzweig’s death, Buber fi-
doxy, he espoused spontaneous, experiential “religiosity”
nally completed it in 1962.)
over static, institutionalized “religion.” Eschewing the formal
rabbinic practices and structures of classical Hasidism, he in-
PHILOSOPHY OF RELATION AND DIALOGUE. Following in
stead encouraged an existential engagement with Hasidic
the tradition of existential philosophers (So⁄ren Kierkegaard
teachings as a path of religious renewal for Jews and non-
[1813–1855], Friedrich Nietzsche [1844–1900]) and Ger-
Jews alike.
man social theorists (Ferdinand Julius Tönnies [1855–
1936], Georg Simmel [1858–1918], Max Weber [1864–
Taking issue with both Jewish historical scholarship and
1920]), Buber believed that modern society and culture es-
rationalist Jewish theology, Buber emphasized the mystical
tranged people from their authentic selves, and from other
and mythic components of Judaism. Gershom Scholem
persons, nature, and God.
(1897–1982), a leading modern scholarly interpreter of Jew-
ish mysticism, objected to Buber’s interpretations of Hasi-
After World War I, Buber’s philosophical orientation
dism. His criticisms and Buber’s response resulted in one of
increasingly privileged interpersonal encounters over indi-
the most significant debates among modern Jewish scholars
vidual mystical experiences. His neologism das Zwischenmen-
concerning the interpretation of religion in general and Juda-
schliche (the interhuman) reflects his effort to uncover and
ism in particular. Diverging from the canons of Western aca-
represent a unique, overlooked dimension of human life. In
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUBER, MARTIN
1057
Ich und Du (I and thou, 1923) he sought to formulate a phi-
standing his philosophy. In particular, he seriously engaged
losophy that highlighted the fundamental importance of this
and was influenced by the Dao de jing and Zhuangzi, two
realm and to elucidate the relations that derive from it.
fundamental texts of Daoism. As early as 1914 Buber pro-
Buber’s philosophical discourse may be understood in
duced a pioneering German translation of and commentary
terms of Richard Rorty’s distinction between normal and ed-
to sections of Zhuangzi. A series of unpublished lectures on
ifying philosophers. Like Kierkegaard and Nietzsche, Buber’s
the Dao de jing, delivered in 1925 in Ascona, Switzerland,
basic concern was not to construct a philosophical system
reveals important connections between the teachings of this
but to render visible the alienating forms of contemporary
text and Buber’s philosophical views. Several articles, pub-
society and provide an alternative way of thinking and relat-
lished at different periods of his life, provide further exam-
ing. In evaluating Buber’s edifying philosophy, the question
ples of his attraction to, as well as his reservations about, the
is not whether or not it accurately mirrors reality, but wheth-
Chinese teachings. Buber’s attraction to, and use of, concepts
er or not it can transform one’s life and relations to other per-
drawn from Chinese teachings distinguished him from other
sons, the divine, and the nonhuman world. Buber distin-
Jewish philosophers of the twentieth century. More recent
guished between two basic modes of relation, “I-You” and
studies in Chinese philosophy have enhanced our under-
“I-It.” The I-It mode is characterized by a practical, goal-
standing of the connections between Buber’s philosophy and
oriented, instrumentalist perspective. In it, people relate to
Daoist teachings. These studies help to clarify the impor-
others according to their usefulness and value. From a de-
tance of concepts such as wu-wei to Buber’s understanding
tached stance, people measure and type others in terms of
of human relations.
their own needs and objectives. Whereas this mode of rela-
As formulated in the concept wu-wei, one accommo-
tion may be appropriate to technological and practical en-
dates oneself to the other’s values and perspectives, doing
deavors, Buber denounced the extent to which the I-It mode
nothing to impose one’s own views. Wu-wei, like I-You rela-
had come to dominate human relationships. In social rela-
tions, contrasts sharply with dominant Western modes of re-
tionships, rather than relate to others as unique beings, the
lation, where effectiveness is measured in terms of power and
modern person tends to reduce them to the status of objects
goals. Both wu-wei and I-You conceive of human relation-
or tools, valuing them solely for their use in helping one ful-
ships based upon noninterference.
fill his or her own goals and purposes.
A major concern of Buber’s was to formulate an alterna-
The I-You relation, like wu-wei, emphasizes “action
tive to the dominant I-It form of human relationship. This
without doing, action through nonaction” (Buber, 1967,
alternative, which he referred to as the I-You mode, is
190). Both concepts provide a major alternative to the pre-
marked by direct, nonpurposive relations. In the I-You mode
vailing Western conceptions of action and relation. In each
one relates to the other as an end (You), rather than a means
people engage the other not by imposing themselves on him
(It). In so doing people accept, confirm, and nurture the
or her but by helping him or her actualize his or her inherent
unique qualities of the other. Such relations infuse lives with
qualities.
meaning and purpose.
Buber’s description of the I-You relationship as “elec-
Whereas structured, ordered I-It relations perdure,
tion and electing, passive and active at once” (Buber, 1970,
I-You relations are fleeting and fluid and cannot be planned.
p. 62) is no less applicable to wu-wei. In both instances,
When they do occur, they quickly revert back to I-It relation-
while seemingly passive, one acts with one’s whole being
ships: “Every you in the world is doomed by its nature to be-
while refraining from imposing on or interfering with the
come a thing, or at least to enter into thinghood again and
other or the world around one. In both cases action is spon-
again” (Buber, 1970, p. 69).
taneous rather than calculated and natural rather than
forced.
According to Buber, people are as they relate: “In the
beginning is the relation” (Buber, 1970, p. 69). Through
RELIGIOUS FAITH AND THE ETERNAL YOU. In his writings
I-You relations, people actualize their humanity. In later
on religious faith, elaborated in such texts as I and Thou
writings Buber grounded the I-You relation in a person’s
(1923), Two Types of Faith (1951), Eclipse of God (1952),
basic wish “to be confirmed as what he is, even as what he
and Good and Evil (1953), Buber emphasized the centrality
can become, by men; and the innate capacity to confirm his
of divine-human relation. Although he admitted the possi-
fellow men in this way” (Buber, 1965, p. 68). In genuine dia-
bility of direct divine-human encounters, he situated the pri-
logue, rather than frame the other in terms of one’s own
mary locus of genuine religious life in the realm of the “in-
needs, one accepts, affirms, and confirms the other as the
terhuman.” I-You relations between persons, when
person that he or she is and can become. In a series of writ-
extended, “intersect in the Eternal You” (Buber, 1970,
ings, Between Man and Man (1947) and Knowledge of Man
p. 123). As he made clear in his Hasidic writings, one lives
(1965), Buber sought to formulate a philosophical-
religiously by hallowing the beings that one encounters,
anthropological grounding for his philosophy.
human and nonhuman alike. In confirming their unique
BUBER AND THE DAO. Buber’s encounter with the teachings
qualities and potentials, nurturing the divine spark in each
of ancient China provides an important context for under-
of them, one actualizes God in the 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
1058
BUBER, MARTIN
Speaking of the divine as the “Eternal You,” Buber de-
religious and secular, considered his unique synthesis of reli-
nied that people could relate to it through the objectifying
gious existentialism and cultural nationalism unacceptable.
I-It mode. Revelation, in his view, occurs when one directly
Consequently his influence was limited to small groups of
encounters a “presence,” receiving a ground of meaning that
intellectuals and kibbutz members. In the United States
one must translate into action. Moments of divine-human
many rabbis were put off by his strongly anti-institutional
encounter, like all significant moments of relation, elude
orientation to religion. He had a great impact, however, on
conceptual speech and are best conveyed through myth and
a small but significant group of Jewish theologians, including
poetry.
Will Herberg (1902–1977), Arthur A. Cohen (1928–1986),
and Eugene B. Borowitz (b. 1924). His impact on Christian
Genuine relation both presupposes and fosters genuine
theologians, such as Paul Tillich (1886–1965) and H. Rich-
community, characterized by authentic relations between
ard Niebuhr (1894–1962), was extensive, and his writings
members and between members and leader. Like his mentor,
were widely read in Christian seminaries.
the Romantic socialist and anarchist Gustav Landauer
(1870–1919), Buber advocated a community based on “uto-
Beyond the borders of the religious community, Buber’s
pian socialism,” that is, mutual ownership and mutual aid.
teachings had a strong impact on psychiatrists such as R. D.
J
Laing, Irvin Yalom, and Leslie Farber; on philosophers such
UDAISM AND GENUINE COMMUNITY. To Buber the Jewish
people’s unique vocation is to actualize true community in
as Gabriel Marcel, Phillip Wheelwright, and Ernst Becker;
daily life. Israel fulfills its responsibility as a specific nation
and on the anthropologist Victor Turner. Deeply attracted
by actualizing in its social life genuine, nonexploitative, con-
by the political implications of Buber’s philosophy of rela-
firming relations between people. As conveyed in the Bible,
tion, Dag Hammarskjöld (the secretary general of the United
the Jews, a people united by common kinship, fate, and
Nations from 1953 to 1961) was, at the time of his death,
memory, accepted this task as an obligation. In Buber’s view
engaged in translating Buber’s writings into Swedish.
the Israeli kibbutz, a unique social experiment, stands out as
SEE ALSO Jewish Thought and Philosophy, article on Mod-
one of history’s most successful efforts to establish genuine
ern Thought.
community based upon mutual responsibility.
To live as a Jew means to dedicate oneself to actualizing
BIBLIOGRAPHY
genuine relation in all spheres of life. Rejecting all prepack-
A comprehensive bibliography of Buber’s writings is Margot
aged recipes, norms, and principles, Buber emphasized the
Cohn and Rafael Buber, Martin Buber: A Bibliography of His
people of Israel’s continuing responsibility to draw anew the
Writings, 1897–1978 (Jerusalem and New York, 1980).
“line of demarcation” separating just from unjust action.
Other important works by Buber are Israel and the World: Es-
says in a Time of Crisis, 2d ed. (New York, 1963), which in-
For Buber, the Arab-Jewish conflict is the greatest test
cludes important essays on Judaism, the Bible, and Zionism;
of the Jewish people’s ability to actualize its vocation. His ef-
A Believing Humanism: My Testament, 1902–1965, translat-
forts on behalf of Arab-Jewish rapprochement can best be
ed and with an introduction and explanatory comment by
understood in terms of his philosophy of relation. A major
Maurice S. Friedman (New York, 1967); Pointing the Way,
figure in a small group of Jews espousing such rapproche-
translated, edited, and with an introduction by Friedman
ment, he advocated a binational state in which Jews and
(New York, 1957); I and Thou, translated by Walter Kauf-
Arabs would live together as two culturally autonomous peo-
mann (New York, 1970); and The Knowledge of Man (New
ple with absolute political equality. With the establishment
York, 1965). A valuable collection of writings on the Arab
question is A Land of Two Peoples: Martin Buber on Jews and
of the State of Israel in 1948, he reluctantly abandoned this
Arabs, edited with an incisive introductory essay and notes
idea, accepting a separate Jewish state as a necessary outcome
by Paul R. Mendes-Flohr (New York, 1983). A collection of
of historical realities. An active critic of the policies of the
Buber’s writings in English is The Martin Buber Reader, ed-
new state, he repeatedly rebuked Israel’s political leaders for
ited by Asher D. Biemann (New York, 2002). An important
approaching Arab-Jewish relations in terms of power politics
selection of Buber’s correspondence, drawn from the three-
rather than genuine relations between persons.
volume German edition, is The Letters of Martin Buber: A
Life of Dialogue, edited by Nahum N. Glatzer and Mendes-
Buber viewed the State of Israel as a microcosm of gen-
Flohr with a biographical overview by Grete Schaeder (New
eral humanity. Like Israel, all nations share a responsibility
York, 1991). In addition to Schaeder’s biographical essay,
to actualize true community and dialogue in people’s daily
the specifics of Buber’s life, previously available only in Ger-
lives. Acceptance of this responsibility is a prerequisite for
man in Hans Kohn’s fine study Martin Buber: Sein Werk und
world peace. Criticizing both the centralization of power in
seine Zeit (Cologne, Germany, 1961), are now available in
the modern nation-state and the existential mistrust that per-
Friedman’s three-volume biography, Martin Buber’s Life and
meates modern society, Buber envisioned a network of de-
Work (New York, 1981–1983), a work marred by its hagio-
centralized communities grounded in mutual production
graphic approach. Friedman’s Martin Buber: The Life of Dia-
and direct relations between people.
logue, 3d ed. (Chicago, 1976), was one of the early introduc-
tions to Buber’s thought. Schaeder’s The Hebrew Humanism
INFLUENCE. Buber’s influence among European Jewish
of Martin Buber, translated by Noah J. Jacobs (Detroit,
youth was great. In Israel, however, most of his fellow Jews,
Mich., 1973), emphasizes the aesthetic and humanistic 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
BUDDHA
1059
mensions of Buber’s writings, traced biographically. Impor-
Charles V) to flee to England, where he participated in the
tant criticisms, with Buber’s responses, are in Paul Arthur
revision of The Book of Common Prayer shortly before his
Schilpp and Friedman, eds., The Philosophy of Martin Buber
death. Ostensibly he appeared to have broken decisively with
(La Salle, Ill., 1967); and Sydney Rome and Beatrice Rome,
the intellectual and religious traditions that predated his en-
eds., Philosophical Interrogations, pp. 15–117 (New York,
counter with Luther.
1964).
Bucer was thoroughly evangelical—and a follower of
For discussions of Buber’s philosophy, see the proceedings of the
Luther—in the basic outline of his theology, but prior alle-
Buber Centenary Conference, held in 1978 at Ben-Gurion
University in Israel, in Haim Gordon and Jochanan Bloch,
giances were apparent in his actions. At colloquies with rep-
eds., Martin Buber: A Centenary Volume (New York, 1984).
resentatives of Rome in the 1540s, he agreed to a theory of
On Buber and Daoism see Jonathan R. Herman, I and Tao:
“double justification,” according to which a Christian coop-
Martin Buber’s Encounter with Chuang Tzu (Albany, N.Y.,
erates with God after the gift of salvation, a claim that may
1996); and J. J. Clarke, The Tao of the West: Western Trans-
hark back to Thomas. In the Sacramentarian Controversy,
formations of Taoist Thought (London and New York, 2000).
although he was an early adherent to Zwingli’s spiritualist
Works enabling a wider appreciation of the impact of Chi-
view of the elements and later agreed with Luther in the Wit-
nese thought on Buber include David L. Hall and Roger T.
tenberg Concord (1536), he consistently argued that the true
Ames, Thinking from the Han: Self, Truth, and Transcendence
meaning of the Lord’s Supper was communion among the
in Chinese and Western Culture (Albany, N.Y., 1998); and
believers and with Christ. His mediatory efforts both flowed
Dao de jing: Making This Life Significant: A Philosophical
directly from this view and reflected the earlier influence of
Translation, translated with commentary by Roger T. Ames
and David L. Hall (New York, 2003). Valuable critical in-
Erasmus and northern humanism.
sights into Buber’s life and thought as they relate to modern
These prior traditions and aspirations showed through
Jewish culture are provided in several articles by Ernst
most clearly in the sort of reformation Bucer promoted and
Simon, including “Martin Buber and German Jewry,” Year-
the manner in which he did so. Like many others who trans-
book of the Leo Baeck Institute 3 (1958): 3–39; “The Builder
lated Luther’s theology into practice, Bucer sought a thor-
of Bridges,” Judaism 27 (Spring 1978): 148–160; and “From
ough reform of all of Christian society, as is well summarized
Dialogue to Peace,” Conservative Judaism 19 (Summer
1965): 28–31. These and other articles on Buber are in
in his posthumously published De regno Christi, dedicated
Simon’s Hebrew work, Ye Eadim, tsematim, netivim: Haguto
to Edward VI. Outlined there is the program he followed
shel Mordekhai Martin Buber (Tel Aviv, 1985). An insightful
throughout his entire career. Not only did he advocate that
effort to situate Buber’s interpretive approach is Steven Kep-
the Mass be abolished and proper Christian worship and
nes, The Text as Thou: Martin Buber’s Dialogical Hermeneu-
doctrine be put in its place. He also helped found schools
tics and Narrative Theology (Bloomington, Ind., 1992). For
that had the humanist educational program at the heart of
further discussion and analysis, see Laurence J. Silberstein,
the curriculum. He laid the groundwork for creating in
Martin Buber’s Social and Religious Thought: Alienation and
Strasbourg and elsewhere an educated clergy, who in turn
the Quest for Meaning (New York, 1989).
made religion even at the popular level a matter of the mind
LAURENCE J. SILBERSTEIN (1987 AND 2005)
as well as of the heart. And he helped to establish civil author-
ity over relief for the poor and over marriage and morals. Fi-
nally, throughout his career he sought to tame the turbulent
reform movement by working with the Christian magis-
BUCER, MARTIN (1491–1551), Christian humanist
trates, as he called the princes and city councils, so that peace
and reformer. Best known as the chief reformer of the Free
might prevail and Christian society flourish.
Imperial City of Strasbourg, Bucer illustrates the combining
of Martin Luther’s evangelical theology with aspirations and
BIBLIOGRAPHY
traditions that predated the Reformation. A Dominican,
Martin Bucer’s works are collected in Martin Bucers deutsche
Bucer was thus trained in the via antiqua of Thomas Aquinas
Schriften, edited by Robert Stupperich (Gütersloh, 1960–),
but early fell under the spell of Erasmian humanism. Meet-
and in Martini Buceri opera Latina, edited by François Wen-
ing and hearing Luther for the first time at the Heidelberg
del (Paris, 1954–). See also Correspondance de Martin Bucer,
Disputation (1518) led him to become increasingly dissatis-
edited by Jean Rott (Leiden, 1979–). A good English biogra-
phy is Hastings Eells’s Martin Bucer (1931; New York,
fied with his vocation and finally to secure release from his
1971). For bibliography, see Bibliographia Bucerana, by Rob-
vows. He thus arrived in Strasbourg (1523) as a dispossessed
ert Stupperich (Gütersloh, 1952), and Bucer und seine Zeit,
and married cleric who could only appeal to that city’s au-
edited by Marijn de Kroon and Friedhelm Krüger (Wiesba-
thorities for protection from the episcopal court. Friends ar-
den, 1976).
ranged a position for him; he led in the efforts to abolish the
Mass (1529), to erect a new church (1533–1534), and to
JAMES M. KITTELSON (1987)
construct the city’s policy of mediation in the Sacramentari-
an Controversy. Eventually he became president of the Com-
pany of Pastors, but he was forced because of his opposition
BUDDHA. Etymologically, the Sanskrit/Pali word bud-
to the Interim (a temporary religious settlement arranged by
dha means “one who has awakened”; in the context of Indian
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1060
BUDDHA
religions it is used as an honorific title for an individual who
levels of meaning. It has referred, first of all, to what we will
is enlightened. This metaphor indicates the change in con-
call “the Buddha”—otherwise known as the Gautama Bud-
sciousness that, according to Buddhism, is always character-
dha or the Buddha S´a¯kyamuni (“sage of the S´a¯kyas”). Most
istic of enlightenment. It suggests the otherness and splendor
Buddhists recognize Gautama as the buddha of our own cos-
associated with those named by this epithet in various Bud-
mic era and/or cosmic space, and they honor him as the
dhist traditions. Buddha is also related etymologically to the
founder of the existing Buddhist community. As a perfectly
Sanskrit/Pali term buddhi, which signifies “intelligence” and
enlightened being, Gautama is understood to have perfected
“understanding.” A person who has awakened can thus be
various virtues (pa¯ramita¯s) over the course of numerous
said to be “one who knows.”
lives.] These prodigious efforts prepared Gautama to awake
fully to the true nature of reality just as other Buddhas had
Within the traditional Buddhist context buddha is an
awakened before him. The preparation also gave him—as it
appellative term or title—that is, a term or title that is inclu-
did other Buddhas—the inclination and ability to share with
sive in character. As with all titles of office (e.g., king), the
others what he had discovered for himself. Following his En-
term buddha denotes not merely the individual incumbent
lightenment, Gautama became a teacher who “set in motion
but also a larger conceptual framework. As an appellative,
the wheel of Dharma” and oversaw the founding of the Bud-
buddha describes a person by placing him or her within a
dhist comunity of monks, nuns, laymen, and laywomen.
class, instead of isolating and analyzing individual attributes.
It emphasizes the paradigm that is exhibited, rather than dis-
The second level of meaning associated with buddha as
tinctive qualities or characteristics.
an appellative term has to do with “other buddhas.” Many
buddhas of different times and places are named in Buddhist
The designation buddha has had wide circulation
literature. Moreover, anyone who attains release (moks:a,
among various religious traditions of India. It has been ap-
nirva¯n:a) from this world of recurring rebirths (sam:sa¯ra) can
plied, for example, by Jains to their founder, Maha¯v¯ıra. Defi-
be called—in some contexts at least—a buddha. Buddhas,
nition of the inclusive category has varied, however, and bud-
then, are potentially as “innumerable as the sands of the
dha has been used to describe a broad spectrum of persons,
River Ganges.” But all buddhas are not equal: they possess
from those who are simply learned to those rare individuals
different capabilities according to their aspirations and ac-
who have had transforming and liberating insight into the
complishments. The enlightened insight of some is greater
nature of reality. Buddhists have, in general, employed the
than that of others. Some attain enlightenment only for
term in this second, stronger sense.
themselves (e.g., pratyekabuddha), others for the benefit and
Buddhists adopted the term buddha from the religious
welfare of many (e.g., samyaksam:buddha). Some accomplish
discourse of ancient India and gave it a special imprint, just
their mission through their earthly careers, others through
as they have done with much of their vocabulary. It seems,
the creation of celestial buddha fields into which their devo-
however, that the early Buddhists may not have immediately
tees seek rebirth.
applied the term to the person—the historical Gautama—
Finally, the term buddha as an appellative has a third
whom they recognized as the founder of their community.
level of meaning that we will designate as buddhahood—a
In the accounts of the first two Buddhist councils (one held
level that provides its widest conceptual context. This level
just after Gautama’s death, the other several decades later)
is constituted by the recognition that the Buddha and other
Gautama is spoken of as bhagavan (“lord,” a common title
buddhas are, in a very profound sense, identical with ulti-
of respect) and ´sa¯str: (“teacher”), not as buddha. However,
mate reality itself. Consequently, Buddhists have given the
once the term buddha was adopted, it not only became the
more personal and active connotations associated with the
primary designation for Gautama but also assumed a central
Buddha and other buddhas to their characterizations of
role within the basic structure of Buddhist thought and
absolute reality as dharma (salvific truth), ´su¯nyata¯
practice.
(“emptiness”), tathata¯ (“suchness”), and the like. At the same
time, the term buddhahood has on occasion given a some-
We will begin our discussion by focusing on the ques-
what depersonalized cast to the notions of the Buddha and
tion of the historical Buddha and what—if anything—we
other buddhas. For example, early Buddhists, who were clos-
know about him and his ministry. This issue has not been
est to the historical Buddha, were reluctant to depict Gauta-
of particular importance for traditional Buddhists—at least
ma in anthropomorphic forms and seem to have intentional-
not in the way that it is formulated here. But it has been of
ly avoided biographical structures and iconic imagery. They
major significance for modern scholars of Buddhism, and it
used impersonal and symbolic representation to express their
has become of great interest to many contemporary Bud-
perception that the Buddha whose teachings they had pre-
dhists and others who have been influenced by modern
served was fully homologous with reality itself. In some later
Western notions of history.
traditions the pervading significance of this third level of
We will then turn to the term buddha as it has been em-
meaning was expressed through the affirmation that the
ployed within the various traditions that constitute classical
Buddha’s impersonal and ineffable dharmaka¯ya (“dharma
Buddhism. As an appellative term utilized in classical Bud-
body”) was the source and truth of the other, more personal-
dhist contexts, buddha has had three distinct, yet interwoven,
ized manifestations of Buddhahood.
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BUDDHA
1061
THE HISTORICAL BUDDHA. The scholars who inaugurated
dha’s birth and death should therefore be dated circa 566 and
the critical study of Buddhism in the late nineteenth and
circa 486, respectively. These later dates are favored by the
early twentieth centuries were deeply concerned with the
majority of Buddhologists in Europe, America, and India.
question of the “historical Buddha.” But their views on the
A “short chronology” is attested to by Indian sources
subject differed radically. The field was largely divided be-
and their Chinese and Tibetan translations. These sources
tween a group of myth-oriented scholars, such as Émile Se-
place the birth of the Buddha 180 years before the corona-
nart, Heinrich Kern, and Ananda Coomaraswamy, and a
tion of A´soka and his death 100 years before that event. If
group of more historically oriented philologists, such as Her-
the presumably reliable Greek testimony concerning A´soka’s
mann Oldenberg and T. W. and C. A. F. Rhys Davids. The
coronation is applied, the birth date of the Buddha is 448
myth-oriented interpreters placed emphasis on the study of
and the date of his death, or parinirva¯n:a, is 368. This short
Sanskrit sources and on the importance of those elements in
chronology is accepted by many Japanese Buddhologists and
the sacred biography that pointed in the direction of solar
was spiritedly defended by the German scholar Heinz Bec-
mythology; for these scholars, the historical Buddha was, at
hert in 1982.
most, a reformer who provided an occasion for historicizing
a classic solar myth. In contrast, the historically oriented phi-
Although there seems to be little chance of resolving the
lologists emphasized the texts written in Pali, as well as those
long chronology/short chronology question in any kind of
elements in these texts that they could use to create (or recon-
definitive manner, we can say with some certainty that the
struct, in their view) an acceptable “historical” life of the
historical Buddha lived sometime during the period from the
Buddha. From the perspective of these scholars, the mythic
sixth through the fourth centuries BCE. This was a time of
elements—and other supposedly irrational elements as
radical thought and speculation, as manifested in the pre-
well—were later additions to a true historical memory, addi-
Socratic philosophical tradition and the mystery cults in
tions that brought about the demise of the original Bud-
Greece, the prophets and prophetic schools of the Near East,
dhism of the Buddha. Such pious frauds were to be identified
Confucius and Laozi in China, the Upanis:adic sages and the
and discounted by critical scholarship.
communities of ascetic wanderers (´sraman:as) in India, and
the emergence of “founded” religions such as Jainism and
More recently, scholars have recognized the inadequacy
Buddhism. These intellectual and religious movements were
of the older mythic and historical approaches. Most scholars
fostered by the formation of cosmopolitan empires, such as
working in the field at present are convinced of the existence
those associated with Alexander in the Hellenistic world,
of the historical Gautama. The general consensus was well
with the Qin and Han dynasties in China, with Darius and
expressed by the great Belgian Buddhologist Étienne Lamot-
Cyrus in Persia, and with the Maurya dynasty in India.
te, who noted that “Buddhism would remain inexplicable if
Urban centers were established and soon became the focal
one did not place at its beginning a strong personality who
points around which a new kind of life was organized. A sig-
was its founder” (Lamotte, 1958, p. 707). But at the same
nificant number of people, cut off from the old sources of
time scholars are aware that the available tests provide little
order and meaning, were open to different ways of expressing
information about the details of Gautama’s life.
their religious concerns and were quite ready to support
The difficulties involved in saying anything significant
those engaged in new forms of religious and intellectual en-
about the historical Buddha are illustrated by the lack of cer-
deavor.
tainty concerning the dates of his birth and death. Since dif-
The historical Buddha responded to this kind of situa-
ferent Buddhist traditions recognize different dates, and
tion in northeastern India. He was a renouncer and an ascet-
since external evidence is slight and inconclusive, scholars
ic, although the style of renunciation and asceticism he prac-
have ventured diverging opinions.
ticed and recommended was, it seems, mild by Indian
standards. He shared with other renunciants an ultimately
Two chronologies found in Buddhist texts are impor-
somber view of the world and its pleasures, and he practiced
tant for any attempt to calculate the date of the historical
and recommended a mode of religious life in which individu-
Buddha. A “long chronology,” presented in the Sri Lankan
al participation in a specifically religious community was of
chronicles, the D¯ıpavam:sa and the Maha¯vam:sa, places the
primary importance. He experimented with the practices of
birth of the historical Buddha 298 years before the corona-
renunciants—begging, wandering, celibacy, techniques of
tion of King A´soka, his death 218 years before that event.
self-restraint (yoga), and the like—and he organized a com-
If we accept the date given in the chronicles for the corona-
munity in which discipline played a central role. Judging
tion of A´soka (326 BCE), that would locate the Buddha’s
from the movement he inspired, he was not only an innova-
birth date in 624 BCE and his death in 544. These dates have
tor but also a charismatic personality. Through the course
been traditionally accepted in Sri Lanka and Southeast Asia
of his ministry he gathered around him a group of wandering
and were the basis for the celebration of the 2500th anniver-
mendicants and nuns, as well as men and women who con-
sary of the Buddha’s death, or parinirva¯n:a, in 1956. Howev-
tinued to live the life of householders.
er, most modern scholars who accept the long chronology
believe, on the basis of Greek evidence, that A´soka’s corona-
Can we go beyond this very generalized portrait of the
tion took place around 268 or 267 BCE and that the Bud-
historical Buddha toward a fuller biography? Lamotte has ad-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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BUDDHA
vised caution, observing in his Histoire that writing the life
of portraying the Buddha are the result of innumerable per-
of the historical Gautama is “a hopeless enterprise” (p. 16).
sonal efforts to discern him with immediacy, as well as the
There are, however, a few details that, though they do not
product of the desire to preserve and share that image.
add up to a biography, do suggest that there is a historical
core to the later biographical traditions. These details are
Epithets. Certainly one of the earliest and most ubiqui-
presented in almost identical form in the literature of diverse
tous forms in which Buddhists have expressed and generated
Buddhist schools, a reasonable indication that they date from
their image of Gautama Buddha was through the medium
before the fourth to third centuries
of epithets. For example, in the Majjhima Nika¯ya (London,
BCE, when independent
and separate traditions first began to develop.
1948, vol. 1, p. 386), a householder named Upa¯li, after be-
coming the Buddha’s follower, acclaims him with one hun-
Some of these details are so specific and arbitrary or un-
dred epithets. The Sanskrit version of this text adds that
expected that it seems unlikely that they were fabricated.
Upa¯li spoke these epithets spontaneously, as an expression
These include the details that Gautama was of the ks:atriya
of his faith and respect. Over the centuries the enumerations
caste, that he was born in the S´a¯kya clan (a more distin-
of these and other epithets focused on the extraordinary as-
guished pedigree could have been created), that he was marr-
pects of the Buddha’s person, on his marvelous nature. In
ried and had a child, that he entered the ascetic life without
so doing they became a foundation for Buddhist devotional
the permission of his father, that his first attempts to share
literature, their enunciation a support of devotional and con-
the insights that he had gained through his Enlightenment
templative practice.
met with failure, that his leadership of the community he had
established was seriously challenged by his more ascetically
Countless epithets have been applied to the Buddha
inclined cousin, and that he died in a remote place after eat-
over the centuries, but buddha itself has been a particular fa-
ing a tainted meal. But these details are so few and discon-
vorite for explanation. Even hearing the word buddha can
nected that our knowlege of the historical Buddha remains
cause people to rejoice because, as the Therava¯da commen-
shadowy and unsatisfying. In order to identify a more mean-
tary on the Sam:yutta Nika¯ya says, “It is very rare indeed to
ingful image of Gautama and his career we must turn to the
hear the word buddha in this world” (London, 1929, vol. 1,
Buddha who is explicitly affirmed in the memory and prac-
p. 312). The Pat:isambhida¯, a late addition to the Therava¯da
tice of the Buddhist community.
canon, explored the significance of the word buddha by say-
ing that “it is a name derived from the final liberation of the
THE BUDDHA. The general history of religions strongly sug-
Enlightened Ones, the Blessed Ones, together with the om-
gests that the death of a founder results in the loss of a charis-
niscient knowledge at the root of the Enlightenment Tree;
matic focus. This loss must be dealt with if the founded
this name ‘buddha’ is a designation based on realization”
group is to survive. In his classic article “Master and Disciple:
(The Path of Purification, translated by Ñya¯n:amoli, Colom-
Two Religio-Sociological Studies,” Joachim Wach suggests
bo, 1964, p. 213). Sun Chou, a fourth-century Chinese writ-
that “the image” of the beloved founder could produce a
er, explicated the buddha epithet in a rather different mode,
unity sufficient for the group to continue (Journal of Religion
reminiscent of a Daoist sage: “‘Buddha’ means ‘one who em-
42, 1962, p. 5).
bodies the Way’. . . . It is the one who reacts to the stimuli
Each founded religion has developed original ways of
(of the world) in all pervading accordance (with the needs
preserving the image of their master: Christians with the
of all beings); the one who abstains from activity and who
Gospels and later artistic expressions, Muslims with h:ad¯ıth
is yet universally active” (quoted in Erik Zürcher’s The Bud-
and Mi Era¯j stories of Muh:ammad’s journeys to heaven, and
dhist Conquest of China, Leiden, 1959, p. 133).
so on. Buddhists, it seems, have addressed this crisis with the
Particular epithets accentuate specific qualities of the
assumption—explicitly stated in the words of a fifth-century
Buddha that might otherwise remain unemphasized or am-
CE Maha¯ya¯na text known as the Sapta´satika¯-
biguous. Thus the epithet “teacher of gods and men” (satthar
prajña¯pa¯ramita¯—that “a Buddha is not easily made known
devamanussa¯na¯m:) is used in the Maha¯niddesa, another late
by words” (Rome, 1923, p. 126). This recognition has not
canonical text in the Therava¯da tradition, to display the Bud-
proved to be a restraint but has instead inspired Buddhists
dha as one who helps others escape from suffering. The tech-
to preserve the image of Gautama through the creation and
niques used—exploiting ordinary polysemy and puns and
explication of epithets, through a variety of “biographical”
deriving elaborate etymologies—are favorites of Buddhist
accounts, and through a tradition of visual representation in
commentators for exposing the significance of an epithet.
monumental architecture and art. The image of the founder
became, in Joachim Wach’s phrase, “an objective center of
He teaches by means of the here and now, of the life
crystalization” for a variety of opinions concerning the na-
to come, and of the ultimate goal, according as befits
ture and significance of his person.
the case, thus he is Teacher (satthar). “Teacher (sat-
thar)”: the Blessed One is a caravan leader (satthar)
The creative preservation of the image of the Buddha
since he brings home caravans. Just as one who brings
was closely related to evolving patterns of worship—
a caravan home gets caravans across a wilderness. . .
including pilgrimage, contemplation, and ritual—in the
gets them to reach a land of safety, so too the Blessed
Buddhist community. This reminds us that the various ways
One is a caravan leader, one who brings home the cara-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHA
1063
vans; he gets them across. . . the wilderness of birth.
grimage centers of early Buddhism—the sites that were iden-
(Ñya¯n:amoli, p. 223)
tified as the locations of the Buddha’s birth, of his Enlighten-
Some of the epithets of the Buddha refer to his lineage and
ment, of the preaching of his first sermon, and of his death,
name: for example, S´a¯kyamuni, “sage of the S´a¯kya tribe,”
or parinirva¯n:a. Some of the scattered narratives do seem to
and his personal name, Siddha¯rtha, “he whose aims are ful-
presuppose a developed biographical tradition, but others
filled.” Some refer to religio-mythic paradigms with which
suggest a fluidity in the biographical structure. Thus, a cru-
he was identified: maha¯purus:a means “great cosmic person”;
cial problem that is posed for our understanding of the bio-
cakravartin refers to the “universal monarch,” the possessor
graphical process in the Buddhist tradition is when and how
of the seven jewels of sovereignty who sets in motion the
a more or less fixed biography of the Buddha actually took
wheel of righteous rule. Some—such as bhagavan—convey
shape.
a sense of beneficent lordship. Others—such as tatha¯gata
The most convincing argument for the very early devel-
(“thus come,” or “thus gone”)—retain, at least in retrospect,
opment of a comprehensive biography of the Buddha has
an aura of august ambiguity and mystery.
been made by Erich Frauwallner (1956). Frauwallner argues,
Various epithets define the Buddha as having attained
on the basis of a brilliant text-critical analysis, that a no lon-
perfection in all domains. His wisdom is perfect, as are his
ger extant biography of the Buddha, complete up to the con-
physical form and manner. In some cases the epithets indi-
version of the two great disciples, S´a¯riputra and
cate that the Buddha is without equal, that he has attained
Maudgalya¯yana, was written approximately one hundred
“the summit of the world.” André Bareau concluded his
years after the Buddha’s death and well prior to the reign of
study “The Superhuman Personality of the Buddha and its
King A´soka. This biography, he maintains, was composed
Symbolism in the Maha¯parinirva¯n:a-su¯tra,” which is largely
as an introduction to the Skandhaka, a text of monastic disci-
an examination of the epithets in this important text, by stat-
pline (Vinaya) that was reportedly confirmed at the Second
ing that through these epithets the authors “began to con-
Buddhist Council held at Vai´sa¯l¯ı. Appended to the Skand-
ceive the transcendence of the Buddha. . . . Perfect in all
haka, according to Frauwallner, was an account of the Bud-
points, superior through distance from all beings, unique,
dha’s death, or parinirva¯n:a, and of the first years of the fledg-
the Beatific had evidently taken, in the thought of his follow-
ling monastic community. Frauwallner contends that all
ers, the place which the devotees of the great religions attri-
subsequent Buddha biographies have been derived from this
buted to the great God whom they adored” (Myths and Sym-
basic ur-text. The fragmentary biographies found in the ex-
bols, ed. Charles H. Long and Joseph M. Kitagawa, Chicago,
tant Vinaya literature of the various Buddhist schools indi-
1969, pp. 19–20).
cate a crumbling away of this original biography; later auton-
The epithets of the Buddha, in addition to having a cen-
omous biographies are versions cut from the original Vinaya
tral place in Buddhist devotion, are featured in the
context and subsequently elaborated.
buddha¯nusmr:ti meditation—the “recollection of the Bud-
A different argument has been made, also on the basis
dha.” This form of meditation, like all Buddhist meditation-
of close text-critical study, by scholars such as Alfred Fou-
al practices, had as its aim the discipline and purification of
cher, Étienne Lamotte, and André Bareau. They have argued
the mind; but, in addition, it was a technique of visualiza-
that there was a gradual development of biographical cycles,
tion, a way of recovering the image of the founder. This prac-
with only a later synthesis of this material into a series of
tice of visualization by contemplation on the epithets is im-
more complete biographies. According to this thesis, the ear-
portant in the Therava¯da tradition, both monastic and lay,
liest stages of the development of the Buddha biography are
and it was also very popular in the Sarva¯stiva¯da communities
the fragments in the su¯tra and Vinaya texts, which show no
in northwestern India and influential in various Maha¯ya¯na
concern for chronology or continuity. The Su¯tra literature
traditions in China. It was instrumental in the development
emphasizes stories of the Buddha’s previous births (ja¯taka),
of the Maha¯ya¯na notion of the “three bodies” (trika¯ya) of the
episodes leading up to the Enlightenment, the Enlighten-
Buddha, particularly the second, or visualized, body that was
ment itself, and an account of his last journey, death, and
known as his sam:bhogaka¯ya (“body of enjoyment”).
funeral. André Bareau states that the biographical material
Biographies. Like the tradition of uttering and inter-
in the su¯tras was “composed for the most part of episodes
preting epithets that extolled the exalted nature and virtues
taken from separate traditions, from which the authors chose
of the Buddha, the tradition of recounting biographical epi-
with complete freedom, guided only by their desire to illus-
sodes is an integral part of early Buddhism. Episodic frag-
trate a particular point of doctrine” (Bareau, 1963, p. 364).
ments, preserved in the Pali and Chinese versions of the early
The Vinaya texts, on the other hand, focus on the Buddha
Buddhist literature, are embedded in sermons attributed to
as teacher and incorporate—in addition to accounts of the
the Buddha himself and illustrate points of practice or doc-
events associated with his Enlightenment—narratives that
trine. Such episodes are also used as narrative frames to pro-
describe the early days of his ministry, including an account
vide a context indicating when and where a particular dis-
of the conversion of his first disciples. The air of these Vinaya
course was taught. It appears certain that other episodic
fragments seems to be to confer authenticity on the monastic
fragments were recounted and generated at the four great pil-
rules and practices set forth in the rest of the text.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1064
BUDDHA
The oldest of the surviving autonomous biographies is
duction of an event from previous lives” (Lamotte, 1958,
the Maha¯vastu, an unwieldly anthology written in Buddhist
p. 725).
Hybrid Sanskrit about the beginning of the common era.
The third discernible change is the increasing placement
Other more tightly constructed biographies were produced
of emphasis on the superhuman and transcendent dimen-
soon after the Maha¯vastu—notably, the Lalitavistara, which
sions of the Buddha’s nature. Earlier narratives refer to the
played an important role in various Maha¯ya¯na traditions; the
Buddha’s fatigue and to his susceptibility to illness, but in
Abhinis:kraman:a Su¯tra, which was especially popular in
the autonomous biographies he is said to be above human
China, where at least five Chinese works were, nominally at
frailties. There is a tendency to emphasize the Buddha’s su-
least, translations of it; and the very famous and popular
perhuman qualities, not only of mind, but also of body: “It
Buddhacarita, attributed to A´svaghos:a. Much later, between
is true that the Buddhas bathe, but no dirt is found on them;
the fourth and fifth centuries, still another autonomous biog-
their bodies are radiant like golden amaranth. Their bathing
raphy, known as the Vinaya of the Mu¯lasarva¯stiva¯dins, was
is mere conformity with the world” (Maha¯vastu, trans. J. J.
given its final form. This voluminous compendium of bio-
Jones, London, 1949, vol. 1, p. 133). As a function of this
graphical traditions provided later Maha¯ya¯na schools with a
same emphasis on transcendence, the Buddha’s activities are
major source for stories about the Buddha and his career.
increasingly portrayed in the modes of miracle and magic.
These new autonomous biographies continued to incor-
With the emergence and development of Maha¯ya¯na, new
porate stories that had developed at the pilgrimage sites asso-
narratives began to appear that portrayed the Buddha
ciated with the Buddha’s birth and great renunciation, his
preaching a more exalted doctrine, sometimes on a mountain
Enlightenment, and his first sermon. For example, in the
peak, sometimes in a celestial realm, sometimes to his most
Lalitavistara an episode is recounted that is clearly related to
receptive disciples, sometimes to a great assembly of bodhi-
a specific shrine at the Buddhist pilgrimage site at Kapilavas-
sattvas (future buddhas) and gods.
tu—namely, the story in which the Buddha’s charioteer
Whereas the Maha¯ya¯na accepted the early autonomous
leaves him and returns to the palace in Kapilavastu. What
biographies and supplemented them with additional epi-
is more, these new autonomous biographies also continued
sodes of their own, the Therava¯da community displayed a
to exhibit structural elements that had been characteristic of
continuing resistance to developments in the biographical
the biographical segments of the older Vinaya literature. For
tradition. For almost nine centuries after the death of Gauta-
example, all of the early autonomous biographies (with the
ma, the various elements of the Buddha biography were kept
exception of the “completed” Chinese and Tibetan versions
separate in Therava¯da literature. But in the fifth century CE,
of the Buddhacarita) follow the Vinaya tradition, which ends
about half a millennium after the composition of the first au-
the story at a point soon after the Buddha had begun his
tonomous biographies, the Therava¯dins began to create their
ministry.
own biographical genres. These brought together and syn-
These new autonomous biographies testify to three im-
thesized, in their own, more restrained style, many of the
portant changes that affected the traditions of Buddha biog-
previously fragmented narratives.
raphy during the centuries immediately following the death
Two types of Buddha biographies have had an impor-
of King A´soka. The first is the inclusion of new biographical
tant impact and role in the later history of the Therava¯da tra-
elements drawn from non-Buddhist and even non-Indian
dition. The model for the classical type is the Nida¯nakatha¯,
sources. The autonomous biographies were the products of
a text that serves as an introduction to the fifth-century
the cosmopolitan civilizations associated with the S´a¯tava¯hana
Ja¯taka Commentary and thus continues the pattern of using
and Kushan (Kus:a¯n:a) empires, and therefore it is not surpris-
biography to provide a narrative context that authenticates
ing that new episodes were adapted from Greek and West
the teaching. It traces the Buddha’s career from the time of
Asian sources. Somewhat later, as the autonomous Buddha
his previous birth as Sumedha (when he made his original
biographies were introduced into other areas, changes were
vow to become a buddha) to the year following Gautama’s
introduced to accentuate the Buddha’s exemplification of
Enlightenment, when he took up residence in the Jetavana
new cultural values. Thus, in a fourth-century Chinese
Monastery. Subsequent Therava¯da biographies, based on the
“translation” of the Abhinis:kraman:a, great emphasis was
Nida¯nakatha¯, continued the narration through the rest of
placed on the Buddha’s exemplification of filial piety
Gautama’s ministry and beyond.
through the conversion of his father, King S´uddhodana.
The second type of Therava¯da biography—the chroni-
The second important change exhibited by these new
cle (vam:sa) biography—illustrates a distinctive Therava¯da
autonomous biographies was the ubiquitous inclusion of sto-
understanding of the Buddha. From very early in their histo-
ries about the Buddha’s previous lives (ja¯taka) as a device for
ry the Therava¯dins had distinguished between two bodies of
explicating details of his final life as Gautama. This is partic-
the Buddha, his physical body (ru¯paka¯ya) and his body of
ularly evident in the Maha¯vastu and in certain versions of the
truth (dharmaka¯ya). After the Buddha’s death, or
Abhinis:kramana Su¯tra, in which, according to Lamotte, “the
parinirva¯n:a, the ru¯paka¯ya continued to be present to the
Ja¯takas become the prime mover of the narration: each epi-
community in his relics, and his dharmaka¯ya continued to
sode in the life of the Buddha is given as the result and repro-
be present in his teachings. In the fourth to fifth centuries
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHA
1065
CE the Therava¯dins began to compose biographical chroni-
arch” (cakravartin), an epithet that was applied to the Bud-
cles that focused on these continuing legacies. These begin
dha. After his cremation his bones were to be deposited in
with previous lives of the Buddha, then provide an abbreviat-
a golden urn and placed in a mound built at the crossing of
ed account of his “final” life as Gautama. They go on to nar-
four main roads. Offerings of flowers and garlands, banners,
rate the history of the tradition by interweaving accounts of
incense, and music characterized both the funeral rites them-
kings who maintain the physical legacy (in the form of relics,
selves and the continuing worship at a stupa.
stupas, and the like) with accounts of the monastic order,
As Buddhism developed, the stupa continued to serve
which maintains his dharma legacy (in the form of proper
as a central visual representation of the founder. Seeing a
teaching and discipline). Examples of this type of biographi-
stupa called to memory the greatness of the Buddha and—
cal chronicle are numerous, beginning with the D¯ıpavam:sa
for some at least—became equivalent to actually seeing the
and Maha¯vam:sa and continuing through many other vam:sa
Buddha when he was alive. Since the Buddha’s physical re-
texts written in Sri Lanka and Southeast Asia.
mains could be divided, replicated, and distributed, new stu-
Throughout the premodern history of Buddhism, all of
pas containing relics could be constructed. They became a
the major Buddhist schools preserved biographies of the
focal point for worship wherever Buddhism spread, first
Buddha. And in each situation, they were continually rein-
within India and then beyond. What is more, the stupa had
terpreted in relation to contemporary attitudes and experi-
symbolic connotations that exerted a significant influence on
ences. But in the modern period, a new genre of Buddha bi-
the way in which the Buddha was perceived. For example,
ographies has been introduced. This new type of biography
stupas had a locative significance through which the Buddha
has been influenced by Western scholarship on Buddhism
was associated with specific territorial units. They also came
and by Western attempts to recover the historical Buddha,
increasingly to represent a cosmology and cosmography or-
who had—from the modernist perspective—been hidden
dered by Buddhist principles, thus symbolically embodying
from view by the accretions of tradition. New, largely urban-
the notion of the Buddha as a cosmic person.
ized elites throughout the Buddhist world have sought to
The later literature explains that a stupa is worthy of
“demythologize” the Buddha biography, deleting miraculous
worship and reverence not only because it contains a relic or
elements of the Buddha’s life and replacing them with an
relics but also because its form symbolizes the enlightened
image of the founder as a teacher of a rationalistic ethical sys-
state of a Buddha, or Buddhahood itself. In some texts the
tem or a “scientific” system of meditation or as a social re-
stupa is described as the dharmaka¯ya, or transcendent body,
former committed to the cause of democracy, socialism, or
of the Buddha, and each of its layers and components is cor-
egalitarianism. This new genre of Buddha biography has ap-
related with a set of spiritual qualities cultivated to perfection
peared in many Buddhist contexts and has made an impact
by a Buddha. Such symbolic correlations made evident what,
that has cut across all the traditional lines of geographical and
in some circles at least, had been long accepted, namely, the
sectarian division.
notion that the stupa represents the Buddha’s spiritual, as
Visual representations. The images of the founder that
well as his physical, legacy.
Buddhists have generated and expressed visually are more
The beginnings of Buddhist art are found on
enigmatic than the images presented in epithets and biogra-
post-A´sokan stupas, such as those found at Bha¯rhut, Sa¯ñc¯ı,
phies. The history of Buddhist monumental architecture, art,
and Amara¯vat¯ı. These great stupas and their gates are deco-
and sculpture does not neatly fit such accustomed categories
rated with narrative reliefs of events from the Buddha’s life
as “mythologization” or “divinization.” Furthermore, the as-
and with scenes of gods and men “rendering homage to the
sociation of various kinds of visual representation with vener-
Lord.” The Buddha is always depicted symbolically in these
ation and worship challenges many stereotypes about the sec-
reliefs, with emblems appropriate to the story. For example,
ondary place of cult activity in the Buddhist tradition. The
in friezes depicting scenes associated with his birth he is often
situation is further complicated by the fact that the function
represented by a footprint with the characteristic marks of
and significance of visual representations of the Buddha are
the maha¯purus:a (the cosmic man destined to be either a
only explained in relatively late Buddhist literature, after
cakravartin or a Buddha). In scenes associated with his En-
both doctrine and practice had become extremely complex.
lightenment he is often represented by the bodhi tree under
which he attained Enlightenment, or the throne on which
The most important of the very early visual representa-
he was seated when that event occurred. When the subject
tions of the Buddha was the burial mound, or stupa (Skt.,
is the preaching of his first sermon he is often represented
stu¯pa). The interment of the remains of kings and heroes in
by an eight-spoked wheel that is identified with the wheel
burial mounds was a well-established practice in pre-
of dharma. When the subject is his death, or Pa¯ramita¯s
Buddhist India. Buddhists and Jains adopted these mounds
parinirva¯n:a, the preferred symbol is, of course, the stupa.
as models for their first religious monuments and honored
them with traditional practices. In the Pali Maha¯parinibba¯na
The motivation for this aniconic imagery is not clear,
Suttanta and its parallels in Sanskrit, Tibetan, and Chinese,
especially since the friezes abound with other human figures.
the Buddha gives instructions that his funeral rites should be
However, it is probable that abstract art was more adaptable
performed in the manner customary for a “universal mon-
to contemplative uses that we have already seen emphasized
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1066
BUDDHA
in connection with the epithets of the Buddha and with the
of the Buddha. Popular practice often ascribes a living pres-
symbolic interpretation of the stupa. It may also be that these
ence to the statue, whether by placing a relic within it or by
aniconic images imply a conception of the Buddha as a su-
a ritual of consecration that infuses it with “life.” Thus the
pramundane being similar to that of the docetic portrayals
image of the Buddha, like the stupa, is both a reminder that
found in the autonomous biographies that appear somewhat
can inspire and guide and a locus of power.
later. This suggests that at this time Buddhism may have
O
been richer in its concrete reality, in its practice, than in its
THER BUDDHAS. The representations of the Buddha in ep-
ithet, biography, and image have been shared in their main
doctrine, as it took centuries for a doctrinal understanding
outlines by the great majority of Buddhist schools. However,
of the significance of these first representations to be formu-
the recognition of other buddhas, the roles other buddhas
lated in the literature.
have played, and the evaluation of their significance (and
The stupa and other aniconic symbols emblematic of
hence the role and significance of Gautama himself) have
the Buddha have remained an integral component of Bud-
varied greatly from one tradition to another.
dhist life in all Buddhist areas and eras. Toward the end of
the first century
Buddhas of the past and future. Quite early, Gautama
BCE, however, another form of visual repre-
sentation began to appear, namely, the anthropomorphic
is perceived as one of several buddhas in a series that began
image that subsequently assumed paramount importance in
in the distant past. In the early canonical literature, the series
all Buddhist countries and sects. The first of these images are
of previous buddhas sometimes appears as a practically anon-
contemporary with the autonomous biographies of the Bud-
ymous group, deriving probably from the recognition that
dha, and like these texts, they appropriate previously non-
Gautama could not have been alone in achieving enlighten-
Buddhist and non-Indian motifs to express Buddhist con-
ment. It is thus not surprising that in texts such as the
ceptions and experiences. At Mathura¯, in north-central
Sam:yutta Nika¯ya the interest in these previous buddhas fo-
India, where the first statues seem to have originated, sculp-
cuses on their thoughts at the time of enlightenment,
tors employed a style and iconography associated with yaks:as,
thoughts that are identical with those attributed to Gautama
the popular life-cult deities of ancient India, to create bulky
when he achieved the same experience.
and powerful figures of the Buddha. At Gandha¯ra in north-
The most important early text on previous buddhas is
western India, another major center of early Buddhist image-
the Maha¯vada¯na Sutta, which refers to six buddhas who had
making, the artists sculpted the Buddha images quite differ-
appeared prior to Gautama. This text implicitly contains the
ently, appropriating Hellenistic conventions introduced into
earliest coordinated biography of the Buddha, for it describes
Asia by the Greeks, who ruled the area in the centuries fol-
the pattern to which the lives of all buddhas conform. Thus,
lowing the invasions of Alexander the Great.
describing the life of a buddha named Vipa´syin, Gautama
A great many styles have developed for the Buddha
narrates that he was born into a royal family, that he was
image; and just as at Mathura¯ and Gandha¯ra, local conven-
raised in luxury, that he was later confronted with the reali-
tions have been fully exploited. There has been a continuity,
ties of sickness, aging, and death while visiting a park, and
however, to all these creations: the Buddha image has consis-
that he subsequently took up the life of a wandering mendi-
tently served a dual function as both an object of worship
cant. After Vipa´syin realized the truth for himself, he estab-
and a support for contemplation. It seems clear that the basic
lished a monastic order and taught what he had discovered
form of the image was shaped by conceptions of the Buddha
to others. In the narratives of the other Buddhas, some de-
as lokottara (supramundane), maha¯purus:a, cakravartin, om-
tails vary; but in every instance they are said to have discov-
niscient, and so on, and standardized iconography was used
ered and taught the same eternal truth.
to convey these various dimensions. The sculpted (and later
There is clear evidence that buddhas who were thought
painted) image was both an expression of, and an aid for, the
to have lived prior to Gautama were worshiped in India at
visualization of the master and the realization of his presence.
least from the time of A´soka through the period of Buddhist
If aniconic symbols lend themselves especially well to
decline. In the inscription, A´soka states that he had doubled
contemplative uses, anthropomorphic images seem more ap-
the size of the stupa associated with the Buddha
propriate to emotion and prayer, as well as to worship as
Kona¯kamana, who had lived earlier than Gautama and was
such. In fact, the patterns of veneration and worship that de-
his immediate predecessor. During the first millennium of
veloped in connection with Buddha images show a strong
the common era, successive Chinese pilgrims recorded visits
continuity with the ancient devotional and petitionary prac-
to Indian monuments dedicated to former buddhas, many
tices associated with the yaks:as and other folk deities.
of them attributed to the pious construction activities of
Throughout Buddhist history the veneration and worship of
A´soka.
Buddha images have involved sensuous offerings of flowers,
The Buddhavam:sa (Lineage of the buddhas), which is
incense, music, food, and drink, and have often been closely
a late text within the Pali canon, narrates the lives of twenty-
tied to very immediate worldly concerns.
four previous buddhas in almost identical terms. It may be
Later Buddhist literature explains that the Buddha
that the number twenty-four was borrowed from Jainism,
image is worthy of honor and worship because it is a likeness
which has a lineage of twenty-four t¯ırtham:karas that culmi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHA
1067
nates in the figure of the founder, Maha¯v¯ıra. The
interest both as a legitimator of royalty and as a rallying point
Buddhavam:sa also embellished the idea of a connection be-
for rebellion.
tween Gautama Buddha and the lineage of previous bud-
The wish to be reborn in the presence of Maitreya,
dhas. It contains the story that later came to provide the
whether in Tus:ita Heaven or when he is reborn among hu-
starting point for the classic Therava¯da biography of Gauta-
mans, has been a sustaining hope of many Buddhists in the
ma—the story in which the future Gautama Buddha, in his
past, and it persists among Therava¯dins even today. The con-
earlier birth as Sumedha, meets the previous Buddha
templation and recitation of the name of Maitreya inspired
D¯ıpam:kara and vows to undertake the great exertions neces-
devotional cults in northwestern India, Central Asia, and
sary to attain buddhahood for himself.
China, especially between the fourth and seventh centuries
According to conceptions that are closely interwoven
CE. But in East Asia his devotional cult was superseded by
with notions concerning previous buddhas, the appearance
that dedicated to Amita¯bha, a Buddha now existing in anoth-
of a buddha in this world is determined not only by his own
er cosmic world.
spiritual efforts but also by other circumstances. There can
Celestial and cosmic buddhas. The recognition that
only be one buddha in a particular world at a given time, and
there could be other buddhas in other world systems de-
no buddha can arise until the teachings of the previous bud-
scribed in Buddhist cosmology builds on implications al-
dha have completely disappeared. There are also cosmologi-
ready present in the idea of past and future buddhas. Like
cal considerations. A buddha is not born in the beginning
the first buddhas of the past, the first Buddhas associated
of a cosmic aeon (kalpa) when human beings are so well off
with other worlds are largely anonymous, appearing in
and live so long that they do not fear sickness, aging, and
groups to celebrate the teaching of the Buddha Gautama.
death; such people, like the gods and other superhuman be-
The many epithets of the Buddha were sometimes pressed
ings, would be incapable of insight into the pervasiveness of
into service as personal names for individual buddhas who
suffering and the impermanence of all things and therefore
needed to be identified.
would not be prepared to receive a buddha’s message. Fur-
thermore, buddhas are born only in the continent of
The idea of buddhas existing in other worlds comes to
Jambudv¯ıpa (roughly equivalent to India) and only to priest-
the fore in the early Maha¯ya¯na literature. It was first em-
ly (bra¯hman:a) or noble (ks:atriya) families.
ployed, as in the Saddharmapun:d:ar¯ıka Su¯tra (Lotus of the
true law), to authenticate new teachings, just as the tradition
The idea of a chronological series of previous buddhas,
of former buddhas had done for the teachings of the early
which was prominent primarily in the H¯ınaya¯na traditions,
community. In the course of time, some of these buddhas
accentuates the significance of Gautama by designating him
came to be recognized individually as very powerful, their
as the teacher for our age and by providing him with a spiri-
worlds as indescribably splendid and blissful. They were bud-
tual lineage that authenticates his message. This idea also
dhas in superhuman form, and their careers, which were ded-
provides a basis for hope because it suggests that even if the
icated to the saving of others, lasted for aeons. Their influ-
force of Gautama’s person and message has begun to fade,
ence was effective beyond their own worlds, and they could
there remains the possibility that other buddhas are yet to
provide assistance—through the infinite merit they had ac-
come.
cumulated—to the inhabitants of other world systems, in-
The belief in a future buddha also originated in the
cluding our own. The traditions that have focused attention
H¯ınaya¯na tradition and has played an important role in vari-
on these buddhas have inevitably deemphasized the impor-
ous H¯ınaya¯na schools, including the Therava¯da. The name
tance of Gautama Buddha by removing his singularity in
of this next buddha is Maitreya (“the friendly one”), and he
human experience and by contrasting him with more power-
seems to have come into prominence in the period after the
ful buddhas who could make their assistance and influence
reign of King A´soka. (Technically, of course, Maitreya is a
immediately and directly available.
bodhisattva—one who is on the path to buddhahood—
While the number of such coexisting celestial buddhas
rather than a buddha in the full sense. However, the degree
is, in principle, infinite, and a great number are named in
to which the attention of Buddhists has been focused on the
Buddhist literature, distinct mythological, iconic, and devo-
role that he will play when he becomes a buddha justifies
tional traditions have only developed in a few cases.
consideration of him in the present context.)
Amita¯bha (“boundless light”) is one of the most important
According to the Maitreyan mythology that has been
of the buddhas who did become the focus of a distinctive tra-
diffused throughout the entire Buddhist world, the future
dition. Originating in Northwest India or Central Asia, his
buddha, who was one of Gautama Buddha’s disciples, now
appeal subsequently spread to China, Tibet, and Japan.
dwells in Tus:ita Heaven, awaiting the appropriate moment
Amita¯bha rules over a paradise that contains all the excel-
to be reborn on earth, where he will inaugurate an era of
lences of other buddha lands. He offers universal accessibility
peace, prosperity, and salvation. As the buddha of the future,
to this Pure Land (called Sukha¯vat¯ı), granting rebirth to
Maitreya assumed many diverse roles. Among other things
those who practice the Buddha’s determination to be reborn
he became an object of worship, a focus of aspiration, and
in it, and even to those who merely recite his name or think
a center of religio-political interest both as a legitimator of
of him briefly but with faith. In the Amita¯bha/Pure Land tra-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1068
BUDDHA
ditions, which have had continuing success in China and
a buddha, ordinarily a celestial buddha, already included in
Japan, we see a concentration on patterns of contemplation,
the established pantheon. The presence of living buddhas
visualization, and recitation first developed in connection
tends, of course, to diminish to a new degree the significance
with the epithets of the Buddha.
of Gautama Buddha (except in rare cases where it is he who
reappears). However, their presence also reiterates with new
Another celestial buddha who came to hold a position
force two characteristic Maha¯ya¯na-Vajraya¯na emphases: that
of importance in the Buddhist tradition is Bhais:ajyaguru, the
the message of the Buddhas continues to be efficaciously
Master of Medicine. Bhais:ajyaguru rules over his own para-
available in the world and that the community still has direct
disiacal realm, which, in contrast to Amita¯bha’s western par-
access to the kind of assistance that only a buddha can
adise, is traditionally located in the east. Unlike Amita¯bha,
provide.
he does not assist human beings in reaching final liberation,
nor does he even offer rebirth in his land. Rather, the repeti-
Like the notions of previous buddhas and the buddhas
tion or rememberance of his name relieves various kinds of
of other worlds, the concept of living buddhas began to be
suffering, such as sickness, hunger, and fear. The ritual wor-
elaborated in a context in which a new kind of teaching and
ship of his statue brings all things that are desired. In the cult
practice was being introduced. In this case the new teaching
dedicated to Bhais:ajyaguru—popular in China and Japan,
and practice was Esoteric in character and was focused on rit-
where it was often influenced by Amita¯bha traditions—we
ual activities that promised to provide a “fast path” to bud-
see a magnification of the patterns of worship that had origi-
dhahood. Thus the new kind of buddha—the living Bud-
nally coalesced around the stupa and the Buddha image.
dha—was both a product of the new movement and a mode
of authenticating it. The analogy between the earlier devel-
In other contexts, conceptions of integrated pantheons
opment of the notion of celestial buddhas and the later devel-
of buddhas were developed and exerted widespread influ-
opment of the notion of living buddhas can be carried fur-
ence. For example, in the traditions of Esoteric Buddhism
ther. Just as only a few celestial buddhas received their own
a strong emphasis was placed on a primordial, central bud-
individual mythology, iconography, and devotional atten-
dha. He was taken to be the essence or source of a set of bud-
tion, so too a limited number of living buddhas were similar-
dhas who were positioned in the form of a cosmic man:d:ala
ly singled out. It is not surprising that many of these especial-
(“circle”) that was vividly depicted in iconography and ritual,
ly recognized and venerated living buddhas were figures who
for example, in the tanka paintings of Tibet. In certain Indo-
initiated new strands of tradition by introducing practices,
Tibetan traditions the central buddha was Vajradhara
revealing hidden texts, converting new peoples, and the like.
(“diamond holder”) or sometimes, when the emphasis was
A classic example of a living buddha in the Tibetan tradition
more theistic, the A¯di (“primordial”) Buddha. In other Indo-
is Padmasambhava, the famous missionary from India who
Tibetan traditions the central buddha was Vairocana
is credited with subduing the demons in Tibet, converting
(“resplendent”), who also served as the preeminent buddha
the people to the Buddhist cause, and founding the Rnying
in the Esoteric (Shingon) tradition of Japan, where he was
ma pa order. An example of the same type of figure in Japan
identified with the all-important solar deity in the indige-
is Ku¯kai, the founder of the Esoteric Shingon tradition, who
nous pantheon of kami. In both cases—the one associated
has traditionally been venerated both as master and as savior.
with Vajradhara and the A¯di Buddha and the one associated
with Vairocana—the pantheon encompassed other Buddhas
The notion of living buddhas as incarnations of celestial
(and sometimes their “families”), who were identified with
buddhas also came to the fore with the rise of Esoteric Bud-
subsidiary cosmic positions. These included the east, a posi-
dhism. In this case there seems to have been an especially
tion often occupied by Aks:obhya (“imperturbable”); the
close connection with Buddhist conceptions of kingship and
south, often occupied by Ratnasambhava (“jewel-born”); the
rule. In both the H¯ınaya¯na and Maha¯ya¯na contexts, the no-
west, often occupied by Amita¯bha; and the north, often oc-
tion of the king as a bodhisattva, or future buddha, was an-
cupied by Amoghasiddhi (“infallible success”). In both cases
cient; in the case of the rather common royal identifications
the pantheon had a macrocosmic reference to the universe
with Maitreya, the distinction between the king as an incar-
as a whole and a microcosmic reference in which the Bud-
nation of the celestial bodhisattva and the king as a living
dhas of the pantheon were homologized with the mystic
buddha had been very fluid. With the rise of the Esoteric
physiology of the human body.
Buddhist traditions a further step was taken. Thus, after the
Esoteric tradition had been firmly established in the Khmer
Living buddhas. In addition to the Buddha, pratyeka-
(Cambodian) capital of Angkor, the king came to be explicit-
buddhas, previous buddhas, the future buddha, celestial bud-
ly recognized and venerated as Bhais:ajyaguru, Master of
dhas, and cosmic buddhas, still another kind of buddha was
Medicine. Somewhat later in Tibet, the Panchen Lamas,
recognized by some Buddhists—what we shall call a “living
who have traditionally had both royal and monastic func-
buddha.” Living buddhas are persons in this world who have,
tions, were identified as successive incarnations of the bud-
in one way or another, achieved the status of a fully enlight-
dha Amita¯bha.
ened and compassionate being. In some cases these living
buddhas have attained buddhahood through various, usually
BUDDHAHOOD. The epithets, biographies, and images of
Esoteric, forms of practice; in others they are incarnations of
S´a¯kyamuni and other Buddhas weigh the distinctiveness 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
BUDDHA
1069
each Buddha against his inclusion within a series or assembly
and realization, which apply to the attainment of buddha-
of similar beings. However, as the appellative character of the
hood, and wisdom and activity, which apply to the expres-
term buddha suggests, at the level of buddhahood each tradi-
sion of buddhahood.
tion has affirmed the ultimate identity of all those they have
recognized as buddhas. Even the Therava¯dins, who have
Throughout Buddhist history these four dimensions of
consistently given pride of place to Gautama, have acknowl-
buddhahood have been interpreted in different ways. For ex-
edged this final level at which differentiations are not rele-
ample, H¯ınaya¯nists have tended to emphasize motivated
vant. The same is true for those movements that focus prima-
conduct as a means to the realization of buddhahood, where-
ry attention on Amita¯bha or Maha¯vairocana. The consensus
as Maha¯ya¯nists and Vajraya¯nists have tended to stress that
of Buddhists in this respect is voiced by the Milindapañha
buddhahood (often in the form of buddha nature) is in im-
(The questions of King Milinda), a H¯ınaya¯na text dating
portant respects a necessary prerequisite for such conduct.
from the beginning of the common era: “There is no distinc-
Similarly, H¯ınaya¯nists have often recognized a certain dis-
tion in form, morality, concentration, wisdom, freedom. . .
tance between the attainment of wisdom and a commitment
among all the Buddhas because all Buddhas are the same in
to compassionate activity, whereas in the Maha¯ya¯na and
respect to their nature” (London, 1880, p. 285).
Vajraya¯na traditions the stress has been placed on the insepa-
rable fusion of wisdom on the one hand and the expression
This initial consensus concerning the ultimate identity
of compassion on the other. These differences notwithstand-
of all buddhas notwithstanding, the actual delineation of
ing, the four basic dimensions are present in virtually all
buddhahood has varied significantly from one Buddhist tra-
Buddhist conceptions of buddhahood.
dition to another. This third level of meaning of the term
buddha has always been discussed in connection with ques-
When we turn to the way buddhahood has been ex-
tions concerning the nature and analysis of reality. Early
pressed through the language of buddha bodies, we discern
Buddhists believed that a buddha awoke to and displayed the
the same sort of continuity in the midst of difference. In the
causal process (prat¯ıtya-samutpa¯da, codependent origina-
early Buddhist literature (e.g., D¯ıgha Nika¯ya, vol. 3, p. 84)
tion) that perpetuates this world, allowing himself and others
the Buddha is described as having a body “born of dharma,”
to use those processes to end further rebirth. The early
that is, a dharmaka¯ya. In this early period, and in the subse-
Maha¯ya¯na, especially in the Prajña-paramita literature, saw
quent Therava¯da development, the notion that Gautama
buddhahood as awakening to the absence of self-nature in
possessed a dharmaka¯ya seems to have served primarily as a
all things (´su¯nyata¯) and proclaimed this absence as the ulti-
metaphor that affirmed a continuity between the personal re-
mate reality (tathata¯). Later Maha¯ya¯na schools, such as the
alizations that he had achieved and truth or reality itself. In
Yoga¯ca¯rins, held a more idealistic worldview; for them bud-
some later H¯ınaya¯na traditions such as the Sarva¯stiva¯da, and
dhahood was the recovery of an originally pure and undefiled
in the Maha¯ya¯na, the notion of dharmaka¯ya took on a
mind. The Huayen (Jpn., Kegon) school, an East Asian tra-
stronger meaning. It served as a primary means through
dition based on the Avatam:saka Su¯tra, posited the infinite
which an increasingly transcendent vision of buddhahood
mutual interaction of all things and developed a striking con-
could subsume the inescapable fact of Gautama’s death. Ac-
ception of a universal, cosmic buddha who is all-pervasive.
cording to such texts as the Saddharmapun:d:ar¯ıka, the
In such contexts buddhahood itself became an alternative
dharmaka¯ya is the true meaning of buddhahood; buddhas
way of describing reality.
such as Gautama who appear, teach, and die among human
Between the consensus about the identity of all buddhas
beings are mere manifestations. In this early Maha¯ya¯na con-
and the diversity of interpretations, there are at least two dif-
text, however, the correlated notions of buddhahood and
ferent languages in which buddhahood has traditionally been
dharmaka¯ya are still conditioned by their close association
conceived and described. The first is the identification of
with philosophical conceptions such as ´su¯nyata¯
buddhahood in terms of the special characteristics associated
(“emptiness”) and tathata¯ (“suchness”).
with a buddha. The second is the discussion of the buddha
The dharmaka¯ya is given a more ontological cast in
bodies that make up buddhahood. These two clusters of con-
other Maha¯ya¯na and Vajraya¯na traditions. In these cases,
cepts allow us to see patterns of continuity in the midst of
dharmaka¯ya denotes a “ground” or “source” that is the reality
the very different ways in which buddhahood has been un-
that gives rise to all other realities; this provides the basis for
derstood.
a new understanding of the whole range of buddha bodies.
Buddhist scholasticism developed subtle catalogs of the
buddhahood comes to be explicated in terms of a theory of
unique powers and qualities of a buddha, culminating in lists
three bodies. The trika¯ya (“three bodies”) are the
of a¯ven:ika dharmas (special characteristics). These special
dharmaka¯ya, the primal body that is the source of the other
characteristics vary in number from 6 to 140, depending on
two; the emanated sam:bhogaka¯ya (“enjoyment body”), a glo-
the text and context. What interests us here is not the multi-
rious body seen in visions in which buddhas of other worlds
tude of qualities and powers that are mentioned but, rather,
become manifest to devotees in this world; and the “magical”
the fact that these qualities and powers are often grouped
and ephemeral nirma¯n:aka¯ya, the physical body in which
under four major headings. These four headings are conduct
Gautama, for example, appeared among his disciples.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1070
BUDDHA
In some Maha¯ya¯na and Vajraya¯na contexts, this more
Buddha in English. The History of Buddhist Thought (1933;
ontological conception of the buddhahood and dharmaka¯ya
2d ed., New York, 1951) surveys the development of ideas
was also connected with the important soteriological notion
of other buddhas and buddhahood against the backdrop of
of a buddha nature, or tatha¯gata-garbha (tatha¯gata is an epi-
the Indian Buddhist tradition. Thomas, however, does not
thet for a buddha, garbha means “womb”), which is the
include any of the developments in Tibet or East Asia, and
source and cause of enlightenment as well as its fruit. In these
his work has a definite bias in favor of the Pali tradition. A
useful supplement for Tibet is David L. Snellgrove’s Buddhist
traditions, buddha nature, or tatha¯gata-garbha, is taken to be
Hima¯laya (Oxford, 1957), which provides an introduction
the dharmaka¯ya covered with defilements. Enlightenment,
to the Vajraya¯na interpretations. East Asian innovations were
and therefore buddhahood, is the recovery of this pure, origi-
largely in connection with the meaning of buddhahood.
nal state of being that is identical with ultimate reality itself.
They may be approached through Junjiro¯ Takakusu’s The
In other Maha¯ya¯na and Vajraya¯na contexts, even the dichot-
Essentials of Buddhist Philosophy, edited by Wing-Tsit Chan
omy between purity and defilement is transcended at the
and Charles A. Moore (Honolulu, 1947), although, as the
level of buddhahood.
title suggests, Takakusu is not primarily concerned with
C
Buddhological patterns as such.
ONCLUSION. In the course of our discussion of buddha as
an appellative term we have distinguished three basic levels
Heinz Bechert’s important article “The Date of the Buddha Re-
of meaning—those associated with Gautama Buddha, with
considered,” Indologica Taurinensia 10 (1982): 29–36, pro-
vides helpful summaries of the arguments favoring the long
other buddhas, and with buddhahood as such. However, it
and short chronologies for calculating the date of the Bud-
is important to note that Buddhist usage has always held the
dha, although his conclusion in favor of the short chronology
three levels of meaning closely together, with the result that
is by no means definitive. The cultural context of the histori-
each level has had a continuing influence on the others.
cal Buddha is outlined by Padmanabh S. Jaini in his
Thus, even though a distinction between the different deno-
“S´raman:as: Their Conflict with Bra¯hman:ical Society,” in
tations of buddha is helpful for purposes of interpretation
Chapters in Indian Civilization, rev. ed., edited by Joseph W.
and understanding, it cannot be drawn too sharply.
Elder (Dubuque, 1970) vol. 1, pp. 39–81. This article
should be read together with J. A. B. van Buitenen’s “Vedic
In fact, these three meanings represent three different
and Upanis:adic Bases of Indian Civilization,” which imme-
modes of reference that, according to some Indian theories
diately preceeds it in the same volume (pp. 1–38).
of denotation, are common to all names. The word cow, for
A helpful starting point for the study of the Buddha biography is
example, refers to individual cows (“a cow”), the aggregation
Frank E. Reynolds’s “The Many Lives of Buddha: A Study
of cows, and the quality of “cowness” common to all cows.
of Sacred Biography and Therava¯da Tradition” in The Bio-
There are obvious parallels to the uses of buddha. It might
graphical Process, edited by Reynolds and Donald Capps
be helpful for those unfamiliar with such theories to think
(“Religion and Reason Series,” vol. 11, The Hague, 1976).
of buddha in terms of set theory: individual buddhas are
It provides a survey of the patterns of interpretation that have
members of subsets of the set of buddhahood. Just as mathe-
developed in connection with the Buddha biography in
matical sets exist without members, so buddhahood exists,
Western scholarship, as well as an overview of the relevant
according to the affirmation of Buddhists, even when it is
H¯ınaya¯na and later Therava¯da texts.
not embodied by individual buddhas.
The most important recent research on the biographies of the
Buddha is written in French. An argument for successive
SEE ALSO Amita¯bha; Bhais:ajyaguru; Bodhisattva Path; Bud-
stages in the development of the Buddha biography is found
dhas and Bodhisattvas; Buddhism, Schools of; Buddhist
in Étienne Lamotte’s Histoire du bouddhisme indien (Lou-
Ethics; Buddhist Philosophy; Cakravartin; Cosmology, arti-
vain, 1958), pp. 707–759, in which Lamotte responds to
cle on Buddhist Cosmology; Huayan; Iconography, article
Erich Frauwallner’s thesis that there was a very early, com-
on Buddhist Iconography; Karun:a¯; Maha¯vairocana;
plete biography. Frauwallner presented this thesis in The
Maha¯v¯ıra; Maitreya; Merit, article on Buddhist Concepts;
Earliest Vinaya and the Beginnings of Buddhist Literature
(Rome, 1956). An indispensable aid to serious work on the
Millenarianism, article on Chinese Millenarian Movements;
Buddha biography is André Bareau’s Recherches sur la biogra-
Nianfo; Nirva¯n:a; Padmasambhava; Pa¯ramita¯s; Prajña¯;
phie du Buddha dans les Su¯trapitaka et les Vinayapit:aka an-
Prat¯ıtya-samutpa¯da; Pure and Impure Lands; Stupa Wor-
ciens, 2 vols. (Paris, 1963–1971). In these volumes Bareau
ship; S´u¯nyam and S´u¯nyata¯; Tatha¯gata; Tatha¯gata-garbha;
documents and improves upon Lamotte’s arguments in favor
Tathata¯; Upa¯ya; Yoga¯ca¯ra.
of a gradual development of the biographical cycles.
Alfred Foucher presents a composite biography of the Buddha
BIBLIOGRAPHY
from the beginning of the common era in The Life of the
Scholarship that is available in European languages generally treats
Buddha according to the Ancient Texts and Monuments of
the different levels of meaning of the appellative buddha in
India, abridged translation by Simone B. Boas (Middletown,
isolation. The interrelations among the different levels of
Conn., 1963). Foucher also includes an introduction that is
meaning still remain largely unexplored.
of particular importance because it highlights the signifi-
Two books by Edward J. Thomas, if read in conjunction, can
cance of early Buddhist pilgrimages in the development of
serve as a suitable introduction to the subject. The Life of
the biographical tradition.
Buddha as Legend and History (1927; 3d rev. ed., London,
Several of the autonomous biographies, as well as some later biog-
1949) remains the standard work on the biography of the
raphies from Tibet, China, and Southeast Asia, have 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
BUDDHADA¯SA
1071
translated into European languages. The most readable is
Ohnuma, Reiko. “The Story of Rupavati: A Female Past Birth of
A´svaghos:a’s Buddhacarita, or, Acts of the Buddha, 2 vols. in
the Buddha.” Journal of the International Association of Bud-
1, edited and translated by Edward H. Johnston (Calcutta,
dhist Studies 23, no. 1 (2000): 103–45.
1935–1936; 2d ed., New Delhi, 1972). This translation
Payne, Richard Karl, and Kenneth Tanaka, eds. Approaching the
should be supplemented by Samuel Beal’s translation of the
Land of Bliss: Religious Praxis in the Cult of Amitabha. Hono-
Chinese version of the same text, The Fo-Sho-hing-tsan-king:
lulu, 2003.
A Life of Buddha by Asvaghosha Bodhisattva (Oxford, 1883;
reprint, Delhi, 1966).
Schober, Juliane, ed. Sacred Biography in the Buddhist Traditions
of South and Southeast Asia. Honolulu, 1997.
The role of the stupa as a preeminent Buddha symbol in Buddhist
thought and practice is introduced in the collection The
Schopen, Gregory. “Burial Ad Sanctos and the Physical Presence
Stu¯pa: Its Religious, Historical and Architectural Significance,
of the Buddha in Early Indian Buddhism: A Study in the Ar-
edited by Anna Libera Dallapiccola in collaboration with
chaeology of Religions.” In Bones, Stones, and Buddhist
Stephanie Zingel-Ave Lallemant (Wiesbaden, 1980). Gustav
Monks. Collected Papers on the Archaeology, Epigraphy, and
Roth’s article in this collection, “Symbolism of the Buddhist
Texts of Monastic Buddhism in India, pp. 114–147. Honolu-
Stupa,” is especially significant for its investigation of the
lu, 1997.
symbolic interpretation of the stupa in Buddhist literature.
Schopen, Gregory. “The Buddha as an Owner of Property and
A convenient and beautiful survey and appraisal of the visual
Permanent Resident in Medieval Indian Monasteries.” In
representations of the Buddha throughout the Buddhist
Bones, Stones, and Buddhist Monks. Collected Papers on the Ar-
world is The Image of the Buddha, edited by David L. Snell-
chaeology, Epigraphy, and Texts of Monastic Buddhism in
grove (London, 1978).
India, pp. 258–289. Honolulu, 1997.
Modern research on “other Buddhas” is much less extensive than
Sponberg, Alan, and Helen Hardacre, eds. Maitreya, the Future
the research focused on the biographies and symbols associat-
Buddha. New York, 1988.
ed with Gautama. Those interested in short, well-done intro-
Strong, John S. The Buddha: A Short Biography. Oxford, 2001.
ductions to Aks:obhya, Amita¯bha (Amita), and Bhais:ajyaguru
should consult the Encyclopaedia of Buddhism, edited by
FRANK E. REYNOLDS (1987)
G. P. Malalasekera (Colombo, 1968). Vairocana is discussed
CHARLES HALLISEY (1987)
by Ryu¯jun Tajima in his Étude sur le Maha¯vairocana su¯tra
Revised Bibliography
(Dai-nichikyo¯), (Paris, 1936). Material on “living buddhas”
can be gleaned from various sections of Giuseppe Tucci’s The
Religions of Tibet, translated from the Italian and German by
Geoffrey Samuel (Berkeley, 1980).
BUDDHADA¯SA. Phra Dhammakosa¯ja¯n (1906–1993),
better known by his self-designated monastic name,
A work of monumental importance for the study of the concept
Buddhada¯sa Bhikkhu (“Servant of the Buddha”), was one of
of the Buddha and of Buddhism in general, is Paul Mus’s
the most influential Thai monks of the twentieth century.
Barabad:ur, 2 vols. (1935; reprint, New York, 1978). It is
perhaps the only academic work that exploits the full poten-
Born on May 21, 1906, as Nguam Panich, Buddhada¯sa
tial of the appellative character of the term buddha. It con-
spent three years as a temple boy at Wat Pum Riang, a mon-
tains seminal discussions of Buddhology in early, H¯ınaya¯na,
astery in his home town, where he learned to read and write
and Maha¯ya¯na traditions; of the symbolism of the stupa and
and was introduced to Buddhist teachings and rituals. After
the relics; of celestial and cosmic Buddhas; and of the origin
completing his primary schooling and beginning lower sec-
of Pure Land symbolism and thought. Unfortunately, this
ondary education in Chaiya, south Thailand, his father’s un-
ponderously long work has not been translated, and the
timely death forced him to work in his family’s business at
French is extremely difficult.
age sixteen. Ordained a Buddhist monk in 1926, by 1928
Readers seeking more specialized references (e.g., available transla-
he had passed the third and final level of the monastic curric-
tions of biographical texts or studies of particular develop-
ulum and was invited to teach at the royally sponsored Wat
ments) should consult the annotated entries in Frank E. Rey-
Boromathat monastery in Chaiya.
nolds’s Guide to Buddhist Religion (Boston, 1981), especially
section 8, “Ideal Beings, Hagiography and Biography,” and
After two years residency in Bangkok to study Pali
section 9, “Mythology (including Sacred History), Cosmolo-
(1930–1932), he became disenchanted with rote learning,
gy and Basic Symbols.”
the noise and distractions of the city, and the lax behavior
of Bangkok monks. He returned home in the spring of 1932,
New Sources
the year Thailand’s government changed from an absolute
Bechert, Heinz, ed. The Dating of the Historical Buddha. Die Da-
to a constitutional monarchy, where subsequently he estab-
tierung des historischen Buddha. 3 vols. Göttingen, 1991–
lished a forest monastery, Suan Mokkhabala¯ra¯ma (“The Gar-
1997.
den of Empowering Liberation”), known simply as Suan
Hallisey, Charles. “Roads Taken and Not Taken in the Study of
Mokkh. There, with the help and encouragement of his
Theravada Buddhism.” In Curators of the Buddha, edited by
brother, Dhammada¯sa, he founded a quarterly periodical,
Donald Lopez, pp. 31–62. Chicago, 1995.
Buddhasadana, through which he captured the attention of
Khoroche, Peter. Once the Buddha Was a Monkey: A¯rya S´u¯ra’s
the Thai Buddhist intelligentsia and rapidly gained a reputa-
Ja¯takama¯la¯. Chicago, 1989.
tion for his intellectual prowess, his ability as a teacher, 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
1072
BUDDHADA¯SA
his innovative interpretations of Therava¯da doctrine. By
Buddhada¯sa’s innovative teaching offers a counterpoint
1937 his history of the Buddha’s life was being used as a text-
to the conventional Thai Therava¯da understanding of re-
book at the Thammayut monastic university, Maha¯makut.
birth (sam:sa¯ra) and nirva¯n:a. For him both are mental events:
In 1940 Buddhada¯sa gave a series of lectures at the Buddhad-
sam:sa¯ra the everyday mind conditioned by the repeated aris-
hamma Association in Bangkok that attracted wide atten-
ing and cessation of the “I” idea, and nirva¯n:a the total elimi-
tion. His plain language unencumbered with technical
nation of that condition. In a similar vein, Buddhada¯sa ar-
monastic jargon, and his rational, demythologized interpre-
gues that devotion to the person of the Buddha, either as a
tation of Buddhist teachings appealed to the growing urban,
historical being or as represented in images and relics, dis-
educated elites.
torts the true significance of the Buddha, namely, the truth
(dhamma) he realized at his awakening. Consequently, for
THE GARDEN OF EMPOWERING LIBERATION. Suan Mokkh
Buddhada¯sa, true devotion to the Buddha is the achievement
continued to expand, moving to its present site in 1944. The
of the mind of the Buddha, namely, the dhamma, not wor-
center combines aspects of early Buddhist forest practice
shiping the person of the Buddha in the hope that the
with modern methods of propagating the dhamma. The resi-
Blessed One will grant boons in the manner of a Hindu
dent monks live in simple wooden structures (kut:¯ı) with
deity. Buddhada¯sa’s demythologized approach to the Bud-
fewer amenities than are found in wealthy urban monaste-
dha, nirva¯n:a, rebirth, and other concepts is based on a
ries. Monks observe the traditional precepts of monastic life
Madhya¯mikan epistemology that distinguishes between or-
(vinaya), devote much of their day to study and meditation,
dinary language (Thai, phassa¯ khon) and truth-language
and shun the ceremonial rituals that demand the attention
(Thai, phassa¯ tham). Within this framework, a phassa¯ khon
of the typical Thai monk. In seemingly stark contrast to these
understanding of the Blessed One obscures the true meaning
traditions that emulate the lifestyle of the early san˙gha is the
of the Buddha as the dhamma, namely, the universal law of
“Spiritual Theater” equipped to teach the dhamma using
causality (idapaccayata¯).
modern audiovisual technology. Copies of bas-reliefs from
Sa¯ñc¯ı and Barhut adorn the exterior walls, while the interior
PERSONAL LIBERATION, THE JUST SOCIETY, AND THE NAT-
walls are covered by mural paintings inspired not only by
URAL ORDER. Buddhada¯sa’s lectures and writings, published
Buddhism but by other religious traditions as well. The
in seventy-two volumes, span a period of sixty years and are
building embodies Buddhada¯sa’s universalist vision that the
so wide-ranging that they have yet to be systematized. How-
highest goal of all religions is to transform selfish egoism into
ever, the legacy of his ethical thought can be distilled into
compassionate altruism.
three broad themes: personal liberation (Thai, chit wa¯ng), the
just society (Thai, thamika sankhom niyom), and the natural
In the decade prior to Buddhada¯sa’s death in 1993, he
order (Thai, kot thamacha¯t). First and foremost, Buddhada¯sa
directed the establishment of a training center ancillary to
was committed to the central importance of the liberation
Suan Mokkh, the International Dhamma Hermitage, where
of the individual from attachment to self. In his talks and es-
monthly meditation retreats are conducted in English. He
says he continually refers to the liberated mind and heart
also had plans to develop two other training centers, one for
(chit wa¯ng), overcoming selfishness (Thai, mai hen kae tua),
women (dhammamata) and another to train monks from all
and other Thai and Pali terms related to liberation from ego-
over the world in the practical application of the Buddha’s
centrism (Thai, tua ku¯ khong ku¯). He asserts that the core
teaching to the solution of global problems.
of the Buddha’s teaching is epitomized not by the oft-quoted
phrase, “Refrain from evil, do only good, purify the mind,”
NIRVA¯N:A, REBIRTH, AND THE BUDDHA. Buddhada¯sa’s
or even the four noble truths, but by the statement in the
teachings have become the central platform of reformist
Majjhima Nika¯ya (Collection of middle-length discourses),
Buddhism in Thailand for both monks and laity. Several
“Nothing whatsoever should be clung to” (sabbe dhamma¯
noted Thai social activists, including Sulak Sivaraksa and Dr.
na¯lam: abhinivesa¯ya).
Prawet Wasi, acknowledge their indebtedness to his example
and interpretation of the buddhadhamma. His books are
In one of his seminal writings, Tu Ku¯ Khong Ku¯ (Me
taught in monastic and secular universities, and he remains
and mine) Buddhada¯sa makes the provocative, iconoclastic
one of the most widely published and read Buddhist authors
claim that the realization of not-self (Pali, anatta¯) negates the
in the country. A severe critic of mainstream Thai Bud-
need to speak about the Buddha, the dhamma, the sam:gha,
dhism’s self-serving preoccupation with merit-making ritu-
or any point of doctrine or event in the history of Buddhism.
als, he characterizes ceremonials whose intent aims at worldly
Where Buddhada¯sa departs from conventional Therava¯da
personal gain as nothing but religious materialism. For
wisdom is not in his emphasis on nonattachment and the lib-
Buddhada¯sa, nirva¯n:a is not an unachievable ideal but libera-
eration from craving (Pali, tanha¯), but in the unique way in
tion from egoistic preoccupation, whether seen as a tempo-
which he formulates and universalizes it. In Buddhada¯sa
rary cessation of the idea of “I” and “mine”
view, liberation is the business of all Buddhists, not just
(tadan:ga-nibba¯na)—a mental peace that accompanies a state
monks; it is not something that one achieves only after many
of meditative calmness—or a permanent state achieved
lifetimes but is attainable here and now; and, in an even more
through vigilant awareness that leads to the total elimination
radical vein, liberation (Thai, khwam wa¯ng) is the realization
of the “I” idea.
of our original condition unobscured by the taints or defile-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHAGHOSA
1073
ments (Pali, kilesa) that result from our preoccupation with
Even when I die and the body ceases,
gain and loss, love and anger, hatred and fear. Our original
My voice still echoes in comrades’ ears,
mind freed from defilement is a state of emptiness (Pali,
Clear and bright, as loud as ever.
suññata¯), the normal or normative (Pali, pakati) state of
Just as if I never died, the Dhamma-body lives on.
things. When the mind attains to this condition it is in a state
of buddhahood; that is, the mind knows the true nature of
BIBLIOGRAPHY
things.
Gabaude, Louis. Une herméneutique bouddhique contemporaine de
Armed with truth and nonattachment we are able to act
Thaïande: Buddhadasa Bhikkhu. Paris, 1988.
in a manner of open mutual regard. Only when we transcend
Jackson, Peter A. Buddhism, Legitimation, and Conflict: The Politi-
our own ego-centeredness are we able to realize the common
cal Functions of Urban Thai Buddhism. Singapore, 1989.
condition of all beings, that we are subject to the same pro-
Jackson, Peter A. Buddhadasa: A Buddhist Thinker for the Modern
cess of birth, old age, suffering, and death, and to perceive
World. Rev. ed. Chiang Mai, Thailand, 2003.
that everything in the world is conditioned by the same uni-
Santikaro Bhikkhu. “Buddhadasa Bhikkhu: Life and Society
versal natural law (Pali, pat:icca samuppa¯da, idapaccayata¯).
through the Natural Eyes of Voidness.” In Engaged Bud-
The just society that results is a dhammically governed soci-
dhism: Buddhist Liberation Movements in Asia, edited by
ety (Thai, thamika sangkhom niyom), a community grounded
Christopher S. Queen and Sallie B. King, pp. 147–193. Al-
in the dhamma in which all members restrain their acquisi-
bany, N.Y., 1996.
tive self-interests and act on behalf for the mutual benefit of
Sivaraksa, Sulak, ed. Radical Conservatism:Buddhism in the Con-
all. Such a community operates according to three comple-
temporary World, Articles in Honour of Bhikkhu Buddhadasa’s
mentary principles: the good of the whole, restraint and gen-
84th Birthday Anniversary. Bangkok, 1990.
erosity, and respect and loving kindness. A dhammically
Sivaraksa, Sulak, ed. The Quest for a Just Society: The Legacy and
grounded, mutually cooperative society, then, promotes a
Challenge of Buddhadasa Bhikkhu. Bangkok, 1994.
lifestyle of simplicity, moderation, and nonviolence.
Swearer, Donald K. “Bhikkhu Buddhada¯sa’s Interpretation of the
Buddhada¯sa contends that the Buddhist philosophy of the
Buddha.” Journal of the American Academy of Religion 64
Middle Way (Pali, majjhima¯ patipada¯) supports such a coop-
(1996): 313–336.
erative society, as does the example of the life of the Buddha
Swearer, Donald K. “The Hermeneutics of Buddhist Ecology in
and the early san˙gha.
Contemporary Thailand: Buddhada¯sa and Dhammapit:aka.”
Buddhada¯sa’s utopian vision of the just society includes
In Buddhism and Ecology: The Interconnection of Dharma and
not only the human community but also the total natural
Deeds, edited by Mary Evelyn Tucker and Duncan Ryu¯ken
and physical environment (Pali, dhammaja¯ti; Thai,
Williams, pp. 21–44. Cambridge, Mass., 1997.
thamacha¯t). Everything is incontrovertibly linked together in
Swearer, Donald K., ed. Me and Mine: Selected Essays of Bhikkhu
the process of dependent co-arising; the human body,
Buddhada¯sa. Albany, N.Y., 1989.
human society, and the entire cosmos operate according to
DONALD K. SWEARER (2005)
this universal, dhammic, principle. The core of
Buddhada¯sa’s ecological hermeneutic, consequently, is an
identification of the dhamma with nature, and it was his
sense of the liberating power of nature-as-dhamma that in-
BUDDHAGHOSA (fl. fifth century CE), one of the
spired him to found Wat Suan Mokkh. It is by understand-
greatest Buddhist commentators. Participating in the Bud-
ing the natural order of things (dhamma-idapaccayata¯, paka-
dhist heritage as it neared completion of its first millennium,
ti) that human beings are enabled to truly comprehend the
Buddhaghosa is most acclaimed for providing a commentari-
lesson of self-forgetting. In Buddhada¯sa’s biocentric spiritu-
al and interpretive structure for the Therava¯da tradition. He
ality, being attuned to the lessons of nature is tantamount
took the many strands of contemporary Buddhist teachings
to being at one with the dhamma. By inference, conversely,
and traditions, both oral and written, and through patience
the destruction of nature implies the destruction of the
and methodical scholarship wove them together to produce
dhamma; hence, caring for (Thai, anurak) and conserving
the standard Therava¯da orientation for interpreting the
the natural world is, for Buddhada¯sa, not only an environ-
teachings of the Buddha. He accomplished this by coordinat-
mental imperative but a profoundly spiritual act.
ing, collating, translating, and editing the vast, imposing
Buddhada¯sa’s death on July 8, 1993, was a significant
body of the Therava¯da canon.
event of national mourning. Although Thailand does not
Very little about the life of Buddhaghosa can be estab-
celebrate a “Buddhada¯sa Bhikkhu Day,” his birth and death
lished definitely. That he was held in great esteem in the
anniversaries are commemorated with lectures and symposia,
Therava¯da tradition is seen in the Buddhaghosuppatti, a late
and in anticipation of the one hundredth anniversary of his
Pali text of uncertain origin, date, and authorship, which
birth in 2006, twenty-five workshops have been scheduled
presents a legendary account of his life and work. The
and dozens of publications planned. While Buddhada¯sa is no
Maha¯vam:sa, the chronicle of Sri Lanka written and preserved
longer physically present, he noted in his own poetic necrolo-
by the monastic community there, provides some informa-
gy that he will continue to live on in his teaching:
tion about this figure, but in a section (chap. 37, vv. 215ff.)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1074
BUDDHAGHOSA
considered to have been written seven to eight centuries after
An˙guttara Nika¯ya. Each work testifies, in its prologue, that
his life. From the silence regarding biographical information
it represents a translation of the Sinhala commentaries estab-
about such a prolific commentator, one may infer that his
lished by Mahinda, who is said to have brought the buddhad-
enormous industry and productivity were the consequence
hamma to Sri Lanka in the middle of the third century BCE;
of a consistently self-effacing purpose. His foremost aim was
these commentaries were preserved in the Maha¯viha¯ra.
to provide a commentarial framework in the language of the
Although the point remains open to debate, it appears
canonical texts that would contribute to a clearer under-
that Buddhaghosa also wrote commentaries on the seven
standing of the canonical teachings and ensure the continuity
texts comprising the third major division of the Pali canon,
of these teachings and interpretations for posterity.
the Abhidhamma Pit:aka: on the Dhammasan˙gan¯ı he provid-
Although an old Burmese tradition has claimed that
ed a commentary called Atthasa¯lin¯ı; on the Vibhan˙ga, the
Buddhaghosa was a native of Thaton, in lower Burma (a po-
Sammohavinodan¯ı; and on the remaining five texts, one
sition generally discredited, but argued anew on occasion),
work called Pañcappakaran:at:-t:hakatha¯. The commentaries
it appears that Buddhaghosa was from India, but opinions
note that they are based on the older Sinhala commentaries
vary as to whether he came from the region of Bodh Gaya¯
and follow the tradition of interpretation endorsed at the
or from Andhra, or from an area farther to the south, around
Maha¯viha¯ra.
Ka¯ñc¯ıpuram.
A few years after completing these commentaries, politi-
Buddhaghosa received his ordination into the monastic
cal turmoil disrupted the calm of the Maha¯viha¯ra when
order, came to Sri Lanka, and resided either at the
Anura¯dhapura was overrun by invaders. This probably was
Maha¯viha¯ra in Anura¯dhapura or in nearby monastic dwell-
the cause of Buddhaghosa’s departure from Sri Lanka and
ings. His purpose there was to study the Therava¯da exegetical
the reason he did not complete commentaries on all the ca-
tradition. When he arrived in the early fifth century, he
nonical texts. The weight of tradition says that he returned
found approximately twenty-five sources forming a multifa-
to India, although some accounts claim that he left Sri Lanka
ceted collection of commentarial literature written in Sin-
for lower Burma. Additional commentaries have been as-
hala, the predominant language of Sri Lanka. At least one ad-
cribed to Buddhaghosa, but they were probably the work of
ditional commentarial source seems to have been preserved
others. Buddhaghosa was followed by other notable com-
in a Dravidian language. These sources had developed over
mentators, namely Buddhadatta, Dhammapa¯la, Upasena,
several centuries and by the end of the first century CE had
and Maha¯na¯ma.
reached the state in which Buddhaghosa found them.
It was against this historical background that Budd-
SEE ALSO Therava¯da.
haghosa wrote in Pali the Visuddhimagga (The path of puri-
ty), his first literary effort in Sri Lanka. This encyclopedic
BIBLIOGRAPHY
work, structured upon a cardinal tripartite theme in the Bud-
Adikaram, E. W. Early History of Buddhism in Ceylon (1946). Re-
dhist heritage—virtue (Pali, sila), concentration (sama¯dhi),
print, Colombo, 1953.
and wisdom (pañña¯)—demonstrates Buddhaghosa’s talent
Law, Bimala Churn. “Buddhaghosa.” In Encyclopaedia of Bud-
in arranging the complex details of the Buddhist teachings
dhism, edited by G. P. Malalasekera, vol. 3, fasc. 3. Colom-
at his disposal. He brought together details drawn from prac-
bo, 1973. A condensation of his The Life and Work of Bud-
tically all of the canonical Pali texts, a few postcanonical
dha-ghosa (1923; reprint, Delhi, 1976).
works, and several Sinhala commentarial sources. His classic
Malalasekera, G. P. The Pali Literature of Ceylon (1928). Reprint,
work remains the scholar’s gateway to a Therava¯da perspec-
Colombo, 1958.
tive on the canonical teachings and through which those ca-
nonical teachings subsequently passed into the continuing
Ñya¯n:amoli, trans. The Path of Purification (Visuddhimagga) by
Bhadanta¯cariya Buddhaghosa. 2d ed. Colombo, 1964.
tradition.
Buddhaghosa continued his labor to assure a wider dis-
New Sources
Crosby, Kate. “Uddis and Acikh: Buddhaghosa on the Inclusion
semination of the received commentarial interpretations of
of the Sikkhapada in the Pabbajja Ceremony.” Journal of In-
Sri Lanka by translating into Pali the Sinhala exegetical liter-
dian Philosophy 28, no. 5–6 (2000): 461–477.
ature on many of the canonical texts. The chronological
order of his works remains uncertain, however. He drew
Hamilton, Sue. “From the Buddha to Buddhaghosa: Changing
from his sources to provide a commentary on the Vinaya
Attitudes Toward the Human Body in Theravada Bud-
dhism.” In Religious Reflections on the Human Body, edited
Pit:aka, the voluminous Samantapa¯sa¯dika. He also provided
by Jane Marie Law, pp. 46–63. Bloomington, Ind., 1995.
a particular commentary, the Kan˙kha¯vitaran:¯ı, on a portion
of the Vinaya known as the Pa¯timokkha. He further provided
Smart, Ninian. “What Would Buddhaghosa Have Made of The
commentaries on the four sections of the Sutta Pit:aka: the
Cloud of Unknowing.” In Mysticism and Language, edited by
Suman˙gala¯vilasin¯ı on the D¯ıgha Nika¯ya; the Papañcasu¯dan¯ı
Steven T. Katz, pp. 103–122. New York, 1992.
on the Majjhima Nika¯ya; the Saratthappaka¯sin¯ı on the
JOHN ROSS CARTER (1987)
Sam:yutta Nika¯ya; and the Manorathapu¯ran:¯ı on the
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
BUDDHAS AND BODHISATTVAS: CELESTIAL BUDDHAS AND BODHISATTVAS
1075
BUDDHAPA¯LITA (c. 470–540), Indian Buddhist dia-
(Mu¯lamadhyamakaka¯rika¯), A¯ryadeva (Catuh:´sataka), Ra¯hu-
lectician belonging to the Madhyamaka (Ma¯dhyamika)
labhadra (Prajña¯pa¯ramita¯stotra), and ’Phags pa ’jigs med
school. According to the Tibetan historian Ta¯rana¯tha,
(A¯rya¯bhaya?).
Buddhapa¯lita (Tib., Sangs rgyas skyangs; Chin., Fo-hu; Jpn.,
Buddhapa¯lita’s main philosophical methodological ap-
Butsugo) was born at Ham:sakr¯ıd:a (Ngang pas rtse ba) in the
proach consisted of his explaining the philosophy of
South Indian district of Tambala. Having taken religious or-
Na¯ga¯rjuna by the method of prasan˙gava¯kya (reductio ad ab-
dination there, he learned much about the scriptures of
surdum). That is, without himself maintaining any thesis or
Na¯ga¯rjuna from Sam:gharaks:ita (DgeD dun bsrung ba), a dis-
proposition to be established, he tried to point out the neces-
ciple of Naga¯mitra (KluDi bshes gnyen). He attained the
sary but undesired consequences resulting from a non-
highest knowledge through intense meditation and had a vi-
Madhyamaka opponent’s thesis. This method was strongly
sion of Mañju´sr¯ı. Residing in the Dantapur¯ı monastery, he
criticized by Bha¯vaviveka, who wanted to make use of inde-
delivered many sermons on the Dharma and composed com-
pendent inferences (svatantra¯numa¯na) to prove the Madhay-
mentaries on treatises by such authors as Na¯ga¯rjuna and
maka standpoint, but it was later defended by Candrak¯ırti.
A¯ryadeva. Finally, he attained the miraculous powers (sidd-
The Tibetan doxographers accordingly classified
hi). More or less the same account of his life is given in Bu-
Buddhapa¯lita with Candrak¯ırti as members of the
ston’s Chos ’byung (History of Buddhism) and Sum pa
Pra¯san˙gika (Thal ‘gyur ba) school, while Bha¯vaviveka was
mkhan po’s Dpag bsam ljon bzang, although these works exist
classed in the Sva¯tantrika (Rang rgyud pa) school.
only in fragments.
SEE ALSO Ma¯dhyamika.
Buddhapa¯lita is one of the traditionally reported “eight
commentators” on Na¯ga¯rjuna’s Mu¯lamadhyamakaka¯rika¯,
BIBLIOGRAPHY
the seven others being Na¯ga¯rjuna himself, Bha¯vaviveka,
Lindtner, Christian. “Buddhapa¯lita on Emptiness.” Indo-Iranian
Candrak¯ırti, Deva´sarman, Gun:a´sr¯ı, Gunamati, and Sthira-
Journal 23 (1981): 187–217.
mati (the last four commentators are Yoga¯ca¯ras). According
Ruegg, David S. The Literature of the Madhyamaka School of Phi-
to tradition, he composed commentaries on many Madhya-
losophy in India. Wiesbaden, 1981.
maka treatises, but only one has survived: the (Buddhapa¯lita)
Saito, A. “A Study of the Buddhapa¯lita-Mu¯lamadhyamakavr:tti.”
Mu¯lamadhyamakavr:tti. The original Sanskrit text is actually
Ph.D. diss., Australian National University, 1984.
lost; the work is only preserved in the Tibetan translation
made by Jña¯nagarbha and Klu’i rgyal mtshan in the begin-
New Sources
Ames, William. “Bhavaviveka’s Own View of His Differences
ning of the ninth century. This commentary is one of the
with Buddhapalita.” In The Svatantrika-Prasangika Distinc-
six extant commentaries on the Mu¯lamadhyamakaka¯rika¯, the
tion: What Difference Does a Difference Make?, edited by
five others being: (1) the Akutobhaya¯ (Derge edition of the
Georges B. J. Dreyfus and Sara L. McClintock, pp. 41–66.
Tibetan Tripit:aka 3829, hereafter cited as D.; Beijing edition
Boston, 2003.
of the Tibetan Tripit:aka 5229, hereafter cited as B.); (2)
Ames, William L. “Buddhapalita’s Exposition of the Madhya-
Qingmu’s (Pin˙gala?) Zhonglun (T.D. no. 1824); (3)
maka.” Journal of Indian Philosophy 14, no. 4 (1986): 313–
Bha¯vaviveka’s Prajña¯prad¯ıpa (D. 3853, P. 5253); (4) Sthira-
348.
mati’s Dasheng zhong guan shilun (T.D. no. 1567); (5)
Heine, Steven. “Visions, Divisions, Revisions: The Encounter Be-
Candrak¯ırti’s Prasannapada¯ (Sanskrit ed. by L. de La Vallée
tween Iconoclasm and Supernaturalism in Koan Cases about
Poussin in Bibliotheca Buddhica 4; D. 3860, P. 5260).
Mount Wu-t’ai.” In The Ko¯an: Texts and Contexts in Zen
Buddhapa¯lita’s commentary consists of twenty-seven
Buddhism, edited by Steven Heine and Dale S. Wright,
pp. 137–167. New York, 2000.
chapters in accordance with its basic text the
Mu¯lamadhyamakaka¯rika¯. Chronologically, it was composed
MIMAKI KATSUMI (1987)
between the Akutobhaya¯ and the Prajña¯prad¯ıpa. It incorpo-
Revised Bibliography
rates most of the Akutobhaya¯’s passages; the last five chapters
are almost identical. Chapter titles in Buddhapa¯lita’s com-
mentary are the same as those of the Akutobhaya¯ and the
BUDDHAS AND BODHISATTVAS
Prajña¯prad¯ıpa (perhaps because the translators of these three
This entry consists of the following articles:
commentaries are the same: Jña¯nagarbha and Klu’i rgyal
CELESTIAL BUDDHAS AND BODHISATTVAS
mtshan), but they differ slightly from the titles of
ETHICAL PRACTICES ASSOCIATED WITH BUDDHAS AND
Candrak¯ırti’s Prasannapada¯ (particularly chapters 2, 3, 7, 11,
BODHISATTVAS
13, 15, 18, and 20). Buddhapa¯lita’s titles thus represent an
older text of the Mu¯lamadhyamakaka¯rika¯, which was known
BUDDHAS AND BODHISATTVAS: CELESTIAL
to these translators before the revision by Pa tshab Nyi ma
BUDDHAS AND BODHISATTVAS
grags (b. 1055) and his collaborators when they translated
The term bodhisattva occurs frequently in early Buddhist lit-
the Prasannapada¯. The main authorities cited by
erature, usually referring to S´a¯kyamuni Buddha prior to the
Buddhapa¯lita in his commentary are Na¯ga¯rjuna
time of his enlightenment, which he achieved as he sat under
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BUDDHAS AND BODHISATTVAS: CELESTIAL BUDDHAS AND BODHISATTVAS
the famous bodhi tree (Skt., bodhivr:ks:a, “tree of enlighten-
there is scarcely any image or painting there that might dis-
ment”) a few miles south of Gaya¯ in modern Bihar. Bodhi-
please a determined adherent of the older sects. The only ce-
sattva means literally “enlightenment being,” or, according
lestial bodhisattva apart from Maitreya to be painted at
to a theory that bodhisattva is a slightly mistaken Sanskrit
Ajanta¯ is Avalokite´svara (“the lord who looks down in com-
spelling of the early dialectical form bodhisatta (as preserved
passion”), and he may be quite convincingly interpreted as
in Pali), it could have originally meant “intent upon enlight-
the future Buddha S´a¯kyamuni, who looked down in compas-
enment.” Whatever the literal meaning (and most scholars
sion from the heaven called Tus:ita (“joyful”) before finally
would favor the first one), a bodhisattva is a living being, usu-
agreeing to be born in our world for the benefit of its inhabi-
ally human but not necessarily so, who has set out on the
tants. None of the many Buddha and bodhisattva images sur-
long path toward Buddhahood, which in accordance with
viving at Ajanta¯ in carved stone can be identified as particular
the general Buddhist acceptance of the Indian theories con-
celestial Buddhas and bodhisattvas. Numerous bodhisattvas
cerning continual rebirth (or transmigration) was calculated
are named in Maha¯ya¯na su¯tras from the first century CE on-
to lead the aspirant through a very long series of different
ward, but a rather more limited number achieved generally
lives.
accepted iconographic forms, namely those who were espe-
Large collections of such legendary life stories (ja¯taka)
cially popular as distinct beings and those who were fitted
were made in the early Buddhist period, illustrating the hero-
into man:d:alas and related iconographic patterns.
ic self-sacrifice of the future Buddha S´a¯kyamuni in his prog-
The earliest iconographic pattern, which resulted in the
ress toward his last life (also told in legendary style), when
eventual appearance of three leading bodhisattvas, is probably
his purpose was finally revealed to the world. As S´a¯kyamuni
the triad of images representing S´a¯kyamuni Buddha flanked
was never regarded as the one and only Buddha, but rather
by two attendants. According to early accounts, S´a¯kyamuni
as one in a whole series (seven are named in early texts, but
was attended by Indian divinities at his birth. Originally,
the number is gradually much extended), each of whom ap-
these two attendants may have been thought of as Brahma¯
pears in a separate world age, it was inevitable that his follow-
and Indra, but they came to be accepted as Buddhist divini-
ers should come to expect a future Buddha for the next world
ties by the simple method of giving them new Buddhist
age. Thus, a new bodhisattva, Maitreya (“loving kindness”),
names. They thus become identified as Padmapa¯n:i (“lotus-
appears as the first of the many other “great beings,” who
holder”) and Vajrapa¯n:i (“vajra-holder”). Padmapa¯n:i comes
later extend the Buddhist pantheon to infinity. The cult of
to be identified with Avalokite´svara, who also holds a lotus
Maitreya is certainly attested among the followers of the early
flower, and thus becomes a great bodhisattva in his own right.
Buddhist sects, later referred to disparagingly as H¯ınaya¯nists,
Vajrapa¯n:i’s rise to fame is very much slower, since through
and his appearance seems to mark the beginning of the con-
the earlier Maha¯ya¯na period he continues to be regarded as
siderable devotion that came to be directed toward these ce-
S´a¯kyamuni’s personal attendant, his function and duties
lestial beings.
merely being extended to protect all other bodhisattvas.
It should be borne in mind that the distinctions be-
tween the so-called Maha¯ya¯nists and H¯ınaya¯nists were not
It is not until we reach the early Tantric period as repre-
so clear-cut in the early centuries
sented by the Mañju´sr¯ımu¯lakalpa that Vajrapa¯n:i appears as
CE as they appear to be
later. The same mythological concepts concerning the nature
a powerful bodhisattva in his own right, but still as a member
of a Buddha and a bodhisattva (a future Buddha) remain fun-
of a triad. By this time (perhaps the fifth to the sixth century
damental to Buddhism in all its forms, and it can easily be
CE) many non-Buddhist divinities were being spontaneously
shown that all the later extravagant developments of the
accepted into the Buddhist fold; they were being accepted
Maha¯ya¯na are traceable to tendencies inherent in the earliest
for the straightforward reason that those who became sup-
known forms of Buddhism. The Maha¯ya¯nists differed in
porters of the monks or who even became Buddhist monks
their philosophical assumptions and the manner in which
themselves did not need to renounce their devotion to other
they applied the bodhisattva theory to normal religious life.
divinities, whose existence and capabilities were never denied
For them, the bodhisattva career was the only genuine path
either by S´a¯kyamuni himself or by his followers. Local divin-
toward enlightenment, which they distinguished from the
ities decorate Buddhist stupas (Skt., stu¯pas) from at least the
goal of nirva¯n:a, interpreted by them as the limited selfish as-
second century BCE onward, and as already noted, the great
piration of the early disciples. At the same time they followed
Hindu divinities were soon incorporated as Buddhist “con-
the same forms of monastic discipline (Vinaya) as their
verts.” This process continued throughout the whole history
H¯ınaya¯na brethren, often living together in the same monas-
of Indian Buddhism and goes far to explain the existence of
tic compound until doctrinal disputes led them to set up sep-
so many celestial beings in the ever more elaborate Buddhist
arate communities of their own. Thus freed, the Maha¯ya¯nists
pantheon.
began to go their own way, but there would appear to have
In the Mañju´sr¯ımu¯lakalpa these divinities are grouped
been no very noticeable iconographic changes in their
into various “families,” of which the three chief ones are
monasteries until several centuries later.
those of the Buddha or Tatha¯gata, the Lotus, and the Vajra.
The well-known caves of Ajanta¯ were probably occupied
Divinities who were already accepted as fully Buddhist were
by Buddhist communities up to the eighth century CE, and
placed in the Buddha’s family, while gentle divinities due for
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BUDDHAS AND BODHISATTVAS: CELESTIAL BUDDHAS AND BODHISATTVAS
1077
conversion were placed in the Lotus family under the leader-
ly into two classes, known as “pure” or “impure.” The pure
ship of Avalokite´svara; fierce divinities, whose conversion
fields contain only those beings who are on the way to Bud-
was supposed to be troublesome, were placed under the com-
dhahood, that is, bodhisattvas, while the impure fields con-
mand of Vajrapa¯n:i, who was able to subdue them with his
tain beings of all kinds at all stages of spiritual advance and
powerful vajra (“thunderbolt”). Since it was suitable that the
decline. The manner in which bodhisattvas may travel mirac-
original Buddha family should be headed by a bodhisattva
ulously from one buddha field to another is well illustrated
just like the other two, this position was assigned to
in the important Maha¯ya¯na su¯tra, the Vimalak¯ırtinirde´sa
Mañju´sr¯ı (“gentle and glorious one,” also known as
(The teaching of Vimalak¯ırti), where the question is under-
Mañjughos:a, “gentle voice”), who appears in early Maha¯ya¯na
standably raised as to why S´a¯kyamuni should have elected
su¯tras as S´a¯kyamuni’s chief spokesman. His origin is obscure
to be born in an impure field rather than a pure one. His
but it is significant that he is later linked with Sarasvat¯ı, the
superiority is acknowledged by visiting bodhisattvas from a
Hindu goddess of speech, taking her mantra (“Om: va¯g¯ı´svari
pure field, who exclaim: “The greatness of S´a¯kyamuni is es-
mum:”) as his own. It must be emphasized that none of these
tablished; it is wonderful how he converts the lowly, the
great bodhisattvas has a “history” in the modern sense: they
wretched and the unruly. Moreover, the Bodhisattvas who
are all mythological creations.
are established in this mean Buddha-sphere (i.e., our world)
must have inconceivable compassion” (Lamotte, 1976,
CELESTIAL BUDDHAS. While the cult of a celestial bodhisatt-
pp. 204–218).
va as a Great Being of heavenly associations clearly has its
roots in the early cult of S´a¯kyamuni, who was appealed to
S´a¯kyamuni’s essential identity with all other Buddhas is
as both Buddha and bodhisattva, its full implications were de-
often asserted, sometimes subtly, sometimes quite explicitly,
veloped from approximately the first century CE onward by
as in chapter 15 of the Saddharmapun:d:ar¯ıka Su¯tra (Lotus of
those who began to adopt specific Maha¯ya¯na teachings.
the True Law Scripture). In another su¯tra, the
S´a¯kyamuni was traditionally acclaimed as the one and only
S´u¯ram:gamasama¯dhi (Lamotte, 1965, pp. 267–270), the bo-
Buddha of our present world age, and early legends tell how
dhisattva Dr:d:imati asks S´a¯kyamuni how long his life will last.
he made the vow, when he was a brahman boy named Megha
S´a¯kyamuni tells him to go and ask another buddha named
or Sumegha, before a previous Buddha, D¯ıpam:kara, to fol-
Vairocana (“resplendent one”), who presides over a world
low the self-sacrificing bodhisattva path toward Buddhahood.
system named Well Adorned, which is to be reached in the
It must be emphasized that the later concepts never had the
eastern direction by crossing over thirty-two thousand bud-
effect of negating the earlier ones, and despite the change of
dha fields. Having traveled there he is told by that Buddha:
viewpoint that I am about to explain, the cult of Buddhas
“My length of life is exactly the same as that of the Buddha
of the past, as well as of the future, was never abandoned.
S´a¯kyamuni, and if you really want to know, the length of my
The “Buddhas of the three times” (past, present, and future)
life will be seven hundred incalculable world ages.” Return-
are frequently mentioned in Maha¯ya¯na literature and their
ing to S´a¯kyamuni, the inquiring bodhisattva says: “In so far
cult has continued in Tibetan Buddhism to this day.
as I understand the words of the Lord, I would say that it
is you, O Lord, who are in the world-system named Well
The change that takes place in Maha¯ya¯na theories re-
Adorned, where with another name you work for the happi-
sults from their perhaps more realistic view of the nature of
ness of all living beings.”
the cosmos. The early Buddhists viewed the world as a closed
system, comprising four main island-continents arranged
So many different kinds of Buddha manifestations are
around a central sacred mountain, known as Meru, identi-
taken for granted in the Maha¯ya¯na su¯tras that scholarly ef-
fied with Mount Kailash in western Tibet. Maha¯ya¯na teach-
forts have been made to reduce them to some order. The best
ings, on the other hand, were greatly affected by views that
account of such attempts will be found in Louis de la Vallée
envisaged the universe as whole galaxies of world systems, ex-
Poussin’s translation of the Cheng weishi lun, Xuanzang’s
tending endlessly throughout all the directions of space. It
compilation of ten major commentaries to Vasubandhu’s
followed logically from this that there should also be Bud-
Trim:´sika¯ (La Vallée Poussin, 1929, vol. 2, p. 762).
dhas operative in all these other world systems. One of the
earliest disputes that arose between Maha¯ya¯nists and those
The simplest scheme, which gradually gained general
who held to the earlier views concerns precisely the problem
acceptance, envisages an “Absolute Buddha Body” (the
of whether there can be more than one Buddha at a time,
dharmaka¯ya of early Buddhist tradition) manifesting itself as
and it is clear that they argue against different cosmological
various “glorious bodies” (sam:bhogaka¯ya, “body of enjoy-
backgrounds. Maha¯ya¯na ideas on the nature of such myriads
ment”) to high-ranking bodhisattvas in celestial spheres, and
of world systems may be learned from the reading of any of
as various “human bodies” (nirma¯n:aka¯ya, “manifested
the Maha¯ya¯na su¯tras, where Buddhas, surrounded by bodhi-
body”), which need not necessarily be human but are usually
sattvas, continue to preach simultaneously in their various
conceived as such, in impure Buddha fields like our own
“buddha fields” (buddhaks:etra).
world. Later Tantric tradition suggests the existence of a
fourth, supreme body, known as sva¯bha¯vikaka¯ya (“self-
Not all such worlds are fortunate enough to have a Bud-
existent”), but earlier this is used as an alternative name for
dha at any particular time. Those that do are divided general-
the Absolute Body (dharmaka¯ya). We shall note later the ten-
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1078
BUDDHAS AND BODHISATTVAS: CELESTIAL BUDDHAS AND BODHISATTVAS
dency to arrive at ever-more-transcendent states of buddha-
she duly appeared to give testimony, to the total discomfiture
hood, when a sixth, supreme buddha is placed above the set
of Ma¯ra. A buddha image formed in this style became the
of five cosmic buddhas. To these we must now give attention
typical image of Bodh Gaya¯ (south of Gaya¯) in eastern India,
as the production of later Maha¯ya¯na speculation and as the
where S´a¯kyamuni showed himself imperturbable (aks:obhya)
foundation of the whole class of tantras known as Yoga
despite the assaults of the Evil One.
Tantras.
The geographical choice of this particular buddha
(Aks:obhya) as the Buddha of the East in the later formula-
Just as buddha manifestations, conceived in a diachron-
tion of the set of five is not difficult to understand, being the
ic time sequence in accordance with the earlier conceptions
obvious one because of his popularity in the eastern region.
of buddhahood, came to be represented by a triad of Bud-
The central buddha came to be identified with the buddha
dhas, referred to as the Buddhas of the Three Times, namely
image, which must have been typical of another famous place
D¯ıpam:kara, S´a¯kyamuni, and Maitreya (in this later context
of pilgrimage, the Deer Park (now known as Sa¯rna¯th, a few
he is referred to as Buddha and no longer as bodhisattva), so
miles from Va¯ran:a¯s¯ı), where S´a¯kyamuni was believed to have
those other buddha manifestations, conceived synchronically
preached his first sermon. The gesture of preaching is sym-
as existing simultaneously in all directions throughout space
bolized by the two hands linked in front of the chest in order
in accordance with later Maha¯ya¯na conceptions of the uni-
to suggest a turning wheel, the “wheel of the doctrine,”
verse, came to be symbolized by the Five Buddhas of the cos-
which S´a¯kyamuni is said to have turned, just as the chariot
mos, representing the center and the four cardinal points.
wheels of a universal monarch (cakravartin, “wheel-turner”)
These have been popularly referred to as dhya¯ni-buddhas
turn throughout the world.
(“meditational buddhas”), a term that Brian Hodgson
(1800–1894) seems to have heard used locally in Nepal but
A buddha’s supremacy in the religious sphere was equat-
that appears to have no traditionally established justification.
ed in very early Buddhist tradition with the supremacy of the
In the few su¯tras and the many tantras and their commen-
quasi-historical but mainly mythological concept of a “uni-
taries in which they are referred to, they are known simply
versal monarch,” with the result that a bodhisattva is general-
as the Five Buddhas (pañcabuddha) or the Five Tatha¯gatas
ly idealized as a kind of crown prince; thus it is in princely
(pañcatatha¯gata) with no other ascription. If such is required,
garments that he is generally portrayed. In particular,
then the term Cosmic Buddhas seems appropriate, in that
Mañju´sr¯ı, S´a¯kyamuni’s spokesman in early Maha¯ya¯na
su¯tras, is referred to specifically as the prince (kuma¯rabhu¯ta).
their primary function is to represent buddhahood in its cos-
It is not surprising that as central Buddha of the set of five,
mic dimension, as symbolized in the fivefold man:d:ala.
the preaching S´a¯kyamuni comes to be referred to as Vairo-
As may be expected, this set of five buddhas evolved
cana (“resplendent one”), the very buddha of vast age with
gradually, and we find at first various sets of names, some
whom he claims identity in the S´u¯ram:gamasama¯dhi Su¯tra.
of which become gradually stabilized. Two fairly constant
The full name of that particular buddha is in fact
ones from the start are Amita¯bha (“boundless light”) or
Vairocana-ra´smipratiman:d:ita-vikurvanara¯ja (“resplendent
Amita¯yus (“boundless life”) as the Buddha of the West, and
one, adorned with light-rays, transformation-king”). The re-
Aks:obhya (“the imperturbable”) as the Buddha of the East.
maining two buddhas, placed to the south and to the north,
It has been suggested with great plausibility that the Buddha
become generally stabilized in this configuration as Ratna-
of the West was first accepted as an object of devotion by
sambhava (“jewel-born”), presumably symbolizing
the Buddhists of the far northwest of the Indian subconti-
S´a¯kyamuni’s boundless generosity, and Amoghasiddhi
nent as a result of Persian cultural and religious influence,
(“infallible success”), symbolizing his miraculous powers.
since light and life are essential characteristics of the chief Zo-
Summarizing these various kinds of Buddha manifesta-
roastrian divinity, Ahura Mazda¯. This hypothesis is borne
tions, one may make the following observations:
out by the very special devotion shown to this particular
1. The state of Buddhahood is essentially one and only, or,
Buddha in Central Asia and especially in China and Japan,
to use a safer term, nondual, and nonmanifest in any
where a particular constellation of sects (known generically
way whatsoever: such is the Absolute Body of Buddha-
as Pure Land) is devoted to his cult. There is no indication
hood.
that any such special cult developed elsewhere in India,
2. The various stages at which this Absolute Body may as-
where Amita¯bha/Amita¯yus remains simply one of the Five
sume apparently manifested form have been explained
Buddhas. Judging by the very large number of images found,
as various grades of buddha bodies, of which the Glori-
the most popular buddha, certainly in northeastern India,
ous Body, or Body of Enjoyment, and the Human
where Buddhism survived until the early thirteenth century,
Body, or Manifested Body, are the other two terms in
is Aks:obhya, the Buddha of the East. Iconographically he is
more general use.
identified with S´a¯kyamuni Buddha, who was challenged at
the time of his enlightenment by Ma¯ra, the Evil One (the
3. According to the earliest Buddhist beliefs, buddhas
Satan of Buddhism), to justify his claim to buddhahood.
manifest themselves in a kind of historical sequence,
S´a¯kyamuni called the earth goddess to witness his claim by
each one presiding over a different world age.
tapping the ground with the fingers of his right hand, and
4. According to the later Maha¯ya¯na theories, Buddhas are
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1079
manifest all the time in all the directions of space, pre-
remains doubtful if any image of him can be identified spe-
siding over their individual buddha fields.
cifically before the sixth century, unless we include the lotus-
holding (Padmapa¯n:i) attendant by S´a¯kyamuni’s side, already
These various concepts, which may appear to an outsider as
referred to above. However, by the sixth century his cult is
in some measure conflicting, are retained by those who were
well established, as attested by an entire su¯tra, the
responsible for the later formulations, while in general the
Ka¯ran:d:avyu¯ha, compiled in his honor. It is here that the
“historical” buddha S´a¯kyamuni continues to hold the center
well-known mantra “Om: man:ipadme hu¯m:” (“O thou with
of the stage.
the jeweled lotus”) can be firmly identified for the first time.
BODHISATTVAS AND GODDESSES. Large numbers of bodhi-
This mantra, like the one of Mañju´sr¯ı, is in the form of a
sattvas are mentioned in the Maha¯ya¯na su¯tras as residing in
feminine vocative for reasons that should become immedi-
various Buddha fields, but very few of these come to receive
ately clear.
a special cult as great individuals. The three primary ones,
Mañju´sr¯ı, Avalokite´svara, and Vajrapa¯n:i, have already been
Feminine divinities first appear within the Buddhist
mentioned. These are later identified as the “spiritual sons”
pantheon as handmaidens of the great bodhisattvas, whom
of the three primary Buddhas, S´a¯kyamuni (alias Vairocana),
they accompany in much the same way that Indian princes
Amita¯bha, and Aks:obhya. The concept of Five Buddhas
were usually depicted with a small circle of lady companions.
causes the number of buddha “families,” previously three, to
Thus we may note that in the Mañju´sr¯ımu¯lakalpa (Macdon-
be extended to five, and thus two more leading bodhisattvas
ald, 1962, pp. 107ff.) Avalokite´svara is surrounded by
are required to complete the set. They are known as
Pa¯n:d:arava¯sin¯ı (“white-clad”), Ta¯ra¯ (“savioress”), Bhrukut:i
Ratnapa¯n:i (“jewel-holder”) for the Jewel family of Ratna-
(“frowning”), Prajña¯pa¯ramita¯ (“perfection of wisdom”),
sambhava, and as Vi´svapa¯n:i (“universal holder”) for the
Tatha¯gata-locana¯ (“Buddha-eye”), and Us:n:a¯s:ara¯ja¯ (“lady of
Sword or Action family of Amoghasiddhi. Both these are
the wisdom-bump”). We shall meet with some of these again
latecomers and their artificial nature is suggested by their
within the scheme of the fivefold man:d:ala, but already two
names.
and possibly three look forward to devotional cults of their
own, since they become the great goddesses of Buddhism.
In the early Maha¯ya¯na su¯tras we find various bodhisatt-
The goddess Prajña¯pa¯ramita¯ represents the fundamental wis-
vas named, such as the student Sada¯prarudita (“always weep-
dom of Maha¯ya¯na philosophy, as a divine concept corre-
ing”), whose story is told in the Perfection of Wisdom litera-
sponding in many respects to Sancta Sophia of Christian tra-
ture, or Dr:d:hamati (“firm-minded”), who is the main
dition. Even more popular is Ta¯ra¯, whose flourishing was
spokesman in the S´u¯ram:gama Su¯tra, or again the bodhisattva
assured by the salvific assurance conveyed by her name. She
Dharma¯kara (“expression of the dharma”), who sets the con-
was soon recognized as the feminine counterpart (not a part-
ditions for his own buddha field through a long series of
ner in the Tantric sense) of Avalokite´svara. Ta¯ra¯ is his femi-
vows, the fulfillment of which is a precondition for his be-
nine expression, just as Sarasvat¯ı becomes the feminine ex-
coming the buddha Amita¯bha. None of these achieves indi-
pression of Mañju´sr¯ı. Thus we may note that since the
vidual fame except for the last as the buddha Amita¯bha, of
mantra of a great divinity is also his expression (his vidya¯ or
whom he is little more than a formative shadow, like the
special knowledge, as it is often called), his mantra too as-
brahman boy Megha who eventually became the buddha
sumes a feminine form. Ta¯ra¯ became so important that many
S´a¯kyamuni. Vimalak¯ırti, already mentioned above, gains a
other feminine divinities came to be regarded as her various
popular following in Central Asia and in China. Of others
forms. Thus she appears as Bhrukut:i when she wishes to
so far not mentioned there is the one-time bodhisattva
show her displeasure, or in the triumphant form of
Bhais:ajyaraja (“king of medicine”), named in The Lotus of the
Us:n:¯ı´sasita¯tapatra¯ (“lady of the wisdom-bump with the white
True Law (see Kern, 1963, pp. 378ff.), whom we find soon
parasol”) when she becomes manifest with a thousand arms
elevated to the rank of buddha with the name of
and a thousand heads, arranged in paintings so as to appear
Bhais:ajyaraja. In certain sets of divinities, the bodhisattva
as a high, elaborate headdress, so that she is in no way gro-
A¯ka¯´sagarbha (“womb of space”) replaces Ratnapa¯n:i as chief
tesque. Here, she corresponds to the eleven-headed, thou-
of the Jewel family; neither of these leading bodhisattvas ap-
sand-armed form of Avalokite´svara.
pears to attract any special cult. Paralleling A¯ka¯´sagarbha, at
least in name, is the bodhisattva Ks:itigarbha (“womb of the
These more complex forms may clearly be related to
earth”). Perhaps by the mere chance form of his name,
subsequent Tantric developments, where the central divinity
Ks:itigarbha achieved enormous success in Central Asia and
of the man:d:ala may be conceived of as comprising in his per-
China as the one who controls the welfare of the dead. By
son all his various directional manifestations, from four to
far the most popular of all the “great gods” of Buddhism is
a thousand. Fluctuation in sex is not uncommon in the early
Avalokite´svara, who also assumes the name of Loke´svara
stages of elaboration of this vast and complex pantheon; as
(“lord of the world”), normally S´iva’s title in Hindu tradi-
is well known, in later Chinese Buddhist tradition
tion. It is possible that his name was a deliberate parody of
Avalokite´svara (Kuan-yin) merges with Ta¯ra¯ so as to become
S´iva’s title, with the syllables changed sufficiently to give the
a feminine divinity. Returning to the Mañju´sr¯ımu¯lakalpa,
new meaning of “lord who looks down (in compassion).” It
we may note that just as Avalokite´svara is surrounded by be-
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nign goddesses (except possibly for Bhrukut:i), so Vajrapa¯n:i
comes last. However, in the Yoga Tantras Vajrapa¯n:i comes
is surrounded by fierce ones, named Vajra¯n:ku´s¯ı (“lady of the
right to the fore as the chief representative of S´a¯kyamuni,
vajra hook”), Vajra´sr:n˙khala¯ (“lady of the vajra fetter”),
alias Vairocana. He is also called Vajradhara (“holder of the
Suba¯hu (“strong-armed one”), and Vajrasena¯ (“lady of the
vajra”) and Vajrasattva (“vajra being”), names that at a later
vajra army”). It is sometimes difficult to draw a line between
stage of Tantric development refer exclusively to a sixth, ut-
bodhisattvas and great goddesses, but Ta¯ra¯ in her various
terly supreme Buddha. The main tantra of the Yoga Tantra
manifestations is as great as the greatest of bodhisattvas. She
class is the Sarvatatha¯gatatattvasam:graha and here the chief
is saluted as the mother of all Buddhas, and in time
man:d:ala is known as the Vajradha¯tu man:d:ala, the Man:d:ala
S´a¯kyamuni’s human mother was duly seen as one of her
of the Adamantine Sphere, where bodhisattvas with Vajra
manifestations.
names, all essentially manifestations of Vajrapa¯n:i, form cir-
cles around the Five Buddhas and the four Buddha goddess-
The travelogue of the famous Chinese pilgrim Xuan-
es. Although man:d:ala means circle, the main divinities may
zang, who visited monasteries throughout Central Asia and
also be arranged around a central square within the main cir-
the Indian subcontinent between 629 and 645, well illus-
cle, since this square, which is usually provided with four
trates the extent of popular devotion accorded the images of
elaborate doorways, represents the sacred palace in which the
certain great bodhisattva figures during the seventh century
main divinities dwell.
CE. Himself a scholarly Maha¯ya¯na philosopher, Xuanzang
was nonetheless pleased to hear of the miraculous powers of
Next in importance after the Five Buddhas are the four
such images, mentioning in particular those of Maitreya,
Buddha goddesses, who occupy the subsidiary directions of
Avalokite´svara, and occasionally Mañju´sr¯ı and the great god-
space, namely Locana¯, Ma¯mak¯ı (“my very own”),
dess Ta¯ra¯; on many occasions he offered devout prayers to
Pa¯n:d:arava¯sin¯ı, and Ta¯ra¯. They are usually interpreted as
them on his own account. One may also mention that Xuan-
symbolizing the four main elements (earth, water, fire, and
zang was equally interested in the cult of arhats (“worthy
air), while the fifth (space) coalesces with supreme Buddha-
ones”), those early disciples of S´a¯kyamuni Buddha, who,
hood at the center. In later tantras a fifth, central Buddha
having achieved nirva¯n:a, were often believed to continue in
goddess is named Vajradhaa¯tv¯ı´svar¯ı (“lady of the adaman-
some kind of suspended existence in remote mountain
tine sphere”), but she does not appear in man:d:alas of the
places. More wonderful tales of arhats, tales certainly learned
Yoga Tantra class normally, since these coupled male-female
from his Maha¯ya¯nist brethren in India, are retold in his ac-
divinities (known as yab-yum, “father-mother” in Tibetan)
count than stories about bodhisattvas. In fact, the continuing
do not form part of their symbolism. Apart from the sixteen
cult of arhats (Chin., lo-han), which spread through Central
Great Bodhisattvas, all with Vajra names, we may draw at-
Asia to China, survives in a set of sixteen or eighteen Great
tention to the eight lesser goddesses of the offerings, arranged
Arhats well known to Tibetan Buddhists. These earlier tradi-
farther out from the center in the intermediate directions,
tions provide an interesting link, all too often ignored, be-
and the four door guardians at the four main entrances. The
tween H¯ınaya¯nists and Maha¯ya¯nists. Thus, the Buddhist
eight goddesses of the offerings are mere symbols, as their
world of the early centuries CE was peopled with a large vari-
names indicate at once:
ety of celestial beings, among whom certain favorite bodhi-
1. Vajrala¯sya¯, or Vajra Frolic
sattvas were only just beginning to come to the fore.
2. Vajradhu¯pa, or Vajra Incense
Tantric Buddhism, at least in its higher aspirations, may
3. Vajrama¯la¯, or Vajra Garland
be described as a system of practices, either of ritual yoga or
of physical and mental yoga, by means of which the practi-
4. Vajrapus:pa¯, or Vajra Flower
tioner identifies himself with his tutelary divinity, who is
5. Vajrag¯ıti, or Vajra Song
identified both with the practitioner’s own teacher and with
the goal of final enlightenment. One of the main means to-
6. Vajra¯loka¯, or Vajra Lamp
ward such an objective is the man:d:ala or mystic circle of di-
7. Vajranr:tya¯, or Vajra Dance
vinities who symbolize existence at all its various levels, the
essential sameness of which the pupil must learn to experi-
8. Vajragandha¯, or Vajra Scent
ence through the guidance of his teacher (guru). Man:d:alas
The names of the four door guardians, beginning with the
are described in earlier tantras, where a “three-family” ar-
eastern one, may be interpreted as Vajra Hook, Vajra Noose,
rangement predominates, but it is not until the so-called
Vajra Fetter, and Vajra Bell.
Yoga Tantras, with their fivefold arrangement of man:d:alas,
begin to appear that the new symbolism can be worked out
The possible variations within this fundamental pattern
effectively.
are considerable. Thus, the sixteen bodhisattvas fall into four
groups of four, being allocated in these sets to the four direc-
In the earlier Tantras there is a gradation of importance
tional Buddhas. The leaders of these four groups are directly
in the various families: the Buddha or Tatha¯gata family pre-
identifiable with the chief bodhisattvas, already mentioned
dominates; the Lotus family with its gentle divinities comes
above, as well as with others who have not yet been men-
next; the Vajra family of Vajrapa¯n:i and his fierce children
tioned. Such names are generally interchangeable within the
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BUDDHAS AND BODHISATTVAS: CELESTIAL BUDDHAS AND BODHISATTVAS
1081
Vajra family, which in the Yoga Tantras is closely associated
named Samantabhadra, a title also earlier closely connected
with the so-called family of All Buddhas. Among the names
with Vajrapa¯n:i.
not met before in this article we draw attention especially to
F
Samantabhadra (“all good”), from whom Vajrapa¯n:i is said
INAL SURVEY. While we have pointed out that far too stark
a contrast is often drawn between Maha¯ya¯na Buddhism of
to arise. Since it is also used as a title of Vairocana, the central
the early centuries
buddha, it is not surprising that it is used later as one of the
CE with the already developed Buddhism
accepted by their H¯ınaya¯nist brethren, there is no doubt that
names of a sixth, supreme buddha.
the contrast must have been very stark indeed during the last
Other tantras of the Yoga Tantra class, while generally
few centuries of Buddhist life in northern India (from the
retaining all the Buddha goddesses, the sixteen bodhisattvas,
tenth to the twelfth century), concentrated mainly in Kash-
and lesser divinities, introduce different names and icono-
mir in the far northwest and in Bihar, Bengal, and Orissa in
graphic forms for the Five Buddhas themselves. As devised
the east. While the monasteries continued to practice the
by Tantric masters in India (presumably from the seventh
same ancient monastic rules, one of which was adopted by
century onward) from a wide choice of names, to which oth-
the Tibetans from the eighth century onward (namely that
ers could be added as one pleased, the combinations, at least
of the order known as Mu¯lasarva¯stiva¯da, particularly strong
in theory, are infinite. Mañju´sr¯ı in a four-headed and eight-
in Central Asia and northern India), the cult of Buddhas, bo-
armed manifestation may replace S´a¯kyamuni at the center,
dhisattvas, greater and lesser goddesses, and various attendant
and a highly complex man:d:ala, which includes the eight
beings had developed in the manner described above, intro-
Us:n:¯ıs:a Buddhas as well as the four directional Buddhas to-
ducing many new iconographic forms into the temples and
gether with the sixteen Great Bodhisattvas and a host of less-
covering the walls with murals of the kind that now only sur-
er divinities, is known as Dharmadha¯tu Man:d:ala, or the
vive in the old temples of Ladakh and western Tibet (tenth
Man:d:ala of the Dharma Sphere, of which a fine example
to thirteenth century). Although no such murals survive in
survives in the eleventh-century monastery of Sumda in
India (those of Ajanta¯ up to the eighth century are the only
Zangskar.
ones remaining), the close relationship between the early Ti-
betan paintings and the original Indian ones, now lost, is
HORRIFIC BUDDHAS. As a result of S´aiva influence transmit-
proved by the many that still can be seen in the form of min-
ted through Tantric yogins of northeast India, celestial Bud-
iature paintings on manuscripts of the Pa¯la dynasty, which
dhas of horrific appearance become acceptable tutelary divin-
ruled in eastern India during the last Buddhist period. These
ities in Maha¯ya¯na communities from perhaps the ninth
have survived in Nepal and Tibet, where they were subse-
century onward. Most of the tantras that describe these di-
quently carried.
vinities provide their own special man:d:alas, with Heruka,
Hevajra, S´am:vara, Can:d:amaha¯ros:an:a, and other such horrif-
It would seem that it was not so much the Maha¯ya¯na
ic figures clasping their equally horrific feminine partners as
that was responsible for the great divergence that develops
they dance on corpses at the center of their circle of yogin¯ıs.
between the cults of the “early” schools (H¯ınaya¯na) and later
Bodhisattvas are rare in such company. Of the strange Bud-
Buddhism, despite the very important role that celestial bo-
dha figures just named, only Can:d:amaha¯ros:an:a has male di-
dhisattvas play in Maha¯ya¯na su¯tras. As noted already, very
vinities in the four directions, who are all manifestations of
few of these can be identified iconographically before the
Acala (“imperturbable”), a variant of Aks:obhya’s name.
sixth or even the seventh century, namely Maitreya,
Claiming superiority over all previous tantras, their propaga-
Avalokite´svara, Mañju´sr¯ı, the great goddess Ta¯ra¯, and finally
tors asserted the existence of a sixth, supreme Buddha, who
Vajrapa¯n:i, who begins to come to the fore only at the end
subsumed the fivefold set, and with whom their particular
of this Maha¯ya¯na period. Vajrapa¯n:i has the best-documented
tutelary divinity is identified. He is usually given the name
“career” of all Buddhist divinities and it is he (or rather his
of Vajrasattva (“vajra being”) or Vajradhara (“vajra-holder”),
cult) that results in the Vajraya¯na. He appears together with
both of which are titles of Vajrapa¯n:i in the earlier Yoga Tan-
Padmapa¯n:i (“lotus-holder”), flanking S´a¯kyamuni in several
tras, as has already been noted.
surviving iconographic examples, and the identification of
Padmapa¯n:i with the favorite bodhisattva Avalokite´svara must
Special mention should be made of the Guhyasama¯ja
have suggested a higher status for Vajrapa¯n:i as well. This he
(“secret union”) Tantra, for although this tantra was later
receives in the earliest tantras, but he still heads the lowest
grouped together with the others just mentioned as a so-
of the three families, for it is clearly taught that those who
called Anuttarayoga Tantra (“tantra of supreme yoga”), it ad-
receive consecration in his Vajra family cannot perform rites
heres much more firmly to the fivefold scheme, and although
in the two higher families.
Aks:obhya is made central Buddha of the set of five, the sixth,
supreme Buddha is known as Great Vairocana
It is only in the Yoga Tantras, which become well-
(Maha¯vairocana). Tantras of the “Old School” (Rñin˙-ma-pa)
known from the eighth century onward, that Vajrapa¯n:i
of Tibetan Buddhism are to a large extent based on the five-
comes fully to the fore as the leading bodhisattva, for all the
fold scheme of Yoga Tantras with the addition of fierce di-
man:d:alas are based on the Vajradha¯tu Man:d:ala, even those
vinities of the Heruka type. Their supreme Buddha, as in the
of the Buddha (or All Buddhas) family. It is thus from this
case of those heterodox Tibetan Buddhists, the Bon-pos, is
time on that one may correctly speak of a Vajraya¯na, as dis-
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BUDDHAS AND BODHISATTVAS: CELESTIAL BUDDHAS AND BODHISATTVAS
tinct in many ways from the Maha¯ya¯na. All the later tantras,
When the fifth Dalai Lama reunited Tibet under his
which came to be classed as Tantras of Supreme Yoga, belong
rule in 1642 this same distinction was claimed for him, and
effectively to the Vajra family. It is even said that Vajrapa¯n:i
since then all succeeding Dalai Lamas, while being theoreti-
himself taught them on the instructions of S´a¯kyamuni Bud-
cally reincarnations of their predecessors, are at the same
dha, for although the Yoga Tantras and all earlier ones to-
time honored as incarnations of Avalokite´svara. Other inter-
gether with all Maha¯ya¯na su¯tras are explicitly taught as the
esting high incarnations are those of the Grand Lama of Bkra
word of the Buddha (i.e., S´a¯kyamuni) himself, there was
´
sis lhun po (Tashilhunpo), who is identified traditionally
some understandable hesitancy in attributing the Yogini
with the buddha Amita¯bha, and the abbess of Bsam-sdings
Tantras, as they were earlier called, directly to him. More-
Monastery (now presumably destroyed), near the Yar ’brog
over, as related above, the sixth, supreme Buddha of these
(Yamdrok) Lake, who is identified with the
tantras is named as Vajrasattva or Vajradhara, titles that are
boar-headed partner of the horrific Tantric Buddha
applied exclusively to Vajrapa¯n:i in the Yoga Tantras. Thus
Cakrasam:vara, known as Vajrava¯ra¯h¯ı (“adamantine sow”), a
with these exclusive titles and with a slightly developed
sufficient indication that such “converted” Hindu divinities
iconographic form he attains the highest possible rank in the
were in practice accorded bodhisattva rank.
Buddhist pantheon. It has already been pointed out that no
From the above comments it should be clear that it is
later development ever nullifies earlier ones, with the result
difficult to draw distinctions in late Indian Buddhism and
that Vajrapa¯n:i continues to fulfill all the roles described
in Tibetan religion, which inherits the greater part of Indian
above.
Buddhist traditions, between bodhisattvas and other divini-
Mañju´sr¯ı also becomes the representative of supreme
ties who are effectively raised to bodhisattva rank. Thus, to
buddhahood in the Dharmadha¯tu Man:d:ala; later he receives
my knowledge the position of the four chief goddesses,
a form expressing the union of “means” (upa¯ya) and wisdom
Locana¯, Ma¯mak¯ı, and so forth, as well as that of the feminine
in that he clasps his feminine partner to his breast in the
partners of the great Tantric divinities (who are themselves
manner of all the great Tantric divinities of this class of tan-
manifestly accorded full buddha rank) is scarcely definable
tra. Known as Mañjuvajra, he is in essence identical with
in traditional Buddhist terms. They are all said to be manifes-
Vajradhara/Vajrasattva. On the other hand, Avalokite´svara
tations of the Perfection of Wisdom, at least according to the
remains the most popular of the great bodhisattvas, especially
later Tantric theories, and thus an associate buddha rank
in his triumphant eleven-headed thousand-armed form. But
must be assumed for them. Clearer distinctions, however,
despite his close relationship with Ta¯ra¯, his feminine coun-
continue to remain between buddhas and bodhisattvas, in ac-
terpart, neither he nor she is even thought to have lost their
cordance with the ideas prevalent during the earliest Bud-
virginity. It is interesting to note how all the great bodhisatt-
dhist period. According to purist theories, once a bodhisattva
vas, despite iconographic changes, preserve their most essen-
achieves enlightenment and thereby becomes a buddha
tial attributes throughout the whole history of Buddhism.
(“enlightened”) he effectively passes beyond the realm of im-
Being a powerful queller of the foe, it is Vajrapa¯n:i who forci-
perfect living beings. The fact that S´a¯kyamuni Buddha con-
bly converts the great gods of Hinduism, thus becoming
tinued to work for the good of others during the forty-five
their leader and finally the representative of all terrible divini-
years that elapsed between his enlightenment at the age of
thirty-five and his decease (parinirva¯n:a) at the age of eighty
ties who are raised to high Buddhist rank. Mañju´sr¯ı remains
created a philosophical problem for the philosophers of the
the representative of pure Buddhist teaching (despite his ab-
early schools. Only as bodhisattva can there be no doubt of
errational form as Mañjuvajra): when the followers of Tsong
his ability to respond to the needs of lesser beings. It may
Kha pa (1357–1419) look for a suitably holy lineage for the
be for this reason that some early Buddha images are in-
leader of the reformed Tibetan Dge lugs pa (“yellow hat”)
scribed as bodhisattva images, for S´a¯kyamuni in the earliest
order, they identify him as an incarnation of this particular
period could be regarded as both buddha and bodhisattva.
bodhisattva. Avalokite´svara remains popular for his un-
bounded compassion for the sufferings of all living beings.
The cult of Maitreya as future buddha soon supplied the
In order to save living beings, he is prepared to be born in
need for a bodhisattva, who could still assist living beings so
any of the wretched places of existence, among suffering ani-
long as he had not entered the impassive state of Buddha-
mals or tormented spirits, and even in the regions of hell. It
hood. His cult was followed by that of Avalokite´svara, the
was thus not difficult to suggest that he might also deliberate-
“lord who looks down (in compassion),” doubtless suggested
ly appear on earth as a recognizable incarnation. Since the
by S´a¯kyamuni’s previous existence in the heavens, when as
Tibetans, in accordance with their pre-Buddhist beliefs, ac-
bodhisattva he had looked down on suffering living beings.
cepted their early kings (those from the sixth to the ninth
The whole bodhisattva doctrine represents a remarkable as-
century) as divine representatives from the heavens, it is not
pect of Buddhist religion, expressing a degree of compassion-
at all surprising that the king during whose reign Buddhism
ate concern for others that is either far less developed or lack-
was first introduced into the country (namely Sron brstan
ing altogether in other Indian religious traditions. The
sgam po, d. 650?) should have been retrospectively regarded
distinction between a buddha who represents an ideal state
as an incarnation of the bodhisattva Avalokite´svara.
still to be achieved and a bodhisattva who assists one 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
BUDDHAS AND BODHISATTVAS: ETHICAL PRACTICES
1083
way there remains fairly clear throughout the whole history
Mallmann, Marie-Thérèse de. Introduction à l’iconographie du tân-
of Buddhism. Only rarely can a buddha become an object
trisme bouddhique. Paris, 1975.
of prayer and supplication. One well-known exception is
Snellgrove, David L., ed. The Image of the Buddha. London, 1978.
Amita¯bha, the Buddha of the West. But one may note that
Tucci, Giuseppe. Tibetan Painted Scrolls. 2 vols. Translated by
his cult, so strong in China and Japan, is based upon the
Virginia Vacca. Rome, 1949.
Sukha¯vativyu¯ha Su¯tra, which lists the many aspirations of the
monk Dharma¯kara toward achieving buddhahood in a bud-
DAVID L. SNELLGROVE (1987)
dha paradise, where he may still be available for the solace
of living beings in the most marvelous manner possible. This
particular Buddha cult may therefore be regarded as excep-
BUDDHAS AND BODHISATTVAS: ETHICAL
tional.
PRACTICES ASSOCIATED WITH BUDDHAS
S
AND BODHISATTVAS
EE ALSO Amita¯bha; Arhat; Avalokite´svara; Bodhisattva
Path; Buddha; Buddhism, Schools of, articles on Esoteric
Buddhas and bodhisattvas represent exalted images of ethical
Buddhism, Maha¯ya¯na Philosophical Schools of Buddhism;
perfection in Buddhism. In the midst of the kaleidoscopic
Cosmology, article on Buddhist Cosmology; Ks:itigarbha;
complexity of Buddhist ethical thought and practice, the
Maha¯vairocana; Maitreya; Man:d:alas, article on Buddhist
presence of buddhas and bodhisattvas serve as a universal
Man:d:alas; Mañju´sr¯ı; Nirva¯n:a; Pure and Impure Lands; So-
focal point across traditions.
teriology; Ta¯ra¯; Tatha¯gata.
Buddhist ethics conceives of buddhas and bodhisattvas
within a hierarchy of distinct categories of ethical actors.
BIBLIOGRAPHY
These categories are permeable and this hierarchy is not
References
fixed; as ethical transformation occurs, over lifetimes or in
Beal, Samuel, trans. Si-yu-ki: Buddhist Records of the Western
some rare cases in a single lifetime, an actor’s position is ele-
World (1884). Reprint, Delhi, 1969.
vated (or potentially deescalated) in this ideational ordering
Conze, Edward, trans. and ed. Buddhist Scriptures. Harmonds-
of the ethical universe. It is a general truth that Buddhist tra-
worth, 1959.
ditions highly value the difference between ethical actors.
Conze, Edward, trans. The Large Su¯tra of Perfect Wisdom. Berke-
While all beings have a future potential for enlightenment—
ley, 1975.
and in some traditions an inherent capacity for buddha-
Dayal, Har. The Bodhisattva Doctrine in Buddhist Sanskrit Litera-
hood—the potential to live in the company of those with
ture (1932). Reprint, New Delhi, 1975.
greater capacities than oneself—epitomized in the figure of
Hodgson, Brian H. Essays on the Languages, Literature and Religion
the kalya¯n:amitra, or beautiful friend—is a primary condition
of Nepal and Tibet (1874). Reprint, New Delhi, 1972.
enabling ethical transformation.
Kern, Hendrik, trans. Saddharma¯-Pun:d:ar¯ıka, or The Lotus of the
True Law (1884). Reprint, New York, 1963.
The fluidity in this hierarchy is expressed in many ways,
such as the debates over which category of being represents
Lamotte, Étienne, trans. and ed. La concentration de la marche
héroïque.
Brussels, 1965. A translation of the
the highest ideal of ethical perfection: a buddha or a bodhi-
S´u¯ram:gamasama¯dhi Su¯tra.
sattva. Maha¯ya¯na traditions have sometimes been character-
ized (and criticized) for elevating bodhisattvas over buddhas
Lamotte, Étienne, trans. The Teaching of Vimalak¯ırti. London,
1976. A translation of the Vimalak¯ırtinirde´sa Su¯tra, ren-
because bodhisattvas have postponed their full enlightenment
dered from Étienne Lamotte’s L’enseignement de Vimalak¯ırti
for the sake of others, while the buddhas have entered into
(Louvain, 1962).
nirva¯n:a before all beings have been freed from sam:sa¯ra.
La Vallée Poussin, Louis de, ed. and trans. Vijñaptima¯trata¯siddhi:
Whereas the enlightened powers of the Celestial Bodhisatt-
La Siddhi de Hiuan-tsang. 2 vols. Paris, 1928–1929.
vas may be difficult to distinguish from buddhas, ordinary
Macdonald, Ariane, trans. Le man:d:ala du Mañju´sr¯ımu¯lakalpa.
bodhisattvas—that is, bodhisattvas at lower stages (bhu¯mis) of
Paris, 1962.
the path—may be imperfect in many regards because their
Skorupski, Tadeusz. The Sarvadurgatipari´sodhana Tantra: Elimi-
own transformations are still taking place.
nation of All Evil Destinies. Delhi, 1983.
The conceptions of buddhas and bodhisattvas in Bud-
Snellgrove, David L. Indo-Tibetan Buddhism, Indian Buddhists
dhist ethical practices are shaped to a significant degree by
and Their Tibetan Successors. Boston and London, 1986.
the Buddhists who stand in relationship to these enlightened
Snellgrove, David L., and Tadeusz Skorupski. The Cultural Heri-
beings. buddhas and bodhisattvas are the heroes of Buddhist
tage of Ladakh. 2 vols. Warminster, 1977–1980.
traditions; their extraordinary acts of compassion mitigate
Tucci, Giuseppe. Indo-Tibetica. 4 vols. Rome, 1932–1941.
suffering in the world. They are also role models for escaping
Further Reading
the suffering of sam:sa¯ra for oneself and for others. The inter-
Bhattacharyya, Benoytosh. The Indian Buddhist Iconography
cession of buddhas and bodhisattvas is sought because of both
(1924). 2d rev. ed. Calcutta, 1958.
their power as heroes and their accessibility as role models.
Getty, Alice. The Gods of Northern Buddhism (1914). Reprint, Ox-
BUDDHAS AND BODHISATTVAS AS MORAL HEROES. The
ford, 1963.
originating moment of the bodhisattva path—the arising 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
1084
BUDDHAS AND BODHISATTVAS: ETHICAL PRACTICES
bodhicitta—is nothing short of heroic. The aspiration for en-
santara ja¯taka emphasize the outrageousness of these actions,
lightenment is a vow to free all beings from suffering; the
as well as the high stakes for everyone involved—his children
enormity of this commitment is unparalleled—the weight of
beg to be released from bondage from the cruel, torturous
the world’s suffering rests upon the bodhisattva’s shoulders.
Brahmin, his wife writhes in physical and psychic agony
The power of this vow is captured by S´a¯ntideva, an Indian
upon discovering the loss of her children, and even Vessan-
monk believed to have lived in the seventh and eighth centu-
tara is tormented by the effects of his boundless generosity.
ries CE. In his exposition of the bodhisattva path—the famous
Vessantara’s actions take place, from this perspective, on
Bodhicarya¯vata¯ra—he writes: “As long as space abides and as
a normal moral stage. His actions, regardless of intent or mo-
long as the world abides, so long may I abide, destroying the
tivation for the future attainment of buddhahood, cause
suffering of the world”(Crosby & Skilton, 1995:143). Mak-
pain. In fact, as Buddhist commentators from a variety of
ing the vow is an ethical act that recreates a person as a bodhi-
time periods have argued, his actions are not unquestionably
sattva and sets the ethical course they will follow. While the
ethical. The bodhisattva’s actions are so different in degree
ability to actualize this commitment is far in the future—
from the norm of ethical practices so as to be a different kind
indeed, potentially numerous lifetimes in the future—the in-
of ethical action altogether. Because of this, the story is not
tention to realize this goal establishes the bodhisattva as a par-
meant to inspire imitation, but rather devotion. While the
ticular and extraordinary category of ethical actor. The obli-
Vessantara story may be a source of inspiration for the ethical
gations and challenges of this bodhisattva identity can at first
life, the actions it describes must be translated into a human
evoke fear and self-doubt as well as determination, as
morality. So, whereas it is not moral for a person to give away
S´a¯ntideva so evocatively articulates. Buddhas and bodhisatt-
a child or a spouse in every circumstance, it is a valid moral
vas serve as both inspiration and protection for bodhisattvas
choice, for instance, to give one’s children to the san˙gha.
undergoing the process of ethical transformation as they
move through the stages of the path.
Heroic actions inspiring imitation. In certain in-
stances extraordinary Buddhists have directly imitated the
Heroic actions of buddhas and bodhisattvas. Bud-
heroic actions of buddhas and bodhisattvas. A powerful ex-
dhas and Celestial Bodhisattvas actualize the power of their
ample can be found in the self-immolation of Vietnamese
vows through ethical actions that appear nothing short of
monks during the Vietnam War—a dramatic demonstration
miraculous. The heroics of buddhas and bodhisattvas also lay
of both commitment to Buddhist tradition and to the power
in the miraculous, superhuman qualities of their actions. As
of Buddhist ethical practices as a form of protest. As William
fully enlightened beings, buddhas are perfectly ethical; thus
LaFleur has argued, this modern-day act had precedence in
ethics and soteriology are significantly intertwined. Among
the story of the Bodhisattva Bhaisajyaguru, in the
the perfections (pa¯ramita¯s) cultivated on the bodhisattva
Saddharmapun:d:ar¯ıka, who devotedly lights himself on fire
path is a specific virtue, ´sila¯, often translated as morality. Yet
as offering to the buddhas. The heroics in both cases—
all the pa¯ramita¯s, including vigor (v¯ırya), meditation
historical and textual—draw stark distinctions between the
(dhya¯na), and wisdom (prajña¯) are resources for the ethical
ethical agents capable of such extraordinary acts, and the
life.
more ordinary beings, who, although perhaps awed, might
Buddhas’ enlightened status enables them to act with
also have confused these actions different not only in kind
absolute morality. This is modeled in some traditions, such
but also in degree from the standards for Buddhist ethical
as Chan or Zen, as perfect responsiveness—an enlightened
life.
being instantaneously responds exactly as a situation de-
Heroic actions inspiring devotion. Devotion inspired
mands. These actions, however, may not always be under-
by the heroics of buddhas and bodhisattvas alike is an impor-
stood by those without an enlightened perspective. Actions
tant resource for ethical cultivation. Buddhist traditions
by buddhas and bodhisattvas can actually appear to be con-
value celebrating the good deeds of others as beneficial and
trary to moral prescriptions and ethical values. A famous ex-
efficacious for generating merit, as well as engendering grati-
ample of this is the parable told by the buddha in the
tude towards buddhas and bodhisattvas. The descriptions of
Saddharmapun:d:ar¯ıka, Lotus Su¯tra, in which a rich man lies
the celebratory responses to the heroics of buddhas and bo-
to his children in order to get them out of a burning house.
dhisattvas are among the most beautiful narrations in Bud-
His actions are viewed not as a deception, but as upa¯ya, a
dhist literature, in which a whole universe—animals, hu-
skillful means to most effectively teach the Dharma to beings
mans, gods and goddesses, as well as the material world—
in its most effective form.
responds with cheers of adulation, showers of flowers, and
skies filled with rainbows. Lotus flowers arise from the earth
The extraordinary quality of a buddha’s or bodhisattva’s
to accept the tiny foot of the newborn baby who strides in
actions raises the question of whether imitation is desirable
each direction at his birth announcing his destiny to become
or possible. Take for example the extraordinary act of da¯na
the buddha. Thus, Buddhist traditions posit a world that is
(giving) in the buddha’s penultimate lifetime as a bodhisatt-
not ethically neutral; it is a moral world in which people live.
va, when he was born as the prince Vessantara. He gives away
not only his kingdom’s auspicious white elephant, but also
It would be a mistake to assume that devotion is tran-
his two children and his wife. Different versions of the Ves-
scended at a certain stage of ethical or spiritual development.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHAS AND BODHISATTVAS: ETHICAL PRACTICES
1085
Many Buddhist traditions emphasize that the experience of
bodhisatta who will become buddhas following the next bud-
enlightenment should create a heightened sense of gratitude
dha, Metteyya. While Therava¯din descriptions of bodhisattas
towards the buddhas. In his autobiography, Itsumadegusa,
remained primarily hagiographical, and primarily (although
Hakuin, a seventeenth century Rinzai Zen monk, describes
not exclusively) tied to the ja¯taka lifetimes of Gotama, some
his commitment to teaching other monks as a way to repay
systematic formulations of a bodhisatta path did emerge in
the debt he felt he owed to the buddhas and his lineage patri-
the Therava¯din commentarial and post-commentarial litera-
arch. Many other examples from various Buddhist traditions
ture. Inscriptions and colophons from different parts of the
emphasize the gratitude enlightened beings feel as they re-
Therava¯din world suggest that practices paralleled the broad-
flect upon the care they received at every stage of their own
ening of textual representations as some adherents conceived
process of transformation. This gratitude necessitates a recip-
of their own future lifetimes, if not their present ones, as em-
rocal devotion to caring for others.
barking upon the bodhisattva path.
B
Models for ethical transformation. Fascinating tem-
UDDHAS AND BODHISATTVAS AS ETHICAL ROLE MODELS.
Devotion for buddhas and bodhisattvas, inspired by their
poral issues are raised when we consider buddhas and bodhi-
super-human achievements, is not antithetical to the desire
sattvas as ethical role models. From one perspective these fig-
to form oneself in their image. As ethical role models, bud-
ures offer an inspiring vision of the ethical being they aspire
dhas and bodhisattvas are paradigms of virtues—their paths
to become in the future, often a future lifetime, as it seems
to enlightenment become the templates for ethical transfor-
impossible for many Buddhists to attain this level of perfec-
mation.
tion in their present conditions. This future-orientation is
powerfully at play in the bestowal of a prediction, vya¯karan:a,
It is important to ask what people would have been like-
that is a condition of buddhahood for every bodhisattva. In
ly to view the buddhas and bodhisattvas as role models for
order to become a buddha, a bodhisattva must first receive
their own practices and goals. The bodhisattva path, system-
a prediction of their future buddhahood directly from anoth-
atized in different forms by Buddhist traditions, is the most
er buddha. In this prediction a buddha describes the details
basic model for attaining the achievements of buddhas and
of the bodhisattva’s future biography when buddhahood will
bodhisattvas. Each stage of the path is a form of ethical prac-
finally be attained. The buddha significantly models this fu-
tice. The arising of bodhicitta, the practice of the perfections
ture to be fulfilled by the bodhisattva. The prediction power-
and the movement through stages of the path, entail com-
fully shapes the present as well as the face-to-face encounter
mitments, obligations, and increasing resources for ethical
between buddha and bodhisattva, narrated for example in the
life. A general assumption in scholarship—informed to a sig-
Pali Buddhavam:sa, gives the bodhisatta a vision of the perfect
nificant degree by rhetoric in Maha¯ya¯na su¯tras—posits an
being he will become in the future.
extreme contrast between the exclusivity of the H¯ınaya¯na
The bridging of present reality with future ideals is ac-
conception of the bodhisattvas path with the Maha¯ya¯na ideal
complished in a variety of practices directed at generating
of a universal path open to all beings. Indeed, the polemic
and experiencing the virtues and powers of enlightened be-
term H¯ınaya¯na (lesser vehicle) directly represents the
ings. Through the recitation of the buddha’s names in the
Maha¯ya¯na critique that these early Buddhist traditions—the
practice of buddha¯nusmr:ti (remembrance of the buddha) the
Thera¯vada being the only one now extant among them—
qualities of the buddha described in these honorific titles
settled for the less ethically robust figure of the arhant, a
begin to be embodied by the practitioner. The Vajraya¯na
being, according to the Maha¯ya¯na critics, who attains en-
practice of deity yoga leads the meditator to an experience
lightenment for his or her own benefit alone.
of identification with a buddha during the course of the visu-
Textual evidence suggests a historical development of
alization.
the bodhisattva ideal and path in both Maha¯ya¯na and
As Buddhist traditions have changed in different times
Therava¯din traditions. Recent studies by scholars such as
and places so too have the imaginations of how to best follow
Paul Harrison and Jan Nattier argue that the Maha¯ya¯na
the ethical imperatives for bodhisattvas and buddhas. In the
ideals of a universal path were not present in early formula-
post-modern, global Buddhist world, the imitation of classi-
tions of the Maha¯ya¯na in the first centuries of the Common
cal ideals has continued. For example, throughout the
Era. In early su¯tras the bodhisattva ideal and the practitioners
Therava¯dan world ordination ceremonies include a re-
who modeled themselves after it were an exclusive minority
enactment of the buddha’s departure from his palace as he
of male monastic practitioners and even fewer male house-
began his six-year struggle for enlightenment. Imitation has
holders. If the Maha¯ya¯na universal imperative of buddha-
also given way to adaptation as Buddhists re-imagine what
hood broadened in conception and practice over time, these
actions best emulate the compassion of buddhas and bodhi-
ideals were not absent from Therava¯din traditions either.
sattvas. The Engaged Buddhist movement, led by figures like
Therava¯din traditions developed a more inclusive category
the Vietnamese monk Thich Nhat Hanh, image a universal
of the bodhisatta (the Pali form of the Sanskrit word “bodhi-
practice of the bodhisattva path. Engaged Buddhism advo-
sattva”) in the medieval period, expanding narrative tradi-
cates a broad range of social conscious living such as partici-
tions to include a fuller accounting of the bodhisatta path of
pation in peace rallies, prison advocacy, and even recycling
Gautama as well as a more populous pantheon of additional
as bodhisattva acts.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1086
BUDDHAS AND BODHISATTVAS: ETHICAL PRACTICES
THE INTERCESSION OF BUDDHAS AND BODHISATTVAS. As
venes in order to promote the success of further ethical devel-
moral heroes and ethical role models, buddhas and bodhisatt-
opment. Jizo¯’s concealed identity in these narratives empha-
vas intercede in the lives of others in order to extinguish suf-
sizes both the worthiness of the person receiving his aid, as
fering in its endless varieties and support individuals and
well as the intent of the bodhisattva to encourage the success
communities in their ethical practices. Acts of intercession
of that person, rather than to primarily draw attention to the
illuminate the heroic depths of buddhas’ and bodhisattvas’
bodhisattva’s power and virtues.
compassion—a compassion that is active and effective. Im-
Buddhas and bodhisattvas as ethical refuges. Bud-
portant Buddhist conceptions of ethical agency underlie the
dhas and bodhisattvas may also directly intercede in moments
many different ways buddhas and bodhisattvas contribute to
of crisis in order to prevent a being from causing physical and
the ethical lives of others. For the devotee, the petition to a
karmic harm to themselves or others. In many narratives they
buddha or bodhisattva and the confidence in their response
are imagined as the final refuge for beings who have found
underlies two basic conceptions of Buddhist ethics: first, that
no other resources to redress their suffering. The concept of
while existence is governed by the first noble truth of the
a buddha, and by extension, a bodhisattva, as one of three
ever-present reality of suffering, this suffering can be alleviat-
Refuges has a heightened ethical significance in stories,
ed by the compassionate intervention of buddhas and bodhi-
found in every Buddhist tradition, which describe the precise
sattvas; and following directly from this, Buddhist ethics de-
ways buddhas and bodhisattva prevent harm and bring relief.
mands that the ethical person conceive of their dependence
There are countless examples of these forms of intercession.
on others for their own well-being. Communal agency is pri-
For example, in the famous story of An˙gulima¯la, a moral
oritized over autonomy. Beings depend upon the aid of oth-
young man is commanded by his teacher to make him a
ers in order to reach the heights of ethical perfection as bud-
necklace out of 1,000 fingers. Just as he is about to complete
dhas and bodhisattvas—a perfection that is desired in order
his necklace by murdering his own mother, the Buddha mi-
to more effectively aid others in turn.
raculously intervenes, preventing the heinous sin of matri-
While every bodhisattva makes a generalized vow to alle-
cide and setting An˙gulima¯la on an ethical course ultimately
viate suffering, buddhas and Celestial Bodhisattvas are differ-
ending in enlightenment.
entiated by their individualized vows to address suffering
Moral challenges directly confronting ethical self under-
with particular forms of compassion. As a bodhisattva,
standing can find a resolution through the intervention of
Amita¯bha Buddha, for example, vowed to become Buddha
buddhas and bodhisattvas, who can re-establish conceptions
of Infinite Light, of Infinite Life, and to create a Pure Land,
of integrity for ethical actors. People who perceive themselves
Sukha¯vat¯ı, where all beings who said his name would be re-
as harming others can, through a separate set of actions di-
born. In his or her variety of regional, gendered and icono-
rected towards a buddha or bodhisattva, either redress the
graphic forms, the Celestial Bodhisattva Avalokite´svara is the
particular wrong committed or establish their moral worthi-
hero among heroes who saves beings in the sam:sa¯ric world
ness. Practices from various traditions and time periods show
from suffering in whatever form it takes. This bodhisattva’s
how recourse to interaction with buddhas and bodhisattvas
interventions, such as granting a child to the infertile, or res-
provides a redemptive space for those who have faced and
cuing the shipwrecked from certain death, display the ever-
perceived failure in an ethical crisis. One might think of the
ready responsiveness of the bodhisattva to the particularities
devotional programs of the legendary King Asoka as, in part,
of suffering. These examples of intercession are responses to
a response to the warfare of his early reign; or the trials of
petitions for aid made by engaging in devotional activities
the Tibetan yogi, Milarepa—designed by his teacher Marpa,
such as reciting a mantra or a su¯tra, or leaving offerings at
a living buddha—to cleanse the karma produced in his mur-
a bodhisattva shrine. The methods for invoking a buddha’s
derous youth; or the modern Japanese practices of mizuko
or bodhisattva’s aid is in some cases precisely defined, as in
kuyo¯, where devotional offerings are made to the Bodhisattva
the Bhais:ajyaguru su¯tras—the su¯tras of the Medicine Bud-
Jizo¯—the caretaker of dead children—by those who have
dha—that instruct the devotee how to rid oneself of physical
had an abortion. These forms of intervention for redressing
illness.
or establishing ethical identity are inherently complex reli-
gious-social phenomena, as illuminated by this final example
A decidedly different conception of the un-requested in-
where gender, economic, and political factors—as well as
tervention of a buddha or bodhisattva is seen as a response
ethical ones—are at play.
to the ethical achievements of particular actors. In these in-
stances, a buddha or bodhisattva intervenes to support and
The ethical formulation of dependency arguably reaches
encourage the dedicated practitioner striving for ethical ful-
its fullest form in the thinking of Shinran, the twelfth- and
fillment. In Japan, for example, the Bodhisattva Jizo¯, often
thirteenth-century founder of Jo¯do Shinshu¯. In his teach-
disguised as a young monk, appears to support the beneficial
ings, the only possibility for ethical action is to give oneself
activities of those desiring to follow an ethical path, such as
over completely to the Other power of Amida Buddha, who,
a monk on austere retreat or a devotee leaving offerings at
as the Bodhisattva Dharmakara, vowed to end the suffering
a shrine. In these instances, it is precisely in response to the
of all beings and to bring all who say his name to enlighten-
already present ethical qualities that the bodhisattva inter-
ment through rebirth in his Pure Land, Sukha¯vat¯ı. It is 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
BUDDHISM: AN OVERVIEW
1087
recognition of one’s own complete inability to act ethically
nal of the International Association of Buddhist Studies 10, no.
that enables the compassion of Amida to transform one into
1: 67–89. See also Jan Nattier’s A Few Good Men: The Bodhi-
an ethical actor. According to Shinran’s thought, the devotee
sattva Path according to the Inquiry of Ugra (Honolulu,
neither inspires nor invokes Amida’s compassion; rather,
Hawai’i, 2003).
Amida is the sole agent in bringing about the ethical forma-
KAREN DERRIS (2005)
tion of his devotees. Without Amida, Shinran estimated, he
was completely without options for leading an ethical life.
This emphasis on the power of a buddha to shape the
BUDDHISM
ethical life of beings is not exclusive to Pure Land traditions.
This entry consists of the following articles:
While not articulated with the same direct emphasis as with
AN OVERVIEW
Shinran, there is, in the Therava¯din traditions, for example,
BUDDHISM IN INDIA
the conception that the presence of a buddha—through
BUDDHISM IN SOUTHEAST ASIA
BUDDHISM IN CENTRAL ASIA
physical proximity in his lifetime or through his relics after
BUDDHISM IN MONGOLIA
his parinibba¯na—can change people’s destinies. Hagio-
BUDDHISM IN TIBET
graphical accounts of the buddha’s teaching career are filled
BUDDHISM IN CHINA
BUDDHISM IN KOREA
with stories of the multitudes of people who quickly attained
BUDDHISM IN JAPAN
arahatship upon receiving the Dharma from the Buddha.
BUDDHISM IN THE WEST
In addition to these generalized patterns, narratives also
depict personalized encounters with the Buddha Gautama.
BUDDHISM: AN OVERVIEW
The evocative story of Patta¯ca¯ra, recorded in the Pali
[This article attempts to identify certain of the elements and
Ther¯ıg¯ıtha¯, describes how the Buddha’s intercession changes
structures that have constituted the Buddhist tradition as it has
the ethical destiny of a woman whose grief at the loss of her
evolved over the past twenty-five hundred years. It traces a com-
entire family renders her insane, wandering naked as an out-
plex of social and ideological formations that have allowed it to
cast from society. The Buddha becomes literally her last ref-
develop from a small religious community to a “universal” reli-
uge; he is the only one who clearly perceives her naked rav-
gion associated with empire, to an important component in the
ings as an exposure of suffering. The encounter brings sanity,
several cultures of Buddhist Asia, to a tradition faced with the
a new family in the san˙gha, and ultimately, enlightenment.
problems raised by modernity and contact with the West.]
Attaining enlightenment is not the ultimate goal for Bud-
The concept of Buddhism was created about three cen-
dhist ethical life; rather, it is to continue to aid others, both
turies ago to identify what we now know to be a pan-Asian
through acts of heroic intervention and, like Patta¯ca¯ra, by
religious tradition that dates back some twenty-five hundred
serving as an inspiring role model for others.
years. Although the concept, rather recent and European in
SEE ALSO Buddha; Buddhism, articles on Buddhism in
origin, has gradually, if sometimes begrudgingly, received
Japan and Buddhism in Tibet; Buddhism, Schools of, arti-
global acceptance, there is still no consensus about its defini-
cle on Tibetan and Mongolian Buddhism; Celestial Bud-
tion. We can, however, identify two complementary mean-
dhas and Bodhisattvas.
ings that have consistently informed its use. First, it groups
together the thoughts, practices, institutions, and values that
BIBLIOGRAPHY
over the centuries have—to use a phrase coined by the
For a translation and useful introduction to Santideva’s
French Buddhologist Louis de La Vallée Poussin—
Bodhicarya¯vata¯ra, see Kate Crosby and Andrew Skilton, Bod-
“condensed around the name of the Buddha.” The implicit
hicaryavatara (Oxford, 1995). An engaging introduction to
conclusion of this usage is that Buddhism is, in short, what-
the Pure Land traditions of Shin Buddhism and Shinran’s
ever Buddhist men and women have said, done, and held
teachings on issues of ethical agency can be found in Taitetsu
dear. Second, the concept suggests some unifying character
Unno’s River of Fire, River of Water (New York, 1998).
or order in the overwhelming diversity encompassed by the
Among the many studies of the bodhisattva path, Paul Har-
first usage. The beginning of this ordering process has often
vey’s An Introduction to Buddhist Ethics (Cambridge, U.K.,
2000) provides a useful overview of ethical conceptions of
been to consider Buddhism as an example of larger catego-
buddhas, bodhisattvas and the bodhisattva path. There are
ries, and thus Buddhism has been variously labeled a religion,
several excellent introductions to Buddhism containing in-
a philosophy, a civilization, or a culture. It must be admitted,
sightful chapters on conceptions and roles of buddhas and
however, that no single ordering principle has been found
bodhisattvas in Buddhist traditions, such as Donald S.
that takes full account of the data included within the first
Lopez’s The Story of Buddhism (San Francisco, 2000). For a
meaning. This admission stands as a rebuke of the limita-
brief but helpful discussion of practices of self-immolation
tions of our current understanding, and as a continuing chal-
practiced, see William R. Lafluer’s Buddhism (Upper Saddle
lenge to go further in our descriptions and explanations.
River, N.J., 1988). For historical studies of early Maha¯ya¯na
movements and bodhisattva practices see Paul Harrison,
When the first meaning of Buddhism, which empha-
“Who Gets to Ride on the Great Vehicle? Self Image and
sizes its encompassment of accumulated traditions, is placed
Identity among the Followers of the Early Maha¯ya¯na,” Jour-
in the foreground, the resulting conception is indeed 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
1088
BUDDHISM: AN OVERVIEW
prehensive. The further scholarship proceeds, the more com-
Therava¯da (Way of the Elders) and Sarva¯stiva¯da (All Things
prehensive this conception becomes, because Buddhists have
Are Real) schools, emphasized the no-soul idea and the reali-
done in the name of the Buddha almost everything that other
ty of the constituents (dharmas) of the world. A middle
humans have done. Buddhists have, of course, been con-
phase, represented by the Ma¯dhyamika (Middle Way)
cerned with living religiously, some with the aim of salvation,
school, introduced the idea of the ultimate emptiness
and they have created traditions of belief and practice that
(´su¯nyata¯) of all phenomena. A third period, represented by
help to realize these aspirations. But they have been con-
the Vijña¯nava¯da (Consciousness Only) school, was philo-
cerned with much more as well. Buddhists have built cities
sophically idealistic in character. The limitations of this
sanctified by monuments dedicated to the Buddha and they
philosophical division are severe in that it only touches cer-
have cultivated their crops using blessings that invoke his
tain aspects of Buddhism and acknowledges no significant
name. They have written self-consciously Buddhist poems
development after the fifth century CE.
and plays as well as highly technical works of grammar and
Other scholars have elaborated a schema based on po-
logic that begin with invocations to the Buddha. They have
lemical divisions within the Buddhist community. They
commended nonviolence, but they have also gone to war
have focused attention on three great Buddhist “vehicles”
with the name of Buddha on their lips. They have valued cel-
(ya¯na) that are characterized by different understandings of
ibacy, but have also written erotic manuals and rejoiced in
the process and goal of salvation. The H¯ınaya¯na, or Lesser
family life, all in the name of Buddha. Buddhists have creat-
Vehicle, elaborated a gradual process of individual salvation,
ed subtle philosophical concepts, such as the absence of self
and in that context distinguished among the attainment of
(ana¯tman), which are contravened by other ideas and values
an arhat, the attainment of a pratyekabuddha (one who
they have held. Like other human beings, Buddhists have
achieves enlightenment on his own but does not become a
been inconsistent and even contradictory, and they have
teacher), and the attainment of a fully enlightened Buddha
been both noble and base in what they have said and done.
who teaches others the way to salvation. The Therava¯da and
Although most scholars have at some level accepted this
Sarva¯stiva¯da schools mentioned above are two of the major
first conception of Buddhism as a diverse cumulative tradi-
schools that are included under the H¯ınaya¯na rubric. The
tion, few have been content to allow this encompassing no-
term H¯ınaya¯na was in its origins a pejorative name coined
tion to prevail. They have sought to discover what ideals and
by the adherents of a new movement, self-designated as the
values have inspired Buddhists, or to formulate generaliza-
Maha¯ya¯na, or Great Vehicle, which generated new texts and
tions that will help us to see the behavior of individuals as
teachings that were rejected by the H¯ınaya¯nists.
distinctively Buddhist. Some scholars have singled out a pat-
Like the adherents of the H¯ınaya¯na, the Maha¯ya¯nists
tern, an idea, or a cluster of ideas that they felt was important
elaborated a gradual path of salvation lasting over many life-
enough to provide continuity through Buddhist history, or
times, but their emphasis was different in two very important
at least sufficient to suggest a coherence to the variety. Im-
and related respects. They held that an individual’s soterio-
portant candidates for this “key” to Buddhism are the pur-
logical process could be aided and abetted by what some
ported teaching of the founder of Buddhism, Gautama,
Maha¯ya¯na schools came to designate as “other-power,” and
which provides an essence that has unfolded over the centu-
they recognized, ultimately, only one soteriological goal—
ries; the monastic organization (sam:gha), whose historical
the attainment of fully realized Buddhahood. The Vajraya¯na
continuity provides a center of Buddhist practice and a social
(Diamond Vehicle), which is also known as Mantraya¯na (Sa-
basis for the persistence of Buddhist thought and values; the
cred Sounds Vehicle), Esoteric Buddhism, or Tantric Bud-
closely related ideas of nonself and emptiness (ana¯tman,
dhism, accepted the basic approach and goal of the
´su¯nyata¯), realized through insight, which are said to mold
Maha¯ya¯na, but felt that individual realization could be ac-
Buddhist behavior; and the goal of nirva¯n:a as the purpose
complished more quickly, in some cases even in this present
of life. While such patterns and notions are very important
life. The Vajraya¯nists described the practices that lead to this
for Buddhist sociology and soteriology, they also omit a great
attainment in texts called tantras that were not accepted by
deal. Moreover, we can see that the element that is singled
either the H¯ınaya¯na or the Maha¯ya¯na schools. Although this
out as important is often distictive to Buddhism only in com-
H¯ınaya¯na/Maha¯ya¯na/Vajraya¯na schema is probably the
parison with other religions or philosophies and cannot serve
most common one used by scholars to divide Buddhism into
as a core that informs the entire corpus of Buddhist beliefs,
more manageable segments, it too has serious drawbacks. It
rituals, and values.
underestimates the significance of developments after the
first millennium of the common era and it tends to overem-
Scholars have also sought to identify the characteristic
phasize certain traits therein as extreme differences, beyond
order of Buddhism by dividing the cumulative tradition into
what is warranted by history.
more manageable parts, whether by chronology, by school,
or by country. Some scholars, following the Buddhist histori-
Finally, scholars have recognized that Buddhism has al-
ans Bu ston (1290–1364) and Ta¯rana¯tha (1574–1608), have
ways been deeply shaped by its surrounding culture. The
divided Buddhism into three periods, mainly along philo-
Buddhist tradition has been more accretive in its doctrine
sophical lines. A first phase, represented by the early
and practice than the other great missionary religions, 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
BUDDHISM: AN OVERVIEW
1089
tianity and Islam. It has shown an enduring tendency to
BUDDHISM AS SECTARIAN RELIGION. Buddhism began
adapt to local forms; as a result we can speak of a transforma-
around the fifth or fourth century BCE as a small community
tion of Buddhism in various cultures. The extent of this
that developed at a certain distance, both self-perceived and
transformation can be seen in the difficulty that the first
real, from other contemporary religious communities, as well
Western observers had in recognizing that the religion they
as from the society, civilization, and culture with which it co-
observed in Japan was historically related to the religion
existed. Thus, we have chosen to characterize the Buddhism
found in Sri Lanka. This cultural division of Buddhism into
of this period as “sectarian.”
Tibetan Buddhism, Chinese Buddhism, and so forth has
been most successfully applied to the more recent phases of
It is quite probable that Buddhism remained basically
Buddhist history, especially to contemporary developments.
a sectarian religion until the time of King A´soka (third centu-
Its dangers are, of course, quite obvious: above all, it conceals
ry BCE). Whether this was a period of approximately two
the Buddhist tradition’s capacity to transcend the boundaries
hundred years, as some scholars, dating the death of the Bud-
of culture, politics, and nationality.
dha around 486 BCE, maintain, or of approximately one hun-
dred years (accepting a death date around a century later) as
The general trends of scholarship on Buddhism in this
others contend, it was by all accounts a crucial period in
century have been within such accepted divisions of the cu-
which many elements and patterns were established that have
mulative tradition, with the result that our sense of Bud-
remained fundamental to subsequent phases of Buddhist
dhism’s historical continuity has been greatly obscured. The-
thought and life. Despite the importance of this early phase
odore Stcherbatsky, a Soviet Buddhologist, is in this regard
of Buddhist history our knowledge about it remains sketchy
a representative example. He adopted Bu ston’s tripartite
and uncertain. Three topics can suggest what we do know:
“philosophical” division of Buddhist history and, in his Con-
the source of authority that the new Buddhist community
ception of Buddhist Nirva¯n:a (Leningrad, 1927), commented
recognized, the pattern of development in its teaching and
on the transition between the first phase and the second
ecclesiastical structures, and the attitude it took toward mat-
phase as follows: “the history of religions has scarcely wit-
ters of political and social order. In discussing these three
nessed such a break between new and old within the pale of
topics we shall identify some of the main scholarly opinions
what nevertheless continued to claim common descent from
concerning them.
the same religious founder” (p. 36). Similar statements
pointing to radical discontinuity have been made from the
One primary factor that both accounts for and expresses
perspective of the soteriological and cultural forms of Bud-
Buddhism’s emergence as a new sectarian religion rather
dhism as well.
than simply a new Hindu movement is the community’s rec-
The investigation of each segment of the Buddhist cu-
ognition of the ascetic Gautama as the Buddha (“enlightened
mulative tradition is now generally done in isolation from
one”) and of the words that he had reportedly uttered as a
other segments. This strategy has had remarkable success in
new and ultimate source of sacred authority. The recognition
our discovery of the imprint of Buddhist thought and prac-
of the Buddha’s authority was based on an acceptance of the
tice in areas far beyond the monasteries, beyond the level of
actuality and relative uniqueness of his person and career,
elite groups. In small domains scholars have begun to see pat-
and of his enlightenment experience in particular. It was
terns in the full extent of phenomena grouped under the
based on the conviction that through his enlightenment he
name of Buddhism. At the same time, contemporary scholar-
had gained insight into the dharma (the Truth). This includ-
ship often risks missing the forest for the trees. Our advances
ed the aspect of truth that he had formulated more “philo-
in particular areas of research may be at the price of the schol-
sophically” as, for example, in the teaching concerning the
ar’s unique vision of Buddhism as a pan-Asian tradition.
dependent co-origination (prat¯ıtya-samutpa¯da) of the various
elements that constitute reality, and also the aspect of truth
As is often the case in the study of religion, however,
he had formulated more soteriologically, as summarized, for
the scale of investigation is decisive. This article will discuss
example, in the classic delineation of the Four Noble Truths
Buddhism on a general level and will highlight continuities
(that reality is permeated with suffering, that desire is the
rather than disjunctions within the tradition. These con-
cause of suffering, that the cessation of suffering is a possibili-
tinuities cannot be found in any static essence or core thread-
ty, and that there is a path that leads to a cessation of suffer-
ing its way through all of Buddhist history. They will be
ing). Finally, the Buddha’s authority was based on the confi-
traced here by following certain elements that have been pre-
dence that the teachings and actions that had flowed from
served in a changing series of structures, expanded to meet
his enlightenment had been accurately transmitted by those
new needs, and brought into relation with new elements that
who had heard and seen them.
are continuously being introduced. We will, in other words,
identify various elements and successive structures that have
From certain stories preserved in the tradition it seems
constituted Buddhism as it developed from a small commu-
that there were some challenges to the Buddha’s authority.
nity of mendicants and householders in northeastern India
For example, there are numerous reports that even during his
into a great “universal” religion associated with empire, civi-
own lifetime a more ascetically inclined cousin named Deva-
lization, and culture in various parts of Asia, and ultimately
datta tried to take over leadership of the new movement.
with “modernity” and the West as well.
Such challenges were successfully met by the Buddha and 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
1090
BUDDHISM: AN OVERVIEW
those who carried on the tradition. As a result, later contro-
account. Early Buddhists were concerned to gain royal pa-
versies concerned not so much the authority of his teachings
tronage and were often successful in their efforts; they appro-
and actions as their content and correct interpretation.
priated royal symbolism in their depiction of the Buddha
and his career; they maintained their own explicitly anti-
There is less scholarly agreement concerning the more
Brahmanic conception of kingship and social order, in the
specific content of the early Buddhist teaching and about the
Aggañña Sutta, for example; and they encouraged a respect
closely related question of the structure of the early Buddhist
for authority and moral decorum conducive to civil order
community. Three conflicting interpretations have been set
and tranquillity. Thus, within the sectarian Buddhism of the
forth, each defended on the basis of detailed text-critical re-
early period, there were a number of elements that prepared
search. Some scholars have maintained that early Buddhism
the way for the “civilizational Buddhism” that began to
was a movement of philosophically oriented renouncers
emerge during the reign of King A´soka.
practicing a discipline of salvation that subsequently degen-
erated into a popular religion. A second group has contended
BUDDHISM AS CIVILIZATIONAL RELIGION. Buddhism has
that Buddhism was originally a popular religious movement
never lost the imprint of the sectarian pattern that character-
that took form around the Buddha and his religiously inspir-
ized its earliest history, largely because the sectarian pattern
ing message, a movement that was subsequently co-opted by
has been reasserted at various points in Buddhist history. But
a monastic elite that transformed it into a rather lifeless cleri-
Buddhism did not remain a purely sectarian religion. With
cal scholasticism. A third group has argued that as far back
the reign of King A´soka, Buddhism entered a new phase of
as there is evidence, early Buddhist teaching combined philo-
its history in which it became what we have chosen to call
sophical and popular elements, and that during the earliest
a “civilizational religion,” that is, a religion that was associat-
period that we can penetrate, the Buddhist community in-
ed with a sophisticated high culture and that transcended the
cluded both a significant monastic and a significant lay com-
boundaries of local regions and politics. By the beginning of
ponent. This argument, which is most convincing, has in-
the common era Buddhism’s civilizational character was well
cluded the suggestion that the philosophical/popular and
established in various areas of India and beyond. By the mid-
monastic/lay dichotomies should actually be seen as comple-
dle centuries of the first millennium CE, Buddhism as a civil-
ments rather than oppositions, even though the understand-
izational religion had reached a high level of development
ings of the relative importance of these elements and their
across Asia. However, the signs of the transition to a new
interrelationships have varied from the beginning of the
stage had already begun to appear by the sixth and seventh
Buddhist movement.
centuries CE.
By the time of the Second Buddhist Council, held in
History and legend of the A´sokan impact. A´soka (r.
the city of Vai´sa¯l¯ı probably in the fourth century BCE, the
circa 270–232 BCE) was the third ruler in a line of Mauryan
Buddhist community already encompassed two competing
emperors who established the first pan-Indian empire
assemblies whose members espoused positions that corre-
through military conquest. In one of the many inscriptions
spond to the modern scholarly group of those who associate
that provide the best evidence regarding his attitudes and ac-
the “original” or “true” Buddhism with an elite monastic tra-
tual policies, A´soka renounced further violent conquest and
dition, and those who associate it with a more democratic
made a commitment to the practice and propagation of
and populist tradition. A split occurred at or shortly after the
dharma. In other inscriptions A´soka informs his subjects
Second Council: those who adhered to the former position
concerning the basic moral principles that form his vision of
came to be known in Sanskrit as Sthavirava¯dins (Pali,
the dharma; he mentions related meditational practices that
Therava¯dins; the proponents of the Way of the Elders), while
he commends to his subjects as well as festivals of dharma
those who adhered to the latter position came to be known
that he sponsored. He also tells of sending special representa-
as the Maha¯sa¯m:ghikas (Members of the Great Assembly).
tives to ensure that the dharma was appropriately practiced
and taught by the various religious communities within his
The third area of discussion about early Buddhism has
realm.
focused on its sectarian character. While it is not disputed
that during the pre-A´sokan period the Buddhist community
It would seem from A´soka’s inscriptions that the dhar-
was a specifically religious community only tangentially in-
ma that he officially affirmed and propagated was not identi-
volved with issues of political order and social organization,
cal to the Buddhist dharma, although it was associated with
it is less clear whether this distance was a matter of principle
it, especially insofar as Buddhist teaching impinged on the
or simply an accident of history. Some scholars have argued
behavior of the laity. However, the inscriptions give clear evi-
that early Buddhists were so preoccupied with individual sal-
dence that if A´soka was not personally a Buddhist when he
vation, and the early monastic order so oriented toward “oth-
made his first commitment to the dharma, he became so
erworldly” attainments, that early Buddhism’s sectarian
soon thereafter. His edicts indicate that he sponsored Bud-
character was intrinsic, rather than simply circumstantial.
dhist missions to various areas not only within his own em-
While individualistic and otherworldly strands played an im-
pire, but in the Greek-ruled areas of the northwest and in
portant role in some segments of the early Buddhist commu-
Sri Lanka to the south. They indicate that he maintained a
nity, there are balancing factors that must also be taken into
special interest in the well-being and unity of the Buddhist
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BUDDHISM: AN OVERVIEW
1091
sam:gha, that he was concerned to emphasize the importance
would be put forward and that different religio-philosophical
of Buddhist texts that dealt with lay morality, and that he
systems would be generated. This led to controversies within
undertook a royal pilgrimage to the sites associated with the
the community, and these controversies led to the prolifera-
great events in the Buddha’s life.
tion of Buddhist schools and subschools, probably in con-
junction with other more mundane disputes that we do not
A´soka’s actual policies and actions represent only one
have sufficient data to reconstruct. Some sources list a total
aspect of his impact in facilitating the transition of Bud-
of eighteen schools without any consistency in names. The
dhism from a sectarian religion to a civilizational religion.
institutional and ideological boundaries between groups and
The other aspect is evidenced in the legends of A´soka that
subgroups were probably very fluid.
appeared within the Buddhist community in the period fol-
lowing his death. These legends vary in character from one
Developments in the areas of symbolism, architecture,
Buddhist tradition to another. For example, the Therava¯dins
and ritual were also significant components in the transfor-
present an idealized portrait of A´soka and depict him as a
mation of Buddhism into a civilizational religion. Some
strong supporter of their own traditions. Another widely dis-
changes were related to the support Buddhism received from
seminated A´sokan text, the A´soka¯vada¯na, composed in
its royal and elite supporters. For example, royal and elite pa-
Northwest India probably in a Sarva¯stiva¯da context, depicts
tronage seems to have been crucial to the emergence of large
an equally imposing but more ambivalent figure, sometimes
monastic establishments throughout India. Such support
cruel in behavior and ugly in appearance. But all of the vari-
was also a central factor in the proliferation of stupas (Skt.,
ous A´sokan legends present in dramatic form an ideal of
stu¯pas), memorial monuments replete with cosmological and
Buddhist kingship correlated with an imperial Buddhism
associated royal symbolism that represented the Buddha and
that is truly civilizational in character.
were, in most cases, believed to contain a portion of his relics.
These stu¯pas were an appropriate setting for the develop-
During the A´sokan and immediately post-A´sokan era
ment of Buddhist art in which the Buddha was represented
there are at least three specific developments that sustained
in aniconic forms such as a footprint, a Bodhi
the transformation of Buddhism into a civilizational religion.
(“enlightenment”) Tree, a royal throne, the wheel of the
The first, a realignment in the structure of the religious com-
dharma, and the like. Merit making and related rituals prolif-
munity, involved an innovation in the relationship and bal-
erated and assumed new forms around these stupas. Pilgrim-
ance between the monastic order and its lay supporters. Prior
ages to the sacred sites associated with the great events of the
to the time of A´soka the monastic order was, from an organi-
Buddha’s life became more popular. The veneration and
zational point of view, the focus of Buddhist community life;
contemplation of stupas and other symbolic representations
the laity, however important its role may have been, lacked
of the Buddha became increasingly widespread. Moreover,
any kind of independent institutional structure. As a result
the notion of merit making itself was expanded so that it
of the A´sokan experience, including both historical events
came to include not only merit making for oneself but the
and the idealized example he set as lay participant par excel-
transfer of merit to deceased relatives and others was well.
lence in the affairs of the sam:gha, the Buddhist state came to
provide (sometimes as a hoped-for possibility, at other times
Imperial Buddhism reasserted and transcended. De-
as a socioreligious reality) an independent institution that
spite the importance of A´soka to the history of Buddhism,
could serve as a lay counterpoint and counterbalance to the
the imperial order that he established persisted only a short
order of monks. In addition, this realignment in the struc-
time after his death. Within fifty years of his death (i. e., by
ture of the Buddhist community fostered the emergence of
the year 186 BCE), the Buddhist-oriented Mauryan dynasty
an important crosscutting distinction between monks and
collapsed and was replaced by the S´un˙ga dynasty, more sup-
laypersons who were participants in the imperial-
portive of Brahmanic Hindu traditions. The Buddhist texts
civilizational elite on the one hand, and ordinary monks and
claim that the S´un˙gas undertook a persecution of Buddhism,
laypersons on the other.
although the force of any such persecution is rendered dubi-
ous by the fact that Buddhism and Buddhist institutions
The transformation of Buddhism into a civilizational re-
continued to flourish and develop within the territory ruled
ligion also involved doctrinal and scholastic factors. During
by the S´un˙gas. Moreover, Buddhism emerged as a dominant
the A´sokan and post-A´sokan periods, factions within the
religion in areas outside northeastern India where the S´un˙gas
monastic community began to formulate aspects of the
were unable to maintain the authority and prestige that their
teachings more precisely, and to develop those teachings into
Mauryan predecessors had enjoyed.
philosophies that attempted to explain all of reality in a co-
herent and logically defensible manner. As a result, the litera-
During the three centuries from the second century BCE
ture in which the community preserved its memory of the
through the first century CE Buddhism became a powerful
sermons of the Buddha (the su¯tras) and of his instructions
religious force in virtually all of India, from the southern tip
to the monastic order (Vinaya) came to be supplemented by
of the peninsula to the Indo-Greek areas in the northwest,
new scholastic texts known as Abhidharma (“higher Dhar-
and in Sri Lanka and Central Asia as well. New polities seek-
ma”). Given the philosophical ambiguities of the received
ing to secure their control over culturally plural areas emulat-
traditions, it was inevitable that contradictory doctrines
ed A´soka’s example and adopted Buddhism as an imperial
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1092
BUDDHISM: AN OVERVIEW
religion. This happened in Sri Lanka, probably when
contributed to their civilizational efficacy. During this period
Dut:t:haga¯man:¯ı brought about the unification of the island
the older Buddhist schools (hereafter collectively called the
kingdom in the mid-second century BCE. It happened in cen-
H¯ınaya¯na) that had previously limited themselves to the oral
tral India when the rising S´a¯tava¯hana dynasty became a sup-
transmission of tradition, and the newly emerging Maha¯ya¯na
porter of the Buddhist cause. It happened to some extent in
fraternities as well, began to commit their versions of the
northwestern India when certain Greek and invading Cen-
Buddha’s teaching to writing. Some Buddhist groups began
tral Asian kings converted to Buddhism. And it happened
to translate and write their most authoritative texts in San-
more fully in northwestern India during and after the reign
skrit, which had become the preeminent civilizational lan-
of King Kanis:ka (first to second century CE), who ruled over
guage in India.
a vast Kushan empire that extended from northern India
The rapid development of Buddhism led to major
deep into Central Asia. By this time Buddhism had also
changes in Buddhist ways of representing the Buddha and
begun to penetrate into trading centers in northern China
relating to him ritually. Some H¯ınaya¯na schools produced
and to spread along land and sea routes across Southeast Asia
autonomous biographies of the Buddha. The most famous
to South China as well.
of the biographies is the Buddhacarita (Acts of the Buddha),
A major aspect of the transformation of Buddhism into
by A´svaghos:a, written in refined Sanskrit in a classic literary
a fully civilizational religion was the differentiation that oc-
form (kavya). The H¯ınaya¯na schools provided the context
curred between Buddhism as a civilizational religion and
for the production of anthropomorphic images of the Bud-
Buddhism as an imperial religion. During late Mauryan
dha, which became a major focal point for sophisticated ar-
times the civilizational and imperial dimensions had not
tistic expression on the one hand, and for veneration and de-
been clearly differentiated. However, by the beginning of the
votion on the other. These schools also made a place within
common era Buddhism had become a civilizational religion
the Buddhist system for a new and very important figure who
that transcended the various expressions of imperial Bud-
became a focus for new forms of devotional practice and, in
dhism in particular geographical areas. As a direct correlate
later phases of Buddhist history, new forms of religio-
of this development, an important distinction was generated
political symbolism and activity as well. This new figure was
within the elite of the Buddhist community. By this period
the future Buddha Maitreya (“the friendly one”), who was
this elite had come to include both a truly civilizational com-
believed to be residing in the Tusita Heaven awaiting the ap-
ponent that maintained close international contacts and trav-
propriate time to descend to earth. By the beginning of the
eled freely from one Buddhist empire to another and beyond,
common era other buddhological trends were beginning to
as well as overlapping but distinguishable imperial compo-
surface that were exclusively Maha¯ya¯na in character. For ex-
nents that operated within the framework of each particular
ample, su¯tras were beginning to appear that focused atten-
empire.
tion on a celestial Buddha named Amita¯bha (“infinite light”)
and portrayed practices of visualization that could lead to re-
At this time Buddhist texts and teachings were being ex-
birth in the western paradise over which he presided.
tended in a variety of ways. In some schools, such as the
Closely associated developments were taking place at
Therava¯da and the Sarva¯stiva¯da, canons of authoritative texts
the level of cosmology and its application to religious prac-
were established, but even after this had occurred new ele-
tice. In the H¯ınaya¯na context the most important develop-
ments continued to be incorporated into the tradition
ment was probably the rich portrayal of a set of six cosmolog-
through commentaries. In the case of the Sarva¯stiva¯dins, a
ical gatis, or “destinies” (of gods, humans, animals, asuras or
huge collection of commentaries known as the Maha¯vibha¯s:a¯
titans, hungry ghosts, and beings who are consigned to hell),
was compiled at a Buddhist council held by King Kanis:ka.
which depicted, in vivid fashion, the workings of karman
In other schools the Pitakas themselves were still being en-
(moral action and its effects). These texts, which were proba-
riched by the incorporation of a variety of new additions and
bly used as the basis for sermons, strongly encouraged Bud-
embellishments. There also began to appear, on the fringes
dhist morality and Buddhist merit-making activities. Other
of the established schools, a new kind of su¯tra that signaled
H¯ınaya¯na works of the period suggested the presence of a
the rise of a new Buddhist orientation that came to be known
vast expanse of worlds that coexist with our own. In the new
as the Maha¯ya¯na. The earliest of these were the
Maha¯ya¯na context this notion of a plurality of worlds was
Prajña¯pa¯ramita¯ Su¯tras, which put forward the doctrine of
moved into the foreground, the existence of Buddhas in at
´su¯nyata¯ (the ultimate “emptiness” of all phenomena) and
least some of these other worlds was recognized, and the sig-
proclaimed the path of the bodhisattva (future Buddha) as
nificance of these Buddhas for life in our own world was both
the path that all Buddhists should follow. Before the end of
affirmed and described. Finally, there are indications that
the second century CE the great Buddhist philosopher
during this period both H¯ınaya¯na and Maha¯ya¯na Buddhists
Na¯ga¯rjuna had given the perspective of these su¯tras a system-
increasingly employed exorcistic rituals that depended on the
atic expression and thereby established a basis for the first of
magical power of various kinds of chants and spells (paritta
the major Maha¯ya¯na schools, known as Ma¯dhyamika.
in Pali, dha¯ran:¯ı in Sanskrit).
This extension of Buddhist traditions of texts and teach-
Buddhism as Pan-Asian Civilization. From the sec-
ings was accompanied by two other developments that also
ond to the ninth century, Buddhism enjoyed a period of 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
BUDDHISM: AN OVERVIEW
1093
mense creativity and influence. Prior to the beginning of the
dha Gautama as an important figure, and to focus attention
sixth century, Buddhist fortunes were generally on the rise.
on the single-world cosmology that posited the existence of
Buddhism flourished in Sri Lanka, India, and Central Asia.
three realms—the realm beyond form associated with the
Through already familiar processes involving its introduction
most exalted gods and the highest meditational states, the
along trade routes, its assimilation to indigenous beliefs and
realm of form associated with slightly less exalted gods and
practices, and its adoption as an imperial religion, Buddhism
meditational states, and the realm of desire constituted by
became firmly entrenched in both northern and southern
the six gatis previously mentioned. This latter realm was es-
China and in many parts of Southeast Asia. After about 500
pecially prominent as the context presumed by pan-Buddhist
CE, these well-established dynamics of expansion continued
teachings concerning karmic retribution and the value of giv-
to operate. Buddhism became the preeminent religion in a
ing, particularly to the members of the monastic community.
newly unified Chinese empire, it continued its spread in
Within the Maha¯ya¯na tradition this period of Buddhist
parts of Southeast Asia, and it was established in important
new areas, first in Japan and then in Tibet. However, during
efflorescence as a civilizational religion was characterized by
this latter period its successes were coupled with setbacks,
a high level of creativity and by a variety of efforts toward
and by the middle of the ninth century the era of Buddhism
systematization. In the earlier centuries the Maha¯ya¯nists pro-
as a pan-Asian civilization was rapidly drawing to a close.
duced a rich and extensive collection of new su¯tras, including
the Saddharmapun:d:ar¯ıka Su¯tra (Lotus of the true law), the
The geographical expansion of Buddhism was both a
Maha¯parinirva¯n:a Su¯tra, the Lan˙ka¯vata¯ra Su¯tra, and the
cause and an effect of its civilizational character. But Bud-
Avatamsaka Su¯tra. With the passage of time, voluminous
dhism’s role as a pan-Asian civilization involved much more
commentaries were written on many of these su¯tras in India,
than a pan-Asian presence. Buddhist monasteries, often state
Central Asia, and China. These su¯tras and commentaries de-
supported and located near capitals of the various Buddhist
veloped new teachings concerning the emptiness of the phe-
kingdoms, functioned in ways analogous to modern univer-
nomenal world, the storehouse consciousness (a¯laya-
sities. There was a constant circulation of Buddhist monks,
vijña¯na), and the “embryo of the Tatha¯gata” (tatha¯gata-
texts, and artistic forms across increasingly vast geographical
garbha). These teachings were given scholastic forms in vari-
areas. Indian and Central Asian missionaries traveled to
ous Maha¯ya¯na groups such as the Ma¯dhyamika and Yoga¯ca¯ra
China and with the help of Chinese Buddhists translated
schools, which originated in India, and the Tiantai and
whole libraries of books into Chinese, which became a third
Huayan schools, which originated in China. In addition,
major Buddhist sacred language alongside Pali and Sanskrit.
these su¯tras and commentaries recognized a vast pantheon
In the fifth century Buddhist nuns carried their ordination
of Buddhas and bodhisattvas (future Buddhas) and acknowl-
lineage from Sri Lanka to China. Between 400 and 700 a
edged the existence of a plurality, even an infinity, of worlds.
stream of Chinese pilgrims traveled to India via Central Asia
Some went on to affirm the reality of an eternal, cosmic Bud-
and Southeast Asia in order to visit sacred sites and monaste-
dha whom they took to be the ultimate source of these innu-
ries and to collect additional scriptures and commentaries.
merable Buddhas, bodhisattvas, and worlds (and of all else
Some of these, such as Faxian, Xuanzang, and Yijing, wrote
as well). Some of these texts highlighted various kinds of so-
travel accounts that provide information concerning Bud-
teriological help that particular Buddhas and bodhisattvas
dhist civilization in its fullest development. In the sixth cen-
could provide to those who sought their aid. In addition to
tury Buddhism was formally introduced into Japan; in the
Maitreya and Amita¯bha, mentioned above, other Buddhas
following century Buddhists from Central Asia, India, and
and bodhisattvas who became particularly important include
China made their way into Tibet. Beginning in the eighth
Bhais:ajyaguru (the Buddha of healing), Avalokite´svara (the
and ninth centuries monks from Japan visited China in order
bodhisattva exemplar of compassion), Mañju´sr¯ı (the bodhi-
to receive Buddhist training and acquire Buddhist texts.
sattva patron of the wise), and Ks:itigarbha (the bodhisattva
These are only a few illustrations of the kind of travel and
who specialized in assisting those who suffer in hell).
interaction that characterized this period.
By the second half of the first millennium CE a new
While Buddhism was reaching its apogee as a civiliza-
strand of Buddhist tradition, the Vajraya¯na, or Esoteric Ve-
tional religion, the teachings of the H¯ınaya¯na tradition were
hicle, began to come into the foreground in India. This new
further extended and refined. New commentaries were pro-
vehicle accepted the basic orientation of the Maha¯ya¯na, but
duced in both Sanskrit and in Pali. During the fifth century
supplemented Maha¯ya¯na insights with new and dramatic
these commentaries were supplemented by the appearance
forms of practice, many of them esoteric in character. The
of two very important manuals, Vasubandhu’s
appearance of this new Buddhist vehicle was closely associat-
Abhidharmako´sa, composed in the Sarva¯stiva¯da-Sautra¯ntika
ed with the composition of new texts, including new su¯tras
context in Northwest India, and Buddhaghosa’s Visuddhi-
(e.g., the Maha¯vairocana Su¯tra), and the new ritual manuals
magga (Path of Purification), written in the Therava¯din con-
known as tantras. By the eighth and ninth centuries this new
text in Sri Lanka. Moreover, many H¯ınaya¯na themes re-
vehicle had spread through virtually the entire Buddhist
mained basic to the other Buddhist traditions with which it
world and was preserved especially in Japan and in Tibet.
coexisted. Most Buddhists continued to recognize the Bud-
But before the process of systematization of the Vajraya¯na
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1094
BUDDHISM: AN OVERVIEW
could proceed very far the infrastructure that constituted
monasteries and their residents. New developments arose
Buddhist civilization began to break down, thus at least par-
within the Buddhist community as a result of these vicissi-
tially accounting for the very different form that this tradi-
tudes, developments that eventually transformed Buddhism
tion took in Tibet and in Japan, where it became known as
into a series of discrete cultural traditions.
Shingon.
Some indication of these developments can be seen
During the period of its hegenomy as a pan-Asian civili-
quite early, even as Buddhist civilization was at the peak of
zation, Buddhism retained a considerable degree of unity
its brilliance. Events in Central Asia during the fifth and
across both the regional and text-oriented boundaries that
sixth centuries were not favorable to the Buddhist kingdoms
delimited particular Buddhist traditions. In each cultural
along the Silk Route that connected Northwest India and
area and in each of the three ya¯nas there were ascetics and
northern China. These kingdoms were invaded and in some
contemplatives who practiced Buddhist meditation; there
cases conquered by different nomadic peoples such as the
were ecclesiastics and moralists whose primary concern was
Huns, who also invaded India and the Roman empire. The
Buddhist discipline; there were monks and laypersons who
Chinese pilgrim Xuanzang, who visited Sogdiana in 630, saw
were involved in Buddhist devotion; and there were those
only ruins of Buddhist temples and former Buddhist
who took a special interest in Buddhist magic and exorcism.
monasteries that had been given over to the Zoroastrians.
These diverse groups and individuals shared—and many re-
The instability in the crucial linking area between India
alized that they shared—beliefs, attitudes, and practices with
and China during the fifth and sixth centuries seems to have
like-minded Buddhists in distant areas and other ya¯nas.
been sufficient to weaken Buddhism’s civilizational struc-
Moreover, during the period of its ascendancy as a civil-
ture. For the first time we see the emergence of new Buddhist
izational religion, Buddhism provided a successful standard
schools in China that are distinctively Chinese. The appear-
of cultural unification such that other religious traditions, in-
ance of synthetic Chinese schools like Tiantai and Huayan
cluding the Hindu in India, the Manichaean in Central Asia,
suggests a continuation of the civilizational orientation.
the Daoist in China, the Shinto in Japan, and the Bon in
These schools sought to reconcile the divergent views found
Tibet, responded to it with their own innovations shaped by
in Buddhist literature through an extended elaboration of
Buddhist ideas and values. During this period, in other
different levels of teaching. This is, of course, characteristic
words, Buddhism set the standards, religious, philosophical,
of Buddhism as a civilizational religion, but the manner of
artistic, and so on, to which a whole range of other Asian tra-
reconciliation reflects a style of harmonization that is distinc-
ditions were forced to respond. Buddhism also served as a
tively Chinese.
civilizational religion by encompassing other elements—
The increasing importance of Tantra in late Indian
logic, medicine, grammar, and technology, to name but a
Buddhism and the success of the Pure Land (Jingtu) and
few—that made it attractive to individuals and groups, in-
Chan (Zen) schools in China during the Sui and Tang peri-
cluding many rulers and members of various Asian aristocra-
od (598–907) are further indications that the Buddhist tradi-
cies who had little or no interest in the spiritual aspect of
tion was becoming more local in self-definition. Chinese
religion.
Buddhism had a new independent spirit in contrast to the
BUDDHISM AS CULTURAL RELIGION. For more than a thou-
earlier India-centered Buddhism. Moreover, the new move-
sand years, from the time of King A´soka to about the ninth
ments that emerged at that time seem to be the result of a
century, Buddhism exhibited a civilizational form that began
long development that took place apart from the major cos-
as pan-Indian and ultimately became pan-Asian in character.
mopolitan centers. Far more than in the past, expressions of
Like the sectarian pattern that preceded it, this civilizational
Buddhism were being made at all levels of particular socie-
pattern left an indelible mark on all subsequent Buddhist de-
ties, and there was a new concern for the interrelation of
velopments. Buddhism never completely lost either its con-
those levels within each society.
cern for inclusiveness or its distinctively international flavor.
During the last centuries of the first millennium CE,
But beginning in about the fifth century the civilizational
Buddhist civilization developed a new, somewhat indepen-
structure suffered increasingly severe disruptions, and a new
dent center in China that reached its peak during the Sui and
pattern began to emerge. All across Asia, Buddhism was
Tang dynasties. Thus, when Buddhist texts and images were
gradually transformed, through a variety of historical pro-
introduced into Japan during the sixth century they were
cesses, into what we have chosen to call “cultural religion.”
presented and appropriated as part and parcel of Chinese cul-
The period of transition. Buddhist civilization, which
ture. The new religion gained support from the prince re-
characteristically strove for both comprehensiveness and sys-
gent, Sho¯toku Taishi, who wanted to model his rule after
tematic order, was dependent on the security and material
that of the Buddhist-oriented Sui dynasty. Chinese Buddhist
prosperity of a relatively small number of great monasteries
schools such as Huayan (Jpn., Kegon) also prospered in the
and monastic universities that maintained contact with one
Nara period in Japan (710–784) as Chinese cultural influ-
another and shared common interests and values. This insti-
ence continued to flourish.
tutional base was, in fact, quite fragile, as was demonstrated
The two centers of Buddhist civilization, China and
when historical events threatened the well-being of these
India, also competed with each other, as can be seen in a situ-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: AN OVERVIEW
1095
ation that developed in Tibet. Buddhism had been brought
successful in establishing itself as the dominant religious tra-
to Tibet by King Sron˙ bstan sgam po (d. 650), who estab-
dition. The religious creativity of these areas, once the pe-
lished the first stable state in the area. Buddhist texts were
riphery of the Buddhist world, resulted in a Buddhist “axial
translated into Tibetan from both Sanskrit and Chinese. A
age” that dramatically transformed the tradition as a whole.
later king, Khri sron˙ lde btsan (755–797), officially adopted
Buddhism as the state religion and determined to resolve the
Monastic order, royal order, and popular Buddhism.
tension between Indian and Chinese influence. He spon-
The transformation of Buddhism from a civilizational reli-
sored the famous Council of Lhasa, in which a Chinese party
gion to a cultural religion depended on a fundamental re-
representing a Chan “sudden enlightenment” point of view
alignment in the structure of the Buddhist community. As
debated an Indian group that advocated a more gradualist
a civilizational religion, Buddhist community life had come
understanding of the Buddhist path. Both sides claimed vic-
to include a largely monastic elite that traveled extensively,
tory, but the Indian tradition gained predominance and
was multilingual, and operated at the civilizational level; an
eventually translations were permitted only from Sanskrit.
imperial elite made up of monks and laypersons associated
more closely with royal courts and related aristocracies; and
During the ninth and tenth centuries the two Buddhist
a less exalted company of ordinary monks and laypersons liv-
civilizational centers in India and China were themselves
ing not only in urban areas but in the countryside as well.
subject to attack, both internally and externally. The combi-
In Buddhism’s zenith as a civilizational religion the central
nation of Hindu resurgence and Muslim invasions led to the
organizing relationship was that between the largely monas-
effective disappearance of the Buddhist community in India
tic civilizational elite and the imperial elites, consisting of
by the thirteenth century. Repeated invasions by Uighurs
kings, queens, and other high-placed members of the laity
and Turkic peoples, as well as official persecutions and the
on the one hand, and the monks whom they supported on
revival of the Confucian tradition, resulted in a decisive
the other. The ordinary members of the laity and the less ex-
weakening of institutional Buddhism in China.
alted monks played a role, of course, but in most areas at
most periods of time they seem to have been somewhat dis-
The processes of acculturation that had first become evi-
tanced from the mainstream of Buddhist community life.
dent in the sixth century in India and China repeated them-
With the transformation of Buddhism into a cultural reli-
selves beginning in the tenth century in Japan, Korea, Tibet,
gion, however, this situation was drastically altered.
Sri Lanka, and Southeast Asia. In each of these areas distinct
cultural forms of Buddhism evolved. There was a reorganiza-
One aspect of this transformation was major changes
tion of the Buddhist community with an increased emphasis
that took place at three different levels: monastic, imperial,
on the bonds between elite and ordinary Buddhists in each
and popular. The demise of the monastic network through
particular area. There was a renewed interest in efficacious
which the civilizational aspect of Buddhism had been sup-
forms of Buddhist practice and the Buddhist schools that
ported and maintained was decisive. To be sure, there were
preserved and encouraged such practice. Within each area
elements of the monastic community that never lost their in-
there was a development of Buddhist symbols and rituals
ternational vision, and travel and exchanges between specific
that became representative of distinct Buddhist cultures, par-
cultural areas was never totally absent, particularly between
ticularly at the popular level.
China and Japan, China and Tibet, and Sri Lanka and main-
land Southeast Asia. Nevertheless, it would be difficult to
In Central Asia the Buddhist community had no success
speak of a pan-Asian Buddhist elite after the ninth or tenth
in surviving the Muslim expansion. Buddhism had some
century.
limited success in India during the last centuries of the first
millennium. It benefited from extensive royal and popular
The pattern at the imperial level was altered by the loss
support in northeastern India under the Pa¯la dynasty from
of monastic power and influence coupled with increased
the eighth to the twelfth century, but Hindu philosophy and
state control in monastic affairs. During the period that Bud-
theistic (bhakti) movements were aggressive critics of Bud-
dhism was an effective civilizational religion its great
dhism. Hardly any distinct Buddhist presence continued in
monasteries functioned practically as “states within the
India after the last of the great monasteries were destroyed
state.” Monasteries commanded extensive resources of land
by the Muslims. In China there was more success, although
and labor and were often actively involved in commercial en-
the Confucian and Daoist traditions were powerful rivals. As
terprises. This public splendor made the monasteries inviting
a result of persecutions in the ninth century, Buddhism lost
targets, especially after their usefulness as civilizational cen-
its distinctively civilizational role, but it continued as a major
ters had declined. If the monasteries were not simply de-
component of Chinese religion, becoming increasingly syn-
stroyed, as they were in India and Central Asia, they were
thesized with other native traditions. In Sri Lanka, Southeast
often deprived of their resources, as occurred at one time or
Asia (except for Indonesia and the Malay Peninsula, where
another in virtually every Buddhist area. With the decline of
Buddhism suffered the same fate that it suffered in India),
monastic influence at the imperial level, the control of the
Japan, Korea, and Tibet (from whence it eventually spread
state over monastic affairs inevitably increased. In China and
to Mongolia), areas where Buddhism did not have to com-
Japan, and to a lesser extent in Korea and Vietnam, state con-
pete with strongly organized indigenous traditions, it was
trol became thoroughly bureaucratized. In Sri Lanka 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
1096
BUDDHISM: AN OVERVIEW
Therava¯da areas of Southeast Asia, state control was imple-
the wealthy monasteries of the capital, to adopt a strictly dis-
mented more indirectly and with considerably less efficiency
ciplined mode of life, and to devote themselves to study and/
by royal “purifications” of the sangha. Specific local condi-
or meditation. In the twelfth century the A¯raññikas led a
tions in Tibet led to a unique situation in which monastic
major reform in Sri Lanka and in subsequent centuries they
and royal functions became so tightly interlocked that they
extended their reform movement throughout the Therava¯da
were often completely fused.
world, which included not only Sri Lanka but also Burma,
Thailand, Cambodia, and Laos. The A¯raññikas in the
The demise of the international Buddhist elite and the
Therava¯da world, like the Chan and Zen practitioners in
weakening of the large and powerful establishments were
East Asia, were closely affiliated with the elite segments of
counterbalanced by a strengthening of Buddhist life at the
the various societies in which they were active. A similar kind
grass-roots level. Smaller, local institutions that for a long
of emphasis was placed on discipline, study, and meditation
time had coexisted with the great monasteries took on new
in Tibet, where the Vajraya¯na tradition was established by
importance as focal points in Buddhist community life. For
At¯ı´sa, the monk who in the eleventh century inaugurated the
example, smaller so-called merit cloisters (kung-te yüan) sup-
“second introduction” of Buddhism into the country. In the
ported by wealthy laymen were significant components in
fifteenth century another infusion of discipline-oriented re-
the development and life of Chinese Buddhism. In Sri Lanka
form was provided by reformers who established the Dge
and Southeast Asia the emergence of cultural Buddhism was
lugs pa, the so-called Yellow Hats, which became the preemi-
closely associated with monks who were called ga¯mava¯sins
nent Tibetan (and Mongolian) school subsequently headed
(village dwellers) and who strengthened Buddhist influence
by the well-known line of Dalai Lamas.
among the people in the major cities and in the more distant
provinces as well. In contrast to civilizational Buddhism, in
Each expression of Buddhism as a cultural religion gen-
which the crucial structural alignment was that between the
erated, as a kind of counterpoint to its more elitist, disci-
civilizational elite and the monks and laity at the imperial
pline-oriented schools and movements, other schools and
level, the crucial structural alignment in cultural Buddhism
movements that focused on more populist forms of devo-
was between the monks and laity of the imperial or state
tional or Esoteric (Tantric) practice. In the East Asian
elites, who were located primarily in the capital cities, and
Maha¯ya¯na areas the most important development was the in-
the ordinary people who inhabited local monasteries and vil-
creasing prominence of the Pure Land schools in the early
lages.
centuries of the second millennium CE. The Chinese Pure
Land schools remained in close symbiosis with the practi-
The preeminence of practice. The era of comprehen-
tioners of Chan and retained a relatively traditional mode of
sive Buddhist philosophizing and the formulation of original
monastic practice. Their Japanese counterparts, however, be-
systems of thought came to an end, for the most part, with
came more differentiated and considerably more innovative.
the demise of Buddhism as a civilizational religion. There
During the Kamakura period (1185–1333) a number of
continued to be philosophical innovations, and some of the
new, distinctively Japanese Pure Land and related schools
great systems that were already formulated were adjusted to
were founded by charismatic leaders such as Ho¯nen, Shin-
meet new circumstances. However, the real creativity of
ran, and Nichiren; these schools took on a distinctively Japa-
Buddhism as a cultural religion came to the fore in schools
nese cast. For Nichiren, the Pure Land was Japan itself.
and movements that emphasized efficacious modes of Bud-
dhist practice.
Although less important than Pure Land and related
kinds of devotion, Esoteric or Tantric modes of religion also
A major component in the development of various Bud-
were a significant part of cultural Buddhism in East Asia. In
dhist cultures is the ascendancy of schools or movements that
China the Esoteric elements were closely related to influences
combined a strong emphasis on the importance of discipline
from the Vajraya¯na tradition in Tibet as well as interactions
(particularly although not exclusively the monastic disci-
with forms of indigenous Daoism. In Japan more sophisti-
pline) with an accompanying emphasis on meditation. In
cated Esoteric elements persisted in the Tendai (Chin.,
China and Japan, Chan and Zen, with their emphasis on
Tiantai) and Shingon schools, while more rustic and indige-
firm discipline and meditative practices such as “just sitting”
nous elements were prominent in groups that were integrat-
and the contemplation of kung-an (Jpn., ko¯an; enigmatic
ed into these schools, for example, the Shu¯gendo¯ community
verses), are representative of this kind of Buddhist tradition.
that was made up of mountain ascetics known as yamabushi.
These were the schools that became more prominent as
Maha¯ya¯na Buddhism emerged as a cultural religion in East
In Sri Lanka in the twelfth and thirteenth centuries (the
Asia, and they continued to exert influence on the various
period of Ho¯nen, Shinran, and Nichiren in Japan) devotion-
East Asian political and aesthetic elites from that time for-
al religion also seems to have been influential in the Buddhist
ward. The A¯raññikas, or “forest-dwelling monks,” represent-
community, generating new genres of Buddhist literature
ed an analogous orientation and played a similar role in Sri
that were written primarily in Sinhala rather than Pali. Al-
Lanka and subsequently in Southeast Asia. The A¯raññikas
though no specifically devotional “schools” were formed, a
appeared on the Sri Lankan scene in the ninth and tenth cen-
whole new devotional component was incorporated into the
turies as a group of monks who had chosen to withdraw from
Therava¯da tradition and subsequently diffused 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
BUDDHISM: AN OVERVIEW
1097
Therava¯da cultures in Southeast Asia. Similarly, there were,
ited Buddhist cultural complexes that cut across political di-
as far as we know, no “schools” that were specifically Esoteric
visions.
or Tantric in character. However, there is some evidence that
indicates that Esoteric elements played a very significant role
Many of the sites that were the goals of major Buddhist
in each of the premodern Therava¯da cultures. This kind of
pilgrimages were mountain peaks or other places that had
influence seems to have been particularly strong in northern
been sacred from before the introduction of Buddhism and
Burma, northern Thailand, Laos, and Cambodia.
continued to have sacred associations in other traditions that
coexisted with Buddhism. Through pilgrimage practices at
In Tibet and Mongolia, as one would expect given their
these sites Buddhism assimilated various deities and practices
Vajraya¯na ethos, the primary counterpoints to the more dis-
associated with local religious traditions. At the same time,
cipline-oriented traditions were the schools, such as the
of course, the Buddhist presence imbued those deities and
Rnying ma pa and Bka’ brgyud pa, that emphasized the per-
practices with Buddhist connotations. In Japan, Buddhas
formance of Esoteric and Tantric rituals in order to achieve
and bodhisattvas became virtually identified in many situa-
worldly benefits and to proceed along a “fast path” to salva-
tions with indigenous kami (divine spirits). In China great
tion. However, just as in the other Buddhist cultures devo-
bodhisattvas such as Ks:itigarbha, Mañju´sr¯ı, and
tion was supplemented by recourse to Esoteric and Tantric
Avalokite´svara became denizens of sacred mountains that
techniques, so in Tibet and Mongolia Esoteric and Tantric
were popular pilgrimage sites, and in those pilgrimage con-
techniques were supplemented by the practice of devotion.
texts underwent a thoroughgoing process of sinicization.
Another important component of Buddhism as a cul-
Stu¯pas, footprints, and other Buddhist objects of pilgrimage
tural religion was the mitigation, in some circles at least, of
in Southeast Asia became, for many who venerated them,
traditional distinctions between monks and laity. This trend
representations in which the Buddha was closely associated
was least evident in the more discipline-oriented contexts,
with indigenous spirits (e.g., nats in Burma, ph¯ı in Thailand,
but even here there was some movement in this direction.
etc.) who served as the local guardians or protectors of Bud-
For example, in the Chan and Zen monasteries, monks, rath-
dhist institutions.
er than being prohibited from engaging in productive work
as the Vinaya had stipulated, were actually required to work.
Wherever Buddhism developed as a cultural religion it
In the Pure Land schools in Japan, and in some of the Esoter-
penetrated not only the sacred topography of the area but
ic schools in Japan and Tibet, it became permissible and
also the cycle of calendric rites. In China, for example, the
common for clergy to marry and have families. Also, certain
annual cycle of Buddhist ritual activities included festivals
kinds of monastic/lay and purely lay associations played im-
honoring various Buddhas and bodhisattvas, festivals dedicat-
portant roles in China and Japan. These included both
ed to significant figures from Chinese Buddhist history, a
straightforward religious associations devoted to the various
great vegetarian feast, and a very important “All Soul’s” festi-
Buddhist causes, and, particularly in China, a number of se-
val in which the Chinese virtue of filial piety was expressed
cret societies and messianically oriented groups. Even in Sri
through offerings intended to aid one’s ancestors. While
Lanka and Southeast Asia tendencies toward the laicization
these rituals themselves involved much that was distinctively
of the monastic order can from time to time be observed, but
Chinese, they were interspersed with other festivals, both
in these strongly Therava¯da areas the process was always
Confucian and Daoist, and were supplemented by other,
thwarted by royal intervention before the innovations could
lesser rituals associated with daily life that involved an even
take root.
greater integration with non-Buddhist elements. In Sri
Lanka the Buddhist ritual calendar included festivals honor-
The pervasiveness of ritual. Alongside the particular
ing events of the Buddha’s life; a festival that celebrated the
schools and movements that characterized Buddhism as a
coming of Mahinda, A´soka’s missionary son, to establish
cultural religion there were also modes of Buddhist practice
Buddhism in Sri Lanka; a festival in the capital honoring the
that, although influenced by those schools and movements,
Buddha relic that served as the palladium of the kingdom;
were more pervasively involved in Buddhist cultures as such.
and the monastic-centered kathin (Pali, kat:hina; giving of
Pilgrimage was in the forefront of these practices.
robes) ceremony that marked the end of the rainy season.
Virtually every instance of Buddhism as a cultural reli-
These Buddhist rituals were interspersed with non-Buddhist
gion had its own particular patterns of Buddhist pilgrimage.
celebrations that were, in this case, largely Hindu. These
In many cases these pilgrimage patterns were a major factor
large-scale rituals were supplemented by more episodic and
in maintaining the specificity of particular, often overlap-
specialized rites that involved an even wider variety of indige-
ping, religious and cultural complexes. In some contexts
nous elements such as offerings to local spirits. In the Tibet-
these pilgrimage patterns delimited Buddhist cultural com-
an cultural area the Buddhist calendar encompassed great fes-
plexes that supported and were supported by particular polit-
tivals sponsored by monasteries in which the introduction of
ical kingdoms. An example of this situation was the Sinhala
Buddhism to Tibet was celebrated as the Buddhist defeat of
pattern, in which there were sixteen major sites systematically
indigenous demons, as well as festivals honoring Buddhist
distributed throughout all of Sri Lanka. In other situations,
deities (e.g., Ta¯ra¯) and Tibetan Buddhist heroes (e.g., Pad-
for example in Southeastern Asia, these patterns often delim-
masambhava). The Tibetan Buddhist calendar also included
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1098
BUDDHISM: AN OVERVIEW
other large- and small-scale rituals in which Buddhist and in-
The modern encounter of cultures and civilizations has
digenous shamanistic elements were combined.
not been monolithic. Three stages can be identified in Bud-
dhist Asia. The first was the arrival of missionaries with trad-
Buddhism in its various cultural expressions also be-
ers in various parts of Asia. These missionaries came to con-
came associated with life cycle rites, especially those of the
vert and instruct, and they brought printing presses and
male initiation into adulthood and those associated with
schools as well as Bibles and catechisms. There was a mis-
death. The Buddhist involvement in male initiation rites was
sionary onslaught on Asian religious traditions, including
limited primarily to Southeast Asia. In many Buddhist coun-
Buddhism, in Sri Lanka, Southeast Asia, China, and Japan.
tries children and young men were educated in the monaste-
This onslaught was sometimes physically violent, as in the
ries, but only in Southeast Asia did temporary initiation into
Portuguese destruction of Buddhist temples and relics in Sri
the order, either as a novice (as in Burma) or at a later age
Lanka, but for the most part it was an ideological assault. A
as a full-fledged monk (as in central Thailand), become a cul-
second stage was more strictly colonial, as some European
turally accepted necessity for the attainment of male adult-
powers gained control over many different areas of the Bud-
hood. Buddhist involvement in funerary rituals was, on the
dhist world. Some Buddhist countries, such as Sri Lanka,
other hand, a phenomenon that appeared again and again
Burma, and the Indochinese states, were fully colonized
all across Asia. For example, in the Therava¯da countries
while others, such as Thailand, China, and Japan, were sub-
where Buddhism has been the dominant cultural religion
jected to strong colonial influences. In virtually every situa-
elaborate cremations patterned after the ceremony reportedly
tion (Tibet was a notable exception), the symbiotic relation-
performed for the Buddha himself have become the rule for
ship between the political order and the monastic order was
members of the royal and monastic elites. Simpler ceremo-
disrupted, with adverse effects for Buddhist institutions.
nies, based on the same basic model, were the norm for those
of lesser accomplishment or status. Even in cultures where
The twentieth-century acceptance of Western political
Buddhism coexisted with other major religions on a more or
and economic ideologies, whether democratic capitalism or
less equal basis, Buddhists have been the preferred officiants
communism, represents a third stage. Buddhists in China,
in the funerary context. The prime example is China, where
Mongolia, Tibet, and parts of Korea and Southeast Asia now
Buddhists developed elaborate masses for the dead that were
live in communist societies, and the future of Buddhist com-
widely used throughout the whole of society. Originally in-
munities in these areas looks bleak. Capitalism has been
troduced into China by the now defunct Zhenyan
dominant in Japan, South Korea, Sri Lanka, and parts of
(Vajraya¯na) school, these masses for the dead were adapted
Southeast Asia (Thailand being the prime example), and
to their new Chinese environment and became an integral
greater possibilities for the Buddhist tradition are presumed
component of Chinese Buddhist culture.
to exist in these areas. But capitalism, as well as communism,
has undercut the claim that Buddhist thought and values are
All across Asia Buddhism expressed itself as a cultural
of central significance for contemporary life. Buddhist mon-
religion through different kinds of ritual at different levels
uments and institutions are in many cases treated as museum
of society. It was through these ritual forms, more than in
pieces, while Buddhist beliefs are often banished to the
any other way, that it became an integral component in the
sphere of individual opinion. In many situations Buddhism
life of different Asian peoples, molding cultures in accor-
is deplored as backward and superstitious, and is for that rea-
dance with its values and being itself molded in the process.
son criticized or ignored. As Edward Conze noted in his A
Once Buddhism became established as a cultural religion, it
Short History of Buddhism (London, 1980), “One may well
was these rituals that enabled it to maintain its position and
doubt whether capitalism has been any more kind to Bud-
influence, and to do so century after century on into the
dhism than communism” (p. 129).
modern era.
Despite the difficulties that Buddhists have faced, they
BUDDHISM IN THE MODERN WORLD. The beginnings of
have responded creatively to the turmoil of recent history.
European mercantilism and imperialism in the sixteenth cen-
They have engaged in many efforts to adapt to their chang-
tury initiated a chain of events that continue to stimulate and
ing environment, just as they have done repeatedly in the
to threaten the Buddhist community in its parts and as a
past. Thus far, however, they have drawn on their traditional
whole. Traditional social and economic patterns on which
heritage for suitable models, and their varied responses can
the various Buddhist cultures depended were disrupted and
thus be grouped as cultural, civilizational, and sectarian.
eventually displaced by new patterns. These new patterns in-
extricably linked individual Buddhist societies to a global
Cultural responses. The initial responses to European
community and especially to the West. As a result, all of the
civilization were cultural in character, and often reactionary.
profound transformations that have occurred in European
Some Buddhist kingdoms, after an initial exposure to ele-
civilization in the last three centuries, the advent of rational-
ments of European civilization, attempted to isolate them-
ism, scientific materialism, nationalism, relativism, technolo-
selves as a way of preserving their cultural identity. This was
gy, democracy, and communism, have challenged Buddhists
done in Japan, Korea, and Tibet, and was attempted in
in Asia just as they have challenged religious men and women
China. In other cases, Buddhist revivals were inspired by the
in Europe and the Americas.
missionary challenges. In Sri Lanka and China, Buddhist 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
BUDDHISM: AN OVERVIEW
1099
tellectuals responded to the efforts of Christian missionaries
nal approach to the problem of human suffering. Some mod-
to criticize Buddhism with their own spirited apologetics.
ernists have sought to relate Buddhist thought to Western
These intellectuals readily adopted the methods and instru-
philosophical perspectives and also to scientific patterns.
ments of the Christian missionary, the printing press and the
Many Buddhist reformers have stressed the relevance of Bud-
school, as well as his militancy, to promote the Buddhist
dhist teachings to social and ethical issues.
cause. Some processes that began in the period of Buddhist
Civilizational responses. The encounter between Eu-
culture, especially the mitigation of distinctions between
ropean civilization and Buddhist cultures encouraged a new
monks and laity, were also stimulated by these innovations.
awareness among Buddhists of their common heritage. New
Modern technology, such as improved modes of transporta-
contacts among Buddhists began on a significant scale, and,
tion, also made it easier for more people to engage in tradi-
as a result, there was also a renewed sense of Buddhism as
tional practices like pilgrimage.
a civilizational religion.
The Buddhist revivals often were inspired by cultural
This sense that Buddhism could again be a civilizational
loyalism. To choose Buddhism as one’s religious identity in
standard that could encompass the conflicting ideologies
the face of the Christian challenge also meant that one was
present in modern Asia and the world had great appeal to
choosing to be Sinhala, Thai, or Chinese. It was an emphatic
the new urban elites. In many countries Buddhist apologists
denial that things Chinese, for example, were inferior, even
maintained that Buddhism could be the basis for a truly
if this was suggested by the power and prestige of Christiani-
democratic or socialist society and, as a nontheistic religion,
ty and European civilization.
could be the basis for world peace and unity. So¯ka Gakkai
The association between Buddhism and cultural loyal-
(Value Creation Society), a Japanese “new religion” stem-
ism has been strongest in Sri Lanka and Southeast Asia. Bud-
ming from the Nichiren tradition, for example, presents an
dhists, both laity and monks, were actively involved in the
understanding of Buddhism as the “Third Civilization,”
local independence movements. In these contexts Buddhism
which can overcome the opposition of idealism and material-
has been given a sharply defined nationalistic character by
ism in thought and, when applied to the economy, can bring
drawing on both the heritage of indigenous Buddhist culture
about a synthesis of capitalism and socialism.
and the example of A´soka’s imperial religion. Buddhism has
New missionary efforts to Asian countries such as India,
been used as an instrument for national integration in post-
Indonesia, and Nepal, where Buddhist influence had waned,
colonial politics and elements of Buddhism have been appro-
and to the West have been encouraged by this view of Bud-
priated by emerging civic religions in Sri Lanka, Burma, and
dhism as “the supreme civilization” and the antidote to the
Thailand.
spiritual malaise generated by European civilization.
The colonial disestablishment of Buddhism in Sri Lanka
Sectarian developments. New sectarian developments
and Southeast Asia, and its analogues in Qing-dynasty China
in the modern period have resulted from the expansion of
and Meiji Japan, altered again the lay-monk relationship and
Buddhism, through missionary work, and from Buddhist
encouraged the emergence of an active lay leadership.
losses that have occurred through the encounter with Euro-
Monasteries, deprived of government maintenance and gen-
pean civilization. These developments are evidence that the
erally without sufficient resources of their own, found it nec-
idea of a new Buddhist civilization remains, as yet, more an
essary to cultivate the support of local patrons. A larger num-
aspiration than a reality.
ber of people from various economic and social levels thus
became actively involved in religious affairs focusing on the
Sectarian developments resulting from expansion can be
monasteries. This, of course, often led to controversy, with
seen in the establishment of Buddhism in the West, which
further segmentation of the monastic communities resulting.
has been accomplished at a certain distance from the main-
It also created an environment in which laity and monks
stream communities, whether among immigrant groups or
could come together in new kinds of associations, much as
among intellectuals and spiritual seekers disaffected by West-
had happened in the development of Buddhist cultures.
ern cultures and religious traditions. Another sectarian devel-
Some of the strikingly successful “new religions” of Japan
opment resulting from expansion is the neo-Buddhist move-
and Korea, such as Reiyu¯kai (Association of the Friends of
ment among harijans, or scheduled castes, in India, led by
the Spirit) and Won Buddhism, are products of this envi-
B. R. Ambedkar.
ronment.
A resurgence of sectarian patterns, resulting from Bud-
The disestablishment of Buddhism also encouraged the
dhist losses, can be seen in totalitarian communist areas.
development of an active lay leadership among the new
These developments tend to be pragmatic and defensive in
urban elites who were most influenced by European civiliza-
character. Buddhists have attempted to isolate their commu-
tion. These elites introduced “reformed” interpretations of
nity from the mainstream of communist society and thus
elements of the Buddhist tradition in order to bring those
avoid criticism and attack, but these efforts have rarely been
elements into harmony with the expectations of European
successful. Sectarian isolation, however, has often been en-
civilization. Modern reformers’ interpretations of the Bud-
forced by new communist governments as a way of weaken-
dha’s biography have emphasized his humanity and his ratio-
ing and discrediting Buddhist influence. Through a combi-
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1100
BUDDHISM: AN OVERVIEW
nation of criticism of Buddhist teaching by communist
lative tradition. Our concept must remain open-ended to
ideology and the radical disestablishment of Buddhist
allow for future transformations of the Buddhist tradition for
monasteries, communist governments have been able to di-
as long as men and women associate their lives with the name
vest Buddhist leaders and institutions of their cultural power
of Buddha.
and influence very quickly. This has occurred in the Soviet
Union, Mongolia, North Korea, Vietnam, and with special
SEE ALSO A¯laya-vijña¯na; Ambedkar, B. R; Amita¯bha; Arhat;
ferocity in Cambodia (Kampuchea) and Tibet.
A´soka; At¯ı´sa; Avalokite´svara; Bhais:ajyaguru; Bodhisattva
Path; Buddha; Buddhaghosa; Buddhas and Bodhisattvas, ar-
The Tibetan experience provides a tragic example of a
ticle on Celestial Buddhas and Bodhisattvas; Buddhism,
new sectarian development in Buddhism. Buddhist institu-
Schools of, article on Maha¯ya¯na Philosophical Schools of
tions and leaders have been subject to a brutal attack as part
Buddhism; Buddhist Books and Texts; Buddhist Ethics;
of the effort to incorporate Tibet into the People’s Republic
Buddhist Meditation; Buddhist Philosophy; Buddhist Reli-
of China. This has often taken the form of sinicization, with
gious Year; Cakravartin; Chan; Chinese Religion, overview
Buddhism being attacked because of its central place in tradi-
article; Confucianism; Cosmology, article on Buddhist Cos-
tional Tibetan culture. Following the Chinese invasion of
mology; Councils, article on Buddhist Councils; Dalai
1959, thousands of Tibetans, including the Dalai Lama, fled
Lama; Dge lugs pa; Dharma, article on Buddhist Dharma
the country. They have established refugee communities in
and Dharmas; Dut:t:haga¯man:¯ı; Eightfold Path; Faxian; Folk
North America, Europe, and India, where they are trying to
Religion, article on Folk Buddhism; Four Noble Truths;
preserve the heritage of Tibetan Buddhist culture.
Ho¯nen; Huayan; Iconography, article on Buddhist Iconog-
raphy; Indian Religions, overview article; Islam, article on
Finally, the growth of millenarian movements among
Islam in Central Asia; Japanese Religions, overview article;
Buddhists in the modern period, especially in Burma, Thai-
Jingtu; Jo¯do Shinshu¯; Jo¯doshu¯; Kamala´s¯ıla; Karman, article
land, and Vietnam, may be described as sectarian develop-
on Buddhist Concepts; Kingship, article on Kingship in
ments resulting from Buddhist losses. Like so much else of
East Asia; Korean Religion; Ks:itigarbha; Language, article
Buddhism in the modern period, Buddhist millenarian
on Buddhist Views of Language; Ma¯dhyamika;
movements were transitory responses to crises of power and
Maha¯sa¯m:ghika; Maha¯siddhas; Maitreya; Mañju´sr¯ı; Merit,
interpretation within the Buddhist community.
article on Buddhist Concepts; Millenarianism, article on
Chinese Millenarian Movements; Missions, article on Bud-
CONCLUSION. Buddhism as a whole has not yet developed
dhist Missions; Monasticism, article on Buddhist Monasti-
a distinctive character in the modern period. On the con-
cism; Mongol Religions; Mountains; Na¯ga¯rjuna; Nats; New
trary, there is a great deal of continuity between the historical
Religious Movements, article on New Religious Movements
development of Buddhism and the current responses and in-
in Japan; Nichiren; Nichirenshu¯; Nirva¯n:a; Padmasambhava;
novations. Thus the sectarian, civilizational, and cultural pat-
Pilgrimage, article on Buddhist Pilgrimage in South and
terns continue to exert a predominant influence in the evolu-
Southeast Asia; Prat¯ıtya-samutpa¯da; Priesthood, article on
tion of Buddhist tradition.
Buddhist Priesthood; Pu¯ja¯, article on Buddhist Pu¯ja¯; Pure
and Impure Lands; Reiyu¯kai Kyo¯dan; Sam:gha, overview ar-
At the same time, we can see that Buddhism, like other
ticle and articles on Sam:gha and Society; Sarva¯stiva¯da;
world religions, participates in a modern religious situation
Sautra¯ntika; Shingonshu¯; Shinran; Sho¯toku Taishi;
that is, in many respects, radically new. Buddhism has thus
Shu¯gendo¯; So¯ka Gakkai; Soteriology; Soul, article on Bud-
come to share certain modern elements with other contem-
dhist Concepts; Southeast Asian Religions, article on Main-
porary religions. We can see such elements in the search for
land Cultures; Stupa Worship; S´u¯nyam and S´u¯nyata¯; Ta¯ra¯;
new modes of religious symbolism, as is found in the writings
Tatha¯gata; Tatha¯gata-garbha; Temple, articles on Buddhist
of the Thai monk Buddhadasa and the Japanese Kyoto
Temple Compounds; Tendaishu¯; Therava¯da; Tiantai; Tibet-
school of Buddhist philosophy. We can also see these com-
an Religions, overview article; Turkic Religions; Vasuband-
mon elements in the preoccupation with the human world
hu; Vinaya; Worship and Devotional Life, articles on Bud-
and this-worldly soteriology that is emerging in many Bud-
dhist Devotional Life; Xuanzang; Yijing; Yoga¯ca¯ra; Zen;
dhist contexts. A modern Sinhala Buddhist, D. Wijewar-
Zhenyan.
dena, expressed this attitude in a polemical tract, The Revolt
in the Temple (Colombo, 1953), by saying that Buddhists
BIBLIOGRAPHY
must pursue “not a will-o’-the-wisp Nirvana secluded in the
“A Brief History of Buddhist Studies in Europe and America” is
cells of their monasteries, but a Nirvana attained here and
provided by J. W. de Jong in two successive issues of Eastern
now by a life of self-forgetful activity . . . [so that] they
Buddhist, n. s. 7 (May and October 1974): 55–106 and 49–
would live in closer touch with humanity, would better un-
82, which he has brought up to date in his “Recent Buddhist
derstand and sympathize with human difficulties” (p. 586).
Studies in Europe and America 1973–1983,” which ap-
peared in the same journal, vol. 17 (Spring 1984): 79–107.
This diversity, representing both tradition and present
One of the few books that treats a significant theme within
situation, reminds those of us who would study and under-
this fascinating scholarly tradition is G. R. Welbon’s The
stand Buddhism and Buddhists that, in the end, the decisive
Buddhist Nirva¯n:a and its Western Interpreters (Chicago,
meaning of our concept of Buddhism must be that of cumu-
1968).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN INDIA
1101
Among the book-length introductory surveys of Buddhism, the
lation (Tokyo and Rutland, Vt., 1969); and Kenneth Chen’s
second edition of Richard H. Robinson and Willard L. John-
The Chinese Transformation of Buddhism (Princeton, 1973).
son’s The Buddhist Religion (Encino, Calif., 1977) is, overall,
Studies of particular Buddhist cultures are legion. Some valuable
the most satisfactory. The only modern attempt to present
studies focus on Buddhism in the context of the whole range
a full-scale historical survey by a single author is to be found
of religions that were present in a particular area. Good ex-
in the Buddhism sections of Charles Eliot’s three-volume
amples are Giuseppe Tucci’s The Religions of Tibet, translated
work Hinduism and Buddhism, 3d ed. (London, 1957), taken
by Geoffrey Samuel (Berkeley, 1980), and Joseph M. Kita-
together with his Japanese Buddhism (1935; reprint, New
gawa’s Religion in Japanese History (New York, 1966). Other
York, 1959). Although these books are seriously dated (they
treatments of particular Buddhist cultures trace the Buddhist
were first published in 1921 and 1935, respectively), they
tradition in question from its introduction into the area
still provide a valuable resource. Five other important works
through the period of acculturation and, in some cases, on
that attempt cross-cultural presentations of a particular as-
into modern times. Two examples are Religion and Legitima-
pect of Buddhism are Junjiro¯ Takakusu’s The Essentials of
tion of Power in Sri Lanka, edited by Bardwell L. Smith
Buddhist Philosophy, 3d ed., edited by Wing-tsit Chan and
(Chambersburg, Pa., 1978), and Kenneth Chen’s compre-
Charles A. Moore (Honolulu, 1956); Paul Mus’s wide-
hensive Buddhism in China (Princeton, 1964). Finally, some
ranging Barabud:ur: Esquisse d’une histoire du bouddhisme
interpretations of particular Buddhist cultures focus more
fondée sur la critique archéologique des textes, 2 vols. (Hanoi,
narrowly on a specific period or theme. See, for example, Lal
1935); Robert Bleichsteiner’s Die gelbe Kirche (Vienna,
Mani Joshi’s Studies in the Buddhistic Culture of India (Delhi,
1937), which was translated into French and published as
1967), which deals primarily with Buddhist culture in
L’église jaune (Paris, 1937); W. Randolph Kloetzli’s Buddhist
Northeast India during the seventh and eighth centuries;
Cosmology (Delhi, 1983); and David L. Snellgrove’s edited
Daniel Overmyer’s Folk Buddhist Religion: Dissenting Sects in
collection The Image of the Buddha (London, 1978).
Late Traditional China (Cambridge, Mass., 1976); and Wil-
Many of the most important studies of the early, sectarian phase
liam R. La Fleur’s The Karma of Words: Buddhism and the
of Buddhism in India extend their discussions to the later
Literary Arts in Medieval Japan (Berkeley, 1983).
phases of Indian Buddhism as well. This is true, for example,
There is also a myriad of books and articles that consider the de-
of Sukumar Dutt’s Buddhist Monks and Monasteries of India
velopment of Buddhism in the modern period. The most ad-
(London, 1962) and of Edward Conze’s Buddhist Thought in
equate overview of developments through the early 1970s is
India (Ann Arbor, 1967). For those interested in Buddhist
provided in Buddhism in the Modern World, edited by Hein-
doctrines, Conze’s book may be supplemented by David J.
rich Dumoulin and John Maraldo (New York, 1976). In ad-
Kalupahana’s Causality: The Central Philosophy of Buddhism
dition, there are two excellent trilogies on particular tradi-
(Honolulu, 1975), which focuses on sectarian Buddhism,
tions. The first, by Holmes Welch, includes The Practice of
and Fredrick J. Streng’s Emptiness: A Study in Religious Mean-
Chinese Buddhism, 1900–1950 (1967), The Buddhist Revival
ing (New York, 1967), which examines the work of the fa-
in China (1968), and Buddhism under Mao (1972), all pub-
mous early Maha¯ya¯na philosopher Na¯ga¯rjuna.
lished by the Harvard University Press. The second, by Stan-
ley J. Tambiah, includes Buddhism and the Spirit Cults in
A historical account that is focused more exclusively on the sectari-
North-East Thailand (1970), World Conqueror and World Re-
an period and the transition to civilizational Buddhism is
nouncer: A Study of Buddhism and Polity in Thailand against
provided by Étienne Lamotte in his authoritative Histoire du
a Historical Background (1976), and The Buddhist Saints of
bouddhisme indien: Des origines á l’ère Saka (Louvain, 1958).
the Forest and the Cult of Amulets (1984), all published by the
A somewhat different perspective on the same process of de-
Cambridge University Press.
velopment is accessible in three closely related works that can
profitably be read in series: Frank E. Reynolds’s title essay in
For those interested in pursuing the study of Buddhism in a cross-
The Two Wheels of Dhamma, edited by Frank E. Reynolds
cultural, thematic manner, Frank E. Reynolds’s Guide to the
and Bardwell L. Smith, “AAR Studies in Religion,” no. 3
Buddhist Religion (Boston, 1981), done with the assistance
(Chambersburg, Pa., 1972); John C. Holt’s Discipline: The
of John Holt and John Strong, is a useful resource. It pro-
Canonical Buddhism of the Vinayapit:aka (Delhi, 1981); and
vides 350 pages of annotated bibliography of English,
John Strong’s The Legend of King A´soka: A Study and Trans-
French, and German materials (plus a preface and 65 pages
lation of the A´soka¯vada¯na (Princeton, 1983).
of index) organized in terms of eleven themes, including
“Historical Development,” “Religious Thought,” “Authori-
Good books that treat Buddhism as an international civilization
tative Texts,” “Popular Beliefs and Literature,” “Social, Polit-
are hard to come by. Three that provide some assistance to
ical and Economic Aspects,” “The Arts,” “Religious Practices
those interested in the topic are Trevor O. Ling’s The Bud-
and Rituals,” and “Soteriological Experience and Processes:
dha: Buddhist Civilization in India and Ceylon (London,
Path and Goal.”
1973); Erik Zürcher’s The Buddhist Conquest of China: The
Spread and Adaptation of Buddhism in Early Medieval China,
FRANK E. REYNOLDS (1987)
2 vols. (Leiden; 1959); and René Grousset’s In the Footsteps
CHARLES HALLISEY (1987)
of the Buddha, translated by J. A. Underwood (New York,
1971). Works that focus on the process of acculturation of
Buddhism in various contexts include Hajime Nakamura’s
Ways of Thinking of Eastern Peoples, the revised English trans-
BUDDHISM: BUDDHISM IN INDIA
lation of which was edited by Philip P. Wiener (Honolulu,
A contemporary visitor to the South Asian subcontinent
1964); Alicia Matsunaga’s The Buddhist Philosophy of Assimi-
would find Buddhism flourishing only outside the mainland,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1102
BUDDHISM: BUDDHISM IN INDIA
on the island of Sri Lanka. This visitor would meet small
farming. The jungle was cleared, farmland could support a
pockets of Buddhists in Bengal and in the Himalayan re-
court bureaucracy, and palaces and city walls could be built.
gions, especially in Ladakh and Nepal, and as the dominant
A surplus economy was created that made possible large state
group in Bhutan and Sikkim. Most of the latter Buddhists
societies, with concentrated populations and resources, and
belong to the Maha¯ya¯na and Vajraya¯na forms of Buddhism
consequently with heightened political ambition.
and represent denominations and orders of Tibetan and
Nepalese origin. Buddhists may also be found in the subcon-
The Buddha must have been touched directly by these
tinent among Tibetan refugees (mostly in Himachal Pradesh
changes: shortly before his death the republic of the S´a¯kyas
and Bangalore), among the Ambedkar Buddhists of Maha-
was sacked by the powerful kingdom of Ko´sala, which in
rashtra, and among pilgrims and missionaries flocking to the
turn would shortly thereafter fall under the power of Magad-
sacred sites of India. The diversity of manifestations is not
ha. At the time of the Buddha sixteen independent states ex-
new, but the specific forms are not representative of what In-
isted in north-central India, a century later only one empire
dian Buddhism was in the past.
would rule in the region, and in another hundred years this
empire, Magadha, would control all of northern India and
ORIGINS. Approximately twenty-five hundred years ago the
most of the South. The unity of the empire was won at a
founder of the Buddhist religion was born into the S´a¯kya
price: political and social systems based on family or tribal
tribe in a small aristocratic republic in the Himalayan foot-
order crumbled; the old gods lost their power.
hills, in what is today the kingdom of Nepal. In his youth
he descended to the Ganges River valley in search of spiritual
As the old order crumbled, the brahmans claimed spe-
realization. After several years of study at the feet of spiritual
cial privileges that other groups were not always willing to
masters he underwent a profound religious experience that
concede. Those who would not accept their leadership
changed his life; he became a teacher himself, and lived for
sought spiritual and moral guidance among the ´sraman:as.
the rest of his adult life as a mendicant peripatetic. His wor-
Although recent research has shown that the interaction be-
ldview and personal preoccupations were shaped in the cul-
tween these two groups was more complex than we had pre-
tural milieu of India of the sixth century BCE; the religious
viously imagined, it is still accepted that the shramanic
communities that trace their origin to him developed their
movement represented some of the groups displaced by the
most distinctive doctrines and practices in Indian soil.
economic and political changes of the day, and by the expan-
Sources and setting. Unfortunately, we do not possess
sion of Brahmanic power. The ´sraman:as, therefore, were
reliable sources for most of the history of Buddhism in its
rebels of sorts. They challenged the values of lay life in gener-
homeland; in particular, we have precious little to rely on for
al, but especially the caste system as it existed at the time.
its early history. Textual sources are late, dating at the very
Thus, what appeared as a lifestyle designed to lead to reli-
least five hundred years after the death of the Buddha. The
gious realization may have been at the same time the expres-
archaeological evidence, abundant as it is, is limited in the
sion of social protest, or at least of social malaise.
information it can give us. A few facts are nevertheless well
The shramanic movement was fragmented: among the
established. The roots of Indian Buddhism are to be found
shramanic groups, Buddhism’s main rival was Jainism, repre-
in the “shramanic” movement of the sixth century BCE,
senting an ancient teaching whose origin dated to at least one
which owes the name to its model of religious perfection, the
or two generations before the Buddha. A community of
´sraman:a, or wandering ascetic. The ´sraman:as set religious
mendicants reformed by Vardhama¯n:a Maha¯v¯ıra (d. around
goals that stood outside, and in direct opposition to, the reli-
468 BCE) shortly before the beginning of Buddha’s career,
gious and social order of the bra¯hman:as (brahmans), who
Jainism represented the extremes of world denial and asceti-
represented the Indo-Aryan establishment. Most of the val-
cism that Buddhism sought to moderate with its doctrine of
ues that would become characteristic of Indian, and therefore
the Middle Way. Buddhists also criticized in Jainism what
Hindu, religion in general were shaped by the interaction of
they saw as a mechanistic conception of moral responsibility
these two groups, especially by a process of assimilation that
and liberation. Another school criticized by early Buddhists
transformed the Brahmanic order into Hindu culture.
was that of Makkhali Gosa¯la, founder of the A¯j¯ıvikas, who
The appearance of two major shramanic religions, Bud-
also taught an extreme form of asceticism that was based,
dhism and Jainism, marked the end of the Vedic-Brahmanic
strangely, on a fatalistic doctrine.
period and the beginning of an era of cross-fertilization be-
We have to understand the shramanic movements as in-
tween diverse strata of Indian culture. This new age, some-
dependent systems and not as simple derivations or reforms
times called the Indic period, was characterized by the domi-
of Brahmanic doctrine and practice. One can find, neverthe-
nant role of “heterodox” or non-Hindu religious systems, the
less, certain elements common to all the movements of the
flourishing of their ascetic and monastic orders, and the use
age: the ´sraman:as, called “wanderers” (parivra¯jakas), like the
of the vernaculars in preference to Sanskrit.
forest dwellers of Brahmanism, retired from society. Some
We can surmise that this new age was a time of social
sought an enstatic experience; some believed that particular
upheaval and political instability. The use of iron had
forms of conduct led to purity and liberation from suffering;
changed radically the character of warfare and the nature of
others sought power through knowledge (ritual or magical)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN INDIA
1103
or insight (contemplative or gnostic); but most systems con-
at its oral and written ideology—including its scriptures—as
tained elements of all of these tendencies.
the effort of diverse Buddhist communities to explore and
define the general issues raised by the Buddha’s career. These
Among the religious values formed during the earlier
include questions such as the following: Does the Buddha
part of the Indic age, that is, during the shramanic period,
“exist” after liberation? Is the experience of awakening ineffa-
we must include, above all, the concept of the cycle and
ble? Which of the two experiences, awakening or liberation,
bondage of rebirth (sam:sa¯ra) and the belief in the possibility
is the fundamental one?
of liberation (moks:a) from the cycle through ascetic disci-
pline, world renunciation, and a moral or ritual code that
On the other hand, if we wish to understand Buddhism
gave a prominent place to abstaining from doing harm to liv-
as a religion rather than as a system of doctrines, its focus or
ing beings (ahim:sa¯). This ideal, like the quest for altered
fulcrum must be found in the religious communities and
states of consciousness, was not always separable from an-
their objects of veneration. The early community was repre-
cient notions of ritual purity and spiritual power. But among
sented primarily by the gathering of mendicants or monks
the shramanic movements it sometimes took the form of a
called the sam:gha, held together by ascetic or monastic codes
moral virtue. Then it appeared as opposition to organized vi-
(pra¯timoks:a) attributed to the Buddha himself, and by the
olence—political, as embodied in war, and religious, as ex-
objects of worship represented by (1) the founder himself as
pressed in animal sacrifice.
the “Awakened One” (buddha); (2) his exemplary and holy
life, his teachings and his experience (dharma); and (3) the
The primary evil force was no longer envisioned as a
community (sam:gha) itself, sustained by the memory of his
spiritual personality, but as an impersonal moral law of cause
personality and teaching. These objects of veneration are
and effect (karman) whereby human actions created a state
known as the “Three Treasures” (triratna), and the believer’s
of bondage and suffering. In their quest for a state of rest
trust in these ideals is expressed, doctrinally and ritually, in
from the activities of karman, whether the goal was defined
the “Three Refuges” (to rely on the Buddha, the Dharma,
as enstasy or knowledge, the new religious specialists prac-
and the Sangha). To this day, this formula serves at once as
ticed a variety of techniques of self-cultivation usually known
an indication of the meaning of monastic ordination and a
as yogas. The sustained practice of this discipline was known
lay confession of faith.
as a “path” (ma¯rga), and the goal was a state of peace and
freedom from passion and suffering called nirva¯n:a.
Buddha. No Western scholar today would claim to
know the exact details of the founder’s biography, or for that
As a shramanic religion, Buddhism displayed similar
matter the exact content of his teachings. The above is mere-
traits but gave to each of these its unique imprint. The con-
ly an educated guess based on formulations from a time re-
ception of rebirth and its evils were not questioned, but suf-
moved by several centuries from their origins. Scholars agree,
fering was universalized: all human conditions lead to suffer-
nevertheless, on the historicity of the founder. That is to say,
ing, suffering has a cause, and that cause is craving, or
though they may doubt the accuracy of the information
“thirst” (tr:s:n:a¯). To achieve liberation from the cycle of re-
transmitted in traditional “biographies” (beginning with his
birth one must follow the spiritual discipline prescribed by
personal name, Siddha¯rtha Gautama) or in legends about the
the Buddha, summarized in the Eightfold Path. The follower
Buddha’s sermons, Western scholars accept the existence of
of Buddhism was expected to renounce the lay life and be-
an influential religious figure, called S´a¯kyamuni (“the sage
come a wandering ascetic, an ideal epitomized by the spiritu-
of the S´a¯kya tribe”) by his disciples, who at some point in
al career of the founder.
the sixth century BCE founded in the Ganges River valley the
Most shramanic groups made provisions for their lay
community of wandering mendicants that would eventually
supporters, essentially members of the community who by
grow into the world religion we now call Buddhism.
circumstance or choice could not follow the wanderer’s path.
Scholars generally tend to accept the years 563 to 483
Buddhist laymen could begin moving in the right direc-
BCE as the least problematic, if not the most plausible, dating
tion—with the hope of being able to renounce the world in
for the life of Gautama Buddha. (Other dating systems exist,
a future birth—by “taking refuge” (´saran:a-gamana), that is,
however, that place his life as much as a century later.) As-
by making a confession of faith in the Buddha, his teachings,
suming, moreover, that the legend is reliable in some of its
and his monastic order, and by adopting five fundamental
details, we can say that the history of the religion begins
moral precepts (pañca´s¯ıla): not to deprive a living thing of
when S´a¯kyamuni was thirty-five (therefore, in about 528),
life, not to take what is not given to you, not to engage in
with his first sermon at Sa¯rna¯th (northeast of the city of
illicit sexual conduct, not to lie, and not to take intoxicating
Va¯ra¯n:as¯ı).
drinks.
Before and after his enlightenment, S´a¯kyamuni fol-
The Three Jewels. Perhaps all we can say with certainty
lowed the typical career of a wanderer. At twenty-nine he
about the roots of Buddhist doctrine and doctrinal continu-
abandoned the household and sought a spiritual guide. An
ity in Buddhism is that the figure of the Buddha and his ex-
early legend claims that S´a¯kyamuni actually studied under
perience dominate most of Buddhist teachings. If we wish
two teachers of the age, A¯l:a¯ra Ka¯la¯ma and Udraka
to understand Buddhism as a doctrinal system, we can look
Ra¯maputra. From such teachers the young ascetic learned
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techniques of meditation that he later rejected, but the im-
way. The same can be said about other doctrines that would
prints of which remain in Buddhist theories of meditation.
become central to the development of Buddhist doctrinal
Dissatisfied with what he had learned, he tried the life of the
speculation, for instance, the principle of conditioned arising
hermit. Finally, after six years of struggle, he “awakened”
(prat¯ıtya-samutpa¯da) and the analysis of the human personal-
under a pipal tree (Ficus religiosa) near the border town of
ity into its constituent parts (skandhas, etc.).
Uruvilva¯ (Bodh Gaya¯).
It is difficult to determine to what extent early Bud-
His first sermon was followed by forty-five years of wan-
dhism had an accompanying metaphysics. Some of the earli-
dering through the Ganges River valley, spreading his teach-
est strata of Buddhist literature suggest that the early com-
ings. Although tradition preserves many narratives of isolated
munity may have emphasized the joys of renunciation and
episodes of this half century of teaching, no one has been able
the peace of abstention from conflict—political, social, and
to piece together a convincing account of this period. For the
religious—more than a philosophical doctrine of liberation.
tradition this was also a time for the performance of great
Such are the ascetic ideals of one of the earliest texts of the
miracles, and historical accuracy was never an important
tradition, the At:t:hakavagga (Suttanipa¯ta). The mendicant
consideration.
abstains from participating in the religious and metaphysical
debates of brahmans, ´sraman:as, and sages. He is detached
At the age of eighty (c. 483), Siddha¯rtha Gautama, the
from all views, for
Buddha S´a¯kyamuni, died near the city of Ku´sina¯gara. To his
immediate disciples perhaps this fading away of the Master
Purity is not [attained] by views, or learning, by knowl-
confirmed his teachings on impermanence, but the Buddha’s
edge, or by moral rules, and rites. Nor is it [attained]
death would soon come to be regarded as a symbol of his per-
by the absence of views, learning, knowledge, rules, or
fect peace and renunciation: with death he had reached his
rites. Abandoning all these, not grasping at them, he is
parinirva¯n:a, that point in his career after which he would be
at peace; not relying, he would not hanker for becom-
reborn no more. His ashes, encased in a reliquary buried in
ing. (Suttanipa¯ta 839)
a cairn, came to stand for the highest achievement of an
There is in this text a rejection of doctrine, rule, and rite that
awakened being, confirming his status as the one who had
is a critique of the exaggerated claims of those who believed
attained to truth, the Tatha¯gata—an epithet that would
they could become pure and free through ritual, knowledge,
come to denote ultimate truth itself.
or religious status. The lonely ascetic seeks not to become
one thing or the other and avoids doctrinal disputes.
Dharma. The first preaching, known as the “First Turn-
ing of the Wheel of Dharma” (or, in the West, the “Sermon
If such statements represent some of the earliest mo-
at Banaras” or the “Deer Park Sermon”), symbolizes the ap-
ments in the development of the doctrine, then the next
pearance in history of the Buddhist teaching, whereas
stage must have brought a growing awareness of the need for
S´a¯kyamuni’s enlightenment experience, or “Great Awaken-
ritual and creed if the community was to survive. This aware-
ing” (maha¯bodhi), which occurred in the same year, repre-
ness would have been followed in a short time by the forma-
sents the human experience around which the religion would
tion of a metaphysic, a theory of liberation, and a conscious
develop its practices and ideals. This was the experience
system of meditation. In the next strata of early Buddhist lit-
whereby S´a¯kyamuni became an “Awakened One” (buddha).
erature these themes are only surpassed in importance by dis-
His disciples came to believe that all aspects of Buddhist doc-
cussions of ascetic morality. The ascetic ideals of the early
trine and practice flow from this experience of awakening
community were then expanded and defined by doctrine—
(bodhi) and from the resultant state of freedom from passion,
as confession of faith, as ideology, and as a plan for religious
suffering, and rebirth called nirva¯n:a. The teachings found in
and moral practice. The earliest formulations of this type are
the Buddha’s sermons can be interpreted as definitions of
perhaps those of the Eightfold Path, with its triple division
these two experiences, the spiritual practices that lead to or
into wisdom, moral practice, and mental concentration. The
flow from them, and the institutions that arose inspired by
theoretical or metaphysical underpinnings are contained in
the experience and the human beings who laid claim to it.
the Four Noble Truths and in the Three Marks (imperma-
nence, sorrow, and no-self), both traditionally regarded as
However, it is difficult, if not impossible, to surmise
the subject matter of the Buddha’s first sermons.
which, if any, among the many doctrines attributed by tradi-
tion to the founder are veritably his. Different Buddhists,
Sam:gha. With the first sermon the Buddha began a
even when they can agree on the words, will interpret the
ministry that would last forty-five years. During this period
message differently. Although most would find the nucleus
he established a religious order—perhaps only a mendicant
of S´a¯kyamuni’s teachings in the “First Sermon,” especially
order in its beginnings—and trained a number of distin-
in the doctrine of the Four Noble Truths allegedly preached
guished disciples who would carry on the teaching after the
therein, a host of other doctrinal statements compete for the
founder’s death. Tradition preserves the names of many of
central position throughout the history of Buddhism in India
his disciples and immediate heirs to his teaching: Kaun:d:inya,
and beyond. Moreover, a number of texts that can claim
the first convert to be admitted into the Buddha’s religious
great antiquity are not only silent about the Four Noble
order (sam:gha); Yasa, the first householder to receive full lay
Truths but actually do not seem to presuppose them in any
initiation with the Three Refuges; S´a¯riputra, the master of
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1105
wisdom; Maudgalya¯ya¯na, the great thaumaturge; Upa¯li, the
rule (pra¯timoks:a), Moderation in eating, secluded
expert in the monastic code; A¯nanda, the Buddha’s cousin
dwelling, and the practice of mental cultivation (adhi-
and beloved disciple; Maha¯praja¯pati, the first woman admit-
citta): This is the teaching of the Buddhas.
ted into the monastic order; and Maha¯ka¯´syapa, who under-
(Maha¯pada¯na Suttanta)
took to preserve the Buddha’s teaching and organized the
These verses outline important aspects of the early teaching:
First Council. The Buddha’s disciples represented a wide
the centrality of ahim:sa¯, the two aspects of morality—
spectrum of social classes. Yasa was the son of a wealthy guild
abstention and cultivation—and the practice of meditation,
master; Upa¯li, a humble barber; S´a¯riputra, a brahman;
all in the context of a community of ascetics for whom a life
A¯nanda, a member of the nobility (ks:atriya). Among the
of solitude, poverty, and moderation was more important
early followers we find not only world renouncers but believ-
than the development of subtle metaphysics.
ers from a variety of walks of life; King Bimbisara, the
wealthy banker Ana¯thapin:d:ika, the respectable housewife
Probably—and the earliest scriptures suggest this—the
Vi´sa¯kha¯, and the courtesan Amrapa¯l¯ı, for instance.
first aspect of Buddhist teachings to be systematized was the
rule, first as a confession of faith for dispersed communities
Although the Buddhist monastic community was an in-
of mendicants, soon as a monastic rule for sedentary ascetics.
tegral part of Indian society, serving as an instrument of legit-
Also at an early stage, the community sought to systematize
imation and cohesion, it also served on occasions as a critic
its traditions of meditation, some of which must have been
of society. Especially in its early development, and in particu-
pre-Buddhistic (the Buddha himself having learned some of
lar during the period of the wandering mendicants, the
these from his teachers). Thus, Buddhist techniques of medi-
sam:gha was a nonconformist subgroup. The variety of social
tation represent a continuation of earlier processes of yoga,
classes represented by the roster of early disciples in part re-
though we cannot be certain as to the exact connection, or
flects the fluid state of Indian society at the time; but it also
the exact content of the early practices.
reflects the Buddha’s open opposition to the caste system as
The first of these developments brought the community
it existed then. Although the challenge was religious and po-
closer together by establishing a common ritual, the recita-
litical as well as social, the Buddha’s critique of Brahmanism
tion of the rule (pra¯timoks:a) at a meeting held on the full and
made his order of mendicants an alternative community,
new moon and the quarter moons (uposatha). The second
where those who did not fit in the new social order could
development confirmed an important but divisive trait of the
find a sense of belonging, acceptance, and achievement. Bud-
early community: the primary source of authority remained
dhist reforms and institutions would waver in their function
with the individual monk and his experience in solitude.
as rebels and supporters of social order until Buddhism ulti-
Thus, competing systems of meditation and doctrine proba-
mately became absorbed into Hinduism during the centuries
bly developed more rapidly than differences in the code.
following the first millennium of the common era.
THE CENOBIUM. As India moved into an age of imperial
We can surmise that the earliest community did not
unity under the Maurya (322–185) and S´un˙ga dynasties
have a fixed abode. During the dry season the Buddhist
(185–73), the Buddhist community reached its point of
´sraman:as would sleep in the open and wander from village
greatest unity. Although the sam:gha split into schools or sects
to village “begging” for their sustenance—hence their title
perhaps as early as the fourth century BCE, differences among
bhiks:u, “mendicant” (fem., bhiks:un:¯ı). They were persons
Buddhists were relatively minor. Transformed into a monas-
who had set forth (pravrajya¯) from the household to lead the
tic brotherhood, Buddhism served a society that shared com-
life of the wanderer (parivra¯jaka). Only during the rainy sea-
mon values and customs. Unity, however, was shortlived,
son would they gather in certain spots in the forest or in spe-
and Buddhism, like India, would have to adapt rapidly to
cial groves provided by lay supporters. There they would
new circumstances as the first invasions from Central Asia
build temporary huts that would be dismantled at the end
would put an end to the S´un˙ga dynasty in 175. Until then,
of the rainy season, when they would set out again in their
however, during the approximately three hundred years from
constant wandering to spread the Buddha’s Dharma.
the death of the founder to the beginning of the age of for-
The main ideals of the mendicant life of the “wander-
eign invasions, Buddhist monks and laymen began the pro-
ers” is expressed in a passage that is presented as the creed
cess of systematization that defined the common ground of
or code (the Pra¯timoks:a) recited by the followers of the “for-
Indian Buddhism in practice, scripture, and doctrine.
mer Buddha” Vipa´syin when they interrupted the wandering
The primary element of continuity became the
to meet and renew their common ideals:
Pra¯timoks:a, the rules for the maintenance of the community
and the liturgical recitation thereof; differences in this regard
Enduring patience is the highest austerity, nirva¯n:a is
would be more serious than differences of doctrine. Thus the
the highest condition—say the Buddhas. For he who
injures another is not a true renouncer, He who causes
Second Council, which is supposed to have caused the most
harm to others is not a true ascetic. Not to do any evil,
serious split in the history of the community, is said to have
to practice the good, to purify one’s own mind: This is
been called to resolve differences in the interpretation and
the teaching of the Buddhas. Not to speak against oth-
formulation of minor details in the monastic regulations. In
ers, not to harm others, and restraint according to the
order to justify and clarify the rules that held the community
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BUDDHISM: BUDDHISM IN INDIA
together a detailed commentary of the Pra¯timoks:a rules had
put an end to it, or, in doctrinal shorthand, “arising” and
to be developed. The commentary, attributed to the Buddha
“cessation.” Since cessation is in fact the obverse of arising,
himself, eventually grew into the Vinaya, an extensive section
a proper understanding of arising, or causation, becomes
of the canon.
central to Buddhist speculation in India. The most impor-
tant doctrine for this aspect of the religion is the principle
But the full development of the monastic code presup-
of dependent arising (prat¯ıtya-samutpa¯da): everything we re-
poses a sedentary sam:gha. We can surmise that not long after
gard as “the self” is conditioned or compounded; everything
the Buddha’s death the retreat for the rainy season began to
conditioned depends on causes and conditions; by under-
extend into the dry season, perhaps at the invitation of the
standing the causes of our idea of the self and of the sorrow
lay community, perhaps owing to dwindling popular sup-
that this idea brings to us we can become free of suffering.
port for the mendicant wanderers. Soon the temporary huts
This doctrine is summarized in a stanza that has become one
were replaced by more or less permanent structures built of
of the best known Buddhist creeds throughout Asia:
wood, and the community of wanderers became a cenobium.
The stone and gravel foundation of one of the earliest
The Tatha¯gata has proclaimed the cause,
monasteries remains in the vicinity of Ra¯jagr:ha (Bihar).
as well as the cessation,
These are the ruins of the famous “Jivaka’s Mango Grove”
of all things (dharma) arising from a cause.
(Jivaka¯mravan:a) Monastery, built on a plot of land donated
This is the Great S´raman:a’s teaching. (Maha¯vastu 2.62;
to the order at the time of the Buddha. In its early history
Pa¯li Vinaya 1.40)
it may have been used only during the rainy season, but it
already shows the basic structure of the earliest monasteries:
Abstract theories of causation were perceived as having an ul-
living quarters for the monks and a large assembly hall (per-
timately soteriological meaning or function, for they clarified
haps for the celebration of the Uposatha).
both the process of bondage (rebirth forced upon us as a con-
sequence of our actions) and the process of liberation (free-
As the community settled down, rules and rituals for
dom from rebirth by overcoming our ignorance and gaining
regulating monastic life became a necessity. At least some of
control over the causes of bondage). Liberation was possible
the items in the Pra¯timoks:a section of the Vinaya and some
because the analysis of causation revealed that there was no
of the procedural rules discussed in the Karmava¯cana¯ may
reincarnating or suffering self to begin with.
go back to the time of the Buddha. The rule and the proce-
dures for governing the Sam:gha are clearly based on republi-
Impermanence and causation were explained by primi-
can models, like the constitution of the Licchavis of Vai´sa¯l¯ı,
tive theories of the composition of material reality (the four
which is praised in the canonical texts. If this admiration goes
elements) and mental reality (the six senses, the six types of
back to the founder, then we can say that the Buddha or-
sense objects, etc.) and, what is more important, by the theo-
dered his community of wandering mendicants on the politi-
ry of the constituents (skandhas) of human personality. These
cal model provided by the disappearing republics of North
notions would become the main focus of Buddhist philoso-
India. Such a rule would encourage order and harmony on
phy, and by the beginning of the common era they were
the one hand, and peaceful disagreement and individual ef-
being integrated into systematic treatments of the nature of
fort on the other. It provided for mutual care and concern
ultimately real entities (dharma).
in matters of morals, but lacked a provision for a central au-
Although the themes of impermanence and causation
thority in political or doctrinal matters.
will remain at the heart of Buddhist philosophical specula-
The common doctrinal ground. The Buddha realized
tion for several centuries, from the religious point of view the
the true nature of things, their “suchness” (tathata¯), and
question of no-self plays a more important role. At first seen
therefore is one of those rare beings called tatha¯gatas. Yet,
as an insightful formulation of the meaning of awakening
whether there is a tatha¯gata to preach it or not, the Dharma
and liberation, the doctrine of no-self raised several difficul-
is always present, because it is the nature of all things
ties for Buddhist dogma. First, it was not at all obvious how
(dharmata¯). Four terms summarize this truth known by the
moral (or karmic) responsibility could be possible if there
tatha¯gatas: impermanence, sorrow, no-self, nirva¯n:a. The first
was no continuous self. Second, some Buddhists wondered
implies the second, for attachment to what must change
what was the meaning of liberation in the absence of a self.
brings sorrow. Our incapacity to control change, however,
Closely related to these issues was the question of the
reveals the reality of no-self—nothing is “I” or “mine.” The
nature and status of the liberated being. In other words, what
experience of no-self, on the other hand, is liberating; it re-
sort of living being is a tatha¯gata? Some Buddhists considered
leases one from craving and the causes of sorrow; it leads to
the tatha¯gata as a transcendent or eternal being, while others
peace, nirva¯n:a.
saw him as someone who by becoming extinct was nonexis-
These principles are summarized also in a doctrine rec-
tent; still others began to redefine the concept of liberation
ognized by all schools, that of the Four Noble Truths: sor-
and no-self in an attempt to solve these questions and in re-
row, its cause, its cessation, and the path leading to cessation.
sponse to changes in the mythological or hagiographic
Buddhist tradition, therefore, will spend much of its energy
sphere. These issues are an essential part of the changes in
in understanding the causes of suffering and the means to
doctrine and practice that would take place during the age
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BUDDHISM: BUDDHISM IN INDIA
1107
of invasions, culminating in the emergence of Maha¯ya¯na
a flourishing cult of the relics, often accompanied by the
Buddhism.
practice of pilgrimage to the sacred sites consecrated by their
role in the life of S´a¯kyamuni—especially the birth place, the
Worship and ritual. The most important ritual of the
site of the Great Awakening, the site of the First Sermon, and
monastic community continued to be Upavasatha or Upo-
the spot where the Buddha was believed to have died. Fol-
satha, a gathering of the sam:gha of a given locality or “parish”
lowing an ancient custom, tumuli were built on these
(s¯ıma¯) to recite the rules of the Pra¯timoks:a. These meetings
spots—perhaps at first as reliquaries, later as commemorative
were held at every change in the moon’s phase. A similar cer-
monuments. Monasteries near such sites assumed the role of
emony, but with greater emphasis on the public confession
shrine caretakers. Eventually, most monasteries became asso-
of individual faults, was held at the end of the rainy season.
ciated with stupas.
At this time too was held the kat:hina ceremony, in which
the monks received new robes from the lay community.
A´soka erected columns and stupas (as many as eighty
Other rituals, such as the ordination ceremony, had a more
thousand, according to one tradition) marking the localities
limited impact on the community at large, but were never-
associated with the life of the Buddha as well as other ancient
theless important symbols of the status of the religious spe-
sacred sites, some associated with “former Buddhas,” that is,
cialist in society at large.
mythical beings believed to have achieved Buddhahood
thousands or millions of lives before the Buddha S´a¯kyamuni.
Above all other rituals, one of shramanic origin offered
The latter practice and belief indicates the development of
continued reinforcement of the ties that bound the religious
a new form of Buddhism, firmly based on the mythology of
order with the laity. The bhiks:u, as his title indicates, was ex-
each locality, that expanded the concept of the Three Trea-
pected to receive his sustenance from the charity (da¯na) of
sures to include a host of mythical beings who would share
pious laymen and laywomen. Accordingly, the monks would
in the sanctity of S´a¯kyamuni’s experience and virtue and who
walk the villages every morning to collect alms. By giving the
were therefore deserving of the same veneration as he had re-
unsolicited gift the layperson was assured of the merit
ceived in the past.
(pun:ya) necessary to be reborn in a state of being more favor-
able for spiritual or material progress. According to some tra-
The cairn or tumulus eventually became sacred in itself,
ditions, the monk received the benefits of helping others gain
whether there was a relic in it or not. Chapels were built to
merit; but some believed the monk could not gain merit ex-
contain the caitya. The earliest surviving examples of these
cept by his own virtue.
structures are built in stone and date from the first or second
century BCE, but we can surmise that they existed in wood
In the early stages lay followers were identified by their
from an earlier date. These “caitya halls” became the standard
adherence to the fivefold moral precept (pañca´s¯ıla) and the
shrine room of the monastery: a stylized memorial tumulus
formal adoption of the Three Refuges. These practices con-
built in stone or brick, housed in an apsidal hall with a pro-
tinued throughout the history of Indian Buddhism. It is also
cessional for the ritual circumambulation of the tumulus.
likely that participation of lay members in Upavasatha meet-
ings with the sam:gha was also an early and persistent practice.
Reliefs at the caitya hall at Bha¯ja¯ in western India (late
S´un˙ga, c. end of the second century BCE) suggest various as-
At first the cenobitic life of the monks probably had no
pects of the cult: the main form of worship was the ritual of
room for explicit acts of devotion, and the monk’s religion
circumambulation (pradaks:in:a), which could be carried out
was limited to a life of solitude and meditation. The early
individually or in groups. The stupa represented the sacred
monastic ruins do not show evidence of any shrine room. It
or cosmic mountain, at whose center was found the axis
was essential to have the cells open onto a closed courtyard,
mundi (now represented by the Buddha’s royal parasol); thus
to keep out the noise of the world; it was essential to have
the rite of circumambulation expressed veneration for the
an assembly hall for teaching and the recitation of the
Buddha and his teaching, while at the same time it served
Pra¯timoks:a; a promenade (can˙krama) for walking meditation
as a symbolic walking of the sun’s path around the cosmic
was also necessary. But there were no shrine rooms.
mountain.
With the institutionalization of Buddhism, however,
Stupas were often erected at ancient sacred sites, hills,
came new forms of lay and monastic practice. The monastic
trees, the confluence of streams, which in many cases were
brotherhood gradually began to play a priestly role; in tan-
sacred by virtue of non-Buddhist belief. Thus, pre-Buddhist
dem with the lay community, they participated in non-
practice, if not belief, survived side by side, and even within,
monastic rituals, many of which must have been of pre-
Buddhist liturgy and belief. There is ample evidence of a co-
Buddhist origin. One practice that clearly was an important,
existing cult of the tree (identified with the “Tree of Awaken-
nonascetic ritual, yet characteristic of Buddhism, was the
ing”), of forest spirits (yaks:as) and goddesses (devata¯), and the
worship of the relics of the Buddha and his immediate disci-
persistence of Vedic deities, albeit in a subordinate role, be-
ples. The relics were placed in a casket, which was then de-
side a more austere, and presumably monastically inspired,
posited in a cairn or tumulus (stupa, caitya), to which the
cult of aniconic symbolizations of Buddhahood: the tree and
faithful would come to present their offerings. Already by the
the throne of enlightenment standing for the Great Awaken-
time of A´soka (mid-third century BCE) we find evidence of
ing, the stupa representing the nirva¯n:a, the wheel represent-
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BUDDHISM: BUDDHISM IN INDIA
ing the doctrine of the Buddha. But one must not assume
translations from logia or sayings of the Buddha that were
that the implied categories of “high tradition” and popular
transmitted for some time in his own language. But even if
cult were mutually exclusive.
this is the case, the extant versions represent at the very least
redactions and reworkings, if not creations, of a later age.
The councils and the beginning of scriptural tradi-
tion. The First Council, or Council of Ra¯jagr:ha, if a histori-
Since the sam:gha was from the beginning a decentral-
cal fact, must have served to establish the Buddhist sam:gha
ized church, one can presume that the word of the Buddha
and its doctrine for the community of the Magadhan capital.
took many forms. Adding to this the problem of geographi-
In all probability the decisions of the Council were not ac-
cal isolation and linguistic diversity, one would expect that
cepted by all Buddhists. Further evidence of disagreement,
the oral transmission would have produced a variegated tex-
and geographical fragmentation is found in the legend of the
tual tradition. Perhaps it is this expectation of total chaos
Second Council, one hundred years after the Buddha’s
that makes it all the more surprising that there is agreement
death.
on so many points in the scriptures preserved to this day.
Since the early community of wanderers, there had been
This is especially true of the scriptures of the Therava¯da
ample room for disagreement and dissension. But certain
school (preserved in Pali), and fragments of the canon of the
forces contributed to maintaining unity: the secular powers,
Sarva¯stiva¯da school (in the original Sanskrit or in Chinese
for instance, had much at stake in preserving harmony with-
translation). Some scholars have been led to believe, there-
in the sam:gha, especially if they could maintain some kind
fore, that these two traditions represent the earliest stratum
of control over it. Thus, as the legends have it, each of the
of the transmission, preserving a complex of pericopes and
three major councils were sponsored by a king: Aja¯ta´satru,
logia that must go back to a stage when the community was
Ka¯la¯´soka, and A´soka, respectively. Within the sam:gha, there
not divided: that is, before the split of the Second Council.
must have been interest groups, mainly conservative, seeking
Most scholars tend to accept this view; a significant minority,
to preserve the religion by avoiding change—two goals that
however, sees the uniformity of the texts as reflecting a late,
are not always conciliable. There must have been, therefore,
not an early stage, in the redaction of the canon.
a strong pressure to recover the ideal unity of the early com-
The early canon, transmitted orally, must have had only
munity (as we have seen, probably a fantasy), by legislation.
two major sections, Dharma and Vinaya. The first of these
These efforts took two forms: in the first place, there was the
contained the discourses of the Buddha and his immediate
drive to establish a common monastic code, in the second
disciples. The Vinaya contained the monastic rules. Most
place, there was the drive to fix a canon of scriptures. Both
Western scholars agree that a third section, Abhidharma,
tendencies probably became stronger toward the beginning
found in all of the surviving canons, could not have been in-
of the common era, when a number of political factors recre-
cluded in early definitions of canonicity, though eventually
ated a sense of urgency and a yearning for harmony and
most schools would incorporate it in their canon with vary-
peace similar to the one that had given rise to the religion.
ing degrees of authority.
The most important result of the new quest for harmo-
Each early school possessed its own set of scriptural “col-
ny was the compilation and redaction of scriptures. Trans-
lections” (called metaphorically “baskets,” pit:aka). Although
mitted and edited through the oral tradition, the words of
eventually the preferred organization seems to have been a
the Buddha and his immediate disciples had suffered many
tripartite collection of “Three Baskets,” the Tripit:aka, divid-
transformations before they came to be compiled, to say
ed into monastic rules, sermons, and scholastic treatises
nothing of their state when they were eventually written
(Vinaya, su¯tra, Abhidharma), some schools adopted different
down. We have no way of determining which, if any, of the
orderings. Among the collections that are now lost there were
words contained in the Buddhist scriptures are the words of
fourfold and fivefold subdivisions of the scriptures. Of the
the founder: in fact we have no hard evidence for the lan-
main surviving scriptural collections, only one is strictly
guage used by the Buddha in his ministry. Scholars have sug-
speaking a Tripit:aka, the Pali corpus of the Therava¯dins.
gested an early form of Ma¯gadh¯ı, since this was probably the
(The much later Chinese and Tibetan collections have much
lingua franca of the kingdom of Magadha, but this is at best
more complex subdivisions and can be called Tripit:akas only
an educated guess. If it is correct, then none of the words of
metaphorically.)
the Buddha have come to us in the original language.
THE AGE OF FOREIGN INVASIONS. The decline and fall of
Although the Therava¯din tradition claims that the lan-
the Maurya dynasty (324–187) brought an end to an age of
guage of its canon, Pali, is the language spoken by the Bud-
assured support for Buddhist monastic institutions. Political
dha, Western scholars disagree. Evidently, the Pali canon,
circumstances unfavorable to Buddhism began with persecu-
like other Buddhist scriptures, is the creation, or at least the
tion under Pus:yamitra S´un˙ga (r. about 187–151). The
compilation and composition, of another age and a different
S´un˙ga dynasty would see the construction of some of the
linguistic milieu. As they are preserved today, the Buddhist
most important Buddhist sites of India: Bha¯rhut, Sa¯ñc¯ı, and
scriptures must be a collective creation, the fruit of the effort
Amara¯vat¯ı. But it also foreshadowed the beginning of Hindu
of several generations of memorizers, redactors, and compil-
dominance. The rising cult of Vis:n:u seemed better equipped
ers. Some of the earliest Buddhist scriptures may have been
to assimilate the religion of the people and win the support
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BUDDHISM: BUDDHISM IN INDIA
1109
of the ruling classes. Although Buddhism served better as a
lems Buddhists soon developed complicated scholastic
universal religion that could unite Indians and foreign invad-
studies.
ers, the latter did not always choose to become Buddhists.
At least some of the techniques and problems of this
A series of non-Indian rulers—Greek, Parthian, Scythian
early scholasticism must go back to the early redactions of
(Saka), Kushan—would hesitate in their religious alle-
the su¯tra section of the canon, if not to a precanonical stage.
giances.
The genre of the ma¯tr:ka¯, or doctrinal “matrices,” is not an
Among the Greek kings, the Buddhist tradition claims
uncommon form of su¯tra literature. It is suggested in the re-
Menander (Milinda, c. 150 BCE) as one of its converts. The
daction of certain sections of the Pali and Sarva¯stiva¯din can-
Scythian tribe of the Sakas, who invaded Bactriana around
ons, is found in early Chinese translations (e.g., the
130 BCE, roughly contemporaneous with the Yüeh-chih con-
Dharma´sar¯ıraka Su¯tra and the Da´sottara Su¯tra), and contin-
quest of the Tokharians, would become stable supporters of
ues in Maha¯ya¯na Su¯tra literature. It is a literary form that
Buddhism in the subcontinent. Their rivals in South India,
probably represents not only an exegetic device but an early
the Tamil dynasty of the S´a¯tava¯hana (220 BCE–236 CE),
technique of doctrinal redaction—a hermeneutic that also
sponsored in Andhra the construction of major centers of
served as the basis for the redaction of earlier strata of the
worship at Amara¯vat¯ı and Na¯ga¯rjun¯ıkon:d:a. The Yüeh-chih
oral transmission.
(Kushans) also supported Buddhism, though perhaps less
The early sects. Given the geographical and linguistic di-
consistently. The most famous of their rulers, Kan:is:ka, is
versity of India and the lack of a central authority in the Bud-
represented by the literature as a pious patron of Buddhism
dhist community one can safely speculate that Buddhist sects
(his dates are uncertain; proposed accession in 78 or 125 CE).
arose early in the history of the religion. Tradition speaks of
During the Kushan period (c. 50–320 CE) the great schools
a first, but major, schism occurring at (or shortly after) the
of Gandha¯ra and Mathura¯ revolutionized Indian, especially
Second Council in Vai´sa¯l¯ı, one hundred years after the death
Buddhist, art. Both the northern styles of Gandha¯ra and
of the founder. Whether the details are true or not, it is sug-
Mathura¯ and the southern school of Andhra combined icon-
gestive that this first split was between the Sthaviras and the
ic and aniconic symbolization of the Buddha: the first Bud-
Maha¯sa¯m:ghikas, the prototypes of the two major divisions
dha images appeared around the third century of the com-
of Buddhism: “H¯ınaya¯na” and Maha¯ya¯na.
mon era, apparently independently and simultaneously in all
three schools.
After this schism new subdivisions arose, reaching by
the beginning of the common era a total of approximately
The appearance of schools and denominations. Any
thirty different denominations or schools and subschools.
understanding of the history of composition of the canons,
Tradition refers to this state of sectarian division as the peri-
or of their significance in the history of the religion, is depen-
od of the “Eighteen Schools,” since some of the early sources
dent on our knowledge of the geographic distribution, histo-
count eighteen groups. It is not clear when these arose. Faut
ry, and doctrine of the various sects. Unfortunately, our
de mieux, most Western scholars go along with classical Indi-
knowledge in this regard is also very limited.
an sources, albeit with a mild skepticism, and try to sort out
a consistent narrative from contradictory sources. Thus, we
Developments in doctrine and in scholastic speculation.
can only say that if we are to believe the Pali tradition, the
As the original community of wandering mendicants settled
Eighteen Schools must have been in existence already in the
in monasteries, a new type of religion arose, concerned with
third century
the preservation of a tradition and the justification of its in-
BCE, when a legendary Moggaliputtatissa com-
piled the Katha¯vatthu. But such an early dating raises many
stitutions. Although the “forest dweller” continued as an
problems.
ideal and a practice—some were still dedicated primarily to
a life of solitude and meditation—the dominant figure be-
In the same vein, we tend to accept the account of the
came that of the monk-scholar. This new type of religious
Second Council that sees it as the beginning of a major split.
specialist pursued the study of the early tradition and moved
In this version the main points of contention were monastic
its doctrinal systems in new directions. On the one hand, the
issues—the exact content and interpretation of the code. But
old doctrines were classified, defined, and expanded. On the
doctrinal, ritual, and scholastic issues must have played a
other hand, there was a growing awareness of the gap that
major role in the formation of separate schools. Many of the
separated the new developments from the transmitted creeds
main points of controversy, for instance, centered on the
and codes. A set of basic or “original” teachings had to be
question of the nature of the state of liberation and the status
defined, and the practice of exegesis had to be formalized.
of the liberated person. Is the liberated human (arhat) free
In fact, the fluidity and uncertainty of the earlier scriptural
from all moral and karmic taint? Is the state of liberation
tradition may be one of the causes for the development of
(nirva¯n:a) a condition of being or nonbeing? Can there be at
Buddhist scholasticism. By the time the canons were closed
the same time more than one fully awakened person
the degree of diversity and conflict among the schools was
(samyaksam:buddha) in one world system? Are persons al-
such, and the tradition was overall so fluid, that it was diffi-
ready on their way to full awakening, the bodhisattvas or fu-
cult to establish orthodoxy even when there was agreement
ture Buddhas, deserving of worship? Do they have the ability
on the basic content of the canons. In response to these prob-
to descend to the hells to help other sentient beings?
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1110
BUDDHISM: BUDDHISM IN INDIA
Among these doctrinal disputes one emerges as em-
added Moggaliputtatissa’s Katha¯vatthu. A few years later the
blematic of the most important fissure in the Buddhist com-
canon resulting from this council, and a number of extraca-
munity. This was the polemic surrounding the exalted state
nonical commentaries, were transmitted to Sri Lanka by
of the arhat (Pali, arahant). Most of the Buddhist schools be-
Mahinda. The texts were transmitted orally (mukhapa¯t:hena)
lieved that only a few human beings could aspire to become
for the next two centuries, but after difficult years of civil war
fully awakened beings (samyaksam:buddha), others had to
and famine, King Vat:t:aga¯man:¯ı of Sri Lanka ordered the
content themselves with the hope of becoming free from the
texts written down. This task was carried out between 35 and
burden of past karman and attaining liberation in nirva¯n:a,
32 BCE. In this way, it is said, the canon was preserved in the
without the extraordinary wisdom and virtue of Buddha-
original language. Although the commentaries were by that
hood. But the attainment of liberation was in itself a great
time extant only in Sinhala, they continued to be transmitted
achievement, and a person who was assured of an end to re-
in written form until they were retranslated into Pali in the
birth at the end of the present life was considered the most
fifth century CE.
saintly, deserving of the highest respect, a “worthy” (arhat).
Some of the schools even attributed to the arhat omniscience
Modern scholarship, however, questions the accuracy of
and total freedom from moral taint. Objections were raised
several points in this account. Pali appears to be a literary lan-
against those who believed in the faultless wisdom of the
guage originating in Avant¯ı, western India; it seems unlikely
arhat, including obvious limitations in their knowledge of
that it could be the vernacular of a man who had lived in
everyday, worldly affairs. Some of these objections were for-
eastern India all his life or, for that matter, the lingua franca
malized in the “Five Points” of Maha¯deva, after its purported
of the early Magadhan kingdom. The Pali texts as they are
proponent. These criticisms can be interpreted either as a
preserved today show clear signs of the work of editors and
challenge to the belief in the superhuman perfection of the
redactors. Although much in them still has the ring of oral
arhat or as a plea for the acceptance of their humanity. Tradi-
transmission, it is a formalized or ritualized oral tradition, far
tionally, Western scholars have opted for the first of these in-
from the spontaneous preaching of a living teacher. Different
terpretations.
strata of language, history, and doctrine can be recognized
easily in these texts. There is abundant evidence that already
The controversies among the Eighteen Schools identi-
at the stage of oral transmission the tradition was fragment-
fied each group doctrinally, but it seems unlikely that in the
ed, different schools of “reciters” (bha¯n:aka) preserving not
early stages these differences lead to major rifts in the com-
only different corpuses (the eventual main categories of the
munity, with the exception of the schism between the two
canons) but also different recensions of the same corpus of
trunk schools of the Sthavira and the Maha¯sa¯m:ghika; and
literature. Finally, we have no way of knowing if the canon
even then, there is evidence that monks of both schools often
written down at the time of Vat:t:aga¯man:¯ı was the Tripit:aka
lived together in a single monastic community. Among the
as we know it today. There is evidence to the contrary, for
doctrinal differences, however, we can find the seeds of fu-
we are told that the great South Indian scholar Buddhaghosa
ture dissension, especially in the controversies relating to rit-
revised the canon in the fifth century when he also edited the
ual. The Mah¯ı´sa¯sakas, for instance, claimed that there is
commentaries preserved in Sinhala and translated them into
more merit in worshiping and making offerings to the
Pali, which suggests that Pali literature in general had gone
sam:gha than in worshiping a stupa, as the latter merely con-
through a period of deterioration before his time.
tains the remains of a member of the sam:gha who is no more.
The Dharmaguptakas replied that there is more merit in
Most scholars, however, accept the tradition that would
worshiping a stupa, because the Buddha’s path and his pres-
have the Pali canon belong to a date earlier than the fifth cen-
ent state (in nirva¯n:a) are far superior to that of any living
tury; even the commentaries must represent an earlier stra-
monk. Here we have a fundamental difference with both so-
tum. However late may be its final recension, the Pali canon
cial and religious consequences, for the choice is between two
preserves much from earlier stages in the development of the
types of communal hierarchies as well as between two types
religion.
of spiritual orders.
Of the Sanskrit canon of the Sarva¯stiva¯da school we
Developments in the scriptural tradition. Apart from
only possess a few isolated texts and fragments in the original,
the Therava¯da recension of the Pali canon and some frag-
mostly from Central Asia. However, extensive sections sur-
ments of the Sarva¯stiva¯din Sanskrit canon nothing survives
vive in Chinese translation. This canon is supposed to have
of what must have been a vast and diverse body of literature.
been written down at a “Fourth Council” held in Ja¯landhara,
For most of the collections we only have the memory pre-
Kashmir, about 100 CE, close to the time when the same
served in inscriptions referring to pit:akas and nika¯yas and an
school systematized its Abhidharma in a voluminous com-
occasional reference in the extant literature.
mentary called the Maha¯vibha¯s:a. If this legend is true, two
details are of historical interest. We must note first the prox-
According to the Pali tradition of Sri Lanka, the three
imity in time of this compilation to the date of the writing
parts of the Tripit:aka were compiled in the language of the
down of the Pali canon. This would set the parameters for
Buddha at the First Council. The Second Council intro-
the closing of the “H¯ınaya¯na” canons between the first cen-
duced minor revisions in the Vinaya, and the Third Council
tury BCE and the first century CE. Second, the close connec-
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BUDDHISM: BUDDHISM IN INDIA
1111
tion between the closing of a canon and the final formulation
the Buddha image dominates Buddhist iconography after the
of a scholastic system confirms the similar socio-religious
second century CE; stupas and Ja¯taka representations remain
function of both activities: the establishing of orthodoxy.
but play a secondary role. There seems to be, especially in
Mathura¯ art, an association between the Buddha image and
Developments in practice. The cult at this stage was
solar symbolism, which suggests Central Asian or Iranian in-
still dominated by the practice of pilgrimage and by the cult
fluences on Buddhism and may be closely related to the de-
of the caitya, as described above. However, we can imagine
velopment of the new doctrinal conceptions, such as those
an intensification of the devotional aspect of ritual and a
that regarded the Buddha as “universal monarch” (cakravar-
greater degree of systematization as folk belief and “high tra-
tin) and lord of the universe, and Buddhas and bodhisattvas
dition” continued to interact. Sectarian differences probably
as radiant beings. The abundance of bodhisattva images in
began to affect the nature of the liturgies, as a body of liturgi-
Gandha¯ra, moreover, suggests the beginning of a gradual
cal texts became part of the common or the specific property
shift towards a conception of the ideal being as layman, or
of different groups of Buddhists. Among the earliest liturgi-
at least a shift in the way the bodhisattva was conceived (from
cal texts were the hymns in praise of the Buddha, especially
merely an instance of a Buddha’s past to the central paradigm
the ones singing the many epithets of the Awakened One.
of Buddhahood). As a balance to the growing importance of
Their use probably goes back to the earliest stages in the his-
the past lives of the Buddha, the process of redacting the
tory of monastic ritual and may be closely connected with
scriptures also brought about the necessity of formulating a
the practice of buddha¯nusmr:ti, or meditation on the attri-
biography of the Buddha. The first “biographies” appear at
butes of the Buddha.
the beginning of the common era, perhaps as late as the sec-
Pilgrimage sites and stupas. Many Buddhist practices
ond century CE. Partial biographies appear in the literature
and institutions remain apparently stable in the subcontinent
of the Sarva¯stiva¯dins (Lalitavistara) and Lokottarava¯dins
until the beginnings of the common era. The monuments
(Maha¯vastu). The first complete biography is a cultured
of Bha¯rhut and Sa¯ñc¯ı, for example, where we find the earliest
poem in the ka¯vya style, the Buddhacarita of A´svaghos:a. This
examples of aniconic symbolism, represent a conservative
is also a time when noncanonical literature flourished. Poets
Buddhism. Other signs of conservatism, however, confirm
wrote Buddhist dramas and poetical recastings of canonical
a continuous nonliterary cult. The oldest section at Sa¯ñc¯ı,
parables and legends. A´svaghos:a, for instance, wrote a drama
the east gateway, dating from perhaps 90 to 80
on the life of S´a¯riputra, and a poem narrating the conversion
BCE, pre-
serves, next to the illustrated Ja¯takas, the woman and tree
of Nanda (Saundara¯nanda). Developments in the literary
motifs, yaks:as and yaks:¯ıs (with the implied popular cult of
tradition perhaps should be seen as reflecting other strata of
male and female fertility deities), and the aniconic represen-
the living tradition. Thus, the vitality of the Ja¯taka tradition
tations of the wheel, the footprint, the throne, and the tree.
is seen in its appearance as a literary genre in the Ja¯takama¯la¯
The most advanced or innovative trait is the increasing
of A¯rya´su¯ra (fl. c. 150 CE). This classical poet is sometimes
iconographic importance of the previous lives of the Buddha,
identified with Ma¯tr:cet:a, who in his works (e.g.,
represented in the reliefs of Ja¯takas. These indicate a devel-
S´atapañca´satka) gives us a highly cultured reflection of the
oped legend of the Buddha’s past lives, a feature of the period
hymns of praise (stotras) that must have been a regular part
that suggests the importance of past lives in the cult and in
of the Buddhist cult of the day. In these hymns we already
the future development of Maha¯ya¯na. The most important
see the apotheosis of the Buddha figure, side by side with the
cultic development of the pre-Maha¯ya¯na period, however,
newly redefined bodhisattva ideal.
was the shift from the commemorative ritual associated with
Mystics and intellectuals. The development of devotion-
the stu¯pa and the aniconic symbol to the ritual of worship
al Buddhism did not obscure the ascetic and contemplative
and devotion associated with the Buddha image. After the
dimensions of the religion. The system of meditation con-
beginning of the Christian era major developments in prac-
tained in the Nika¯yas probably achieved its final form during
tice reflect outside influence as well as new internal develop-
this period. Diverse techniques for the development of en-
ments. This is the time when the sects were beginning to
stasy and insight were conflated first in the canonical Su¯tra
commit to writing their sacred literature, but it is also the
literature, then in the Abhidharmic texts. Side by side with
time of foreign invasions. These may have played a major
the development of popular and monastic cults a new elite
role in the development of the Buddha image. Modern
of religious specialists appeared, seeking to follow the Bud-
scholarship has debated the place of origin of this important
dha’s path through systematic study into the scriptures. They
cultic element and the causal factors that brought it about.
belonged to the tradition of the ma¯tr:ka¯s and composed trea-
Some, following Foucher, proposed a northwestern origin,
tises purporting to treat the “higher” Dharma (abhidhar-
and saw the Buddhas and bodhisattvas created under the in-
ma)—or, what is perhaps the more correct etymology, trea-
fluence of Greco-Roman art in Gandha¯ra (Kushan period)
tises “on the Dharma.” Although the analysis of meditational
as the first images. Others, following Coomaraswamy, be-
categories was an important aspect of these traditions, the
lieved the first images were created in Andhra, as part of the
scholar-monks were not always dedicated meditators. In fact,
natural development of a South Indian cult of the yaks:as, and
many of them must have made scholarship the prime objec-
in the north central region of Mathura¯. Be that as it may,
tive of their religious life, leaving the practice of meditation
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1112
BUDDHISM: BUDDHISM IN INDIA
to the forest monks. For the scholars, the goal was to account
THE SECTS AND THE APPEARANCE OF MAHA¯YA¯NA. Most of
for the whole of Buddhism, in particular, the plethora of an-
the developments mentioned above overlap with the growth
cient doctrines and practices found in the canon. Above all,
of a new spirit that changed the religion and eventually creat-
they sought to define and explain the ultimately real compo-
ed a distinct form of Buddhist belief and practice. The new
nents of reality, the dharmas, into which one could analyze
movement referred to itself as the “Great Vehicle”
or explode the false conception of the self. This critique was
(Maha¯ya¯na) to distinguish itself from other styles of Bud-
not without soteriological implications. The goal was con-
dhism that the followers of the movement considered forms
ceived at times as ineffable, beyond the ken of human con-
of a “Lesser Vehicle” (H¯ınaya¯na).
ception. Thus canonical literature describes the liberated per-
The early schools outside India. If we accept the gen-
son, the arhat, as follows:
eral custom of using the reign of A´soka as the landmark for
When bright sparks fly
the beginning of the missionary spread of Buddhism, we may
as the smith beats red-hot iron,
say that Buddhism reached the frontiers of India by the mid-
and fade away,
dle of the second century BCE. By the beginning of the com-
one cannot tell where they have gone.
mon era it had spread beyond. In the early centuries of the
era Maha¯ya¯na and H¯ınaya¯na spread in every direction; even-
In the same way, there is no way of knowing
tually certain areas would become predominantly Maha¯ya¯na,
the final destination of those who are truly free,
others, predominantly H¯ınaya¯na.
who have crossed beyond the flood, bondage, and desire,
Maha¯ya¯na came to dominate in East and Central Asia—
obtaining unshakable bliss. (Uda¯na, p. 93)
with the exception of Turkistan, where Sarva¯stiva¯din
But side by side with the tradition of ineffability, there
monasteries flourished until the Muslim invasion and con-
was a need to define at the very least the process of liberation.
version of the region. H¯ınaya¯na was slower to spread, and
For the gradual realization of selflessness was understood as
in some foreign lands had to displace Maha¯ya¯na. It lives on
personal growth. Accordingly, a set of standard definitions
in a school that refers to itself as the Therava¯da, a Sinhala
of liberation was accompanied by accepted descriptions of
derivative of the Sthavira school. It spread throughout
the stages on the path to liberation, or of degrees of spiritual
Southeast Asia where it continues to this day.
achievement. The canonical collections already list, for in-
The Great Vehicle. The encounter of Buddhism with
stance, four types of saints (a¯ryapudgala): the one who will
extra-Indian ethnic groups and the increasing influence of
be reborn no more (arhat); the one who will not come back
the laity gradually transformed the monastic child of shra-
to this world, the “non-returner” (ana¯gamin); the one who
manic Buddhism into a universal religion. This occurred in
will return only once more (sakr:da¯gamin); and the one who
two ways. On the one hand, monasticism adapted to the
has entered the path to sainthood, the “stream-enterer”
changing circumstances, strengthened its ties to the laity and
(srota¯panna). Canonical notions of levels or hierarchies in the
secular authorities, established a satisfactory mode of coexis-
path to liberation became the focus of much scholastic specu-
tence with nonliterary, regional forms of worship. Both
lation—in fact, the presence of these categories in the canons
Maha¯ya¯na and H¯ınaya¯na schools participated in this aspect
may be a sign of scholastic influence on the redaction of the
of the process of adaptation. But Buddhism also redefined
scriptures. The construction of complex systems of soteriolo-
its goals and renovated its symbols to create a new synthesis
gy, conceived as maps or detailed descriptions of the path,
that in some ways may be considered a new religion. The
that integrated the description and analysis of ethical and
new style, the Maha¯ya¯na, claimed to be a path for the many,
contemplative practices with philosophical argumentation,
the vehicle for the salvation of all sentient beings (hence its
characterized the Abhidharmic schools. This activity contrib-
name, “The Great Vehicle”). Its distinctive features are: a tilt
uted to the definition of the doctrinal parameters of the sects;
toward world affirmation, a laicized conception of the
but it also set the tone for much of future Buddhist dogmat-
human ideal, a new ritual of devotion, and new definitions
ics. The concerns of the Abhidharmists, ranging from the
of the metaphysical and contemplative ideals.
analysis of enstasy and the contemplative stages to the ratio-
nal critique of philosophical views of reality, had a number
The origins of Maha¯ya¯na. The followers of Maha¯ya¯na
of significant doctrinal consequences: (1) scholars began de-
claim the highest antiquity for its teachings. Their own
vising “maps of the path,” or theoretical blueprints of the
myths of origin, however, belie this claim. Maha¯ya¯na recog-
stages from the condition of a common human being
nizes the fact that its teachings were not known in the early
(pr:thag-jana) to the exalted state of a fully awakened being
days of Buddhism by asserting that S´a¯kyamuni revealed the
(samyaksam:buddha); (2) Buddhist scholars engaged other In-
Maha¯ya¯na only to select bodhisattvas or heavenly beings who
dian intellectuals in the discussion of broad philosophical is-
kept the texts hidden for centuries. One legend recounts that
sues; (3) various orthodox apologetics were developed, with
the philosopher Na¯ga¯rjuna had to descend to the underworld
the consequent freezing of a technical terminology common
to obtain the Maha¯ya¯na texts known as the “Perfection of
to most Buddhists; (4) the rigidity of their systems set the
Wisdom” (Prajña¯pa¯ramita¯).
stage for a reaction that would lead to the creation of new
Western scholars are divided on the question of the
forms of Buddhism.
dates and location of the origins of Maha¯ya¯na. Some favor
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an early (beginning of the common era) origin among
Maha¯ya¯na as a revolutionary movement through which the
Maha¯sa¯m:ghika communities in the southeastern region of
aspirations of a restless laity managed to overcome an oppres-
Andhra. Others propose a northwestern origin, among the
sive, conservative monastic establishment. Recent research
Sarva¯stiva¯dins, close to the second and third centuries CE. It
suggests that the opposition between the laity and the reli-
may be, however, that Maha¯ya¯na arose by a gradual and
gious specialists was not as sharp as had hitherto been pro-
complex process involving more than one region of India.
posed. Furthermore, it has become apparent that the monas-
It is clear that Maha¯ya¯na was partly a reform movement,
tic establishment continued to be a powerful force in Indian
partly the natural development of pre-Maha¯ya¯na Buddhism;
Maha¯ya¯na. It seems more likely that Maha¯ya¯na arose gradu-
still in another sense, it was the result of new social forces
ally and in different forms in various points of the subconti-
shaping the Indian subcontinent.
nent. A single name and a more or less unified ideology may
The theory of a southern origin assumes that the
have arisen after certain common aspirations were recog-
Maha¯sa¯m:ghika monastic centers of Andhra continued to de-
nized. Be that as it may, it seems evident that the immediate
velop some of the more radical ideals of the school, until
causes for the arising of this new form of Buddhism were the
some of these communities saw themselves as a movement
appearance of new cultic forms and widespread dissatisfac-
completely distinct from other, so-called H¯ınaya¯na schools.
tion with the scholastic tradition.
This theory also recognizes external influences: the Iranian
Merit, bodhisattvas, and the Pure Land. Inscriptional
invaders as well as the non-Aryan substratum of southern
evidence shows that the doctrine of merit transference had
India, the first affecting the mythology of the celestial bodhi-
an important role in the cultus even before the appearance
sattvas, the second incorporating non-Aryan concepts of the
of Maha¯ya¯na. Although all Buddhists believe that virtuous
role of women into the mainstream of Buddhist religious
thoughts and actions generate merit, which leads to a good
ideals.
rebirth, it appears that early Buddhists believed that individ-
For the sake of clarity one could distinguish two types
uals could generate merit only for themselves, and that merit
of causes in the development of Maha¯ya¯na: social or external,
could only lead to a better rebirth, not to liberation from the
and doctrinal or internal. Among the first one must include
cycle of rebirth. By the beginning of the common era, how-
the Central Asian and Iranian influences mentioned above,
ever, some Buddhists had adopted a different conception of
the growing importance of the role of women and the laity,
merit. They believed that merit could be shared or trans-
especially as this affected the development of the cultus, and
ferred, and that it was a factor in the attainment of libera-
the impact of the pilgrimage cycles. The foreign element is
tion—so much so that they were offering their own merit
supposed to have introduced elements of light symbolism
for the salvation of their dead relatives.
and solar cults, as well as a less ascetic bent.
Dedication of merit appears as one of the pivotal doc-
Doctrinal factors were primarily the development of the
trines of the new Buddhism. Evidently, it served a social
myth of the former lives of S´a¯kyamuni and the cult of former
function: it made participation in Buddhist ritual a social en-
Buddhas, both of which contributed to a critique of the arhat
counter rather than a private experience. It also contributed
ideal. The mythology of the Buddha’s former lives as a bodhi-
to the development of a Buddhist high liturgy, an important
sattva led to the exaltation of the bodhisattva ideal over that
factor in the survival of Buddhism and its assimilation of for-
of the arhat. The vows of the bodhisattva began to take the
eign elements, both in and outside India.
central role, especially as they were seen as an integral part
This practice and belief interacted with the cult of for-
of a developing liturgy at the center of which the dedication
mer Buddhas and the mythology of the former lives to create
of merit was transformed as part of the exalted bodhisattva
a Buddhist system of beliefs in which the primary goal was
ideal.
to imitate the virtue of S´a¯kyamuni’s former lives, when he
It seems likely, furthermore, that visionaries and in-
was a bodhisattva dedicated to the liberation of others rather
spired believers had continued to compose su¯tras. Some of
than himself. To achieve this goal the believer sought to imi-
these, through a gradual process we can no longer retrace,
tate S´a¯kyamuni not as he appeared in his last life or after his
began to move away from the general direction of the older
enlightenment, when he sought and attained nirva¯n:a, but by
scholastic traditions and canonical redactors. Thus it hap-
adopting a vow similar to S´a¯kyamuni’s former vow to seek
pened that approximately at the time when the older schools
awakening (bodhi) for the sake of all sentient beings. On the
were closing their canons, the Maha¯ya¯na was composing a
one hand, this shift put the emphasis on insight into the
set of texts that would place it in a position of disagreement
world, rather than escape from it. On the other hand, it also
with, if not frank opposition to, the older schools. At the
created a new form of ideal being and object of worship, the
same time, the High Tradition began to accept Maha¯ya¯na
bodhisattva.
and therefore argue for its superiority; thus, a Maha¯ya¯na
Contemporary developments in Hindu devotionalism
´sa¯stra tradition began to develop almost at the same time as
(bhakti) probably played an important role in the develop-
the great Sarva¯stiva¯din synthesis was completed.
ment of Buddhist liturgies of worship (pu¯ja¯), but it would
In the West, the gap between Maha¯ya¯na and H¯ınaya¯na
be a mistake to assume that the beginnings of Maha¯ya¯na
is sometimes exaggerated. It is customary to envision
faith and ritual can be explained adequately by attributing
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them merely to external theistic influences. For instance, the
and preconceived notions—including notions of purity and
growth of a faith in rebirth in “purified Buddha fields,”
world renunciation. An important aspect or complement of
realms of the cosmos in which the merit and power of Bud-
this wisdom is skill in means (upa¯yakau´salya)—defined here
dhas and bodhisattvas create an environment where birth
as the capacity to adapt thought, speech, and action to cir-
without suffering is possible, can be seen as primarily a Bud-
cumstances and to the ultimate purpose of Buddhist practice,
dhist development. The new faith, generalized in India
freedom from attachment. This virtue allows the bodhisattva
through the concept of the “Land of Bliss” (the “Pure Land”
to remain in the world while being perfectly free from the
of East Asian Buddhism), hinged on faith in the vows of for-
world.
mer bodhisattvas who chose to transfer or dedicate their merit
The As:t:asa¯hasrika¯ treats these same concepts, but also
to the purification of a special “field” or “realm.” The influ-
expands the concept of merit in at least two directions: (1)
ence of Iranian religious conceptions seems likely, however,
dedication of merit to awakening means here seeing through
and one may have to seek some of the roots of this belief
the illusion of merit as well as applying merit to the path of
among Central Asian converts.
liberation; and (2) dedication of merit is an act of devotion
Formation of a new scriptural tradition. With the new
to insight (wisdom, prajña¯). As the goal and ground of all
cult and the new ideology came a new body of scriptures.
perfections (Pa¯ramita¯), Perfection of Wisdom is personified
Maha¯ya¯na su¯tras began to be composed probably around the
as the Mother of All Buddhas. She gives birth to the mind
beginning of the Christian era, and continued to be com-
of awakening, but she is present in concrete form in the Sa-
posed and redacted until at least the fifth or sixth century CE.
cred Book itself. Thus, the As:t:asa¯hasrika¯prajña¯pa¯ramita¯
Unlike the canons of the earlier schools, the Maha¯ya¯na scrip-
Su¯tra is at the same time the medium expressing a sophisti-
tures do not seem to have been collected into formal, closed
cated doctrine of salvation by insight and skill in means, the
canons in the land of their origin—even the collections ed-
rationalization of a ritual system, and the object of worship.
ited in China and Tibet were never closed canons.
Another early Maha¯ya¯na text, the Saddharmapun:d:ar¯ıka
In its inception Maha¯ya¯na literature is indistinguishable
(Lotus Sutra), also attacks the arhat ideal. This su¯tra is con-
from the literature of some of the earlier schools. The
sidered the paradigmatic text on the developed Buddhology
Prajña¯pa¯ramita¯ text attributed to the Pu¯rva´sailas is probably
of the Maha¯ya¯na: the Buddha is presented as a supernatural
an earlier version of one of the Maha¯ya¯na texts of the same
being, eternal, unchanging; at the same time he is Buddha
title; the Ratnaku¯t:a probably began as part of a
by virtue of the fact that he has become free from all concep-
Maha¯sa¯m:ghika canon; and the now lost Dha¯ran:¯ı Pit:aka of
tions of being and nonbeing. The Buddha never attained
the Dharmaguptaka school probably contained prototypes of
awakening or nirva¯n:a—because he is Buddhahood, and has
the dha¯ran:¯ı-su¯tras of the Maha¯ya¯na tradition. The
been in awakening and nirva¯n:a since eternity, but also be-
Maha¯ya¯nist monks never gave up the pre-Maha¯ya¯na Vinaya.
cause there is no Buddhahood or nirva¯n:a to be attained.
Many followed the Dharmaguptaka version, some the
The widespread, but clearly not exclusively popular, be-
Maha¯sa¯m:ghika. Even the Vinaya of a school that fell squarely
lief in the Land of Bliss (Sukha¯vat¯ı) finds expression in two
into the H¯ınaya¯na camp, the Sarva¯stiva¯da, was used as the
texts of the latter part of the early period (c. first to second
basis for Maha¯ya¯na monastic rule.
century CE). The two Sukha¯vat¯ı su¯tras express a faith in the
Still, the focus of much Maha¯ya¯na rhetoric, especially
saving grace of the bodhisattva Dharma¯kara, who under a for-
in the earlier strata of the literature, is the critique of
mer Buddha made the vow to purify his own Buddha field.
non-Maha¯ya¯na forms of Buddhism, especially the ideal of
The vows of this bodhisattva guarantee rebirth in his Land
the arhat. This is one of the leading themes of a work now
of Bliss to all those who think on him with faith. Rebirth in
believed to represent an early stage in the development of
his land, furthermore, guarantees eventual enlightenment
Maha¯ya¯na, the Ras:t:rapa¯laparipr:ccha¯, a text of the Ratnaku¯t:a
and liberation. The Indian history of these two texts, howev-
class. In this text, the monastic life is still exalted above all
er, remains for the most part obscure.
other forms of spiritual life, but the bodhisattva vows are
The attitude of early Maha¯ya¯na su¯tras to laity and to
presented for the first time as superior to the mere monastic
women is relatively inconsistent. Thus, the Ugradatta-
vows.
paripr:ccha¯ and the Upa¯saka´s¯ıla, while pretending to preach
It is difficult, if not impossible, to establish with any de-
a lay morality, use monastic models for the householder’s
gree of certainty the early history of Maha¯ya¯na literature. It
life. But compared to the earlier tradition, the Maha¯ya¯na
seems, however, that the earliest extant Maha¯ya¯na su¯tra is the
represents a significant move in the direction of a religion
As:t:asa¯hasrika¯prajña¯pa¯ramita¯, or its verse rendering, the
that is less ascetic and monastic in tone and intent. Some
Ratnagun:asam:cayaga¯tha¯. Both reflect a polemic within Bud-
Maha¯ya¯na su¯tras of the early period place laypersons in a
dhism, centering on a critique of the “low aspirations” of
central role. The main character in the Gan:d:avyu¯ha, for in-
those Buddhists who chose not to take the vows of the bodhi-
stance, is a young lay pilgrim who visits a number of bodhi-
sattvas. The Ratnagun:a defines the virtues of the bodhisattva,
sattvas in search of the teaching. Among his teachers we find
emphasizing the transcendental insight or “perfect wisdom”
laymen and laywomen, as well as female night spirits and ce-
(prajña¯pa¯ramita¯) that frees him from all forms of attachment
lestial bodhisattvas. The Vimalak¯ırtinirde´sa is more down-to-
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1115
earth in its exaltation of the lay ideal. Although not without
a nonintellectual (not necessarily “popular”) dimension, the
its miraculous events, it represents the demythologizing ten-
outlines of which appear through archaeological remains,
dencies of Maha¯ya¯na, which are often carried out to the ex-
certain aspects of the su¯tra literature, and the accounts of
treme of affirming that the metaphoric meaning of one doc-
Chinese pilgrims.
trine is exactly its opposite.
Some texts suggest a conflict between forest and city
THE DEVELOPMENT OF MAHA¯YA¯NA. Although Buddhism
dwellers that may in fact reflect the expected tension between
flourished during the classical age of the Guptas, the cultural
the ascetic and the intellectual, or the meditator and the reli-
splendor in which it grew was also the harbinger of Hindu
gious politician. But, lest this simple schema obliterate im-
dominance. Sanskrit returned as the lingua franca of the sub-
portant aspects of Buddhist religious life, one must note that
continent, and Hindu devotionalism began to displace the
there is plentiful evidence of intense and constant interaction
ideals of the Indic period. Maha¯ya¯na must have been a divid-
between the philosopher, the meditator, and the devotee—
ed movement even in its inception. Some of the divisions
often all three functions coinciding in one person. Further-
found in the H¯ınaya¯na or pre-Maha¯ya¯na schools from which
more, the writings of great philosophical minds like Asan˙ga,
Maha¯ya¯na originated must have carried through into
S´a¯ntideva, and A¯ryadeva suggest an active involvement of the
Maha¯ya¯na itself. Unfortunately, we know much less of the
monk-bodhisattva in the social life of the community. The
early sectarian divisions in the movement than we know of
nonintellectual dimensions of the religion, therefore, must
the Eighteen Schools. It is clear, for instance, that the con-
be seen as one aspect of a dialectic that resolved itself in syn-
ception of the bodhisattva found among the Maha¯sa¯m:ghikas
thesis as much as rivalry, tension, or dissonance.
is different from that of the Sarva¯stiva¯dins. It appears also
Maha¯ya¯na faith and devotion, moreover, was in itself a
that the Prajña¯ptiva¯dins conceived of the unconditioned
complex phenomenon, incorporating a liturgy of the High
dharmas in a manner different from other early schools.
Tradition (e.g., the Hymn to the Three Bodies of the Buddha,
However, though we may speculate that some of these differ-
attributed to A´svaghos:a) with elements of the nonliterary
ences influenced the development of Maha¯ya¯na, we have no
and non-Buddhist religion (e.g., pilgrimage cycles and the
solid evidence.
cult of local spirits, respectively), as well as generalized beliefs
such as the dedication of merit and the hope of rebirth in
As pre-Maha¯ya¯na Buddhism had developed a scholastic
a purified Buddha Land.
system to bolster its ideological position, Maha¯ya¯na devel-
oped special forms of scholarly investigation. A new synthe-
Developments in doctrine. In explaining the appear-
sis, in many ways far removed from the visionary faith under-
ance of Maha¯ya¯na, two extremes should be avoided carefully.
lying the religious aspects of Maha¯ya¯na, grew in the
On the one hand, one can exaggerate the points of continuity
established monasteries partly as a critique of earlier scholas-
that link Maha¯ya¯na with pre-Maha¯ya¯na Buddhism; on the
tic formulations, partly due to the need to explain and justify
other, one can make a distinction so sharp that Maha¯ya¯na
the new faith. Through this intellectual function the monas-
appears as a radical break with the past, rather than a gradual
tery reasserted its institutional position. Both monk and lay-
process of growth. The truth lies somewhere between these
man participated in giving birth to Maha¯ya¯na and maintain-
two extremes: although Maha¯ya¯na can be understood as a
ing its social and liturgical life, but the intellectual leadership
logical expansion of earlier Buddhist doctrine and practice,
remained monastic and conservative. Therefore, Maha¯ya¯na
it is difficult to see how the phenomenon could be explained
reform brought with it an element of continuity—monastic
without assuming major changes in the social fabric of the
institutions and codes—that could be at the same time a
Indian communities that provided the base for the religion.
cause for fossilization and stagnation. The monasteries
These changes, furthermore, are suggested by historical evi-
would eventually grow to the point where they became a bur-
dence.
den on society, at the same time that, as institutions of con-
The key innovations in doctrine can be divided into
servatism, they failed to adapt to a changing society.
those that are primarily critiques of early scholastic con-
Still, from the beginning of the Gupta dynasty to the
structs and those that reflect new developments in practice.
earlier part of the Pa¯la dynasty the monasteries were centers
In both types, of course, one should not ignore the influence
of intellectual creativity. They continued to be supported
of visionary or contemplative experience; but this aspect of
under the Guptas, especially Kuma¯ra Gupta I (414–455),
the religion, unfortunately, cannot always be documented
who endowed a major monastery in a site in Bihar originally
adequately. The most important doctrine of practical conse-
consecrated to S´a¯riputra. This monastic establishment, called
quence was the bodhisattva doctrine; the most important the-
Na¯landa¯ after the name of a local genie, probably had been
oretical development was the doctrine of emptiness
active as a center of learning for several decades before
(´su¯nyata¯). The first can be understood also as the result of
Kuma¯ra Gupta decided to give it special recognition. It
a certain vision of the concrete manifestation of the sacred;
would become the leading institution of higher learning in
the second, as the expression of a new type of mystical or
the Buddhist world for almost a thousand years. Together
contemplative experience.
with the university of Valabh¯ı in western India, Na¯landa¯ rep-
The bodhisattva. In pre-Maha¯ya¯na Buddhism the term
resents the scholastic side of Maha¯ya¯na, which coexisted with
bodhisattva referred primarily to the figure of a Buddha from
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BUDDHISM: BUDDHISM IN INDIA
the time of his adoption of the vow to attain enlightenment
Furthermore, one should note that the displacement of
to the point at which he attained Buddhahood. Even when
nirva¯n:a is usually effected through its redefinition, not by
used as an abstract designation of an ideal of perfection, the
means of a rejection of the basic concept of “freedom from
value of the ideal was determined by the goal: liberation from
all attachment.” Although the formalized texts of the vows
suffering. In the teachings of some of the H¯ınaya¯na schools,
often speak of the bodhisattva “postponing” his entrance into
however, the bodhisattva became an ideal with intrinsic
nirva¯n:a until all living beings are saved, and the Buddha is
value: to be a bodhisattva meant to adopt the vow
asked in prayer to remain in the world without entering
(pran:idha¯na) of seeking perfect awakening for the sake of liv-
nirva¯n:a, the central doctrine implies that a bodhisattva would
ing beings; that is, to follow the example set by the altruistic
not even consider a nirva¯n:a of the type sought by the arhat.
dedication of the Buddha in his former lives, when he was
The bodhisattva is defined more by his aspiration for a differ-
a bodhisattva, and not to aspire merely to individual libera-
ent type of nirva¯n:a than by a rejection or postponement of
tion, as the arhats were supposed to have done. The
nirva¯n:a as such. The gist of this new doctrine of nirva¯n:a can
Maha¯ya¯na made this critique its own, and the bodhisattva
be summarized in a definition of liberation as a state of peace
ideal its central religious goal.
in which the liberated person is neither attached to peace nor
This doctrinal stance accompanied a shift in mythology
attached to the turmoil of the cycle of rebirth. It is variously
that has been outlined above: the belief in multiple bodhisatt-
named and defined: either by an identity of sam:sa¯ra and
vas and the development of a complex legend of the former
nirva¯n:a or by proposing a nirva¯n:a in which one can find no
lives of the Buddha. There was likewise a change in ritual
support (apratis:t:hitanirva¯n:a).
centered around the cult of the bodhisattva, especially of
mythical bodhisattvas who were believed to be engaged in the
As noted above, in the early conception a bodhisattva is
pursuit of awakening primarily, if not exclusively, for the
a real human being. This aspect of the doctrine is not lost
sake of assisting beings in need or distress. Closely allied with
in Maha¯ya¯na, but preserved in the belief that the aspiration
this was the increasing popularity of the recitation of bodhi-
to perfect awakening (the bodhicitta) and the bodhisattva vow
sattva vows.
should be adopted by all believers. By taking up the vow—by
conversion or by ritual repetition—the Maha¯ya¯na Buddhist,
Whereas the bodhisattva of early Buddhism stood for a
monk or layperson, actualizes the bodhicitta and progresses
human being on his way to become a liberated being, the bo-
toward the goal of becoming a bodhisattva. Also uniquely
dhisattva that appears in the Maha¯ya¯na reflects the culmina-
Maha¯ya¯na is the belief that these human aspirants to awak-
tion of a process of change that began when some of the
ening are not alone—they are accompanied and protected by
H¯ınaya¯na schools extended the apotheosis of the Buddha
“celestial bodhisattvas,” powerful beings far advanced in the
S´a¯kyamuni to the bodhisattva—that is, when they idealized
path, so perfect that they are free from both rebirth and liber-
both the Buddha and the spiritual career outlined by the
ation, and can now choose freely if, when, and where they
myth of his previous lives. Maha¯ya¯na then extended the same
are to be reborn. They engage freely in the process of rebirth
religious revaluation to numerous mythical beings believed
only to save living beings.
to be far advanced in the path of awakening. Accordingly,
in its mythology Maha¯ya¯na has more than one object of ven-
What transforms the human and ethical ideal into a reli-
eration. Especially in contrast to the more conservative
gious ideal, and into the object of religious awe, is the scale
H¯ınaya¯na schools (the Sarva¯stiva¯da and the Therava¯da, for
in which the bodhisattva path is conceived. From the first as-
instance), Maha¯ya¯na is the Buddhism of multiple Buddhas
piration to awakening (bodhicitta) and the affirmation of the
and bodhisattvas, residing in multiple realms, where they as-
vow to the attainment of final enlightenment and liberation,
sist numberless beings on their way to awakening.
countless lives intervene. The bodhisattva has to traverse ten
Accordingly, the early ideal of the bodhisattva as future
stages (bhu¯mi), beginning with the intense practice of the vir-
Buddha is not discarded; rather it is redefined and expanded.
tue of generosity (primarily a lay virtue), passing through
As a theory of liberation, the characteristic position of
morality in the second stage, patience in the third, then forti-
Maha¯ya¯na can be summarized by saying that it emphasizes
tude, meditation, insight, skill in means, vows, powers, and
bodhi and relegates nirva¯n:a to a secondary position. Strictly
the highest knowledge of a Buddha. The stages, therefore,
speaking, this may represent an early split within the com-
correspond with the ten perfections (pa¯ramita¯). Although all
munity rather than a shift in doctrine. One could speculate
perfections are practiced in every stage, they are mastered in
that it goes back to conflicting notions of means to liberation
the order in which they are listed in the scheme of the stages,
found among the shramanic religions: the conflict between
suggesting at one end of the spectrum a simple and accessible
enstasy and insight as means of liberation. But this analysis
practice for the majority of believers, the human bodhisattva,
must be qualified by noting that the revaluation of bodhi
and at the other end a stage clearly unattainable in the realm
must be seen in the context of the bodhisattva vow. The
of normal human circumstances, reserved for semidivine
unique aspiration of the bodhisattva defines awakening as
Buddhas and bodhisattvas, the object of worship. Although
“awakening for the sake of all sentient beings.” This is a con-
some exceptional human beings may qualify for the status
cept that cannot be understood properly in the context of
of advanced bodhisattvas, most of these ideal beings are the
disputes regarding the relative importance of insight.
mythic objects of religious fervor and imagination.
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1117
Among the mythic or celestial bodhisattvas the figure of
calming the plural mind—this is bliss.
Maitreya—destined to be the next Buddha of this world sys-
The Buddha never taught any thing/doctrine [dharma]
tem after S´a¯kyamuni—clearly represents the earliest stage of
to anyone anywhere. (Madhyamakaka¯rika¯ 25.24)
the myth. His cult is especially important in East Asian Bud-
dhism. Other celestial bodhisattvas include Mañju´sr¯ı, the bo-
Finally, emptiness is also an affirmation of the immanence
dhisattva of wisdom, the patron of scripture, obviously less
of the sacred. Applied to the turmoil of the sphere of rebirth
important in the general cultus but an important bodhisattva
(sam:sa¯ra), it points to the relative value and reality of the
in monastic devotion. The most important liturgical role is
world and at the same time transforms it into the sacred, the
reserved for Avalokite´svara, the bodhisattva of compassion,
experience of awakening. Applied to the sphere of liberation
whose central role in worship is attested by archaeology.
(nirva¯n:a), emptiness is a critique of the conception of libera-
tion as a religious goal outside the world of impermanence
Emptiness. The doctrine of emptiness (´su¯nyata¯) repre-
and suffering.
sents a refinement of the ancient doctrine of no-self. In some
ways it is merely an extension of the earlier doctrine: the de-
Other views of the Absolute. Maha¯ya¯na developed early
nial of the substantial reality of the self and what belongs to
notions of the supernatural and the sacred that guaranteed
the self, as a means to effect a breaking of the bonds of attach-
an exalted status to the symbols of its mystical and ethical
ment. The notion of emptiness, however, expresses a critique
ideals. Its notion of extraordinary beings populating supernal
of our common notions of reality that is much more radical
Buddha fields and coming to the aid of suffering sentient be-
than the critique implicit in the doctrine of no-self. The
ings necessitated a metaphysic and cosmology that could
Maha¯ya¯na critique is in fact unacceptable to other Buddhists,
offer concrete images of a transcendent sacred. Accordingly,
for it is in a manner of speaking a critique of Buddhism.
the abstract, apophatic concept of emptiness was often quali-
Emptiness of all things implies the groundlessness of all ideas
fied by, or even rejected in favor of, positive statements and
and conceptions, including, ultimately, Buddhist doctrines
concrete images.
themselves.
Pre-Maha¯ya¯na traditions had emphasized imperma-
The doctrine of emptiness was developed by the philo-
nence and no-self: to imagine that there is permanence in the
sophical schools, but clearly inspired by the tradition of the
impermanent is the most noxious error. Maha¯ya¯na intro-
Maha¯ya¯na su¯tras. Thus we read: “Even nirva¯n:a is like a mag-
duced the notion of emptiness, urging us to give up the no-
ical creation, like a dream, how much more any other object
tion of permanence, but to give up the notion of imperma-
or idea (dharma). . .? Even a Perfect Buddha is like a magi-
nence as well. Within the Maha¯ya¯na camp others proposed
cal creation, like a dream. . .” (As:t:asa¯hasrika¯, p. 40). The
that there was something permanent within the imperma-
practical correlate of the doctrine of emptiness is the concept
nent. Texts like the [Maha¯ya¯na] Maha¯parinirva¯n:a Su¯tra as-
of “skill in means” (upa¯ya): Buddhist teachings are not abso-
serted that the Buddha himself had taught a doctrine of per-
lute statements about reality, they are means to a higher goal
manence: the seed of Buddhahood, innate enlightenment, is
beyond all views. In their cultural context these two doc-
permanent, blissful, pure—indeed, it is the true self, present
trines probably served as a way of making Buddhist doctrine
in the impermanent mind and body of sentient beings.
malleable to diverse populations. By placing the truth of
The tatha¯gata as object of worship was associated with
Buddhism beyond the specific content of its religious prac-
“suchness” (tathata¯), his saving actions were seen as taking
tices, these two doctrines justified adaptation to changing
effect in a world formed in the image of the dharma and its
circumstances and the adoption of new religious customs.
ultimate truth (dharmadha¯tu), and his form as repository of
But emptiness, like the bodhisattva vows, also reflects
all goodness and virtue represented his highest form.
the Maha¯ya¯na understanding of the ultimate experience of
A doctrine common to all Maha¯ya¯nists sought to estab-
Buddhism—understood both as a dialectic and a medita-
lish a link between the absolute and common human beings.
tional process. This experience can be described as an aware-
The Tatha¯gata was conceived of as having several aspects to
ness that nothing is self-existent. Dialectically, this means
his person: the human Buddha or “Body of Magical Appari-
that there is no way that the mind can consistently think of
tion” (nirma¯n:aka¯ya), that is, the historical persons of Bud-
any thing as having an existence of its own. All concepts of
dhas; the transcendent sacred, the Buddha of the paradises
substance and existence vanish when they are examined
and Buddha fields, who is also the form that is the object of
closely and rationally. As a religious experience the term emp-
worship (sam:bhogaka¯ya); and the Buddha as Suchness, as
tiness refers to a direct perception of this absence of self-
nonduality, the tatha¯gata as embodiment of the
existence, a perception that is only possible through mental
dharmadha¯tu, called the “Dharma Body” (dharmaka¯ya).
cultivation, and which is a liberating experience. Liberation,
Developments in practice. The practice of meditation
in fact, has been redefined in a way reminiscent of early texts
was for the Maha¯ya¯nist part of a ritual process beginning
such as the Suttanipa¯ta. Liberation is now the freedom result-
with the first feelings of compassion for other sentient be-
ing from the negation of all assumptions about reality, even
ings, formulating the vow, including the expression of a
Buddhist assumptions.
strong desire to save all sentient beings and share one’s merit
The cessation of grasping and reifying,
with them, followed by the cultivation of the analysis of all
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BUDDHISM: BUDDHISM IN INDIA
existents, reaching a pinnacle in the experience of emptiness
Buddhists give us accounts, if somewhat idealized ones, of
but culminating in the dedication of these efforts to the sal-
the process of meditation. Although no systematic history of
vation of others.
Maha¯ya¯na meditation has been attempted yet, it is obvious
Worship and ritual. The uniquely Maha¯ya¯na aspect of
that there are important synchronic and diachronic differ-
the ritual is the threefold service (triskandhaka). Variously
ences among Maha¯ya¯na Buddhists in India. Considering,
defined, this bare outline of the essential Maha¯ya¯na ritual is
nevertheless, only those elements that are common to the
explained by the seventh-century poet S´a¯ntideva as consist-
various systems, one must note first an element of continuity
ing of a confession of sins, formal rejoicing at the merit of
with the past in the use of a terminology very similar to that
others, and a request to all Buddhas that they remain in the
of the Mah¯ı´sa¯sakas and the Sarva¯stiva¯da, and in the accep-
world for the sake of suffering sentient beings. A pious Bud-
tance, with little change, of traditional lists of objects and
dhist was expected to perform this threefold ritual three
states of contemplation.
times in the day and three times in the night.
The interpretation of the process, however, and the defi-
A text known as the Triskandhaka, forming part of the
nition of the higher stages of contemplation differed radically
Upa¯liparipr:ccha¯, proves the central role of confession and
from that of the H¯ınaya¯na schools. The principal shift is in
dedication of merit. The act of confession is clearly a contin-
the definition of the goal as a state in which the object of con-
uation of the ancient Pra¯timoks:a ritual. Other elements of
templation (a¯lambana) is no longer present to the mind
continuity include a link with early nonliterary tradition
(nira¯lambana). All the mental images (or “marks,” nimitta,
(now integrated into scripture) in the role of the dedication
sam:jña¯) that form the basis for conceptual thought and at-
of merit, and a link with the general Buddhist tradition of
tachment must be abandoned through a process of mental
the Three Refuges.
calm and analysis, until the contemplative reaches a state of
peaceful concentration free of mental marks (a¯nimitta), free
More complicated liturgies were in use. Several versions
of conceptualizations (nirvikalpa-sama¯dhi).
remain in the extant literature. Although many of them are
said to be “the sevenfold service” (saptavidha¯nuttarapu¯ja¯),
These changes in contemplative theory are closely con-
the number seven is to be taken as an abstract number. The
nected to the abandonment of the dharma theory and the
most important elements of the longer liturgies are the salu-
doctrine of no-self as the theoretical focus of speculative mys-
tation to the Buddhas and bodhisattvas, the act of worship,
ticism. One may say that the leading theme of Maha¯ya¯na
the act of contrition, delight in the merit of others, and the
contemplative life is the meditation on emptiness. But one
dedication of merit. Xuanzang, the seventh-century Chinese
must add that the scholastic traditions are very careful to de-
pilgrim to India, describes, albeit cursorily, some of the litur-
fine the goal as constituted by both emptiness and compas-
gies in use in the Indian monasteries of his time.
sion (karun:a¯). The higher state of freedom from conceptions
(the “supramundane knowledge”) must be followed by re-
Most common forms of ritual, however, must have been
turn to the world to fulfill the vows of the bodhisattva—the
less formalized and less monkish. The common rite is best
highest contemplative stage is, at least in theory, a prepara-
represented by the litany of Avalokite´svara, preserved in the
tion for the practice of compassion.
literature and the monuments. In its literary form it is a sol-
emn statement of the bodhisattva’s capacity to save from peril
The new ethics. The bodhisattva ideal also implied new
those who call on his name. But in actual practice, one can
ethical notions. Two themes prevail in Maha¯ya¯na ethical
surmise, the cult of Avalokite´svara included then, as it does
speculation: the altruistic vow and life in the world. Both
today in East Asia, prayers of petition and apotropaic invoca-
themes reflect changes in the social context of Buddhism: a
tions.
greater concern, if not a stronger role for, lay life and its
needs and aspirations and a cultural context requiring uni-
The basic liturgical order of the literary tradition was
versal social values. The altruistic ideal is embodied in the
embellished with elements from general Indian religious cus-
bodhisattva vows and in the creation of a new set of ethical
tom, especially from the styles of worship called pu¯ja¯. These
rules, commonly known as the “Bodhisattva Vinaya.” A
included practices such as bathing the sacred image, carrying
number of Maha¯ya¯na texts are said to represent this new
it in procession, offering cloth, perfume, and music to the
“Vinaya.” Among these, the Bodhisattvapra¯timoks:a was espe-
icon, and so forth.
cially important in India. It prescribes a liturgy for the ritual
Ritual practices were also expanded in the monastic tra-
adoption of the bodhisattva vows, which is clearly based on
dition. For instance, another text also going by the title Tris-
the earlier rites of ordination (upasam:pada¯). Although the
kandhaka (but preserved only in Tibetan translation) shows
Maha¯ya¯na Vinaya Su¯tras never replaced in India the earlier
an intimate connection between ritual and meditation, as it
monastic codes, they preserved and transmitted important,
integrates—like many monastic manuals of meditation—the
and at times obligatory, rites of monastic and lay initiation,
typical daily ritual cycle with a meditation session.
and were considered essential supplements to traditional mo-
Meditation. The practice of meditation was as impor-
nastic Vinaya.
tant in the Maha¯ya¯na tradition as it had been before. The
THE HIGH TRADITION AND THE UNIVERSITIES. The most
maps of the path and the meditation manuals of Maha¯ya¯na
important element in the institutionalization of Maha¯ya¯na
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BUDDHISM: BUDDHISM IN INDIA
1119
was perhaps the establishment of Buddhist universities. In
(neither being nor nonbeing) and as a logic (neither affirma-
these centers of learning the elaboration of Buddhist doctrine
tion nor negation). In religious terms, Na¯ga¯rjuna’s Middle
became the most important goal of Buddhist monastic life.
Way is summarized in his famous statement that sam:sa¯ra and
First at Na¯landa¯ and Valabh¯ı, then, as the Pa¯la dynasty took
nirva¯n:a are the same.
control of East Central India (c. 650), at the universities of
Three to four centuries after Na¯ga¯rjuna the
Vikrama´s¯ıla and Odantapur¯ı, Maha¯ya¯na scholars trained
Ma¯dhyamika school split into two main branches, called
disciples from different parts of the Buddhist world and elab-
Pra¯san˙gika and Sva¯tantrika. The first of these, represented
orated subtle systems of textual interpretation and philo-
by Buddhapa¯lita (c. 500) and Candrak¯ırti (c. 550–600),
sophical speculation.
claimed that in order to be faithful to the teachings of
The Maha¯ya¯na synthesis. Although eventually they
Na¯ga¯rjuna, philosophers had to confine themselves to the
would not be able to compete with more resilient forms of
critique of opposing views by reductio ad absurdum. The
Buddhism and Hinduism, the Maha¯ya¯na scholars played a
Sva¯tantrikas, on the other hand, claimed that the
leading role in the creation of a Maha¯ya¯na synthesis that
Ma¯dhyamika philosopher had to formulate his own thesis;
would satisfy both the intelligentsia and the common believ-
in particular, he needed his own epistemology. The main ex-
ers for at least five hundred years. Devotion, ritual, ethics,
ponent of this view was Buddhapa¯lita’s great critic
metaphysics, and logic formed part of this monument to In-
Bha¯vaviveka (c. 500–550). The debate continued for some
dian philosophical acumen. Even as the ruthless Mihirakula,
time but was eclipsed by other philosophical issues; for the
the Ephthalite (“White”) Hun, was invading India from the
Ma¯dhyamika school eventually assimilated elements of other
northwest (c. 500–528) and the Chalukya dynasty was con-
Maha¯ya¯na traditions, especially those of the logicians and the
tributing to a Hindu renaissance in the southwest (c. 550–
Yoga¯ca¯rins.
753), India allowed for the development of great minds—
Ma¯dhyamika scholars also contributed to the develop-
such distinguished philosophical figures as Digna¯ga and
ment of religious literature. Several hymns (stava) are attri-
Sthiramati, who investigated subtle philosophical issues. Per-
buted to Na¯ga¯rjuna. His disciple A¯ryadeva discusses the bo-
secution by Mihirakula (c. 550) was followed by the reign
dhisattva’s career in his Bodhisattva-yoga¯ca¯ra-catuh:´sataka,
of one of the great patrons of Buddhism, Hars:a Vardhana
although the work deals mostly with philosophical issues.
(c. 605–647). Once more Buddhism was managing to sur-
Two anthological works, one attributed to Na¯ga¯rjuna, the
vive on the seesaw of Indian politics.
Su¯trasamuccaya, and the other to the seventh-century
Schools. The scholastic tradition of Maha¯ya¯na can be di-
S´a¯ntideva, the S´ik´sa¯samuccaya, became guides to the ritual
vided into three schools: Ma¯dhyamika (Madhyamaka),
and ethical practices of Maha¯ya¯na. S´a¯ntideva also wrote a
Yoga¯ca¯ra, and the school of Sa¯ramati. The first two dominat-
“guide” to the bodhisattva’s career, the Bodhicarya¯vata¯ra, a
ed the intellectual life of Maha¯ya¯na in India. The third had
work that gives us a sampling of the ritual and contemplative
a short-lived but important influence on Tibet, and indirect-
practices of Ma¯dhyamika monks, as well as a classical survey
ly may be considered an important element in the develop-
of the philosophical issues that engaged their attention.
ment of East Asian Buddhism.
Yoga¯ca¯ra.
Approximately two centuries after
Na¯ga¯rjuna, during the transition period from Kushan to
Ma¯dhyamika. The founder of this school can also be
Gupta power, a new school of Maha¯ya¯na philosophy arose
regarded as the father of Maha¯ya¯na scholasticism and philos-
in the northwest. The founders of this school, the brothers
ophy. Na¯ga¯rjuna (fl. c. 150 CE) came from South India, pos-
Asan˙ga (c. 310–390) and Vasubandhu (c. 320–400), had
sibly from the Amara¯vat¯ı region. Said to have been the advi-
begun as scholars in the H¯ınaya¯na schools. Asan˙ga, the elder
sor to one of the S´a¯tava¯hana monarchs, he became the first
brother, was trained in the Mah¯ı´sa¯saka school. Many impor-
major philosopher of Maha¯ya¯na and a figure whose ideas in-
tant features of the Abhidharma theories of this school re-
fluenced all its schools. The central theme of his philosophy
mained in Asan˙ga’s Maha¯ya¯na system. Vasubandhu, who
is emptiness (´su¯nyata¯) understood as a corollary of the
converted to Maha¯ya¯na after his brother had become an es-
pre-Maha¯ya¯na theory of dependent origination. Emptiness
tablished scholar of the school, began as a Sautra¯ntika with
is the Middle Way between affirmations of being and nonbe-
an extraordinary command of Sarva¯stiva¯din theories. There-
ing. The extremes of existence and nonexistence are avoided
fore, when he did become a Maha¯ya¯nist he too brought with
by recognizing certain causal relations (e.g., the path and lib-
him a H¯ınaya¯na scholastic grid on which to organize and ra-
eration) without predicating a self-existence or immutable
tionalize Maha¯ya¯na teachings.
essence (svabha¯va) to either cause or effect. To defend his
views without establishing a metaphysical thesis, Na¯ga¯rjuna
The school founded by the two brothers is known as the
argues by reducing to the absurd all the alternative philo-
Yoga¯ca¯ra, perhaps following the title of Asan˙ga’s major work,
sophical doctrines recognized in his day. For his own “sys-
the Yoga¯ca¯rabhu¯mi (sometimes attributed to Maitreya), but
tem,” Na¯ga¯rjuna claims to have no thesis to affirm beyond
clearly expressing the centrality of the practice of self-
his rejection of the affirmations and negations of all meta-
cultivation, especially through meditation. In explaining the
physical systems. Therefore, Na¯ga¯rjuna’s system is “the
experiences arising during the practice of yoga, the school
school of the Middle” (madhyamaka) both as an ontology
proposes the two doctrines that characterize it: (1) the experi-
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1120
BUDDHISM: BUDDHISM IN INDIA
ence of enstasy leads to the conviction that there is nothing
logical value. This absolute is also the basis for the gotra, or
but mind (cittama¯trata¯), or the world is nothing but a per-
spiritual lineage, which is a metaphor for the relative poten-
ceptual construct (vijñaptima¯trata¯); (2) the analysis of mind
tial for enlightenment in living beings.
carried out during meditation reveals different levels of per-
The logicians. An important development in Buddhist
ception or awareness, and, in the depths of consciousness,
scholarship came about as a result of the concern of scholas-
the basis for rebirth and karmic determination, a storehouse
tics with the rules of debate and their engagement in philo-
consciousness (a¯laya-vijña¯na) containing the seeds of former
sophical controversies with Hindu logicians of the Nya¯ya
actions. Varying emphasis on these two principles character-
school. Na¯ga¯rjuna and Vasubandhu wrote short treatises on
ize different modes of the doctrine. The doctrine of mind-
logic, but a creative and uniquely Buddhist logic and episte-
only dominates Vasubandhu’s Vim:´satika¯ and Trim:´sika¯; the
mology did not arise until the time of Digna¯ga (c. 480–540),
analysis of the a¯laya-vijña¯na is more central to Asan˙ga’s doc-
a scholar who claimed allegiance to Yoga¯ca¯ra but adopted a
trine. Since both aspects of the doctrine can be understood
number of Sautra¯ntika doctrines. The crowning achievement
as theories of consciousness (vijña¯na), the school is some-
of Buddhist logic was the work of Dharmak¯ırti (c. 600–
times called Vijña¯nava¯da.
650), whose Prama¯n:ava¯rttika and its Vr:tti revised critically
One of the first important divisions within the Yoga¯ca¯ra
the whole field. Although his work seems on the surface not
camp reflected geographical as well as doctrinal differences.
relevant for the history of religion, it is emblematic of the di-
The school of Valabh¯ı, following Sthiramati (c. 500–560),
rection of much of the intellectual effort of Maha¯ya¯na schol-
opposed the Yoga¯ca¯rins of Na¯landa¯, led by Dharmapa¯la (c.
ars after the fifth century.
530–561). The point at issue, whether the pure mind is the
Yoga¯ca¯ra-Ma¯dhyamika philosophers. As India moved
same as the storehouse consciousness, illustrates the subtle-
away from the security of the Gupta period, Maha¯ya¯na Bud-
ties of Indian philosophical polemics but also reflects the in-
dhist philosophy gradually moved in the direction of eclecti-
fluence of another school, the school of Sa¯ramati, as well as
cism. By the time the university at Vikrama´s¯ıla was founded
the soteriological concerns underlying the psychological the-
in the eighth century the dominant philosophy at Na¯landa¯
ories of Yoga¯ca¯ra. The debate on this point would continue
was a combination of Ma¯dhyamika and Yoga¯ca¯ra, with the
in the Ma¯dhyamika school, involving issues of the theory of
latter as the qualifying term and Ma¯dhyamika as the core of
perception as well as problems in the theory of the liberated
the philosophy. This movement had roots in the earlier
mind.
Sva¯tantrika Ma¯dhyamika and like its predecessor favored the
Tatha¯gata-garbha theory. Another influential school
formulation of ontological and epistemological theses in de-
followed the tendency—already expressed in some
fense of Na¯ga¯rjuna’s fundamental doctrine of emptiness. The
Maha¯ya¯na su¯tras—toward a positive definition or descrip-
most distinguished exponent of this school was S´a¯ntiraks:ita
tion of ultimate reality. The emphasis in this school was on
(c. 680–740); but some of his theories were challenged from
the ontological basis for the experience and virtues of Bud-
within the movement by his contemporary Jña¯nagarbha
dhahood. This basis was found in the underlying or innate
(c. 700–760). The greatest contribution to religious thought,
Buddhahood of all beings. The school is known under two
however, came from their successors. Kamala´s¯ıla (c. 740–
names; one describes its fundamental doctrine, the theory of
790), a disciple of S´a¯ntiraks:ita who continued the latter’s
tatha¯gata-garbha (the presence of the Tatha¯gata in all be-
mission in Tibet, wrote a number of brilliant works on di-
ings), the other refers to its purported systematizer, Sa¯ramati
verse aspects of philosophy. He traveled to Tibet, where he
(c. 350–450). The school’s emphasis on a positive founda-
wrote three treatises on meditation and the bodhisattva path,
tion of being associates it closely with the thought of
each called Bha¯vana¯krama, which must be counted among
Maitreya¯natha, the teacher of Asan˙ga, to whom is often attri-
the jewels of Indian religious thought.
buted one of the fundamental texts of the school, the
New scriptures. The philosophers found their main
Ratnagotravibha¯ga. It may be that Maitreya’s thought gave
source of inspiration in the Maha¯ya¯na su¯tras, most of which
rise to two lines of interpretation—tatha¯gata-garbha and
did not advocate clearly defined philosophical theories. Some
cittama¯trata¯.
su¯tras, however, do express positions that can be associated
with the doctrines of particular schools. Although scholars
Sa¯ramati wrote a commentary on the Ratnago-
agree that these compositions are later than texts without a
travibha¯ga in which he explains the process whereby innate
clear doctrinal affiliation, the connection between the su¯tras
Buddhahood becomes manifest Buddhahood. The work is
and the schools they represent is not always clear.
critical of the theory of emptiness and describes the positive
attributes of Buddhahood. The bodhisattva’s involvement in
For instance, some of the characteristic elements of the
the world is seen not so much as the abandonment of the
school of Sa¯ramati are clearly pre-Maha¯ya¯nic, and can also
bliss of liberation as it is the manifestation of the Absolute
be found in a number of su¯tras from the Avatam:saka and
(dharmadha¯tu) in the sphere of sentient beings, a concept
Ratnaku¯t:a collections. However, Sa¯ramati appealed to a se-
that can be traced to Maha¯sa¯m:ghika doctrines. The
lect number of Maha¯ya¯na su¯tras that clustered around the
dharmadha¯tu is a positive, metaphysical absolute, not only
basic themes of the school. Perhaps the most famous is
eternal, but pure, the locus of ethical, soteric, and epistemo-
the Sr¯ıma¯la¯dev¯ısim:hana¯da, but equally important are the
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BUDDHISM: BUDDHISM IN INDIA
1121
[Maha¯ya¯na] Maha¯parinirva¯n:a Su¯tra, the Anu¯natva¯pu¯r-
ments from the substratum frowned upon by the Buddhist
n:atvanirde´sa, and the Dha¯ran:¯ıra¯ja.
establishment. It echoed ancient practices such as the critical
A number of Maha¯ya¯na su¯tras of late composition were
rites of the Atharvaveda tradition, and the initiatory ceremo-
closely associated with the Yoga¯ca¯ra school. Although they
nies, Aryan and non-Aryan, known to us from other Brah-
were known already at the time of Asan˙ga and Vasubandhu,
manic sources. Starting as a marginal phenomenon, it even-
in their present form they reflect a polemic that presupposes
tually gained momentum, assuming the same role Maha¯ya¯na
some form of proto-Yoga¯ca¯ra theory. Among these the
had assumed earlier; a force of innovation and a vehicle for
Lan˙ka¯vata¯ra and the Sam:dhinirmocana are the most impor-
the expression of dissatisfaction with organized religion. The
tant from a philosophical point of view. The first contains
followers of Tantra became the new critics of the establish-
an early form of the theory of levels of vijña¯na.
ment. Some asserted the superiority of techniques of ritual
and meditation that would lead to a direct, spontaneous real-
Decline of Maha¯ya¯na. It is difficult to assess the nature
ization of Buddhahood in this life. As wandering saints called
and causes of the decay of Maha¯ya¯na in India. Although it
siddhas (“possessed of siddhi,” i. e., realization or magical
is possible to argue that the early success of Maha¯ya¯na led
power), they assumed the demeanor of madmen, and aban-
to a tendency to look inward, that philosophers spent their
doned the rules of the monastic code. Others saw Tantra as
time debating subtle metaphysical, logical, or even grammat-
the culmination of Maha¯ya¯na and chose to integrate it with
ical points, the truth is that even during the period of techni-
earlier teachings, following established monastic practices
cal scholasticism, constructive religious thought was not dor-
even as they adopted beliefs that challenged the traditional
mant. But it may be that as Maha¯ya¯na became more
assumptions of Buddhist monasticism.
established and conventional, the natural need for religious
revival found expression in other vehicles. Most likely
The documented history of Tantra, naturally, reveals
Maha¯ya¯na thinkers participated in the search for new forms
more about the second group. It is now impossible to estab-
of expression, appealing once more to visionary, revolution-
lish with all certainty how the substratum affected Buddhist
ary and charismatic leaders. But the new life gradually would
Tantra—whether, for instance, the metaphoric use of sexual
adopt an identity of its own, first as Tantric Buddhism, even-
practices preceded their explicit use, or vice versa. But is
tually as Hinduism. For, in adopting Tantric practices and
seems clear that the new wandering ascetics and their ideolo-
symbols, Maha¯ya¯na Buddhists appealed to a symbolic and
gy submitted to the religious establishment even as they
ritual world that fit naturally with a religious substratum that
changed it. Tantra followed the pattern of cooperation with
was about to become the province of Hinduism.
established religious institutions set by Maha¯ya¯na in its rela-
tionship to the early scholastic establishment. Tantric monks
The gradual shift from Maha¯ya¯na to Tantra seems to
would take the bodhisattva vows and receive monastic ordi-
have gained momentum precisely at the time when
nation under the pre-Maha¯ya¯na code. Practitioners of Tan-
Maha¯ya¯na philosophy was beginning to lose its creative ener-
tra would live in the same monastery with non-Tantric
gy. We know of Tantric practices at Na¯landa¯ in the seventh
Maha¯ya¯na monks. Thus Tantric Buddhism became integrat-
century. These practices were criticized by the Na¯landa¯
ed into the Buddhist high tradition even as the siddhas con-
scholar Dharmak¯ırti but apparently were accepted by most
tinued to challenge the values of Buddhist monasticism.
distinguished scholars of the same institution during the fol-
lowing century. As Tantra gained respectability, the Pa¯la
Although it seems likely that Tantric Buddhism existed
monarchs established new centers of learning, rivaling
as a minority, esoteric practice among Maha¯ya¯na Buddhists
Na¯landa¯. We may say that the death of its great patron, King
before it made its appearance on the center stage of Indian
Hars:a, in 657 signals the decline of Maha¯ya¯na, whereas the
religion, it is now impossible to know for how long and in
construction of the University of Vikrama´s¯ıla under
what form it existed before the seventh century. The latter
Dharmapa¯la about the year 800 marks the beginning of the
date alone is certain because the transmission of Tantra to
Tantric period.
China is marked by the arrival in the Chinese capitals of
TANTRIC INNOVATIONS. As with Maha¯ya¯na, we must as-
Tantric masters like S´ubha¯karasim:ha (arrives in Ch’ang-an
sume that Tantra reflects social as well as religious changes.
716) and Vajrabodhi (arrives in Lo-yang 720), and we can
Because of the uncertainties of the date of its origin, however,
safely assume that the exportation of Tantra beyond the Indi-
few scholars have ventured any explanation for the arising of
an border could not have been possible without a flourishing
Tantra. Some advocate an early origin for Tantra, suggesting
activity in India. Evidence for an earlier origin is found in
that the literature existed as an esoteric practice for many
the occasional reference, critical or laudatory, to mantras and
centuries before it ever came to the surface. If this were the
dha¯ran:¯ıs in the literature of the seventh century
case, then Tantra must have existed as some kind of under-
(Dharmak¯ırti, S´a¯ntideva) and the presence of proto-Tantric
ground movement long before the sixth century. But this
elements in Maha¯ya¯na su¯tras that must date from at least the
theory must still explain the sudden appearance of Tantrism
fourth century (Gan:d:avyu¯ha, Vimalak¯ırtinirde´sa, Saddhar-
as a mainstream religion.
mapun:d:ar¯ıka).
In its beginnings, Buddhist Tantra may have been a mi-
Tantra in general makes use of ritual, symbolic, and
nority religion, essentially a private cult incorporating ele-
doctrinal elements of earlier form of Buddhism. Especially
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BUDDHISM: BUDDHISM IN INDIA
the apotropaic and mystical formulas called mantras and
mented Sahajaya¯nists are from Bengal, but probably from
dha¯ran:¯ıs gain a central role in Tantraya¯na. The Maha¯ma¯yu¯r¯ı,
the beginning of the ninth century. Regarding the Ka¯lacakra,
a proto-Tantric text of the third or fourth century, collects
Western scholarship would not accept traditional views of its
apotropaic formulas associated with local deities in different
ancient origins in the mythic land of Shambhala. It must be
parts of India. Some of these formulas seem to go back to
dated not earlier than the tenth century, probably to the be-
parittas similar to those in the Pali canonical text A¯t:a¯n:a¯tiya
ginning of the reign of King Mah¯ıpa¯la (c. 974–1026). Its
Suttanta (D¯ıgha Nika¯ya no. 32). Although one should not
roots have been sought in the North as well as in the South.
identify the relatively early, and pan-Buddhist, genre of the
The Vajraya¯na. The Vajraya¯na derives its name from
dha¯ran:¯ı and paritta with the Tantraya¯na, the increased use
the centrality of the concept of vajra in its symbolism. The
of these formulas in most existing forms of Buddhism, and
word vajra means both “diamond” and “cudgel.” It is there-
the appearance of dha¯ran:¯ı-su¯tras in late Maha¯ya¯na literature
fore a metaphor for hardness and destructiveness. Spiritually,
perhaps marks a shift towards greater emphasis on the magi-
it represents the eternal, innate state of Buddhahood pos-
cal dimension of Buddhist faith. The Maha¯ya¯na su¯tras also
sessed by all beings, as well as the cutting edge of wisdom.
foreshadow Tantra with their doctrine of the identity of the
The personification of this condition and power is Vajrasatt-
awakened and the afflicted minds (Dharmasan˙g¯ıti,
va, a deity and an abstract principle, which is defined as
Vimalak¯ırtinirde´sa), and innate Buddhahood (Tatha¯gata-
follows:
garbha su¯tras).
By vajra is meant emptiness;
Varieties of Tantra. Whatever may have been its pre-
sattva means pure cognition.
history, as esoteric or exoteric practice, the new movement—
sometimes called the third ya¯na, Tantraya¯na—was as com-
The identity of these two is known
plex and fragmented as earlier forms of Buddhism. A some-
as the essence of Vajrasattva. (Advayavajra Sam:graha,
what artificial, but useful classification distinguishes three
p. 24)
main types of Tantra: Vajraya¯na, Sahajaya¯na, and Ka¯lacakra
Behind this definition is clearly the metaphysics of
Tantra. The first established the symbolic terminology and
Yoga¯ca¯ra-Ma¯dhyamika thought. Vajrasattva stands for the
the liturgy that would characterize all forms of the tradition.
nondual experience that transcends both emptiness and pure
Many of these iconographic and ritual forms are described
mind. In religious terms this principle represents a homology
in the Mañju´sr¯ımu¯lakalpa (finished in its extant form
between the human person and the essence of vajra: in the
c. 750), the Maha¯vairocana Su¯tra, and the Vajra´sekhara (or
human body, in this life, relative and absolute meet.
Tattvasam:graha) Su¯tra, which some would, following East
Asian traditions, classify under a different, more primitive
The innate quality of the nondual is also represented by
branch of Tantra called “Mantraya¯na.” The Sahajaya¯na was
the concept of the “thought of awakening” (bodhicitta). But
dominated by long-haired, wandering siddhas, who openly
innate awakening in Vajraya¯na becomes the goal: enlighten-
challenged and ridiculed the Buddhist establishment. They
ment is present in its totality and perfection in this human
referred to the object of their religious experience as “the
body; the thought of awakening is awakening:
whore,” both as a reference to the sexual symbolism of ritual
The Thought of Awakening is known to be
Tantra and as a challenge to monastic conceptions of spiritu-
Without beginning or end, quiescent,
al purity, but also as a metaphor for the universal accessibility
Free from being and nonbeing, powerful,
of enlightenment. The Ka¯lacakra tradition is the farthest re-
Undivided in emptiness and compassion. (Guhyasama¯ja
moved from earlier Buddhist traditions, and shows a stronger
18.37)
influence from the substratum. It incorporates concepts of
messianism and astrology not attested elsewhere in Buddhist
This identity is established symbolically and ritually by
literature.
a series of homologies. For instance, the six elements of the
human body are identified with different aspects of the body
Unfortunately, the history of all three of these move-
of Maha¯vairocana, the five constituents of the human per-
ments is clouded in legend. Tibetan tradition considers the
sonality (skandhas) are identified with the five forms of Bud-
Mantraya¯na a third “turning of the wheel [of the dharma]”
dha knowledge.
(with Maha¯ya¯na as the second), taking place in
Dha¯nyakat:aka (Andhra) sixteen years after the enlighten-
But the most characteristic aspect of Tantric Buddhism
ment. But this is patently absurd. As a working hypothesis,
generally is the extension of these homologies to sexual sym-
we can propose that there was an early stage of Mantraya¯na
bolism. The “thought of awakening” is identified with
beginning in the fourth century. The term Vajraya¯na could
semen, dormant wisdom with a woman waiting to be insemi-
be used then to describe the early documented manifesta-
nated. Therefore, wisdom (prajña¯) is conceived as a female
tions of Tantric practice, especially in the high tradition of
deity. She is a mother (janan¯ı), as in the Prajña¯pa¯ramita¯ liter-
the Ganges River valley after the seventh century.
ature; she is the female yogi (yogin¯ı); but she is also a low-
caste whore (d:omb¯ı can:d:a¯l¯ı). Skillful means (upa¯ya) are visu-
Sahajaya¯na is supposed to have originated with the
alized as her male consort. The perfect union of these two
Kashmirian yogin Lu¯i-pa (c. 750–800). The earliest docu-
(prajñopa¯ya-yuganaddha) is the union of the nondual. Be-
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BUDDHISM: BUDDHISM IN INDIA
1123
hind the Buddhist interpretation, of course, one discovers
c. 800–850, Ti-lo-pa, c. 950–1000); a few commentaries
the non-Aryan substratum, with its emphasis on fertility and
exist in Sanskrit. The latter attest to the influence of the early
the symbolism of the mother goddess. But one may also see
wandering siddhas on the Buddhist establishment.
this radical departure from Buddhist monkish prudery as an
The basic doctrinal stance of the Sahaja movement is no
attempt to shock the establishment out of self-righteous
different from that of Vajraya¯na: sahaja is the innate princi-
complacency.
ple of enlightenment, the bodhicitta, to be realized in the
Because the sexual symbolism can be understood meta-
union of wisdom and skillful means. The main difference be-
phorically, most forms of Buddhist Tantra were antinomian
tween the two types of Tantra is in the lifestyle of the adept.
only in principle. Thus, Vajraya¯na was not without its vows
The Sahajiya¯ was a movement that represented a clear chal-
and rules. As upa¯ya, the symbols of ritual had as their goal
lenge to the Buddhist establishment: the ideal person was a
the integration of the Absolute and the relative, not the abro-
homeless madman wandering about with his female consort,
gation of the latter. Tantric vows included traditional mo-
or a householder-sorcerer—either of which would claim to
nastic rules, the bodhisattva vows, and special Tantric rules—
practice union with his consort as the actualization of what
some of which are contained in texts such as the Vinayasu¯tra
the high tradition practiced only in symbolic or mystical
and the Bodhicitta´s¯ıla¯da¯nakalpa.
form. The Vajraya¯na soon became integrated into the curric-
ulum of the universities, controlled by the Vinaya and philo-
The practice of the higher mysteries was reserved for
sophical analysis. It was incorporated into the ordered pro-
those who had mastered the more elementary Maha¯ya¯na and
gram of spiritual cultivation accepted in the monasteries,
Tantra practices. The hierarchy of practice was established
which corresponded to the desired social and political stabili-
in systems such as the “five steps” of the Pañcakrama (by the
ty of the academic institutions and their sponsors. The icon-
Tantric Na¯ga¯rjuna). Generally, the order of study protected
oclastic staints of the Sahaja, on the other hand, sought spon-
the higher mysteries, establishing the dividing line between
taneity, and saw monastic life as an obstacle to true
esoteric and exoteric. Another common classification of the
realization. The force of their challenge is seen in quasi-
types of Tantra distinguished external daily rituals (Kriya¯
mythic form in the legend that tells of the bizarre tests to
Tantra), special rituals serving as preparation for meditation,
which the siddha Ti lo pa submitted the great scholar Na¯ ro
(Carya¯ Tantra), basic meditation practices (Yoga Tantra),
pa when the latter left his post at Vikrama´s¯ıla to follow the
and the highest, or advanced meditation Tantras (Anut-
half-naked madman Ti lo pa.
tarayoga Tantra). This hermeneutic of sorts served both as
an apologetic and a doctrinal classification of Tantric prac-
This particular Tantric tradition, therefore, best em-
tice by distinguishing the audience for which each type of
bodied the iconoclastic tendencies found in all of Tantra. It
Tantra was best suited: respectively ´sra¯vakas, pratyekabudd-
challenged the establishment in the social as well as the reli-
has, Yoga¯ca¯rins, and Ma¯dhyamikas.
gious sphere, for it incorporated freely practices from the
substratum and placed women and sexuality on the level of
Elements of Tatha¯gata-garbha theory seem to have been
the sacred. In opposition to the bland and ascetic paradises
combined with early totemic beliefs to establish a system of
of Maha¯ya¯na—where there were no women or sexual inter-
Tatha¯gata families or clans that also served to define the
course—Tantrism identifies the bliss of enlightment with the
proper audience for a variety of teachings. Persons afflicted
great bliss (maha¯sukha) of sexual union.
by delusion, for instance, belonged to Maha¯vairocana’s clan,
and should cultivate the homologies and visualizations asso-
The Ka¯lacakra Tantra. This text has several features
ciated with this Buddha—who, not coincidentally, repre-
that separate it from other works of the Buddhist tradition:
sents the highest awakening. This system extends the homol-
an obvious political message, suggesting an alliance to stop
ogies of skandhas, levels of knowledge, and so forth, to
the Muslim advance in India, and astrological symbolism
personality types. This can be understood as a practical psy-
and teachings, among the others. In this work also we meet
chology that forms part of the Tantric quest for the imma-
the concept of “A¯dibuddha,” the primordial Buddha,
nence of the sacred.
whence arises everything in the universe.
The high tradition, however, sees the text as remaining
The Sahaja (or Sahajiya¯) movement. Although tradi-
within the main line of Buddhist Tantrism. Its main argu-
tional Sahaja master-to-disciple lineages present it as a move-
ment is that all phenomena, including the rituals of Tantra,
ment of great antiquity, the languages used in extant Sahaja
are contained within the initiate’s body, and all aspects of
literature belong to an advanced stage in the development of
time are also contained in this body. The concept of time
New Indic. These works were written mostly in Apabhra¯m:´sa
(ka¯la) is introduced and discussed and its symbolism ex-
(the Doha¯ko´sa) and early Bengali (the Carya¯g¯ıti). Thus, al-
plained as a means to give the devotee control over time and
though their dates are uncertain, they cannot go as far back
therefore over the impermanent world. The Sekodde´sat:¯ıka¯,
as suggested by tradition. Scholars generally agree on a con-
a commentary on part of the Ka¯lacakra attributed to
jectural dating of perhaps eighth to tenth century.
Na¯ ro pa (Na¯d:apa¯da, tenth century), explains that the time
Works attributed to Sahaja masters are preserved not
(ka¯la) of the Ka¯lacakra is the same as the unchanging
only in New Indian languages (Saraha, c. 750–800, Ka¯n:ha,
dharmadha¯tu, whereas the wheel (cakra) means the manifes-
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1124
BUDDHISM: BUDDHISM IN INDIA
tations of time. In Ka¯lacakra the two, absolute and relative,
without danger. The sacred syllable is still a charm. The visu-
prajña¯ and upa¯ya, are united. In this sense, therefore, in spite
alization of Buddhas is often inseparable from the evocation
of its concessions to the substratum and to the rising tide of
of demons and spirits. New beings populate the Buddhist
Hinduism, the Ka¯lacakra was also integrated with mainline
pantheon. The Buddhas and bodhisattvas are accompanied
Buddhism.
by female consorts—these spiritual sexual partners can be
found in explicit carnal iconographic representations.
Tantric literature. The word tantra means “thread” or
“weft” and, by extension, “text.” The sacred texts produced
Worship and ritual. Whereas the esoteric ritual incor-
as the new dispensation, esoteric or exoteric, were called Tan-
porated elements of the substratum into a Buddhist doctrinal
tras, and formed indeed a literary thread interwoven with the
base, the exoteric liturgies of the Tantric high tradition fol-
secret transmission from master to disciple. Some of the most
lowed ritual models from the Maha¯ya¯na tradition as well as
difficult and profound Tantras were produced in the early
elements that evince Brahmanic ritual and Hindu worship.
period (before the eighth century); the Maha¯vairocana,
The daily ritual of the Tantric Buddhist presents a number
Guhyasama¯ja, the earlier parts of the Mañju´sr¯ımu¯lakalpa,
of analogies of Brahmanic pu¯ja¯ that cannot be accidental.
and the Hevajra. By the time Tantra became the dominant
But the complete liturgical cycle is still Buddhist. Many ex-
system and, therefore, part of the establishment, a series of
amples are preserved, for instance, in the Sanskrit text
commentaries and authored works had appeared.
A¯dikarmaprad¯ıpa. The ritual incorporates Tantric rites (of-
Na¯ga¯rjuna’s Pañcakrama is among the earliest. The Tantric
fering to a man:d:ala, recitation of mantras) into a structure
Candrak¯ırti (ninth century) wrote a commentary on the
composed of elements from pre-Maha¯ya¯na Buddhism (e.g.,
Guhyasama¯ja, and Buddhaguhya (eighth century) discussed
the Refuges), and Maha¯ya¯na ritual (e.g., confession, vows,
the Maha¯vairocana. Sanskrit commentaries eventually were
dedication of merit).
written to fossilize even the spontaneous poems of the Sahaja
More complex liturgies include rites of initiation or con-
saints.
secration (abhis:eka) and empowerment (adhis:t:ha¯na), rites
Tantra and the high tradition. Thus, Tantra too, like
that may have roots going as far back as the Atharvaveda. The
its predecessors, eventually become institutionalized. What
burnt-offering rites (homa) also have Vedic and Brahmanic
arose as an esoteric, intensely private, visionary and icono-
counterparts. Elements of the substratum are also evident in
clastic movement, became a literary tradition, ritualized,
the frequent invocation of yaks:as and devata¯s, the propitia-
often exoteric and speculative.
tion of spirits, and the underlying sexual and alchemical sym-
bolism.
We have abundant evidence of a flourishing Tantric cir-
cle at Na¯landa¯, for instance, at least since the late seventh
Meditation. The practice of Tantric visualization
century. Tantric masters were by that time established mem-
(sa¯dhana) was even more a part of ritual than the Maha¯ya¯na
bers of the faculty. Especially during the Pa¯la dynasty, Tan-
meditation session. It was always set in a purely ritual frame
tric practices and speculation played a central role in Bud-
similar to the structure of the daily ritual summarized above.
dhist universities. This was clearly the period of
A complete sa¯dhana would integrate pre-Maha¯ya¯na and
institutionalization, a period when Tantra became part of the
Maha¯ya¯na liturgical and contemplative processes with Tan-
mainstream of Buddhism.
tric visualization. The meditator would first go through a
gradual process of purification (sometimes including ablu-
With this transformation the magical origins of Tantra
tions) usually constructed on the model of the Maha¯ya¯na
were partly disguised by a high Tantric liturgy and a theory
“sevenfold service.” He would then visualize the mystical syl-
of Tantric meditation paralleling earlier, Maha¯ya¯na theories
lable corresponding to his chosen deity. The syllable would
of the path. Still, Tantric ritual and meditation retained an
be transformed into a series of images that would lead finally
identity of their own. Magic formulas, gestures, and circles
to clear visualization of the deity. Once the deity was visual-
appeared transformed, respectively, into the mystical words
ized clearly, the adept would become one with it. But this
of the Buddhas, the secret gestures of the Buddhas, and
oneness was interpreted as the realization of the nondual;
charts (man:d:alas) of the human psyche and the path.
therefore, the deity became the adept as much as the adept
was turned into a deity. Thus, the transcendent could be ac-
The mystical diagram (man:d:ala) illustrates the com-
tualized in the adept’s life beyond meditation in the fulfill-
plexity of this symbolism. It is at the same time a chart of
ment of the bodhisattva vows.
the human person as it is now, a plan for liberation, and a
representation of the transfigured body, the structure of Bud-
Tantric doctrine. Tantric symbolism was interpreted in
dhahood itself. As a magic circle it is the sphere in which spir-
the context of Maha¯ya¯na orthodoxy. It is therefore possible
itual forces are evoked and controlled, as religious symbol it
to explain Tantric theoretical conceptions as a natural devel-
is the sphere of religious progress, experience, and action.
opment from Maha¯ya¯na. The immanence of Buddhahood
The primitive functions remain: the man:d:ala is still a circle
is explicitly connected with the Maha¯ya¯na doctrine of the
of power, with apotropaic functions. For each divinity there
identity of sam:sa¯ra and nirva¯n:a and the teachings of those
is an assigned meaning, a sacred syllable, a color, and a posi-
Yoga¯ca¯rins who believed that consciousness is inherently
tion within the man:d:ala. Spiritual forces can thus be evoked
pure. The magical symbolism of Tantra can be traced—
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BUDDHISM: BUDDHISM IN INDIA
1125
again through explicit references—to the doctrine of the bo-
When the Tibetan pilgrim Dharmasva¯min (1197–1264) vis-
dhisattva as magician: since the world is like a dream, like a
ited the site of the ancient university in 1235 he found a few
magical apparition, one can be free of it by knowing the
monks teaching in two monasteries remaining among the
dream as dream—knowing and controlling the magical illu-
ruins of eighty-two others. In this way Buddhism would stay
sion as a magician would control it. The bodhisattva (and
on in India for a brief time, but under circumstances well
therefore the siddha) is able to play the magical trick of the
illustrated by the decay witnessed by Dharmasva¯min—even
world without deceiving himself into believing it real.
as he was there, the Turks mounted another raid to further
ransack what was left of Na¯landa¯.
One should not forget, however, that what is distinc-
tively Tantric is not limited to the externals of ritual and
For a long time scholars have debated the causes for the
symbolism. The special symbolism transforms its Maha¯ya¯na
decline of Buddhism in India. Although there is little chance
context because of the specifically Tantric understanding of
of agreement on a problem so complex—and on which we
immanence. The Buddha is present in the human body in-
have precious little evidence—some of the reasons adduced
nately, but the Buddha nature is manifested only when one
early are no longer widely accepted. For instance, the notion
realizes the “three mysteries,” or “three secrets.” It is not
that Tantric Buddhism was a “degenerate form” of Bud-
enough to be free from the illusion of the world; one be-
dhism that contributed to or brought about the disappear-
comes free by living in illusion in such a way that illusion
ance of Buddhism is no longer entertained by the scholarly
becomes the manifestation of Buddhahood. Tantra seeks to
community. The image of a defenseless, pacifist Buddhist
construct an alternative reality, such that a mentally con-
community annihilated by invading hordes of Muslim war-
structed world reveals the fundamental illusion of the world
riors is perhaps also a simplification. Though the Turkish
and manifests the mysterious power of the Buddha through
conquerors of India were far from benevolent, the Arabs who
illusion. The human body, the realm of the senses, is to be
occupied Sindh in 711 seem to have accepted a state of
transformed into the body of a Buddha, the senses of a
peaceful coexistence with the local population. Furthermore,
Buddha.
one must still understand why Jainism and Hinduism sur-
vived the Muslim invasion while Buddhism did not.
The body, mind, and speech of the Buddha (the Three
Mysteries) have specific characteristics that must be recog-
Buddhist relations with Hindu and Jain monarchs were
nized and reproduced. In ritual terms this means that the
not always peaceful—witness the conquest of Bihar by the
adept actualizes Buddhahood when he performs prostrations
Bengali S´aiva king S´a´s¯ın˙ka (c. 618). Even without the inter-
and ritual gestures (mudra¯s); he speaks with the voice of the
vention of intolerance, the growth of Hinduism, with its
Buddha when he utters mantras; his mind is the mind of the
firm roots in Indian society and freedom from the costly in-
Buddha when he visualizes the deity. The magical dimension
stitution of the monastery, offered a colossal challenge to
is evident: the power of the Buddha lives in the formalized
Buddhism. The eventual triumph of Hinduism can be fol-
“demeanor of a Buddha.” But the doctrine also implies trans-
lowed by a number of landmarks often associated with oppo-
forming the body by a mystical alchemy (rooted in substra-
sition to Buddhism: the spread of Vais:n:avism (in which the
tum sexual alchemy) from which is derived the soteriological
Buddha appears as a deceptive avata¯ra of Vis:n:u); the great
meaning of the doctrine: the ritual changes the human per-
Vais:n:ava and S´aiva saints of the South, the A¯lva¯rs and
¯
son into a Buddha, all his human functions become sacred.
Naya¯nars, respectively, whose Hindu patrons were openly
Then this person’s mind is the mind of an awakened being,
hostile to Buddhism and Jainism; the ministry of S´an˙kara in
it knows all things; the body assumes the appearance appro-
Mysore (788–850), a critic of Buddhism who was himself
priate to save any living being; the voice is able to speak in
accused of being a “crypto-Buddhist”; and the triumph of
the language of any living being needing to be saved.
S´aivism in Kashmir (c. 800).
THE DECLINE OF BUDDHISM IN INDIA. With Hars:a’s death
But the causes for the disappearance of Buddhism were
Indian Buddhism could depend only on the royal patronage
subtle: the assimilation of Buddhist ideas and practices into
of the Pa¯la dynasty of Bihar and Bengal (c. 650–950), who
Hinduism and the inverse process of the Hinduization of
soon favored the institutions they had founded—
Buddhism, with the advantage of Hinduism as a religion of
Vikrama´s¯ıla (c. 800), Odantapur¯ı (c. 760). The last shining
the land and the locality. More important than these were
lights of Na¯landa¯ were the Ma¯dhyamika masters S´a¯ntiraks:ita
perhaps the internal causes for the decline: dependence on
and Kamala´s¯ıla, both of whom participated actively in the
monastic institutions that did not have broad popular sup-
conversion of Tibet. Then the ancient university was eclipsed
port but relied exclusively on royal patronage; and isolation
by its rival Vikrama´s¯ıla, which saw its final glory in the elev-
of monasteries from the life of the village community, owing
enth century.
to the tendency of the monasteries to look inward and to lose
interest in proselytizing and serving the surrounding com-
Traditionally, the end of Indian Buddhism has been
munities.
identified with the sack of the two great universities by the
troops of the Turk Muh:ammad Ghu¯r¯ı: Na¯landa¯ in 1197
The disappearance of Buddhism in India may have been
and Vikrama´s¯ıla in 1203. But, although the destruction of
precipitated by the Muslim invasion, but it was caused pri-
Na¯landa¯ put an end to its former glory, Na¯landa¯ lingered on.
marily by internal factors, the most important of which
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1126
BUDDHISM: BUDDHISM IN INDIA
seems to have been the gradual assimilation of Buddhism
Buddhist cosmogonic ontology (the A¯dibuddha), and the
into Hinduism. The Muslim invasion, especially the Turkish
role of Tantric ritual in the incorporation of religious ele-
conquest of the Ganges Valley, was the coup de grace; we may
ments from the substratum. Nepalese Buddhism survives
consider it the dividing line between two eras, but it was not
under the tutelage of married Tantric priests, called
the primary cause for the disappearance of Buddhism from
vajra¯carya¯s. It is therefore sometimes referred to as
India.
“Vajra¯carya¯ Buddhism.”
BUDDHIST REMNANTS AND REVIVALS IN THE SUBCONTI-
Buddhism of Tibetan origin survives in the subconti-
NENT. After the last days of the great monastic institutions
nent mostly in Ladakh, Sikkim, and Bhutan, but also in
(twelfth and thirteenth centuries) Indian Buddhism lingered
Nepal. Perhaps the most significant presence in modern
on in isolated pockets in the subcontinent. During the peri-
India, however, is that of the Tibetan refugee communities.
od of Muslim and British conquest (thirteenth to nineteenth
The Tibetan diaspora includes about eighty thousand per-
century) it was almost completely absorbed by Hinduism
sons, among which are several thousand monks. Some have
and Islam, and gave no sign of creative life until modern at-
retained their monastic robes and have reconstructed in
tempts at restoration (nineteenth and twentieth centuries).
India their ancient Buddhist academic curricula, returning
Therefore, a hiatus of roughly six hundred years separates the
to the land of origin the disciplines of the classical universi-
creative period of Indian Buddhism from its modern mani-
ties. So far their impact on Indian society at large has been
festations.
insignificant and their hope of returning to Tibet dwindles
Buddhism of the frontier. As the Turk occupation of
with the passing of time. But the preservation, on Indian soil,
India advanced, the last great scholars of India escaped from
of the classical traditions of Na¯landa¯ and Vikrama´s¯ıla is
Kashmir and Bihar to Tibet and Nepal. But the flight of
hardly a trivial accomplishment.
Buddhist talent also responded to the attraction of royal pa-
Attempted revival: The Maha¯bodhi society. Attempts
tronage and popular support in other lands. The career of
to revive Buddhism in the land of its origin began with the
At¯ı´sa (D¯ıpam:kara S´r¯ıjña¯na, 982–1054), who emigrated to
Theosophical Society, popularized in Sri Lanka in the early
Tibet in 1042, is emblematic of the great loss incurred by
1880s by the American Henry S. Olcott. Although the soci-
Indian Buddhism in losing its monk-scholars. He combined
ety eventually became the vehicle for broader and less defined
extensive studies in Maha¯ya¯na philosophy and Tantra in
speculative goals, it inspired new pride in Buddhists after
India with a sojourn in Sumatra under the tutorship of
years of colonial oppression. The Sinhala monk Anaga¯rika
Dharmak¯ırti. He had studied with Bodhibhadra (the succes-
Dharmapa¯la (1864–1933; born David Hewavitarane) set out
sor of Na¯ ro pa when the latter left Vikrama´s¯ıla to become
to modernize Buddhist education. He also worked untiringly
a wandering ascetic), and was head master (upa¯dhya¯ya) of
to restore the main pilgrimage sites of India, especially the
Vikrama´s¯ıla and Odantapur¯ı at the time of King Bheyapa¯la.
temple of Bodh Gaya¯, which had fallen in disrepair and had
He left for Tibet at the invitation of Byan˙-chub-’od, appar-
been under Hindu administration for several centuries. To
ently attracted by a large monetary offer.
this end he founded in 1891 the Maha¯bodhi Society, still a
The migration of the Indian scholars, and a steady
major presence in Indian Buddhism.
stream of Tibetan students, made possible the exportation
Ambedkar and “Neo-Buddhism.” The most significant
of Buddhist academic institutions and traditions to Tibet,
Buddhist mass revival of the new age was led by Dr. Bhimrao
where they were preserved until the Chinese suppression of
Ramji Ambedkar (1891–1956). He saw Buddhism as the
1959. The most learned monks were pushed out to the Hi-
gospel for India’s oppressed and read in the Buddhist scrip-
malayan and Bengali frontiers in part because the Indian
tures ideals of equality and justice. After many years of spiri-
communities were no longer willing to support the monaste-
tual search, he became convinced that Buddhism was the
ries. Certain forms of Tantra, dependent only on household-
only ideology that could effect the eventual liberation of In-
er priests, could survive, mostly in Bengal and in the Himala-
dian outcastes. On October 14, 1956, he performed a mass
yan foot-hills. But some Therava¯din Buddhists also survived
“consecration” of Buddhists in Nagpur, Maharashtra. The
in East Bengal—most of them taking refuge in India after
new converts were mostly from the “scheduled caste” of the
the partition, some remaining in Bangledesh and Assam.
maha¯rs. Although his gospel is in some way on the fringes
of Buddhist orthodoxy, Buddhist monks from other parts of
Himalayan Buddhism of direct Indian ancestry remains
Asia have ministered to the spiritual needs of his converts,
only in Nepal, where it can be observed even today in sus-
and inspired Indian Buddhists refer to him as “Bodhisattva
pended animation, partly fused with local Hinduism, as it
Ambedkar.”
must have been in the Gangetic plain during the twelfth cen-
tury. Nepalese Buddhists produced what may very well be
Other aspects of modern Buddhism. The most fruit-
considered the last major Buddhist scripture composed in
ful and persistent effort in the rediscovery of Indian Bud-
the subcontinent, the Svayam:bhu Pura¯n:a (c. fifteenth centu-
dhism has been in the West, primarily among Western schol-
ry). This text is an open window into the last days of Indian
ars. The achievements of European scholars include a
Buddhism. It reveals the close connection between Buddhist
modern critical edition of the complete Pali canon, pub-
piety and non-Buddhist sacred localities, the formation of a
lished by the Pali Text Society (founded in London in 1881),
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN INDIA
1127
and the recovery of original texts of parts of the canon of the
cism; Na¯ga¯rjuna; Na¯gas and Yaks:as; Nirva¯n:a; Pa¯ramita¯s;
Sarva¯stiva¯da. The combined effort of Indian, North Ameri-
Pilgrimage, article on Buddhist Pilgrimage in South and
can and European historians, archaeologists, and art histori-
Southeast Asia; Prajña¯; Prat¯ıtya-samutpa¯da; Priesthood, arti-
ans has placed Indian Buddhism in a historical and social
cle on Buddhist Priesthood; Pu¯ja¯; Pure and Impure Lands;
context, which, though still only understood in its rough
S´aivism, overview article and article on Naya¯nars; Sam:gha;
outlines, allows us to see Buddhism in its historical evo-
Sam:nya¯sa; Sam:sa¯ra; S´an˙kara; S´a¯ntaraks:ita; S´a¯ntideva;
lution.
Sarva¯stiva¯da; Sautra¯ntika; S´¯ılabhadra; Soul, article on Bud-
dhist Concepts; Sthiramati; Stupa Worship;
Japanese scholarship has also made great strides since
S´ubha¯karasim:ha; S´u¯nyam and S´u¯nyata; Tantrism;
the beginning of the twentieth century. The publication in
Tatha¯gata; Tatha¯gata-garbha; Tathata¯; Temple, articles on
Japan of three different editions of the Chinese canon be-
Buddhist Temple Compounds; Theosophical Society;
tween 1880 and 1929 may be seen as the symbolic beginning
Therava¯da; Upa¯ya; Vais:n:avism, overview article; Vajrabodhi;
of a century of productive critical scholarship that has placed
Vasubandhu; Vedism and Brahmanism; Worship and Devo-
Japan at the head of modern research into Indian Buddhism.
tional Life, article on Buddhist Devotional Life in Southeast
Asia; Yoga; and Yoga¯ca¯ra.
Another interesting phenomenon of the contemporary
world is the appearance of “neo-Buddhists” in Europe and
BIBLIOGRAPHY
North America. Although most of these groups have adopted
Bareau, André. “Le bouddhisme indien.” In Les religions de l’Inde,
extra-Indian forms of Buddhism, their interest in the scrip-
vol. 3, pp. 1–246. Paris, 1966. In addition to this useful sur-
tural traditions of India has created an audience and a de-
vey, see Bareau’s “Le bouddhisme indien,” in Histoire des reli-
mand for research into India’s Buddhist past. The Buddhist
gions, edited by Henri-Charles Puech vol. 1, (Paris, 1970),
Society, founded in London in 1926, and the Amis du Boud-
pp. 1146–1215. Bareau has written the classical work on the
dhisme, founded in Paris in 1928, both supported scholar-
question of the dating of the Buddha’s life, “La date du
ship and encouraged the Buddhist revival in India.
Nirva¯n:a,” Journal asiatique 241 (1953): 27–62. He surveys
and interprets classical documents on the H¯ınaya¯na schools
In spite of the revived interest in India of the last centu-
in “Les sectes bouddhiques du Petit Véhicule et leurs
ry, the prospects of an effective Buddhist revival in the land
Abhidharmapit:aka.” Bulletin de l’École Française d’Extrême-
of S´a¯kyamuni seem remote. It is difficult to imagine a suc-
Orient 50 (1952): 1–11; “Trois traités sur les sectes boudd-
cessful living Buddhism in India today or in the near future.
hiques dus à Vasumitra, Bhavya et Vinitadeva,” Journal asia-
The possibility of the religion coming back to life may de-
tique 242–244 (1954–1956); Les premiers conciles boudd-
pend on the reimportation of the Dharma into India from
hiques (Paris, 1955); Les sectes bouddhiques de Petit Véhicule
(Saigon, 1955); “Les controverses rélatives à la nature de
another land. It remains to be seen if Ambedkar and
l’arhant dans le bouddhisme ancien,” Indo-Iranian Journal 1
Anaga¯rika Dharmapa¯la had good reasons for hope in a Bud-
(1957): 241–250. Bareau has also worked extensively on the
dhist revival, or if in fact the necessary social conditions for
“biography” of the Buddha: Recherches sur la biographie du
the existence of Indian Buddhism disappeared with the last
Bouddha, 3 vols. (Paris, 1970–1983); “Le parinirva¯n:a du
monarchs of the Pa¯la dynasty.
Bouddha et la naissance de la religion bouddhique,” Bulletin
de l’École Française d’Extrême-Orient 61 (1974): 275–300;
SEE ALSO Ahim:sa¯; A¯j¯ıvikas; A¯lva¯rs; A¯laya-vijña¯na; Ambed-
and, on a more popular but still scholarly bent, Le Bouddha
¯
kar; Amita¯bha; Amoghavajra; Arhat; A¯ryadeva; Asan˙ga;
(Paris, 1962).
A´soka; At¯ı´sa; Avalokite´svara; Avata¯ra; Bengali Religions;
Basham, A. L. The Wonder That Was India. London, 1954. This
Bhakti; Bha¯vaviveka; Bodhisattva Path; Buddha;
is the most accessible and readable cultural history of pre-
Buddhapa¯lita; Buddhism, Schools of, overview article and
Muslim India. A more technical study on the religious move-
articles on Maha¯ya¯na Philosophical Schools of Buddhism;
ments at the time of the Buddha is Basham’s History and
Buddhist Ethics; Buddhist Studies; Cakravartin;
Doctrine of the A¯j¯ıvikas (London, 1951).
Candrak¯ırti; Councils, article on Buddhist Councils; Dhar-
Beal, Samuel. Travels of Fa-hian and Sung-Yun, Buddhist Pilgrims
ma, article on Buddhist Dharma and Dharmas;
from China to India (400 A. D. and 518 A. D.). London,
Dharmak¯ırti; Dharmapa¯la; Digna¯ga; Eightfold Path; Folk
1869. The travel records of two early pilgrims. See also Beal’s
Religion, article on Folk Buddhism; Four Noble Truths;
Si-yu-ki: Buddhist Records of the Western World, 2 vols. (Lon-
Goddess Worship, article on The Hindu Goddess; Gosa¯la;
don, 1884). Translation of Xuanzang’s accounts of his travels
Hindu Tantric Literature; Iconography, article on Buddhist
to India.
Iconography; Indian Religions; Inner Asian Religions; Islam,
Bechert, Heinz. “Zur Frühgeschichte des Maha¯ya¯na-
articles on Islam in Central Asia and Islam in South Asia;
Buddhismus.” Zeitschrift der Deutschen Morgenländischen Ge-
Jainism; Kamala´s¯ıla; Karman, article on Buddhist Concepts;
sellschaft 113 (1963): 530–535. Summary discussion of the
Karman, article on Hindu and Jain Concepts; Karun:a¯;
H¯ınaya¯na roots of Maha¯ya¯na. On the same topic, see also
Kr:s:n:aism; Ma¯dhyamika; Maha¯sa¯m:ghika; Maha¯siddhas;
“Notes on the Formation of Buddhist Sects and the Origins
Maha¯v¯ıra; Maitreya; Man:d:alas, article on Buddhist
of Maha¯ya¯na,” in German Scholars on India, vol. 1 (Varanasi,
Man:d:alas; Mañju´sr¯ı; Mantra; Marathi Religions; Medita-
1973), pp. 6–18; “The Date of the Buddha Reconsidered,”
tion; Missions, article on Buddhist Missions; Moggaliputta-
Indologica Taurinensia 10 (1982): 29–36; “The Importance
tissa; Moks:a; Monasticism, article on Buddhist Monasti-
of A´soka’s So-called Schism Edict,” in Indological and Bud-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1128
BUDDHISM: BUDDHISM IN INDIA
dhist Studies in Honour of Prof. J. W. de Jong (Canberra,
Gokhale, Balkrishna Govind. Buddhism and A´soka. Baroda, 1948.
1982), pp. 61–68; and “The Beginnings of Buddhist Histo-
Other of this author’s extensive writings on the social and
riography,” in Religion and Legitimation of Power in Sri
political contexts of early Buddhism include “The Early Bud-
Lanka, edited by Bardwell L. Smith (Chambersburg, Pa.,
dhist Elite,” Journal of Indian History 43 (1965): 391–402;
1978), pp. 1–12. Bechert is also the editor of the most recent
“Early Buddhist View of the State,” Journal of the American
contribution to the question of the language of Buddha and
Oriental Society 89 (1969): 731–738; “Therava¯da Buddhism
early Buddhism, Die Sprache der ältesten buddhistischen Über-
in Western India,” Journal of the American Oriental Society
lieferung / The Language of the Earliest Buddhist Tradition
92 (1972): 230–236; and “Early Buddhism and the Brah-
(Göttingen, 1980).
manas,” in Studies in History of Buddhism, edited by A. K.
Bechert, Heinz, and Georg von Simson, eds. Einführung in die In-
Narain (Delhi, 1980).
dologie: Stand, Methoden, Aufgaben. Darmstadt, 1979. A gen-
Gómez, Luis O. “Proto-Ma¯dhyamika in the Pa¯li Canon.” Philoso-
eral introduction to indology, containing abundant materials
phy East and West 26 (1976): 137–165. This paper argues
on Indian history and religion, including Buddhism.
that the older portions of Suttanipa¯ta preserve a stratum of
Bechert, Heinz, and Richard Gombrich, eds. The World of Bud-
the tradition that differs radically from the dominant themes
dhism. London, 1984. This is by far the most scholarly and
expressed in the rest of the Pa¯li canon, especially in its
comprehensive survey of Buddhism for the general reader.
Therava¯da interpretation.
Indian Buddhism is treated on pages 15–132 and 277–278.
Grousset, René. The Civilizations of the East, vol. 2, India. Lon-
Demiéville, Paul. “L’origine des sectes bouddhiques d’après Para-
don, 1931. One of the best surveys of Indian history. See also
martha.” In Mélanges chinois et bouddhiques, vol. 1,
his Sur les traces du Bouddha (Paris, 1957) for a modern ex-
pp. 14–64. Brussels, 1931–1932.
pansion and retelling of Xuanzang’s travels.
Demiéville, Paul. “A propos du Concile de Vai´sa¯l¯ı.” T’oung pao
Horner, I. B. Early Buddhist Theory of Man Perfected. London,
40 (1951): 239–296.
1936. A study of the arhat ideal in the Pa¯li canon. See also
Dutt, Nalinaksha. Aspects of Maha¯ya¯na Buddhism and Its Relation
Horner’s translation of the dialogues between King Menan-
to H¯ınaya¯na. London, 1930. Although Dutt’s work on the
der and Na¯gasena, Milinda’s Questions (London, 1964), and
development of the Buddhist sects is now largely superseded,
Women under Primitive Buddhism (1930; reprint, Delhi,
there are no comprehensive expositions to replace his sur-
1975).
veys. His Maha¯ya¯na Buddhism (Calcutta, 1973) is sometimes
Horsch, P. “Der Hinduismus und die Religionen der primi-
presented as a revision of Aspects, but the earlier work is quite
tivstämme Indiens.” Asiatische Studien / Études asiatiques 22
different and far superior. Most of Dutt’s earlier work on the
(1968): 115–136.
sects, found hidden in various journals, was compiled in
Buddhist Sects in India (Calcutta, 1970). See also his Early
Horsch, P. “Vorstufen der Indischen Seelenwanderungslehre.” As-
Monastic Buddhism, rev. ed. (Calcutta, 1960).
iatische Studien / Études asiatiques 25 (1971): 98–157.
Dutt, Sukumar. The Buddha and Five After-Centuries. London,
Jayatilleke, K. N. Early Buddhist Theory of Knowledge. London,
1957. Other useful, although dated, surveys include Early
1963. Discusses the relationship between early Buddhist
Buddhist Monachism (1924; new ed., Delhi, 1960) and Bud-
ideas and ´sramanic and Upanis:adic doctrines.
dhist Monks and Monasteries in India (London, 1962).
Jong, J. W. de. “A Brief History of Buddhist Studies in Europe
Fick, R. The Social Organization in Northeast India in the Buddha’s
and America.” Eastern Buddhist 7 (May 1974): 55–106. (Oc-
Time. Calcutta, 1920.
tober 1974): 49–82. For the most part these bibliographic
Frauwallner, Erich. “Die buddhistische Konzile.” Zeitschrift der
surveys, along with the author’s “Recent Buddhist Studies in
Deutschen Morgenländischen Gesellschaft 102 (1952):
Europe and America: 1973–1983,” Eastern Buddhist 17
240–261.
(1984): 79–107, treat only the philological study of Indian
Buddhism. The author also tends to omit certain major fig-
Frauwallner, Erich. The Earliest Vinaya and the Beginnings of Bud-
ures who are not in his own school of Buddhology. These
dhist Literature. Rome, 1956.
articles are nonetheless the most scholarly surveys available
Frauwallner, Erich. “The Historical Data We Possess on the Per-
on the field, and put forth truly excellent models of scholarly
son and Doctrine of the Buddha.” East and West 7 (1956):
rigor.
309–312.
Joshi, Lal Mani. Studies in the Buddhistic Culture of India. Delhi,
Fujita Kotatsu. Genshi jödoshiso¯ no kenkyu¯. Tokyo, 1970. The
1967. Indian Buddhism during the middle and late
standard book on early Sukha¯vat¯ı beliefs.
Maha¯ya¯na periods.
Glasenapp, Helmuth von. “Zur Geschichte der buddhistischen
Dharma Theorie.” Zeitschrift der Deutschen Morgenländisc-
Kajiyama Yu¯ichi. “Women in Buddhism.” Eastern Buddhist 15
hen Gesellschaft 92 (1938): 383–420.
(1982): 53–70.
Glasenapp, Helmuth von. “Der Ursprung der buddhistischen
Kajiyama Yu¯ichi. “Stu¯pas, the Mother of Buddhas, and Dharma-
Dharma-Theorie.” Wiener Zeitschrift für die Kunde des Mor-
body.” In New Paths in Buddhist Research, edited by A. K.
genlandes 46 (1939): 242–266.
Warder, pp. 9–16. Delhi, 1985.
Glasenapp, Helmuth von. Buddhistische Mysterien. Stuttgart,
Kimura Taiken. Abidammaron no kenkyu¯. Tokyo, 1937. A survey
1940. Discusses most of the theories on early Brahmanic in-
of Sarva¯stiva¯da Abhidharma, especially valuable for its analy-
fluence on Buddhist doctrine.
sis of the Maha¯vibha¯s:a.
Glasenapp, Helmuth von. Buddhismus und Gottesidee. Mainz,
Lamotte, Étienne. “Buddhist Controversy over the Five Proposi-
1954.
tions.” Indian Historical Quarterly 32 (1956). The material
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN INDIA
1129
collected in this article is also found, slightly augmented, in
Masson, Joseph. La religion populaire dans le canon bouddhique
Lamotte’s magnum opus, Histoire du bouddhisme indien des
Pa¯li. Louvain, 1942. The standard study on the interactions
origines à l’ère S´aka (Louvain, 1958), pp. 300–319, 542–543,
of high tradition Buddhism with the substratum, not super-
575–606, 690–695. This erudite work is still the standard
seded yet.
reference tool on the history of early Indian Buddhism (to
Masuda Jiryo¯. “Origins and Doctrines of Early Indian Buddhist
circa 200 CE). Unfortunately, Lamotte did not attempt a his-
Schools.” Asia Major 2 (1925): 1–78. English translation of
tory of Indian Buddhism for the middle and late periods. He
Vasumitra’s classical account of the Eighteen Schools.
did, however, write an article on the origins of Maha¯ya¯na ti-
May, Jacques. “La philosophie bouddhique de la vacuité.” Studia
tled “Sur la formation du Maha¯ya¯na,” in Asiatica: Festschrift
Philosophica 18 (1958): 123–137. Discusses philosophical is-
Friedrich Weller (Leipzig, 1954), pp. 381–386; this is the de-
sues; for historical survey, see “Chu¯gan,” in Ho¯bo¯girin, vol.
finitive statement on the northern origin of Maha¯ya¯na. See
5 (Paris and Tokyo, 1979), pp. 470–493, and the article co-
also Der Verfasser des Upade´sa und seine Quellen (Göttingen,
authored with Mimaki (below). May’s treatment of the
1973). On early Buddhism, see “La légende du Buddha,”
Yoga¯ca¯ra schools (including the school of Sa¯ramati), on the
Revue de l’histoire des religious 134 (1947–1948): 37–71; Le
other hand, is both historical and doctrinal; see “La philoso-
bouddhisme de S´a¯kyamuni (Göttingen, 1983); and The Spirit
phie bouddhique idéaliste,” Asiatische Studien / Études asia-
of Ancient Buddhism (Venice, 1961). Lamotte also translated
tiques 25 (1971): 265–323.
a vast amount of Maha¯ya¯na literature, including Le traité de
la grande vertu de sagesse, 5 vols. (Louvain, 1944–1980); La
Mimaki Katsumi and Jacques May. “Chu¯do¯.” In Ho¯bo¯girin, vol.
somme du Grand Véhicule d’Asan˙ga, 2 vols. (Louvain, 1938);
5, pp. 456–470. Paris and Tokyo, 1979.
and L’enseignement de Vimalakirti (Louvain, 1962), contain-
Mitra, Debala. Buddhist Monuments. Calcutta, 1971. A handy
ing a long note on the concept of Buddha field
survey of the Buddhist archaeological sites of India.
(pp. 395–404).
Mitra, R. C. The Decline of Buddhism in India. Calcutta, 1954.
La Vallée Poussin, Louis de. Bouddhisme: Etudes et matériaux.
Nagao Gadjin. “The Architectural Tradition in Buddhist Monas-
London, 1898. One of the most productive and seminal
ticism.” In Studies in History of Buddhism, edited by A. K.
Western scholars of Buddhism, La Vallée Poussin contribut-
Narain, pp. 189–208. Delhi, 1980.
ed to historical studies in this and other works, as Boudd-
Nakamura Hajime. Indian Buddhism: A Survey with Bibliographi-
hisme: Opinions sur l’histoire de la dogmatique (Paris, 1909),
cal Notes. Tokyo, 1980. Disorganized and poorly edited, but
L’Inde aux temps des Mauryas (Paris, 1930), and Dynasties et
contains useful information on Japanese scholarship on the
histoire de l’Inde depuis Kanishka jusqu’aux invasions musul-
development of Indian Buddhism.
manes (Paris, 1935). Contributions on doctrine include The
Nilakanta Sastri, K. A. Age of the Nandas and Mauryas. Varanasi,
Way to Nirva¯n:a (London, 1917); Nirva¯n:a (Paris, 1925); “La
1952. See also his A History of South India from Prehistoric
controverse du temps et du pudgala dans la Vijña¯naka¯ya,” in
Times to the Fall of Vijaya¯nagar (Madras, 1955) and Develop-
Études asiatiques, publiées à l’occasion du vingt-cinquième an-
ment of Religion in South India (Bombay, 1963).
niversaire de l’École Française d’Extrême-Orient, vol. 1 (Paris,
1925), pp. 358–376; La morale bouddhique (Paris, 1927);
Oldenberg, Hermann. Buddha, sein Leben, seine Lehre, seine
and Le dogme et la philosophie du bouddhism (Paris, 1930).
Gemeinde (1881). Revised and edited by Helmuth von
On Abhidharma, see “Documents d’Abhidharma,” in Mé-
Glasenapp. Stuttgart, 1959. The first German edition was
langes chinois et bouddhiques, vol. 1 (Brussels, 1931–1932),
translated by W. Hoey as Buddha, His Life, His Doctrine, His
pp. 65–109. The Belgian scholar also translated the most in-
Order (London, 1882).
fluential work of Abhidharma, L’Abhidharmakosa de Vasu-
Paul, Diana. The Buddhist Feminine Ideal: Queen Srimala and the
bandhu, 6 vols. (1923–1931; reprint, Brussels, 1971). His ar-
Tatha¯gatagarbha. Missoula, Mont., 1980. See also her
ticles in the Encyclopaedia of Religion and Ethics, edited by
Women in Buddhism (Berkeley, 1980).
James Hastings, are still of value. Especially useful are “Bo-
Prebish, Charles S. “A Review of Scholarship on the Buddhist
dhisattva (In Sanskrit Literature),” vol. 2 (Edinburgh, 1909),
Councils.” Journal of Asian Studies 33 (February 1974):
pp. 739–753; “Maha¯ya¯na,” vol. 8 (1915), pp. 330–336; and
239–254. Treats the problem of the early schools and the
“Councils and Synods (Buddhist),” vol. 7 (1914),
history and significance of their Vinaya. Other works on this
pp. 179–185.
topic include Prebish’s “The Pra¯timoks:a Puzzle: Facts Versus
Law, B. C. Historical Gleanings. Calcutta, 1922. Other of his nu-
Fantasy,” Journal of the American Oriental Society 94 (April-
merous contributions to the early history of Buddhism in-
June 1974): 168–176; and Buddhist Monastic Discipline: The
clude Some Ks:atriya Tribes of Ancient India (Calcutta, 1924),
Sanskrit Pra¯timoks:a Su¯tras of the Maha¯sa¯n˙ghikas and the
Tribes in Ancient India (Poona, 1943), and The Magadhas in
Mu¯lasarva¯stiva¯dins (University Park, Pa., 1975).
Ancient India (London, 1946).
Prebish, Charles S., and Janice J. Nattier. “Maha¯sa¯n˙ghika Origins:
The Beginning of Buddhist Sectarianism.” History of Reli-
Law, B. C., ed. Buddhistic Studies. Calcutta, 1931. A collection of
gions 16 (1977): 237–272. An original and convincing argu-
seminal essays on the history and doctrines of Indian Bud-
ment against the conception of the Maha¯sa¯m:ghika as
dhism.
“liberals.”
Legge, James. A Record of Buddhist Kingdoms. Oxford, 1886. En-
Rhys Davids, T. W. Buddhist India. London, 1903. A classic, al-
glish translation of Fa-hsien’s accounts.
though its methodology is questionable. Also of some use, in
Majumdar, R. C., ed. History and Culture of the Indian People,
spite of its date, is his “Sects (Buddhist),” in the Encyclo-
vols. 2–5. London, 1951. A major survey of the periods of
paedia of Religion and Ethics, edited by James Hastings, vol.
Indian history when Buddhism flourished.
11 (Edinburgh, 1920), pp. 307–309.
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1130
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Robinson, Richard H. “Classical Indian Philosophy.” In Chapters
her Ancient Indian Social History: Some Interpretations (New
in Indian Civilization, edited by Joseph Elder, vol. 1,
Delhi, 1978), Dissent in the Early Indian Tradition (De-
pp. 127–227. Dubuque, 1970. A bit idiosyncratic, but valu-
hradun, 1979), and From Lineage of State (Bombay, 1984).
able in its attempt to understand Buddhist philosophy as part
Thomas, Edward J. The Life of the Buddha as Legend and History
of general Indian currents and patterns of speculative
(1927). New York, 1960. Still the only book-length, critical
thought. Robinson’s “The Religion of the Householder Bo-
study of the life of Buddha. Less current, but still useful, is
dhisattva,” Bharati (1966): 31–55, challenges the notion of
the author’s 1933 work The History of Buddhist Thought
Maha¯ya¯na as a lay movement.
(New York, 1975).
Robinson, Richard H., and Willard L. Johnson. The Buddhist Re-
Varma, V. P. Early Buddhism and Its Origins. New Delhi, 1973.
ligion: A Historical Introduction. 3d rev. ed. Belmont, Calif.,
Vetter, Tilmann. “The Most Ancient Form of Buddhism.” In his
1982. A great improvement over earlier editions, this book
Buddhism and Its Relation to Other Religions. Kyoto, 1985.
is now a useful manual, with a good bibliography for the En-
glish reader.
Warder, A. K. Indian Buddhism. 2d rev. ed. Delhi, 1980. One of
the few modern surveys of the field, this work includes a bib-
Ruegg, David S. The Study of Indian and Tibetan Thought. Leiden,
liography of classical sources (pp. 523–574). Unfortunately,
1967. The most valuable survey of the main issues of modern
the author does not make use of materials available in Chi-
scholarship on Indian Buddhism, especially on the early peri-
nese and Tibetan translation.
od. The author has also written the definitive study of the
Watanabe Fumimaro. Philosophy and Its Development in the
Tatha¯gata-garbha doctrines in La théorie du tatha¯ga-tagarbha
Nika¯yas and Abhidhamma. Delhi, 1983. The beginnings of
et du gotra (Paris, 1969). See also on the Madhyamika school
Buddhist scholasticism, especially as seen in the transition
his “Towards a Chronology of the Madhyamaka School,” in
from Su¯tra to Abhidharma literature.
Indological and Buddhist Studies in Honour of J. W. de Jong
(Canberra, 1982), pp. 505–530, and The Literature of the
Watters, Thomas. On Yuan Chwang’s Travels in India. 2 vols.
Madhyamaka School of Philosophy in India (Wiesbaden,
London, 1904–1905. Extensive study of Xuanzang’s travels.
1981).
Wayman, Alex. The Buddhist Tantras: Light on Indo-Tibetan Es-
Schayer, Stanislaus. “Precanonical Buddhism.” Acta Orientalia 7
otericism. New York, 1973. Not a survery or introduction to
(1935): 121–132. Posits an early Buddhism not found ex-
the study of Indian Tantra, but a collection of essays on spe-
plicitly in the canon; attempts to reconstruct the doctrines
cific issues and problems. Chapter 1.2 deals with the prob-
of Buddhism antedating the canon.
lem of the early history of Tantra. See also Wayman’s Yoga
of the Guhyasama¯jatantra: The Arcane Lore of Forty Verses; A
Schlingloff, Dieter. Die Religion des Buddhismus. 2 vols. Berlin,
Buddhist Tantra Commentary (Delhi, 1977). In his “The
1963. An insightful exposition of Buddhism, mostly from
Maha¯sa¯n˙ghika and the Tatha¯gatagarbha (Buddhist Doctrinal
the perspective of canonical Indian documents.
History, Study 1),” Journal of the International Association of
Snellgrove, David L., ed. Buddhist Hima¯laya. Oxford, 1957. Al-
Buddhist Studies 1 (1978): 35–50, Wayman discusses possi-
though the context of this study is modern Himalayan Bud-
ble connections between the Maha¯sa¯m:ghika subsects of An-
dhism, it contains useful information on Buddhist Tantra in
dhra and the development of Maha¯ya¯na. His “Meditation in
general. Snellgrove’s two-volume The Hevajra Tantra: A
Therava¯da and Mah¯ı´sa¯saka,” Studia Missionalia 25 (1976):
Critical Study (London, 1959) includes an English transla-
1–28, is a study of the doctrine of meditation in two of the
tion and study of this major Tantric work. In The Image of
leading schools of H¯ınaya¯na.
the Buddha (Tokyo and London, 1978) Snellgrove, in collab-
Winternitz, Moriz. Geschichte der indischen Literature, vol. 2.
oration with other scholars, surveys the history of the iconog-
Leipzig, 1920. Translated as A History of Indian Literature
raphy of the Buddha image.
(Delhi, 1983). Largely dated but not superseded.
Stcherbatsky, Theodore. The Central Conception of Buddhism and
Zelliot, Eleanor. Dr. Ambedkar and the Mahar Movement. Phila-
the Meaning of the Word “Dharma” (1923). Reprint, Delhi,
delphia, 1969.
1970. A classic introduction to Sarva¯stiva¯din doctrine. On
New Sources
the Ma¯dhyamika, Stcherbatsky wrote The Conception of Bud-
Davidson, Ronald M. Indian Esoteric Buddhism: A Social History
dhist Nirvana (Leningrad, 1927). On early Buddhism, see his
of the Tantric Movement. New York, 2002.
“The Doctrine of the Buddha,” Bulletin of the School of Ori-
ental Studies 6 (1932): 867–896, and “The ‘Dharmas’ of the
Gellner, David. Monk, Householder, and Tantric Priest: Newar
Buddhists and the ‘Gun:as’ of the Sa¯m:khyas,” Indian Histori-
Buddhism and Its Hierarchy of Ritual. Cambridge, 1992.
cal Quarterly 10 (1934): 737–760. Stcherbatsky categorized
Gombrich, Richard. Therava¯da Buddhism: A Social History from
the history of Buddhist thought in “Die drei Richtungen in
Ancient Benares to Modern Colombo. London and New York,
der Philosophie des Buddhismus,” Rocznik Orjentalistyczny
1988.
10 (1934): 1–37.
Gombrich, Richard, and Gananath Obeyesekere. Buddhism
Takasaki Jikido¯. Nyoraizo¯ shiso¯ no keisei—Indo daijo¯ bukkyo¯ shiso¯
Transformed: Religious Change in Sri Lanka. Princeton, N.J.,
kenkyu¯. Tokyo, 1974. A major study of Tatha¯gata-garbha
1988.
thought in India.
Hirakawa Akira. A History of Indian Buddhism: From S´a¯kyamuni
Thapar, Romila. Asoka and the Decline of the Mauryas. London,
to Early Maha¯ya¯na. Translated and edited by Paul Groner.
1961. Controversial study of A´soka’s reign. Her conclusions
Honolulu, 1990.
are summarized in her History of India, vol. 1 (Baltimore,
Ray, Reginald A. Buddhist Saints in India: A Study in Buddhist
1965). Also relevant for the study of Indian Buddhism are
Values and Orientations. New York, 1994.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
1131
Schopen, Gregory. Bones, Stones, and Buddhist Monks: Collected
The colonial interregnum, which infused Western and
Papers on the Archaeology, Epigraphy, and Texts of Monastic
Christian elements into the religious and cultural milieu of
Buddhism in India. Honolulu, 1996.
Southeast Asia, gradually challenged the dominance of the
Schopen, Gregory. Buddhist Monks and Business Matters: Still
Indian Buddhist worldview and its symbiotically related in-
More Papers on Monastic Buddhism in India. Honolulu,
stitutional realms of kingship (dhammacakka) and monastic
2004.
order (sa¯sanacakka). From the nineteenth century onward
Snellgrove David. Indo-Tibetan Buddhism. 2 vols. Boston, 1987.
Buddhism in Southeast Asia has faced the challenges of
Western science; provided cultural and ideological support
Williams, Paul, with Anthony Tribe. Buddhist Thought: A Com-
plete Introduction to the Indian Tradition. London, 2000.
for modern nationalist movements; offered idiosyncratic,
sometimes messianically flavored, solutions to the stresses
LUIS O. GÓMEZ (1987)
and strains of political, economic, and social change; and for-
Revised Bibliography
mulated doctrinal innovations challenging the Abhidammic
orthodoxy of Buddhaghosa that characterizes the Sinhala
Therava¯da.
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
The following essay will examine Buddhism in South-
Conventional wisdom labels the Buddhism of Southeast Asia
east Asia in terms of its early development, the establishment
as Therava¯da. Indeed, customarily a general distinction per-
of a normative Therava¯da orthodoxy, and the diverse re-
tains between the “southern,” Therava¯da, Buddhism of
sponses of this tradition to the challenges of the modern peri-
Southeast Asia, whose scriptures are written in Pali, and the
od. The future of Buddhism in Southeast Asia may not hang
“northern,” Sanskrit Maha¯ya¯na (including Tantraya¯na),
in the balance; nevertheless, it does appear to be problematic.
Buddhism of Central and East Asia. A Thai or a Burmese
Political events in Cambodia (Kampuchea) and Laos have
most likely thinks of the Buddhism of his country as a con-
threatened the very foundations of institutional Buddhism
tinuation of the Therava¯da tradition, which was allegedly
in those countries. Thailand’s rapid and widespread modern-
brought to the Golden Peninsula (Suvan:n:abhu¯mi) by
ization and secularization have undermined many traditional
A´soka’s missionaries Sona and Uttara in the third century
aspects of the religion (sa¯sana), and internal political strife
BCE. But modern scholarship has demonstrated that prior to
in Burma has had severe, detrimental effects on the sangha
the development of the classical Southeast Asian states,
(Skt., sam:gha). Our attention to Southeast Asian Buddhism
which occurred from the tenth or eleventh century to the fif-
should not ignore its fragility or its potential contribution to
teenth century CE, Buddhism in Southeast Asia—the area
the continuing self-definition and self-determination of these
covered by present-day Burma, Thailand, Vietnam, Cambo-
civilizations.
dia (Kampuchea), and Laos—defies rigid classification. Both
EARLY DEVELOPMENT. From its earliest beginnings to the es-
archaeological and chronicle evidence suggest that the reli-
tablishment of the major monarchical states, Buddhism in
gious situation in the area was fluid and informal, with Bud-
Southeast Asia can only be characterized as diverse and eclec-
dhism characterized more by miraculous relics and charis-
tic. Its presence was felt as part of the Indian cultural influ-
matic, magical monks than by organized sectarian traditions.
ence that flourished throughout the area. During these early
In short, the early period of Buddhism in Southeast Asia was
centuries Buddhism competed successfully with indigenous
diverse and eclectic, infused with elements of Hindu
forms of magical animism and Brahmanism, undoubtably
Dharm´sa¯stra and Brahmanic deities, Maha¯ya¯na Buddhas
becoming transformed in the process. Its propagation proba-
such as Loke´svara, Tantric practices, Sanskrit Sarva¯stiva¯din
bly followed the same pattern that was seen in Central and
texts, as well as Pali Therava¯da traditions.
East Asia, with which we are more familiar: Padmasamb-
The classical period of Southeast Asian Buddhism,
hava-type monks subjugating territorial guardian spirits;
which lasted from the eleventh to the fifteenth century,
monks accompanying traders and bringing in objects of
began with the development of the monarchical states of
power and protection, such as relics and images, as well as
S´r¯ıvijaya in Java, Angkor in Cambodia, Pagan in Burma,
a literary tradition in the forms of magical chants in sacred
Sukho¯thai in Thailand, and Luang Prabang in Laos, and cul-
languages and also written texts. We glean something of this
minated in the establishment of a normative Pali Therava¯da
pattern from Buddhist chronicles in Pali and in Southeast
tradition of the Sinhala Maha¯viha¯ra monastic line. Hence,
Asian vernacular languages of a later time. When the
by the fourteenth and fifteenth centuries the primary, al-
Sa¯sanavam:sa of Burma or the Mu¯lasa¯sana of Thailand relates
though by no means exclusive, form of Buddhism in Burma,
the story of the Buddha’s visit to these countries to establish
Thailand, Laos, and Cambodia was a Sinhala orthodoxy that
the religion, we interpret myth in historical terms, reading
was dominated doctrinally by “the commentator” (Budd-
“the Buddha” to mean “unnamed Buddhist monks” who
haghosa) but enriched by various local traditions of thought
were bearers of a more advanced cultural tradition. While the
and practice. By this time, what is now Malaysia and Indone-
chronicles, more so than the early inscriptions, paint a pic-
sia, with the exception of Bali, had been overrun by Islam,
ture of dubious historical accuracy, they correctly associate
and the popular religion there was an amalgamation of ani-
Buddhism with a high continental way of life in contrast to
mism, Brahmanic deities, and the religion of the Prophet.
the less sophisticated life of tribal peoples. Buddhism, then,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1132
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
abets the development of a town or urban culture, provides
dhisattvas have also been found, as well as inscriptions writ-
symbols of translocal value, and articulates a worldview in
ten in Sanskrit, Pali, mixed Pali and Sanskrit, and Pyu writ-
which diverse communities can participate and find a new
ten in South Indian alphabets. Evidence from ruined stupas
identity, a language in which they can communicate, and in-
in Hmawza, which date from the fifth to the eighth century,
stitutions in which an organized religious life can be pursued
reinforce the claim to a strong but diverse Buddhist presence.
and systematically taught.
The Mon, or Talaing, lived south of the Pyu, occupying
Such a general description of the early centuries of Bud-
the coastal area of lower Burma, with flourishing centers at
dhism in Southeast Asia does not preclude the establishment
Pegu (Ham:savat¯ı) and Thaton (Sudhammavat¯ı). This re-
of identifiable Buddhist traditions in the area. These include
gion, known as Ra¯maññadesa in Burmese and Thai chroni-
not only strong Pali Therava¯da tradition but also other Bud-
cles, extended over much of present-day Thailand; one major
dhist sects and schools representing Maha¯ya¯na and Tantric
Mon center was as far north as Haripuñjaya (present-day
traditions. Pali inscriptions found in Hmawza, the ancient
Lamphun). In Nakorn Prathom, thirty miles southwest of
Pyu capital of S´r¯ıks:etra in lower Burma, indicate the exis-
Bangkok, archaeological evidence points to a flourishing
tence of Therava¯da Buddhism by the fifth or sixth century
Mon Buddhist culture in the region known as Dva¯ravat¯ı, in
which forms of both H¯ınaya¯na and Maha¯ya¯na Buddhism
CE. Their Andhra-Kadamba script points to connections
with Ka¯ñc¯ıpuram, Negapatam, and Ka¯ver¯ıpat:t:anam in
were present. Amara¯vat¯ı-style Buddha images in the vicinity
South India. The Chinese traveler Yijing, who visited Shih-
of Nakorn Prathom and Pong Tuk date from the fourth to
li-cha-to-lo (S´r¯ıks:etra, or Prome) in the seventh century,
fifth century CE, and images of both early and late Gupta are
mentions the presence of not only Therava¯dins
also found there. While Mon-Dva¯ravat¯ı Buddhism in Thai-
(A¯ryasthaviras) but also the A¯ryamaha¯sa¯m:ghika, A¯ryamu¯l-
land and lower Burma lacked the homogeneity attributed to
asarva¯stiva¯da, and A¯ryasammat¯ıya schools. We know of the
it by later chroniclers, both archaeological and textual evi-
dence suggest a strong Pali Therava¯da presence, especially in
Maha¯sa¯m:ghikas as among the forerunners of the Maha¯ya¯na
comparison to that found in Pagan.
tradition. While their original home was in Magadha, their
tradition established itself in parts of northern, western,
Pagan, near the sacred Mount Popa on the Irrawaddy
eastern, and southern India. The Amara¯vat¯ı and
Plains of upper Burma, had become the locus of power of
Na¯ga¯rjunikon:d:a inscriptions, for instance, mention the
the Mrammas, a Tibeto-Dravidian tribe who eventually
Maha¯sa¯m:ghikas and state that their canon was written in
dominated and consequently named the entire region. Dur-
Prakrit. The three other sects are H¯ınaya¯na schools. The
ing the tenth and eleventh centuries, the Buddhism present
Mu¯lasarva¯stiva¯da, according to one tradition, was one of the
among people of the Pagan-Irrawaddy River basin seems to
seven branches of the Sarva¯stiva¯din tradition and was wide-
have been dominated by an eclectic form of Maha¯ya¯na Tan-
spread in India, although it was especially strong in the
trism similar to that found in esoteric S´aivism or in animistic
north, whence it was propagated under the aegis of King
na¯ga cults. According to the Burmese chronicles, the monks
Kanis:ka during the late first century CE. Its canon was writ-
of this sect, who are referred to as Ari, rejected the teachings
ten in a Buddhist Hybrid Sanskrit. The Sammat¯ıya sect, also
of the Lord Buddha. They believed in the efficacy of magical
known as the Va¯ts¯ıputr¯ıya or Vajjipattaka, came from Avan-
mantras over the power of karman and propagated the cus-
ti, but inscriptions point to its presence in Sa¯rna¯th during
tom of sending virgins to priests before marriage. In addition
the fourth century and in Mathura¯ during the fifth century.
to numerous figures of Maha¯ya¯na bodhisattvas, such as
The great early seventh-century ruler Hars:avardhana is
Avalokite´svara and Mañju´sri, findings include remnants of
thought to have supported the Sammat¯ıyas in the early part
murals that depict deities embracing their consorts.
of his reign. Hence, the four sects whose presence in the
According to the Hmanna¯n ma:ha yaza:wintawky¯ı (Glass
Prome area was attested to by Yijing are all associated with
Palace Chronicle, begun 1829) of Burma, the country’s po-
important Indian Buddhist centers and with the reigns of
litical and religious history was changed by the effect of Shin
powerful monarchs reputed to have been supporters of vari-
Arahan, a charismatic Mon Therava¯da monk from Thaton,
ous Buddhist sectarian traditions.
on the Burmese ruler Aniruddha (Anawratha), who ascended
Evidence of the diverse nature of sectarian Buddhism
to power in Pagan in 1044 CE. According to this account,
during the formative period of Southeast Asian history
Shin Arahan converted Aniruddha to a Therava¯da persua-
comes from Burmese and other sources in both mainland
sion, advising him to secure relics, bhikkhus (monks), and
and insular Southeast Asia. The Tang dynastic chronicles
Pali texts from Manuha (Manohari), the king of Thaton.
(seventh to tenth century
Manuha’s refusal became the excuse for Aniruddha’s inva-
CE) state that Buddhism flourished
in the PEiao (Pyu) capital of Shih-li-cha-to-lo (S´r¯ıks:etra) in
sion of Thaton, the eventual subjugation of the Mons in
the eighth and ninth centuries. Archaeological and sculptural
lower Burma, and the establishment of Therava¯da under
evidence of the same period from Prome and Hmawza por-
Kyanzittha (fl. 1084–1113) as the dominant, although by no
tray the Buddha in scenes from the Ja¯takas and from popular
means exclusive, Buddhist sect.
commentarial stories. Terracotta votive tablets depicting
As part of the Indian cultural expansion into “greater
scenes from the life of the Buddha and of the Maha¯ya¯na bo-
India,” Maha¯ya¯na, Tantric, and H¯ınaya¯na forms of Bud-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
1133
dhism were established in other parts of mainland and insu-
It is also true that various types of Buddhism in this pe-
lar Southeast Asia from the fifth century onward.
riod competed with autochthonous forms of animism as well
Gun:avarman is reputed to have taken the Dharmaguptaka
as Brahmanic cults. Were the early states in Burma, Cambo-
tradition from northern India to Java in the fifth century,
dia, Thailand, and Indonesia—such as Fu-nan, Champa,
and by the seventh century Buddhism was apparently flour-
S´r¯ıks:etra, Dva¯ravat¯ı, and so on—Buddhist or Hindu? Or
ishing in the Sumatra of S´r¯ıvijaya. An inscription from 684
were these great traditions themselves so accommodated and
CE, for instance, refers to a Buddhist monarch named
transformed by the Southeast Asian cultures that they quali-
Jayana¯sa¯. I-ching, who spent several months in Java on his
fied the labels “Buddhist” and “Hindu” almost beyond rec-
return to China in order to copy and translate Buddhist
ognition? Although rulers in these preclassical states may be
texts, indicates that both H¯ınaya¯na and Maha¯ya¯na forms of
characterized as Hindu or Buddhist and their brand of Bud-
Buddhism were present at that time. Indonesia was also visit-
dhism defined by a given sect or school, in all probability
ed by Dharmapa¯la of Na¯landa¯ University and by two promi-
they supported a variety of priests, monks, and religious in-
nent South Indian monks, Vajrabodhi and Amoghavajra,
stitutions and worshiped various gods and spirits ranging
both adherents of a Tantric form of Buddhism. Two inscrip-
from territorial guardians to Vis:n:u, S´iva, and Vairocana. In
tions from the late eighth century refer to the construction,
some cases we are prone to assign labels when, in reality, the
under the aegis of S´ailendra rulers, of a Ta¯ra¯ temple at Kala-
diversity of the situation makes labeling a problematic enter-
san and an image of Mañju´sr¯ı at Kelunak. The S´ailendras
prise at best. Such a qualification does not mean that we are
were great patrons of the North Indian Pa¯la form of
unable to make certain claims about the nature of Buddhism
Maha¯ya¯na Buddhism.
in Southeast Asia in the formative period; however, evidence
supporting the presence of particular Buddhist schools and
The rulers of Champa, in southern Annam (Vietnam),
sects should be understood within the general framework of
also patronized Buddhism. According to Yijing, the domi-
the varied and eclectic nature of Buddhism in this era.
nant tradition in Champa was that of the A¯ryasammat¯ıya
nika¯ya, but the Sarva¯stiva¯dins were also present.
CLASSICAL PERIOD. While diversity and eclecticism contin-
Amara¯vat¯ı-style Buddha images and monastery foundations
ue to mark the character of Buddhism during the period of
from the ninth century have been discovered in Quang Nam
the foundation of the classical Southeast Asian monarchical
Province, and an inscription of the same period from An-
states, homogeneity of form and institutional orthodoxy
Thai records the erection of a statue of Lokana¯tha and refers
began to emerge during this period. On the one hand, Bud-
to such Maha¯ya¯na deities as Amita¯bha and Vairocana.
dhism and Hinduism contributed to the development of the
nature and form of Southeast Asian kingship. On the other
Although Hinduism was initially the dominant religion
hand, the symbiotic relationship that developed between the
in Cambodia, there is some evidence of Buddhism from the
monarchy and the Buddhist sangha tended to support a loose
fifth century CE. Jayavarman of Fu-nan sent representatives
religious orthodoxy. Historically, this orthodoxy follows the
to China in 503 CE who took as gifts a Buddha image; and
Sinhala Therava¯da tradition and accompanies the ascendan-
an inscription by Jayavarman’s son, Rudravarman, invokes
cy of the Burmese and the Tai in mainland Southeast Asia.
the Buddha. In the eleventh century Su¯ryavarman was given
Vietnam, Malaysia, and Indonesia, however, depart from
the posthumous Buddhist title of Nirva¯n:apada, and Jayavar-
this pattern: Vietnamese culture was strongly influenced by
man VII, the Khmer empire’s greatest monarch and builder
China, and Malaysia and Indonesia were affected by the ad-
of Angkor Thom, patronized Buddhism of the Maha¯ya¯na va-
vent and spread of Islam during the thirteenth century. We
riety. A Pali inscription from 1308, during the reign of
shall first examine Buddhism at the level of the nature and
S´r¯ındravarmadeva, refers to a H¯ınaya¯na form of Buddhism,
form of classical Southeast Asian kingship and then trace the
and a Chinese source from about the same time refers to
emergence of Sinhala Therava¯da Buddhism as the normative
H¯ınaya¯na Buddhism as flourishing in Cambodia at that
tradition in Burma, Thailand, Cambodia, and Laos after the
time.
thirteenth century.
The evidence cited supports the contention that
Buddhism and monarchy. The relationship between
throughout much of Southeast Asia Buddhism was present
Buddhism and the rise of the monarchical states in the classi-
as part of the larger Indian cultural influence. Various
cal period of Southeast Asian history is customarily referred
sources, ranging from testimony of Chinese and indigenous
to as symbiotic, that is, one of mutual benefit. Rulers sup-
chronicles, diaries of Chinese monk-travelers, as well as a
ported Buddhism because it provided a cosmology in which
large amount of archaeological and inscriptional evidence,
the king was accorded the central place and a view of society
support the contention that both Maha¯ya¯na and H¯ınaya¯na
in which the human community was dependent on the role
forms of Buddhism existed side by side, dependent on such
of the king. Ideologically, Buddhism legitimated kingship,
factors as the particular regional Indian source and the predi-
providing a metaphysical rationale and moral basis for its ex-
lection of a given ruler. Clearly, before the emergence of the
istence. The Buddhist sangha, in turn, supported Southeast
major classical Southeast Asian states, no standard form of
Asian monarchs because the material well-being, success, and
Buddhism existed.
popularity of institutional Buddhism depended to a signifi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1134
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
cant degree on the approval, support, and largess of the rul-
iting it. He frequently converts the indigenous populations
ing classes.
and teaches them the Dhamma. To be sure, the monastic au-
thors had a vested interest in establishing the precedence of
The Therava¯da picture of the cosmos, set forth classical-
Buddhism in the land, but the Buddha’s visits to such places
ly in the Aggañña Suttanta of the D¯ıgha Nika¯ya, depicts the
as the Tagaung kingdom of Burma and Haripuñjaya in
world as devolving from a more perfect, luminous, undiffer-
northern Thailand serve the additional purpose of grounding
entiated state to a condition of greater opacity and differenti-
a later interrelationship between Buddhism and kingship. In
ation. Imperfection results because differences in sex, comeli-
the northern Thai chronicles, for example, when the Buddha
ness, size of rice fields, and so on engender desire, greed, lust,
visits the Mon-Lava state of Haripuñjaya in the Chiangmai
and hatred, which, in turn, lead to actions that destroy the
Valley, he predicts that his bone relic will be discovered by
harmony and well-being of the inhabitants of the world.
Recognizing the need to correct the situation, the people se-
King A¯dicca (A¯ditara¯ja), one of the principal twelfth-century
lect a person whose comeliness, wisdom, virtue, and power
monarchs of this state. This tale not only points to royal sup-
enable him to bring order to this disharmonious, chaotic sit-
port of the sa¯sana, it makes the king the symbolic actualizer
uation. That person, the ruler or king, is referred to in the
of the tradition, which he celebrates by building a cetiya for
text as maha¯sammata because he is chosen by the people. He
the relic. Furthermore, the Buddha in effect engenders the
is ra¯ja (king) because he rules by the Dhamma, and he is also
monarch with the power necessary to rule, a magical potency
khattiya, or lord of the fields, responsible for maintaining the
inherent in the relic. The cetiya reliquary mound thus func-
economic and political order. Social order is dependent upon
tions as a magical center, or axis mundi, for the kingdom. In
the righteous ruler, who creates and maintains the fourfold
Haripuñjaya, alliances between the northern Tai kingdom of
social structure (the traditional Indian varn:a hierarchy).
La¯nna¯ and other states were sealed in front of the magical
Such a peaceful and harmonious situation also allows for the
center. The Emerald Buddha image has played a similar role
sustenance of bhikkhus, who seek a higher, nonmundane
in Lao and Tai religious history, with various princes of the
end, that is, nibba¯na (Skt., nirva¯n:a). The ruler, then, is re-
kingdom swearing fealty to the reigning monarch who pos-
sponsible for the peace, harmony, and total well-being of the
sessed it.
people, which includes the opportunity to pursue a religious
The nature of the interrelationship between Buddhism
or spiritual life.
and classical monarchical rule in Southeast Asia manifests it-
Buddhism’s contribution to the classical conception of
self architecturally in the great cetiya or stupa (Skt., stu¯pa)
Southeast Asian kingship is particularly noteworthy in its
monuments of Borobudur, Angkor, Pagan, and other an-
emphasis on Dhamma and on the role of the ruler as a moral
cient capitals. The earliest of these, Borobudur, was con-
exemplar. The king is a cakkavattin, one whose rule depends
structed on the Kedu Plain outside of present-day Jogjakarta
upon the universal Dhamma of cosmic, natural, and moral
on the island of Java in the mid-eighth century CE under a
law. His authority stems from the place he assumes in the
dynasty known as the S´ailendras, or “kings of the mountain.”
total cosmic scheme of things. But his power and, hence, his
The monument’s strong Maha¯ya¯na influence is reflected in
effectiveness rest on his virtue. While the king rules by
bas-reliefs that depict stories from the Lalitavistara,
strength of arms, wealth, intellect, able ministers, and the
Divya¯vada¯na, Ja¯takama¯la¯, and Gan:d:avyu¯ha. The seventy-
prestige of his own status, his embodiment of the Dhamma
two perforated, hollow stupas on the top of three circular
and, hence, his ability to rule depend on his maintenance of
platforms cover seated images of the Buddha Vairocana.
the ten ra¯jadhammas: liberality, good conduct, nonattach-
Scholars have argued that the monument, as a cosmic moun-
ment, straightforwardness, mildness, austerity, suppression
tain, connects royal power with the Dharma, the basis of all
of anger, noninjury, patience, and forbearance. The ideal
reality; it may also synthesize an autochthonous cult of
king should cleanse his mind of all traces of avarice, ill will,
“kings of the mountain” with the A¯dibuddha, or universal
and intellectual confusion and eschew the use of force and
Buddha nature. In support of this connection it is speculated
weapons of destruction. These moral virtues represent the
that S´ailendra inscriptions use the Sanskrit term gotra to sig-
highest ideals of Therava¯da Buddhism, an overlapping of
nify both “line of the ancestors” as well as “family of the Bud-
two “wheels” (cakka), or realms: the mundane (a¯na¯cakka,
dha,” thereby identifying the S´ailendra ancestral line with
lokiya) and the transmundane (sa¯sanacakka, lokuttara), or the
that of the Tatha¯gata.
ideals of the political leader (cakkavattin) and the religious
Angkor, in Cambodia, has been even more widely stud-
exemplar (Buddha).
ied as a source for understanding the interrelationships be-
This symbiotic relationship between political and reli-
tween Southeast Asian kingship and religion, especially re-
gious leadership roles takes a particular mythic pattern in
garding the devara¯ja (god-king) concept. It may be that this
many of the classical Southeast Asian chronicles, such as the
concept originated in Fu-nan, a Chinese term derived from
Jinaka¯lama¯lipakaran:am: (The Sheaf of Garlands of the Ep-
the Mon-Khmer bnam, meaning “mountain” and possibly
ochs of the Conqueror), a pattern also present in the Pali
referring to a cult of a national guardian spirit established by
chronicles of Sri Lanka (e.g., the Maha¯vam:sa). Essentially,
the founder of the state. In the early ninth century the
the chroniclers hold that the Budda sacralizes a region by vis-
Khmer ruler Jayavarman II built on this background, adopt-
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BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
1135
ing S´aivism as the state religion and thus requiring that the
Kham-haeng (Ramkhamhaeng) of Sukho¯thai says that the
king be worshiped as a manifestation of S´iva. This identifica-
king adjudicates cases of inheritance with complete impar-
tion was symbolized by a lin˙ga that was set upon the central
tiality, does not kill or beat captured enemy soldiers, and lis-
altar of a pyramidal temple as an imitation of Mount Meru
tens to the grievances of his subjects. This paternalistic model
and the center of the realm. The devara¯ja cult took on
of the dhammically righteous king is obviously indebted to
Maha¯ya¯na Buddhist forms under Su¯ryavarman I in the early
the A´soka model.
eleventh century and under Jayavarman VII (1181–1218),
Dominance of Sinhala Therava¯da Buddhism. The
who constructed the great Bayon Temple, in which Jayavar-
shift to a Sinhala Therava¯da orthodoxy in what became, in
man and Loke´svara appear to be identified, at Angkor Thom
the true sense, Buddhist Southeast Asia (Burma, Thailand,
at the end of the twelfth century. It can be inferred that in
Laos, and Cambodia) took place gradually from the late elev-
the tradition of the devara¯ja, Suryavarman and Jayavarman
enth to the early thirteenth century and onward. This devel-
became buddhara¯jas, or incarnate buddhas.
opment reflected several factors: the decline of Buddhism in
Other classical Southeast Asian capitals and major royal
parts of Asia that had influenced the Southeast Asian main-
and religious monuments exhibit the influence of both
land; the rising influence of Sri Lanka under Vijayaba¯hu I
Hindu and Buddhist worldviews. The remains of over five
(1055–1110) and Para¯kramaba¯hu I; the consolidation of
thousand stupas can be seen at the site of ancient Pagan, an
power by the Burmese and Tai; an increasing interrelation-
area covering sixteen square miles. It was unified by Anirudd-
ship among Sri Lanka, Burma, and Thailand; and the spread
ha (1040–1077) and the commander of his forces and suc-
of popular Therava¯da practice among the general population
cessor, Kyanzittha (fl. 1084–1113). The Schwezigon Pagoda,
of mainland Southeast Asia. The general outline of the story
possibly begun by Aniruddha but certainly completed by
of the establishment of Sinhala Therava¯da Buddhism in
Kyanzittha, enshrines three sacred Buddha relics, symboliz-
Southeast Asia is reasonably clear, although disparities be-
ing the power of the cakkavattin as the defender of the sacred
tween epigraphic and chronicle sources make historical pre-
order of things (dhamma). Other stupas, such as the Min-
cision difficult. Consequently, scholars disagree on dates,
galazedi, which was completed in the late thirteenth century,
and historical reconstructions keep on changing.
reflect the basic macro-micro cosmological symbolism of
Pali Therava¯da and Sanskrit H¯ınaya¯na forms of Bud-
Borobudur; it has truncated pyramidal and terraced bases
dhism were present at a relatively early time. Pali inscriptions
and a central stairway on each side. The A¯nanda Temple, the
found in central Thailand and lower Burma and associated
stupa that dominated Pagan, was constructed by Kyanzittha
with Mon culture support this claim, as does chronicle testi-
in the late eleventh century and combines both cosmic
mony, such as the story of Aniruddha’s excursion into
mountain and cave symbolism: an ascetic’s cave in which the
Ra¯maññadesa to secure Pali scriptures. Inscriptional evi-
Buddha meditates and a magical axis mundi that empowers
dence makes it reasonable to assume that the roots of Mon
the entire cosmos. A small kneeling image facing the large
Therava¯da lay in the Ka¯ñc¯ıpuram area along the east coast
Buddha image in the temple is thought to represent Kyanzit-
of India. Even the popular Burmese tradition that holds that
tha, corroborating inscriptional claims that he saw himself
Buddhaghosa, who has been associated with Ka¯ñc¯ı, either
as a bodhitsatta and cakkavattin.
came from Thaton or went there after visiting Sri Lanka may
The mythic ideal of the cakkavattin is embodied in the
contain a kernel of historical truth, namely, the spread of
Ka¯ñc¯ı Therava¯da Buddhism into the Mon area. The pres-
moral example of A´soka Maurya. Similarly, the cakkavattin
ence of Pali Therava¯da Buddhism among the Mon, who
of the Suttas provides the legendary charter for the idealized
strongly influenced both the Burmese and Tai, provides the
kingly exemplar of the Southeast Asian Therava¯da chroni-
religio-cultural backdrop to the eventual consolidation of Sri
cles. A´soka was the moral exemplar par excellence, in whose
Lankan forms of Therava¯da Buddhism. As we shall see, both
footsteps, so say the chronicles and inscriptions, the mon-
the Burmese and the Tai assimilated elements of Mon cul-
archs of Burma, Thailand, and Laos follow. A´soka’s conver-
ture: its religion, legal traditions, artistic forms, and written
sion divides his biography into two halves—the first tells of
script. Mon Therava¯da, in effect, mediated Sinhala
warring, wicked A´soka (Pali, Can:d:a¯soka) and the second of
Therava¯da. On the one hand, Therava¯da Buddhism from Sri
the just, righteous A´soka (Pali, Dhamma¯soka). Similarly An-
Lanka provided continuity with Mon religio-cultural tradi-
iruddha kills his brother to become the ruler of Pagan but
tions; on the other, it enabled the Burmese and Tai to break
then becomes a patron of Buddhism, and Tilokara¯ja (1441–
away from a Mon religio-cultural dominance. We must now
1487) of Chiangmai revolts against his father but then de-
explore some of the details of this story of cultural transfor-
votes much of his attention to the prosperity of the Buddhist
mation and religious consolidation.
sangha. Southeast Asian rulers are also reputed to have called
councils, as did A´soka, in order to purify the sangha and reg-
Burma. Contact between Burma and Sri Lanka dates
ularize the Tipit:aka. These activities, which supported Bud-
from the establishment of the Pagan era by Aniruddha. Be-
dhism, represented ways the monarch could uphold his repu-
cause of the disruption of Sri Lanka caused by wars with the
tation for righteousness in ruling the state and in his dealings
Co¯las in the mid-eleventh century, Vijayaba¯hu I, knowing
with the people. In his famous 1292 inscription, Ra¯ma
¯
of the strength of the Mon Therava¯da traditions, sought help
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1136
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
from Aniruddha to restore valid ordination. Aniruddha re-
east (i.e., Dva¯ravat¯ı), which found its way into lower Burma.
sponded by sending a group of monks and Pali scriptures to
The S¯ıhal:a Sangha was also introduced to Martaban by two
Sri Lanka. In turn, Aniruddha requested, and was sent, a rep-
Mon monks, Buddhavam:sa Maha¯thera and Maha¯sa¯mi
lica of the Buddha’s tooth relic and a copy of the Tipit:aka
Maha¯thera, who had been reordained in Sri Lanka. Accord-
with which to check the copies of the Pali scriptures acquired
ing to the Kalya¯n:¯ı inscriptions of Pegu, by the thirteenth
at Thaton. The tooth relic was enshrined in Pagan’s Schwezi-
century six Buddhist schools—the Mon Ariya¯rahanta and
gon Pagoda, which became Burma’s national palladium. Al-
five S¯ıhal:a sects—existed in Martaban. Sectarianism in Bur-
though archaeological evidence calls into question the chron-
mese Therava¯da has continued into the modern period and
icler’s claim regarding the acquisition of the entire Pali
contrasts with the relative homogeneity of Therava¯da Bud-
Tipit:aka, the tale might well be interpreted to indicate the
dhism in Thailand.
growing importance of Sinhala Buddhism, not simply be-
Buddhism prospered during the reign of Narapatisithu
cause the texts were more authoritative, but because the alli-
(1173–1210). Many beautiful temples were built under his
ance between the king and the new sectarian tradition legiti-
sponsorship (e.g., Sulamani, Gawdawpalin), and Pali schol-
mated his authority over the Mon religio-cultural tradition.
arship flourished. For example, Chapat:a (also known as
Sinhala Buddhism flourished during the reign of Nara-
Saddhammajotipa¯la) wrote a series of famous works dealing
patisithu (1173–1210), and the Maha¯viha¯ra tradition be-
with Pali grammar, discipline (Vinaya), and higher philoso-
came normative at this time. Sinhala Buddhism, in particular
phy (e.g., Suttaniddesa, Sankhepa-van:n:ana¯, Abhidhammat-
the Maha¯viha¯ra tradition, gained position partly through vis-
thasangha), and Sa¯riputta wrote the first collection of laws
its of distinguished Burmese monks to Sri Lanka. Panthagu,
composed in Ra¯maññadesa, known as the Dhammav¯ılasa or
successor to Shin Arahan as the nominal head of the Pagan
Dhammatha¯t. The shift away from a dominant Mon influ-
Buddhist sangha, visited the island in 1167. The Mon monk
ence that occurred during Narapatisithu’s reign is also re-
Uttaraj¯ıva Maha¯thera followed in his predecessor’s footsteps
flected in the architectural style and the use of Burmese in
by journeying to Sri Lanka in 1180 with a group of monks
inscriptions.
that included a Mon novice named Chapat:a, who was to fig-
Thailand. The development of Buddhism among the
ure most prominently in establishing the precedent authority
Tai followed roughly the same pattern as in Burma. As the
of the Maha¯viha¯ra. Chapat:a and four others remained in Sri
Tai migrated from southwestern China into the hills east of
Lanka for ten years and were reordained as Mahatheras in
the Irrawaddy (home of the Shans), the upper Menam Plain
the Maha¯viha¯ra lineage. Their return to Burma marked the
(the Siamese), and farther east to the Nam U (the Lao), and
permanent establishment of Sinhala Buddhism in mainland
as they gradually moved into the lowland area dominated by
Southeast Asia and brought about a schism in the Burmese
the Mons and the Khmers, they came into contact with
Buddhist sangha between the Therava¯da school of Thaton
Therava¯da and Maha¯ya¯na forms of Buddhism as well as with
and Ka¯ñc¯ı, characterized by Shin Arahan’s orthodoxy; and
Brahmanism. After Khubilai Khan’s conquest of Nan-chao
the Sinhala Therava¯da tradition. When Chapat:a returned to
in 1254 caused ever greater numbers of Tai to push south,
Pagan, Narapatisithu requested that he and the other four
they began to establish domination over the Mon and Khmer
Mahatheras reordain Burmese monks of the Shin Arahan tra-
and to absorb elements of these more advanced cultures. As
dition, thereby establishing the superior legitimacy of the
was the case in Burma, Mon Buddhism in particular became
Sinhala orthodoxy over the Mon form of Therava¯da. The
a major influence on the Tai as they extended their sway over
chronicles refer to the Shin Arahan tradition as the “early
much of what we now know as modern Thailand. This influ-
school” (purimagan:a) and to Chapat:a’s S¯ıhal:a Sangha simply
ence is seen in the establishment of two major Tai states in
as the “late school” (paccha¯gan:a). Owing to disciplinary and
the late thirteenth and fourteenth centuries, Sukho¯thai and
personal reasons, the paccha¯gan:a was to divide into several
Chiangmai.
branches each loyal to one or another of the Maha¯theras who
had returned from Sri Lanka. One point of dispute among
Both Sukho¯thai and Chiangmai became powerful cen-
the branches was whether gifts could be given to particular
ters of Tai settlement under the leadership of the able rulers
monks or to the sangha at large.
Ra¯ma Khamhaeng (r. c. 1279–1299) and Mengrai respec-
tively. Sukho¯thai, which had been a Khmer outpost from at
The S¯ıhal:a order was introduced to lower Burma at
least the time of Jayavarman VII, became an independent
Dala, near Rangoon, by Sa¯riputta, who bore the title
Tai state in the middle of the thirteenth century. Two Tai
Dhammav¯ılasa, meaning a scholar of great repute. This tra-
chieftains, Phe MuDang and Bang Klang Hao, seized S´r¯ı
dition is referred to as the S¯ıhal:apakkhabhikkhu Sangha, in
Sajanala¯ya and drove the Khmer governor from Sukho¯thai.
contrast with the Ariya¯rahanta-pakkhabhikkhu Sangha,
Bang Klang Hao was installed as ruler of Sukho¯thai with the
which represents the Mon Therava¯da tradition. The chroni-
title Indra¯ditya. Indra¯ditya’s third son, Ra¯ma Khamhaeng,
cles also call this school the Kambojasanghapakka on the
was to become Sukho¯thai’s greatest monarch and one of the
grounds that it was headquartered near a settlement of Kam-
exemplary Buddhist kings of Tai history. During his reign,
bojans (Cambodians). This title may reflect historical fact or
which extended over the last two decades of the century,
refer to the earlier Therava¯da of the Mon-Khmer areas to the
Ra¯ma Khamhaeng asserted his sway over a large area extend-
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BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
1137
ing from Ham:savat¯ı (Pegu) to the west, Phrae to the north,
the Mon Therava¯da traditions of Haripuñjaya. As in the case
Luang Prabang to the east, and Nakorn Sri Dhammaraja
of Sukho¯thai and Pagan, Sinhala Buddhism functioned not
(Nagara S´r¯ı Dharmara¯ja; Ligor or Tambralin˙ga) to the
only as a means to build continuity with the Mon Therava¯da
south. Nakorn Sri Dhammaraja, although dominated by
tradition over which the Tai and the Burmese established
S´r¯ıvijaya from the eighth to the twelfth century and later by
their authority but also as a means to assert their unique re-
the Khmer, was an important center of Therava¯da Buddhism
ligio-cultural traditions.
by the eleventh century. Prior to Ra¯ma Khamhaeng’s ascen-
The apogee of the development of the S¯ıhal:a order in
dance to power in Sukho¯thai, Chandrabha¯nu of Nagara S´r¯ı
Chiangmai was reached during the reigns of Tilokara¯ja, one
Dharmara¯ja had sent a mission to Sri Lanka, and the
of the greatest of the Tai monarchs, and Phra MuDang Kaew
Cu¯lavam:sa reports that Para¯kramaba¯hu II invited Dham-
(1495–1526). Tilokara¯ja legitimated the overthrow of his fa-
makitti Maha¯thera, a monk from Nagara S´r¯ı Dharmara¯ja,
ther, Sam Fang Kaen, through the support of the
to visit Sri Lanka. Ra¯ma Khamhaeng, who was well aware
Maha¯viha¯ra order, which had been brought to Chiangmai
of the strength of Therava¯da Buddhism at Nagara S´r¯ı
in 1430. According to the Mu¯lasa¯sana of Wat Pa Daeng in
Dharmara¯ja, invited a Maha¯thera from the forest-dwelling
Chiangmai, the center of this sect, this tradition was brought
tradition (araññaka) there to reside in Sukho¯thai. Ra¯ma
to Thailand by a group of thirty-nine monks from Chiang-
Khamhaeng’s famous 1292 stela inscription refers to various
mai, Lopburi, and lower Burma who had visited Sri Lanka
religious sanctuaries in Sukho¯thai, including the araññaka
in 1423 during the reign of Para¯kramaba¯hu VI of Kotte.
monastery (Wat Taphan Hin), a Khmer temple (Wat Phra
They returned to Ayutthaya¯, a Tai state that subjugated
Phai Luang), and a shrine to the guardian spirit of the city,
Sukho¯thai under the Indrara¯ja in 1412, and dominated cen-
Phra Khaphung. In short, while we have definitive evidence
tral Thailand until they were conquered by the Burmese at
that Ra¯ma Khamhaeng supported Therava¯da Buddhism, re-
the end of the eighteenth century. According to the northern
ligion in thirteenth-century Sukho¯thai was varied and
Tai chronicles, members of this mission spread throughout
eclectic.
central and northern Thailand, reordaining monks into the
During the reigns of Ra¯ma Khamhaeng’s successors—
new S¯ıhal:a order. Tilokara¯ja made this Wat Pa
his son Lö Tai (1298–1347), and his grandson Lü Thai
Daeng-Maha¯viha¯ra group the normative monastic tradition
(1347–1368/74?)—Sinhala Buddhism became normative.
in Chiangmai at a general council in 1477. The Pa Daeng
According to the J¯ınaka¯lama¯li, a Sukho¯thai monk named
chronicles depict Tilokara¯ja as a great supporter of the sangha
Sumana studied under, and received ordination from, a Sin-
and as a righteous and exemplary monarch in the A´sokan
hala Maha¯thera, Udumbara Maha¯sa¯mi, who was resident in
mode. During the reign of Tilokara¯ja’s successor, Phra
Martaban. Sumana returned to Sukho¯thai to establish the
MuDang Kaew, Pali Buddhist scholarship in Chiangmai
S¯ıhal:a Sangha there, and, along with his colleague
flourished. The Ma¯n˙ga-lad¯ıpan:i, a Pali commentary on the
Ano¯madass¯ı, he proceeded to spread the S¯ıhal:a order
Ma¯n˙gala Sutta, was written at this time and is still used as
throughout much of Thailand (Ayuthaya¯, Pitsanulo¯k, Na¯n,
the basis of higher-level Pali studies, and the most important
Chiangmai, and Luang Prabang). King Lü Thai, in particu-
northern Tai chronicle, the J¯ınaka¯lama¯lipakaran:a, also dates
lar, was noted for his piety and his support of Buddhism. He
from this period.
brought Buddha relics and images and established Buddha
Contemporaneous with the apogee of Buddhism in
“footprints” (buddhapada) in an effort to popularize Bud-
Chiangmai was the reign of Dhammaceti (1472–1492), who
dhist practice throughout his realm. A Buddhist scholar of
ruled Burma from Pegu, in the lower part of the country. Ac-
note, he was particularly known as the author of the
cording to the northern Tai and Burmese chronicles as well
Traibhu¯mikatha¯ (Verses on the Three Worlds), thought to
as the Kalya¯n:¯ı inscriptions, during Dhammaceti’s reign there
be the first systematic Therava¯da cosmological treatise.
were several religious missions to Sri Lanka from Pegu and
Ava, and S¯ıhal:a monks, in turn, visited Burma. Burmese
About the same time that Sinhala Buddhism was com-
monks were reordained and visited sacred shrines on the is-
ing into its own in Sukho¯thai, it was also being spread to Tai
land. Like Tilokara¯ja, Dhammaceti wanted to unify the
states to the north and northeast, namely, Chiangmai and
sangha and used the new ordination to unite Buddhists in
Luang Prabang. Chiangmai was established as the major Tai
the Pegu kingdom. Monks from all over lower Burma, Ava,
state in northern Thailand by Mengrai, who expanded his
Tougoo, from the Shan kingdoms, Thailand, and Cambodia
authority from Chiangsaen to encompass Chiangrai, Chi-
came to Pegu to be ordained during what the chronicles por-
angkhong, and Fa¯ng. He subjugated the Mon-Lava center
tray as the “golden age” of lower Burma.
of Haripuñjaya in 1291 before founding Chiangmai in 1296.
According to both inscriptional and chronicle evidence, Su-
Cambodia and Laos. Therava¯da Buddhism was intro-
mana Maha¯thera brought the Sinhala Buddhism he had
duced to Cambodia by the Mon of the lower Menam
learned from his preceptor in Martaban to Chiangmai in
Chaophraya River valley. In the eleventh and twelfth centu-
1369 at the invitation of King Küna (1355–1385). Küna
ries, Therava¯da also existed alongside Maha¯ya¯na forms of
built Wat Suan Dok to house the Buddha relic brought by
Buddhism as well as Brahmanism. Maha¯ya¯na Buddhism cer-
D
Sumana, and Sinhala Buddhism gained favored status over
tainly received royal patronages in the eleventh century, and
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1138
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
Jayavarman VII, the builder of the Bayon Temple at Angkor
of establishing their own distinctive cultural and religious
Thom, was identified with the Buddha Loke´svara in the di-
identity. While S¯ınhala influence can be traced to the elev-
vine-royal symbiosis of the Khmer devara¯ja/buddhara¯ja cult.
enth century, the S¯ıhala order only became dominant with
Yet, typical of the classical Southeast Asian monarchs, Jaya-
the rise and development of the classical states from the mid-
varman’s patronage of Maha¯ya¯na Buddhism was not exclu-
twelfth to the end of the fifteenth century. Sinhala Buddhism
sive. According to the Kalya¯n:¯ı inscriptions and The Glass
contributed to the legitimation of the ruling monarchies
Palace Chronicle, a Cambodian monk, possibly Jayavarman’s
through its worldview, interpretation of history, monastic in-
son, was part of the Burmese mission to Sri Lanka in the
stitution, education, and language; however, just as impor-
twelfth century. There was certainly an influx of Mon Bud-
tant, it became the religion of the masses through the wor-
dhists from the Lopburi region in the face of Tai pressure
ship of relics and sacred images and through the
in the thirteenth and early fourteenth centuries. Testimony
development of popular syncretic cults.
of Chau Ta Kuan, a member of a late-thirteenth-century
mission to Angkor, indicates that Therava¯da monks were
Vietnam has been largely excluded from the story of the
present in the Khmer capital during that period. The
development of the classical Buddhist Southeast Asian states
J¯ınaka¯lama¯li account of the Chiangmai mission to Sri Lanka
because of the predominance of Hinduism among the
in 1423
Chams during early Vietnamese history and the overwhelm-
CE includes reference to eight Khmer monks who
brought the S¯ıhal:a order of the Maha¯viha¯ra to Cambodia.
ing cultural influence of China on the country. Until the
eleventh century the Vietnamese were effectively a group
The development of Buddhism in Laos was influenced
within the Chinese empire, and they looked to China for cul-
by both Cambodia and Thailand. According to the Lao
tural inspiration even after they achieved independence
chronicles, Jayavarman Parmesvara (1327–1353) helped Phi
under the Ly dynasty (1009–1224). Maha¯ya¯na Buddhism
Fa and Fa Ngum establish the independent kingdom of La¯n
was certainly part of the Chinese cultural influence, and the
Cha¯ng, which earlier had been under the political hegemony
Chan (Viet., Thien) school, allegedly first established in 580
of Sukho¯thai. An inscription at Wat Keo in Luang Prabang
CE by Ti-ni-da-luDu-chi, was the major Buddhist tradition in
refers to three Sinhala Maha¯theras—including
Vietnam. The elite eventually came to prefer Confucianism,
Maha¯pasaman, Fa Ngum’s teacher at Angkor—who went
but Buddhism continued to be important among the masses.
from Cambodia to La¯n Cha¯ng as part of a religious mission.
S
Certainly, from the late fourteenth century onward, Bud-
OUTHEAST ASIAN BUDDHISM IN THE MODERN PERIOD.
The classical Southeast Asian religio-cultural synthesis, of
dhism in Laos and Cambodia was primarily influenced by
which Therava¯da Buddhism has been a major component,
the Tai as a consequence of their political dominance in the
has given the cultures of Burma, Thailand, Cambodia, Laos,
area. Even in the modern period, Therava¯da sectarian devel-
and Vietnam a unique sense of identity and has sustained
opments in Thailand were reflected in Cambodia and Laos,
them to the present. Faced with Western imperialistic expan-
and prior to the Communist revolution, monks from Cam-
sion from the seventeenth century onward and the challenge
bodia and Laos studied in the Buddhist universities in
of modernity, the classical religious worldview, institutional
Bangkok.
structures, and cultural ethos have been changed, modified,
Summary. During the period that marks the rise of the
and reasserted in a variety of ways. We shall examine how
classical Southeast Asian states, Buddhism existed in many
Buddhism has adapted to this challenge, its role in the devel-
guises. Pali Therava¯da was introduced principally through
opment of the modern nation-state, and what the most re-
the Mon of Dva¯ravat¯ı and lower Burma and was considered
cent trends suggest for the future of Buddhism in the region.
a “higher” culture appropriated by the Burmese and the Tai.
A strong Maha¯ya¯na Buddhist presence is apparent not only
The condition of Southeast Asian Buddhism in the
in S´r¯ıvijaya and Angkor but also in Pagan and the early Tai
modern period reflects, to a large degree, the forces un-
states. Furthermore, these forms of Buddhism competed
leashed during the colonial period, especially during the
with, and were complemented by, autochthonous animistic
nineteenth and twentieth centuries. Although modern reli-
cults and Brahmanism. Buddhism made a decisive contribu-
gious histories of Burma, Thailand, and Indochina differ
tion to the conception of Southeast Asian kingship and mo-
because of internal factors as well as the uniqueness of
narchical rule through its ideal of the dhammara¯ja, who was
their colonial experiences—just as the Enlightenment funda-
not only represented by King A´soka in India but by such
mentally challenged the medieval synthesis of Christian Eu-
Southeast Asian monarchs as Kyanzittha, Ra¯ma Khamhaeng,
rope—the last century and a half has called into question the
and Tilokara¯ja.
traditional Buddhist-Brahmanic-animistic synthesis of
Southeast Asia and, consequently, the institutions and values
Sri Lanka played the decisive role in the increasing dom-
associated with that worldview. The challenge to the classical
inance of Therava¯da Buddhism in mainland Southeast Asia.
worldview, and to the traditional moral community that was
Several factors contributed to this development, but I have
based on it, occurred on many fronts. Throughout the region
singled out two: the rise to power of the Burmese and the
the educational role of the sangha has been undermined by
Tai, who appropriated the Therava¯da Buddhism of the Mon;
Western education. The status of the monk as one who was
and their subsequent adoption of Sinhala Buddhism as a way
educated and as an educator and the significance of what was
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
1139
traditionally taught have also suffered. In Burma, the de-
a Buddhist sermon it urges its listeners to lead a moral life
struction of the institution of Buddhist kingship in 1885, as
and by so doing to reap the appropriate heavenly rewards.
well as the relatively open posture of the British toward Bud-
Within its great-chain-of-being framework of various
dhism, left the sangha in disarray, without the authority and
human, heavenly, and demonic realms, the text focuses on
direction the king traditionally provided. Thailand’s rapid
a central figure, the universal monarch, or cakkavattin, exem-
urbanization over the past fifty years has dramatically
plified by the legendary king Dharma´sokara¯ja. Lü Thai’s tra-
changed the village or town milieu that has historically in-
ditional picture of the world, the role of the king, the nature
formed and supported Buddhist religious practice. The com-
of karmic action, and the hope of a heavenly reward provide
munist revolutions in Laos, Cambodia, and Vietnam have
a rationale for Sukho¯thai political, social, and religious order.
displaced Buddhism as the fundamental mediator of cultural
That King Ra¯ma I (1782–1809), who reestablished the for-
values. These are but a few of the challenges that Southeast
tunes of the Thai monarchy, commissioned a new recension
Asian Buddhism has faced in the modern and contemporary
of the Traibhu¯mi testifies to its longevity and also to its utili-
periods.
ty as a charter for order and stability during yet another time
of political and social disruption.
Modernization and reform. The eve of the assertion
of colonial power in the Buddhist countries of Southeast Asia
The worldview of the Traibhu¯mi was soon to be chal-
found them in differing states and conditions. The Burmese
lenged by the West, however. European and American mis-
destruction of Ayutthaya¯ in 1767 provided the Thai (the des-
sionaries, merchants, and travelers came to Bangkok in the
ignation applied to Tai living in the modern nation-state) the
1830s and 1840s, and by 1850 Thailand, or Siam, had
opportunity to establish a new capital on the lower
signed commercial treaties with several Western nations. Led
Chaophraya River at present-day Bangkok. Because of its ac-
by Mongkut, who was crowned king in 1851, and by Chao
cessibility to international commerce the new site was much
Phraya Thiphakorawong, his able minister of foreign affairs,
better situated for the new era about to dawn; the new dynas-
the Siamese noble elite proved to be interested in and open
tic line was better able to cope with the increasing impact
to Western technology and culture. A pragmatic type of sci-
of Western influence and was also committed to building a
entific empiricism began to develop among them, leading
new sense of national unity. The Burmese, on the other
even the devout Mongkut to articulate a demythologized
hand, tired of wars under Alaungpaya and his son, were beset
Buddhism somewhat at odds with the traditional Traibhu¯mi
by religious and ethnic fractionalism. They were disadvan-
worldview. This critique was formally set forth in 1867 in
taged by the more isolated location of their capital (Ava,
Chao Phraya Thiphakorawong’s Kitchanukit (A Book Ex-
Amarapura, and then Mandalay), and governed by politically
plaining Various Things), which explains events not in terms
less astute rulers such as King Bagyidaw, who lost the Arakan
of traditional cosmological and mythological sources but
and lower Burma to the British in the Anglo-Burmese Wars.
using astronomy, geology, and medicine. For example, he ar-
Cambodia, in the eighteenth and early nineteenth centuries,
gues that rain falls not because the rainmaking deities venture
basically fell victim to either the Thai or the Vietnamese until
forth or because a great serpent thrashes its tail but because
the French protectorate was established over the country in
the winds suck water out of clouds; illness, he says, is caused
the 1860s. The Lao kingdoms of Luang Prabang and Vien-
not by a god punishing evil deeds but by air currents. Al-
tiane were subject to Thai dominance in the nineteenth cen-
though the explanations were inaccurate, they were naturalis-
tury until King Norodom was forced to accept French pro-
tic rather than mythological or religious. The Kitchanukit
tection in 1863. Only in the 1890s were the French able to
presents Buddhism as primarily a system of social ethics;
pacify Cochin China, Annam, and Tongkin, which, together
heaven and hell are not places but have a moral or pedagogi-
with Cambodia, were formed into the Union Indochinoise
cal utility; kamma (Skt., karman) is not an actual causal force
in 1887. With the rest of Buddhist Southeast Asia disrupted
but a genetic principle that accounts for human diversity.
by the colonial policies of France and Great Britain, Thai-
Mongkut’s successor, his son Chulalongkorn, moved even
land’s independence and able leadership under Mongkut
further from the mythic cosmology of the traditional South-
(Ra¯ma IV, 1851–1868) and Chulalongkorn (1868–1910)
east Asian Buddhist worldview, declaring the Traibhu¯mi
abetted religious modernization and reform, making Thai-
simply an act of imagination.
land the appropriate focus for this topic.
Modernization of the Thai Buddhist worldview was ac-
The classical Thai Buddhist worldview had been set
companied by a reform of the Buddhist sangha, led initially
forth in the Traibhu¯mikatha¯ of King Lü Thai of Sukho¯thai.
by Mongkut and continued during the reign of Chulalong-
In one sense this text must be seen as part of Lü Thai’s pro-
korn. Before his coronation in 1851 Mongkut had been a
gram to reconstruct an administrative and political frame-
monk for twenty-five years. During that time his study of
work and to salvage the alliance structure that had collapsed
the Pali scriptures and his association with Mon monks of
under the policies of his predecessor. In laying out the tradi-
a stricter discipline convinced him that Thai Buddhism had
tional Buddhist stages of the deterioration of history, Lü
departed from the authentic Buddhist tradition. He advocat-
Thai meant to affirm the meaningfulness of a karmically cal-
ed a more serious study of Pali and Buddhist scripture as well
culated human life within a given multitiered universe. As
as the attainment of proficiency in meditation. His efforts
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1140
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
at religious reform resulted in an upgrading of monastic dis-
adopted the Dhammayuttika sect from Thailand but also re-
cipline in an effort to make it more orthodox. The group of
organized the sangha along national lines. In Laos and Burma
monks who gathered around Mongkut at Wat Bovornives
various Buddhist organizations and associations with reform-
called themselves the Thammayut (“those adhering to the
ist intent emerged, often under lay leadership.
doctrine”) and formed the nucleus of a new, stricter sect of
Thai Buddhism. With its royal origins and connections, the
Buddhism and the modern nation-state. Buddhism
Thammayut, or Dhammayuttika, sect has played a very in-
proved to be a crucial factor during the end of the colonial
fluential role in the development of modern Thai Buddhism.
and the postcolonial periods, as Burma, Thailand, Cambo-
In 1864 the Khmer royal family imported it to Cambodia,
dia, Laos, and Vietnam became modern nation-states. On
where it played a similar role. Its impact in Laos, however,
the one hand, Buddhism contributed decisively to the devel-
was less significant.
opment of the new nationhood; on the other, it resisted in
various ways changes forced upon traditional Buddhist
The development of a reformist Buddhist tradition that
thought and practice. We shall first examine the Buddhist
embodied Mongkut’s ideals brought about further changes
contributions to the national independence movements and
in the monastic order, especially as the sangha became part
to the maintenance of national identity and unity; second,
of the policies and programs of Mongkut’s son Chulalong-
we shall explore Buddhist resistance to pressures put on the
korn. At the same time that he implemented reforms de-
tradition by the organization of the modern nation-state.
signed to politically integrate outlying areas into the emer-
gent nation-state of Thailand, Chulalongkorn also initiated
Historically, Buddhism played an important role in the
policies aimed at the incorporation of all Buddhists within
definition of the classical Southeast Asian states. It was inevi-
the kingdom into a single national organization. As a conse-
table, therefore, that it would be a crucial factor in the rede-
quence, monastic discipline, as well as the quality of monas-
finition of these states. In those cases, for example, in which
tic education, improved throughout the country. A standard
a country was dominated by a colonial power, nationalist
monastic curriculum, which included three levels of study in
movements grew out of, or were identified with, a religious
Buddhist history, doctrine, and liturgy, and nine levels of
base or context. Take Burma as a case in point. Buddhism
Pali study, was established throughout the country. In addi-
provided the impetus for the independence movement that
tion, two Buddhist academies for higher studies were estab-
arose there during the first decades of the twentieth century.
lished in Bangkok.
The YMBAs (Young Men’s Buddhist Association) of Ran-
goon and elsewhere in Burma quickly assumed a political
The modernization and reform of Buddhism in Thai-
role. The first issue of major consequence was the “no foot-
land in the late nineteenth and early twentieth centuries
wear” controversy of 1918. The YMBAs argued that Europe-
stand out, but the Thai case must be seen as part of a general
ans, in keeping with Burmese custom, should be prohibited
trend in all the Southeast Asian Buddhist countries. In the
from wearing shoes in all pagodas; accordingly, the British
area of text and doctrine a new scripturalism, epitomized by
government allowed the head monk of each pagoda to decide
the new redaction of the Tipit:aka in conjunction with the
the regulations applying to footwear. During the next decade
general Buddhist council held in Burma in 1956 and 1957,
the nationalist cause was led primarily by the General Coun-
has emerged. Doctrinal reinterpretation has followed three
cil of Burmese Associations and by such politically active
major lines: an emphasis on the ethical dimensions of the tra-
monks as U Ottama, who was imprisoned for urging a boy-
dition at the expense of the supernatural and mythical; a re-
cott of government-sponsored elections, and U Wisara, who
jection of magical elements of popular thought and practice
became a martyr to the independence movement when he
as incompatible with the authentic tradition; and a rational-
died during a hunger strike in a British jail.
ization of Buddhist thought in terms of Western categories,
along with an apologetic interest in depicting Buddhism as
When U Nu became prime minister in January 1948,
scientific. Some apologists, such as U Chan Htoon of
following Aung San’s assassination, he put Buddhism at the
Burma, have claimed that all modern scientific concepts pre-
heart of his political program. Although he rejected Marx-
existed in Buddhism. Others make less sweeping claims but
ism, he espoused a Buddhist socialism. In essence, he be-
cite specific correlations between such Buddhist doctrines as
lieved that a national community could be constructed only
interdependent co-arising (pat:icca samuppa¯da; Skt.,
if individuals are able to overcome their own self-acquisitive
prat¯ıtya-samutpa¯da) and Einstein’s relativity theory. Gener-
interests. Sufficient material needs should be provided for ev-
ally speaking, Buddhist apologists have attempted to prove
eryone, class and property distinctions should be minimized,
that Buddhism is more scientific than other religions, partic-
and all should strive for moral and mental perfection. The
ularly Christianity; that the empirical approach or methodol-
state was to meet the material needs of the people and Bud-
ogy of Buddhism is consistent with modern science; and that
dhism their spiritual needs. To this end he created a Bud-
science proves or validates particular Buddhist teachings.
dhist Sasana Council in 1950 to propagate Buddhism and
to supervise monks, appointed a minister of religious affairs,
Institutional modernization and reform have also taken
and ordered government departments to dismiss civil ser-
place along the lines that we have examined in some detail
vants thirty minutes early if they wished to meditate. In 1960
in regard to Thailand. Cambodia, for example, not only
U Nu committed himself and his party to making Buddhism
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
1141
the state religion of Burma, an unpopular move with such
of the country, while the latter has focused on Buddhist mis-
minorities as the Christian Karens. This attempt was one of
sions among northern hill tribes.
the reasons given for General Ne Win’s coup in March 1962,
which deposed U Nu as prime minister. While in many ways
Buddhism, however, has not only functioned as a kind
naive and politically unrealistic, U Nu’s vision of Buddhist
of “civil religion,” contributing to the definition and support
socialism harked back to an earlier vision of the political lead-
of the new Southeast Asian nation-states in the postcolonial
er as one who ruled by dhamma and who would engender
period. It has also resisted the kind of accommodation and
peace and prosperity by the power of his own virtue. But
change brought on by the new nationalism. In some cases
such a vision proved incompatible with the political realities
this resistance has been generated by the desire to maintain
of the 1960s.
traditional religious practices and more local autonomy; in
others, it has come in the form of armed rebellion and messi-
Buddhism figured prominently in other Southeast
anic, millenarian movements. As an example of the former
Asian countries, both as a basis of protest against ruling re-
we cite Khru¯ba¯ S¯ıwichai, a northern Thai monk of the early
gimes and as an important symbolic component of political
twentieth century, and of the latter we cite the Saya San re-
leadership. In the 1960s politically active Vietnamese monks
bellion (1930–1931) in Burma.
contributed to the downfall of the Diem regime, and after-
ward the United Buddhist Association, under the leadership
While the vast majority of the Buddhist sangha in Thai-
of Thich Tri Quang and Thich Thien Minh, remained polit-
land cooperated with the central government’s attempts in
ically active. In Cambodia, Prince Sihanouk espoused a po-
the early twentieth century to standardize monastic organiza-
litical philosophy based on Buddhist socialism and was the
tion, discipline, and education, there were a few notable ex-
last Cambodian ruler to represent, although in an attenuated
ceptions. Khru¯ba¯ S¯ıwichai of the Chiangmai region of
way, the tradition of classical Southeast Asian Buddhist rule.
northern Thailand was one of them. He ran into problems
with the sangha hierarchy because he ordained monks and
In addition to providing the inspiration for political in-
novices according to northern Thai custom although he had
dependence movements, contributing to a political ideology
not been recognized as a preceptor by the national order. He
with uniquely Buddhist features, and being the motivating
also singlehandedly raised vast sums of money to rebuild
force challenging political power structures, Southeast Asian
monasteries that had fallen into disrepair and to construct
Buddhism has been used to promote political unity within
a road, using manual labor, to the famous Maha¯dha¯tu Tem-
the boundaries of the nation-state. U Nu’s hope that making
ple on Doi Sute¯p Mountain, overlooking Chiangmai. Be-
Buddhism the state religion would promote national unity
cause of his success in these enterprises, miraculous powers
was naive; it did not take into account the contending fac-
were attributed to him. In 1919, however, he was ordered
tions within the Buddhist sangha and the presence of sizable
to report to Bangkok to answer charges of clerical disobedi-
non-Buddhist minorities who feared they might be threat-
ence and sedition, but high Thai officials, fearing the reper-
ened by covert, if not overt, pressure from the Buddhist ma-
cussions that punishment of Khru¯ba¯ S¯ıwichai might have,
jority.
intervened on his behalf. Although eventually S¯ıwichai sub-
In Thailand the centralization of the Thai sangha under
mitted to the laws of the Thai national monastic order,
King Chulalongkorn and his able sanghara¯ja, Vajiraña¯n:a,
sangha officials tacitly agreed to permit the northern clergy
not only improved monastic discipline and education but
to follow some of its traditional customs.
also integrated the monastic order more fully into the nation-
Other, more radical Buddhist responses to the emerging
state. Chulalongkorn’s successor, Vajiravudh (1910–1925),
nation-state developed in various parts of Southeast Asia and
made loyalty to the nation synonymous with loyalty to Bud-
usually centered on a charismatic leader who was sometimes
dhism; in effect, he utilized Buddhism as an instrument to
identified as an incarnation of the bodhisattva Maitreya. In
promote a spirit of nationalism. In particular, he glorified
Burma several rebellions in the early twentieth century aimed
military virtues and identified nationalism with the support
to overthrow British rule and to restore the fortunes of both
of Thai Buddhism. He founded the Wild Tigers Corps, re-
Burmese kingship and Burmese Buddhism. One of these was
sembling the British Territorial Army; the Tiger Cubs, a
led by Saya San, who had been a monk in the Tharrawaddy
branch of the corps, was later assimilated into the Boy Scout
district in lower Burma but disrobed to work in a more di-
movement. Both encouraged loyalty to nation, religion (i.e.,
rectly political way to overthrow the British. Saya San’s
Buddhism), and the king.
movement had a strongly traditional religious and royal aura,
Buddhism has continued to be an important tool in the
and much of his support came from political monks associat-
government’s policy to promote national unity. In 1962 the
ed with nationalistic associations (wunthanu athins) that had
Buddhist Sangha Act further centralized the organization of
formed in the 1920s. Saya San was “crowned” as “king” in
the monastic order under the power of the secular state. In
a thoroughly traditional Burmese manner in a jungle capital
the same year the government organized the Dhammadhuta
on October 28, 1930. An armed group was trained and the
program, and in 1965 the Dhammacarika program. The for-
rebellion launched toward the end of December. As the con-
mer supported Buddhist monks abroad and those working
flict spread throughout lower Burma and into the Shan
in sensitive border areas, especially the northeastern region
States, the British army was called in to help the police forces
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1142
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
repress the rebellion. Only after eight months of fighting did
often emerge. While the monk as miracle worker is not a new
the warfare end.
phenomenon in Therava¯da Buddhism, it has persisted to the
present time and, some observers claim, has been on the up-
Recent trends. The chapter on Southeast Asian Bud-
swing in the contemporary period.
dhism’s future within the context of the modern nation-state
has yet to be closed. The disestablishment of the sangha in
Meditation has always been the sine qua non of Buddhist
Cambodia and Laos has shaken, but by no means rooted out,
practice, but traditionally it was the preserve of the forest-
the tradition, even though Pol Pot’s genocidal regime at-
dwelling (araññava¯s¯ı) or meditating (vipassana dhura) monk.
tempted such wholesale destruction in the aftermath of
In the modern period, meditation has been more widely
American withdrawal from the war in Indochina. Laos and
practiced as part of the routines of ordinary Buddhist tem-
Cambodia, however, have experienced a breakdown of the
ples and, more particularly, in meditation centers that either
traditional religio-cultural synthesis. This is taking place
include or are specifically for lay practice. The lay meditation
more slowly in Thailand and even in Burma, which has been
movement was especially strong in Burma under the leader-
much more isolated from Western influences since the early
ship of such meditation masters as U Ba Khin and Ledi Saya-
1960s. The political and economic contexts of Southeast
daw (1856–1923). Westerners have been particularly attract-
Asian Buddhism, in short, have obviously affected the state
ed to some of Southeast Asia’s renowned meditation
of Buddhism in Southeast Asia. The trends that have
teachers, such as Acharn Cha of Wat Pa Pong in Ubon
emerged seem paradoxical, if not contradictory. We shall ex-
Ratchathani. Some meditating monks have also gained repu-
amine three sets or pairs: increasingly active lay leadership
tations not only for their method of meditation or for holi-
and the veneration of monks to whom supernatural powers
ness but for the attainment of extraordinary powers as well.
are ascribed; a revival of meditation practice and an emphasis
on active political and social involvement; rampant magical,
While meditation has become a lay as well as monastic
syncretic ritual practice and insistence on the purity of the
practice in contemporary Southeast Asian Buddhism, this
authentic teaching.
development has not precluded a movement to formulate a
strong, activist social ethic. The Vietnamese Zen monk
The modern period has seen increased lay leadership at
Thich Nhat Hahn attempted to work out a Buddhist solu-
various levels of religious life. The YMBAs of Burma and the
tion to the military conflict in his country during the 1960s,
Buddhist “Sunday schools” that have arisen in Thailand have
and there has been a widespread interest in formulating a
obviously been influenced by Western Christian models. Lay
Buddhist theory of economic development that is critical of
associations have developed for various purposes. For exam-
Western capitalism but not necessarily indebted to Marxism.
ple, prior to the revolution Cambodia had the Buddhist As-
Buddhists have also acted to solve particular social problems,
sociation of the Republic of Cambodia (1952), the Associa-
such as drug addiction, and have spoken out strongly against
tion of Friends of the Buddhist Lycée (1949), the Association
the proliferation of nuclear arms. Southeast Asian Buddhists
of Friends of Religious Welfare Aid Centers, the Association
have also joined with members of other religious groups,
of Religious Students of the Republic of Cambodia (1970),
both within their own countries as well as in international
the Association of the Buddhist Youth of Cambodia (1971),
organizations, to work for such causes as world peace and
and so on. Buddhist laity have also been actively involved in
basic civil rights for all peoples. Buddhist interpreters, such
the worldwide Buddhist movement. Most notable of the
as the Thai monk Bhikkhu Buddhada¯sa, have referred to
laity groups are the World Fellowship of Buddhists, which
Buddhism as a practical system of personal and social
has headquarters in Bangkok, and the World Council of
morality.
Churches, which holds interreligious dialogue consultations.
Buddhada¯sa has also been strongly critical of conven-
The increasingly significant role of the laity in a reli-
tional Thai Buddhist religious practice, which has stressed
gious tradition noted for the centrality of the monk reflects
merit-making rituals. These are aimed at obtaining personal
many developments in modern Southeast Asian countries,
benefit and propitiating various supernatural powers for pro-
not the least of which is the spread of secular, Western educa-
tection or good luck. In his writings and at his center in
tion among the elites. Coupled with this phenomenon, how-
Chaiya, southern Thailand, he emphasizes the importance
ever, we find a polar opposition—a persistent cult of the holy
of overcoming greed and attachment. Nibba¯na, for
man to whom supernatural powers are attributed. In some
Buddhada¯sa, is the state that is achieved when egoism is over-
instances the holy monk becomes a charismatic leader of a
come. This is the goal of all Buddhists, not just monks. In-
messianic cult (e.g., the Mahagandare Weikzado Apwegyoke
deed, he argues, this is the purpose of all religions.
in Burma), while in others the form of veneration is more
Buddhada¯sa’s critique reflects the magical nature of popular
informal and generalized (e.g., Phra Acharn Mun in Thai-
Buddhist ritual practice not only in Thailand but, more gen-
land). In many cases the holy monk makes few, if any, mirac-
erally, in Southeast Asian Buddhism, the goal of which is to
ulous or supernatural claims, but these will be ascribed to
improve one’s life materially through the mechanism of gain-
him by his followers. Hagiographic literature, describing cos-
ing merit or improving one’s karmic status. Buddhada¯sa’s
mic portents of the monk’s birth, extraordinary events dur-
proposal that such teachings as nibba¯na and anatta (not-self),
ing his childhood, and other characteristics of this genre, will
which represent the essence of the Buddha’s teachings, must
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN SOUTHEAST ASIA
1143
be part of every Buddhist’s religious practice exemplifies an
political legitimation, and modernization. The theme of
interest on the part of many contemporary Buddhist thinkers
Buddhism and political legitimation is discussed in several
to restore the kernel of the authentic tradition, which has
seminal articles in Buddhism and Legitimation of Power in
often been hidden beneath layers of cultural accretions.
Thailand, Laos, and Burma, edited by Bardwell L. Smith
Thus, while the popular religious ethos is syncretic and em-
(Chambersburg, Pa., 1978).
phasizes the attainment of worldly goals, various apologists
The monumental work on the early Pagan period is Gordon H.
in Burma and Thailand are attempting to make the core of
Luce’s Old Burma—Early Pagán, 3 vols. (Locust Valley,
the tradition a part of the understanding and practice of the
N. Y., 1969–1970). Two of the important Burmese chroni-
Buddhist populace at large. Some critical observers have re-
cles have been translated: Hmanna¯n ma:ha yaza:wintawky¯ı:
ferred to this trend as a “protestantizing” of Southeast Asian
The Glass Palace Chronicle of the Kings of Burma, translated
Buddhism.
by Pe Maung Tin and G. H. Luce (London, 1923); and Pan-
nasami’s The History of the Buddha’s Religion (Sa¯sanavam
˙ sa),
The contemporary ethos of Buddhism in Southeast Asia
translated by B. C. Law (London, 1952). Standard treat-
reflects an ancient heritage but also points in new directions.
ments of both Pali and Sanskritic Buddhism in Burma are
It is difficult to predict how the sangha will fare under the
Nihar-Ranjan Ray’s An Introduction to the Study of
Marxist regimes in Laos and Cambodia or, for that matter,
Therava¯da Buddhism in Burma (Calcutta, 1946), and his
in the urban and increasingly materialistic environment of
Sanskrit Buddhism in Burma (Calcutta, 1936). A more recent
Bangkok and Chiangmai. Can the Therava¯da monk main-
study is Winston L. King’s A Thousand Lives Away (Cam-
tain his place in society when his education cannot compare
bridge, Mass., 1964). Two standard anthropological studies
with that of the elite? Can Buddhism effectively address
are Melford E. Spiro’s Buddhism and Society: A Great Tradi-
problems of overpopulation, prostitution, malnourishment,
tion and its Burmese Vicissitudes, 2d. ed. (Berkeley, 1982),
and economic exploitation? To what extent can the tradition
and Manning Nash’s The Golden Road to Modernity (New
York, 1965). Nash was also the general editor of Anthropolog-
change with the times and retain its identity? These and
ical Studies in Theravada Buddhism (New Haven, 1966),
other questions face a religion that has not only been funda-
which contains valuable articles on Burmese and Thai Bud-
mental in the identity of the Burmese, Thai, Laotians, Cam-
dhism by Nash, David E. Pfanner, and Jasper Ingersoll. E.
bodians, and Vietnamese but has also contributed much to
Michael Mendelson’s Sangha and State in Burma, edited by
world culture.
John P. Ferguson (Ithaca, N. Y., 1965), although difficult
going is a mine of information. Buddhism and the early na-
SEE ALSO Amoghavajra; A´soka; Buddhism, Schools of, arti-
tionalist period are studied in Emanuel Sarkisyanz’s Buddhist
cle on Tantric Ritual Schools of Buddhism; Burmese Reli-
Backgrounds of the Burmese Revolution (The Hague, 1965),
gion; Cakravartin; Dharmapala; Khmer Religion; Kingship,
and Donald E. Smith’s Religion and Politics in Burma
article on Kingship in East Asia; Lao Religion; Mongkut;
(Princeton, 1965).
Pilgrimage, article on Buddhist Pilgrimage in South and
Southeast Asia; Sam:gha, articles on Sam:gha and Society;
The standard Thai history with much information about Thai
Buddhism is David K. Wyatt’s Thailand: A Short History
Southeast Asian Religions, article on Mainland Cultures;
(New Haven, 1984); Kenneth E. Wells’s Thai Buddhism: Its
Thai Religion; Therava¯da; Vajrabodhi; Vietnamese Religion;
Rites and Activities (Bangkok, 1939), while somewhat dated
Worship and Devotional Life, article on Buddhist Devo-
and rather dry is still very useful. One of the major northern
tional Life in Southeast Asia.
Thai chronicles, Ratanapanya’s Jinaka¯lama¯l¯ıpakaranam, has
been translated by N. A. Jayawickrama as The Sheaf of Gar-
BIBLIOGRAPHY
lands of the Epochs of the Conqueror (London, 1968). Frank
Works on Buddhism in Southeast Asia include text translations
E. Reynolds and Mani B. Reynolds have translated the major
and doctrinal studies, histories of the development of Bud-
Thai cosmological treatise, Trai Phu¯mi Phra Ru¯ang, as Three
dhism in various Southeast Asian countries, anthropological
Worlds according to King Ruang (Berkeley, 1982). Prince
treatments of popular, village Buddhism, and studies of Bud-
Dhani-Nivat’s A History of Buddhism in Siam, 2d ed. (Bang-
dhism and political change. Georges Coedès’s studies, The
kok, 1965), provides a brief historical overview of the devel-
Indianized States of Southeast Asia, edited by Walter F. Vella
opment of Buddhism in Thailand. Much recent, significant
and translated by Susan Brown Cowing (Canberra, 1968),
work on Thai Buddhism has been done by anthropologists;
and The Making of South-East Asia, translated by H. M.
see especially Stanley J. Tambiah’s World Conqueror and
Wright (Berkeley, 1966), are standard treatments of the re-
World Renouncer (Cambridge, 1976) and several articles by
gion, as is Reginald Le May’s The Culture of South-East Asia
Charles F. Keyes, for example, “Buddhism and National In-
(London, 1954). The classic study of Southeast Asian reli-
tegration in Thailand,” Journal of Asian Studies 30 (May
gion and kingship is Robert Heine-Geldern’s Conceptions of
1971): 551–567. Historians of religion have also contributed
State and Kingship in Southeast Asia (Ithaca, N. Y., 1956). A
to our knowledge of Thai Buddhism. Frank E. Reynolds has
readable, general study of the history of Therava¯da Bud-
written several articles including, “The Holy Emerald Jewel:
dhism in Southeast Asia and its present teachings and prac-
Some Aspects of Buddhist Symbolism and Political Legiti-
tices is Robert C. Lester’s Theravada Buddhism in Southeast
mation in Thailand and Laos,” in Religion and Legitimation
Asia (Ann Arbor, 1973). My Buddhism and Society in South-
of Power in Thailand, Laos, and Burma, edited by Bardwell
east Asia (Chambersburg, Pa., 1981) is an analysis of
L. Smith (Chambersburg, Pa., 1978), pp. 175–193. I have
Therava¯da Buddhism in terms of the themes of syncretism,
analyzed a major northern Thai monastery in Wat Haripuñ-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1144
BUDDHISM: BUDDHISM IN CENTRAL ASIA
jaya: A Study of the Royal Temple of the Buddha’s Relic, Lam-
Trainor, Kevin. Relics, Ritual, and Representation in Buddhism: Re-
phun, Thailand (Missoula, Mont., 1976).
materialising the Sri Lankan Theravada Tradition. Cam-
French scholars have made the major contribution to the study of
bridge, 1997.
Buddhism in Laos, Cambodia, and Vietnam. Louis Finot’s
DONALD K. SWEARER (1987)
“Research sur la littérature laotienne,” Bulletin de l’École
Revised Bibliography
Française d’Extrême-Orient 17 (1917) is an indispensable tool
in the study of Lao Buddhist literature. Marcel Zago’s Rites
et cérémonies en milieu bouddhiste lao (Rome, 1972) provides
a comprehensive treatment of Lao religion, although Charles
BUDDHISM: BUDDHISM IN CENTRAL ASIA
Archaimbault’s “Religious Structures in Laos,” Journal of the
Central Asia is not a clearly defined term. In a narrower
Siam Society 52 (1964): 57–74, while more limited in scope
sense, it refers to the region previously known as Eastern or
is very useful. Lawrence Palmer Brigg’s “The Syncretism of
Religions in Southeast Asia, especially in the Khmer Em-
Chinese Turkestan, as the Tarim Basin, or as Sinkiang (Xin-
pire,” Journal of the American Oriental Society 71 (October-
jiang), lying between the towns of Kashgar in the west and
December 1951): 230–249, provides a survey of the develop-
Dunhuang in the east. In a wider sense, it also refers to the
ment of religion in Cambodia. Adhémard Leclère’s classic
former Soviet republics, now independent states, of Middle
study, Le bouddhisme au Cambodge (Paris, 1899) remains the
Asia, generally known as Western Turkestan, and to the
standard work. The classic study of Vietnamese religion is
whole Tibetan plateau in the south. Here it is meant to in-
Leopold Michel Cadière’s Croyances et pratiques religieuses des
clude Eastern Turkestan, i.e., the present Xinjiang Uighur
Viêtnamiens, 3 vols. (Saigon, 1955–1958), but more accessi-
Autonomous Region in the People’s Republic of China, and
ble is the brief sketch in the trilingual volume by Chanh-tri
those parts of the Middle Asian republics where traces of
Mai-tho-Truyen, Le bouddhisme au Vietnam, Buddhism in
Buddhism have been found.
Vietnam, Phat-giao Vietnam (Saigon, 1962). Thich Thien-
An’s Buddhism and Zen in Vietnam in Relation to the Develop-
During the period of its maximum spread, Buddhism
ment of Buddhism in Asia, edited by Carol Smith (Los Ange-
became a major religious and cultural factor not only in India
les, 1975), studies the development of Buddhist schools from
and in East and Southeast Asia, but also in Afghanistan and
the sixth to the seventeenth century. Thich Nhat-Hanh’s
in large parts of Central Asia. In the northwest, it reached
Vietnam: Lotus in a Sea of Fire (New York, 1967) puts the
Merv in present-day Turkmenia, Termez at the southern
Buddhist situation in the 1960s into historical perspective.
border of Uzbekistan, and Qurg˙an-tübä in southern Tadjiki-
Interested readers may also wish to consult the following works:
stan. Although written sources and excavations attest to its
Heinz Bechert’s three-volume study, Buddhismus, Staat und
presence even farther north, for instance in Samarkand, in
Gesellschaft in den Ländern Therava¯da-Buddhismus (Frank-
Quva¯ near Fergana, and in Aq Beˇsim near Frunse, in these
furt, 1966–1973); Religion in South Asia, edited by Edward
B. Harper (Seattle, 1964), especially the articles by Michael
areas it did not gain the popularity it did south of the Amu
Ames and Nur Yalman; and Religion and Progress in Modern
Darya (Oxus). Following old trade routes, monks and mer-
Asia, edited by Robert N. Bellah (New York, 1965).
chants brought Buddhism from the northwest of the Indian
subcontinent into Central Asia and farther east to China. In
New Sources
Blackburn, Anne. Buddhist Learning and Textual Practice in Eigh-
all those regions, it was the vigorous spread of Islam that fi-
teenth-Century Lankan Monastic Culture. Princeton, 2001.
nally replaced the various other religious movements, to the
extent that Buddhism disappeared from western Central Asia
Collins, Steven. Nirva¯n:a and Other Buddhist Felicities: Utopias of
the Pali Imaginaire. Cambridge, 1998.
before the turn of the millennium and was continually driven
back in the east. From about the fifteenth century, followers
Gombrich, Richard, and Gananath Obeyesekere. Buddhism
of Buddhism were no longer found, and therefore a descrip-
Transformed: Religious Change in Sri Lanka. Princeton, N.J.,
1988.
tion of its history is now based on archaeological remains and
on such historical sources as, for instance, the travel accounts
Holt, John. Buddha in the Crown: Avalokite´svara in the Buddhist
of the Chinese Indian pilgrims Faxian (fifth century), Xuan-
Traditions of Sri Lanka. Oxford, 1991.
zang (seventh century), Huizhao (eighth century), and oth-
Holt, John C., Jacob N. Kinnard, and Jonathan S. Walters, eds.
ers. These written sources are few, and it is mainly such im-
Constituting Communities: Therava¯da Buddhism and the Reli-
gious Cultures of South and Southeast Asia. Albany, 2003.
pressive monuments as the two stone statues of the standing
Buddha in Ba¯miya¯n, formerly 174 and 115 feet (53 and 35
Klima, Alan. The Funeral Casino: Meditation, Massacre and Ex-
meters) high (but in 2001 destroyed by the Taliban), or large
change with the Dead in Thailand. Princeton, N.J., 2002.
cave monasteries like Dunhuang with its overwhelming
Strong, John. The Legend and Cult of Upagupta: Sanskrit Bud-
wealth of fascinating wall paintings, which bear witness to
dhism in North India and Southest Asia. Princeton, N.J.,
the former splendor and importance of Buddhism, as no
1992.
traces of it are preserved in the present-day cultures of the
Swearer, Donald K. The Buddhist World of Southeast Asia. Albany,
area.
1995.
Tannenbaum, Nicola. Who Can Compete Against the World?
Although an ever-growing number of publications,
Power-Protection and Buddhism in Shan Worldview. Ann
mainly on the Buddhist art and literature of the region, con-
Arbor, 1996.
tinues to appear, the history of Buddhism in Central Asia 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
BUDDHISM: BUDDHISM IN CENTRAL ASIA
1145
mains fragmentary. One of the basic difficulties is that Cen-
beginning of the common era, when another great empire
tral Asia never formed a political unity during the first
arose in the northwest and guaranteed an enduring period
millennium CE. A multitude of ethnic groups faced frequent
of peace and stability. In the first century CE, the dynasty of
changes of the ruling powers, and powerful neighbors like
the Kushans united the northwest and established an empire
the Sassanids in the west, the Tibetans in the south, or the
that included Afghanistan and reached from Bactria into
Chinese in the east continually sought to establish political
northern India and Eastern Turkestan. Trade routes became
and economical influence, often by force and military cam-
safe and allowed long-distance trade that facilitated the ex-
paigns. Nomadic tribes from the northern steppes often in-
change and spread of both material and non-material cultur-
vaded the area, sometimes causing considerable destruction,
al goods. Like A´soka before him, Kanis:ka the Great (first half
as in the case of the White Huns (Hephtalites) on their way
of the second century CE), the most important ruler of the
through Afghanistan to India, but sometimes becoming sed-
Kushan dynasty, is described as a devoted supporter of Bud-
entary and adopting the local cultures, as in the case of the
dhism in Buddhist sources. No external indications are pre-
Uighurs. Powerful empires like those of the Kushans, Tang-
served that could confirm the Buddhist picture of Kanis:ka,
dynasty China, or imperial Tibet never succeeded in bring-
as the inscriptions do for A´soka, but he appears to have built
ing the whole of Central Asia under their sway. Buddhism
stupas and a monastery near Ka¯pi´s¯ı (Begram). Although the
offered one of the few uniting elements of the area. However,
Kushan rulers also supported other religions, the tradition
Buddhism itself did not appear as a uniform phenomenon,
connected with Kanis:ka suggests that Buddhism flourished
but was spread in various forms and school traditions and
under the Kushans. Within the varied pantheon depicted on
thereby contributed to the diversity of the whole picture.
his coins, there is also the figure of a standing Buddha. As
The situation of the various cultures, especially in the oasis
far as datable archaeological remains are preserved, only very
towns along the Silk Road, must have been very complex and
few monasteries seem to go back to this period, which hints
is probably best characterized by the modern term “multicul-
at the possibility that institutionalized Buddhism was less
tural.” Members of very different ethnic groups and cultures-
widespread than is often supposed.
Chinese, Indians, Sakas, Sogdians, Tibetans, Tocharians, Ui-
A
ghurs, to name only the most important ones-lived together
RT. As an extremely important innovation, the representa-
tion of the Buddha in human form was created during the
and followed various different religious traditions, including
reign of the Kushan dynasty. Previously, the Buddha had
Buddhism, Manichaeism, Zoroastrianism, Nestorian Chris-
been represented in art only aniconically, for instance by a
tianity, while the ethnic borders were never identical with
wheel to symbolize the first teaching. It is still a matter of
linguistic, religious, or political borders.
debate whether the first Buddha figure was created in
BEGINNINGS. Buddhism reached Central Asia from the
Mathura¯ in northern India or in Gandhara, a region in
northwest of the Indian subcontinent. Its spread into Af-
northern Pakistan, but many scholars now believe that the
ghanistan must have begun not later than the third century
step from aniconic to iconic representation was taken in
BCE when the Indian dynasty of the Mauryas, and especially
Gandhara. By fusing Greco-Roman forms with Indian con-
their most important ruler A´soka (c. 268–233 BCE), suc-
tents, artists in Gandhara created a distinctive style that in-
ceeded in uniting major parts of India and advancing the
fluenced Indian art and became the model for Buddhist art
northwestern border of their empire up to Kabul and
in Central and East Asia. It is well known that Apollo served
Kandaha¯r in Afghanistan. This extension is well documented
as a model for the Buddha, as did Herakles for Vajrapa¯n:i,
by the famous stone inscriptions placed by A´soka in various
a non-human attendant of the Buddha, or Tyche/Fortuna
parts of the empire. Such inscriptions are preserved in north-
for the goddess Ha¯rit¯ı. Greeks had been living in Bactria and
west Pakistan (in Sha¯ba¯zgar:h¯ı and Ma¯nsehra¯) and in Af-
Gandhara since the Indian campaign of Alexander the Great
ghanistan (in Kandaha¯r, in Lampa¯ka, and at the river
in the fourth century, and the influence of Hellenistic, and
Laghma¯n). The inscriptions suggest that A´soka supported
then Roman, culture continued until the first centuries CE.
the various religious movements in his empire, but especially
Buddhism, to which he appears to have been personally in-
Gandharan art attests to the importance of the cult of
clined. Since in Buddhist scripture he is depicted as one of
bodhisattvas, probably Siddha¯rtha (the Buddha before his en-
the foremost supporters of the faith, it may be concluded that
lightenment) and definitely Maitreya (the future Buddha),
the development of Buddhism, from an ascetic movement
but despite an overwhelming richness of surviving sculp-
mainly situated in northeast India to a universal religion, ac-
tures, there are very few that can be indisputably connected
celerated during his reign and that the political stability
with Maha¯ya¯na Buddhism and its specific Buddhas and bo-
achieved by the Mauryas favored its spread, especially along
dhisattvas.
the trade routes.
THE KUSHANS. The Kushans adopted Bactrian, a Middle
Apart from these inscriptions, very few traces of the
Iranian language, for their coins and for inscriptions, but
presence and spread of Buddhism during that period remain.
they also used Gandhari, a Middle Indian language written
Well-known is the Dharmara¯jika stupa in the old town of
in Kharos:t:h¯ı script, for administrative purposes. Kushan in-
Taxila, a large excavation in Pakistan; the stupa is dated to
fluence extended well into Central Asia and administrative
the time of the Mauryas. This situation changed around the
documents written in Gandhari and dating from the period
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1146
BUDDHISM: BUDDHISM IN CENTRAL ASIA
between 200 and 320 have been found in the kingdom of
comes the Pra¯timoks:asu¯tra, the confession formulary of the
Shan-shan (Kroraina), which stretched from the Niya River,
Buddhist monks. The number and order of its rules are
a short distance east of Khotan as far as Lob Nor. At the same
school-specific, and the frequency of this text serves as one
time, Gandhari was the language used by the Dharmagup-
of the main arguments for determining the school affiliation
takas, a school of mainstream Buddhism. Translations of
of the monasteries along the northern route. Fragments of
scriptures of this school into Chinese are known from the be-
the corresponding text for the Buddhist nuns point to the
ginning of the fifth century, but until recently only one text
possible existence of nunneries, but the fragments are very
was known in its Indian original, the famous manuscript of
few and none of the spots where they were found have been
the Dharmapada, found more than a hundred years ago in
proven to be convents for nuns. Besides works from the
Khotan and probably to be dated to the second or third cen-
Sarva¯stiva¯da Vinaya (the collection of rules of the Buddhist
tury CE. Since the 1990s, however, a steadily growing num-
order), a few from that of the Mu¯lasarva¯stiva¯dins have also
ber of Dharmaguptaka texts has been found in Afghanistan.
been found, and altogether three texts from the canon of the
They attest to the importance of this school in the Kushan
Dharmaguptakas. Interestingly enough, the latter are no lon-
Empire, and they support the thesis that the Dharmagup-
ger written in Gandhari, but in Sanskrit, apparently under
takas were among the first to bring Buddhism to the south
the influence of the Sarva¯stiva¯dins. A certain number of frag-
and east of Central Asia.
ments of Maha¯ya¯nasu¯tras has come to light, but they belong
to no more than thirty manuscripts, most of which have been
Another school of mainstream Buddhism apparently
found in the oases of Sˇorcˇuq and Toyoq farther east.
flourishing in the Kushan Empire was that of the
Sarva¯stiva¯dins. Originally, they also must have used a Middle
Khotan, on the contrary, must have been an a leading
Indian language, but they adopted Sanskrit for their com-
center of Maha¯ya¯na Buddhism, since nearly all of the San-
mentaries and their poetical literature and then gradually
skrit texts found there belong to su¯tras of the “Great Vehi-
sanskritized their canonical literature. They spread mainly
cle.” The precise date of Buddhism’s initial establishment in
along the northern route of the Silk Road, and the cave
Khotan is unknown. According to Chinese sources, there
monasteries in the oases of Kucˇa¯, Karaˇsahr and Turfan be-
was a Buddhist community in Khotan by the second century
came strongholds of the Sarva¯stiva¯da. It is difficult, if not im-
CE. Zhu Shixing, who studied Prajña¯pa¯ramita¯ literature in
possible, to date this process. An Shigao, the first known
the Chinese city of Luoyang in the third century, went west
translator of Buddhist texts into Chinese active around 140
in search of the Pañcavim:´satisa¯hasrika¯-prajña¯pa¯ramita¯-su¯tra,
CE, apparently used Sarva¯stiva¯da versions, but he came from
which he found in Khotan. Moks:ala, who translated this
Parthia in the west of Central Asia. A large amount of manu-
work into Chinese in 291, was a Khotanese, and another
script fragments has been found in the monasteries along the
Khotanese, G¯ıtamitra, took a copy of the same text with him
northern route, and the oldest of them date to the second
to the Chinese capital Chang’an in 296. Thus, Khotan was
century CE, but these are palm-leaf manuscripts imported
already a well-established center of Maha¯ya¯na studies in the
from India. The oldest Sanskrit manuscripts actually written
third century. None of the manuscripts found in Khotan,
in Central Asia probably date to the fifth century; they are
however, belongs to this early period. Most of them date
written on paper, a material introduced from China, but not
from the seventh to the tenth centuries, and they contain ei-
used in India and Afghanistan at that time.
ther Sanskrit texts or translations from Sanskrit into Kho-
FORMS OF BUDDHISM. The spread and distribution of vari-
tanese, an Iranian language. Common are manuscripts of the
ous forms of Buddhism in Central Asia has to be reconstruct-
Prajña¯pa¯ramita¯su¯tras, the Suvarn:abha¯sottamasu¯tra, the
ed from the manuscript finds and the reports of the Chinese
Sam:gha¯t:asu¯tra, and the ubiqitous Saddharmapun:d:ar¯ıkasu¯tra,
pilgrims to India. The evidence suggests a clear divide be-
which, amazingly, was never translated into Khotanese.
tween Buddhism on the northern and southern branches of
One of the most famous manuscripts from Central Asia
the Silk Road. Between Kashgar at the western end of the
is the so-called Kashgar manuscript of the Saddharma-
Tarim Basin and Anxi at its eastern end the Silk Road divid-
pun:d:ar¯ıkasu¯tra. Originally, it comprised 459 leaves, 447 of
ed into two routes, which followed the mountain ranges
which are preserved in full or in fragments and are now dis-
from oasis to oasis and skirted the terrible Takla Makan de-
tributed over the collections in St. Petersburg, London, Ber-
sert. The northern route followed the Tianshan and connect-
lin, Dalian (China), and New Haven, a not-at-all uncharac-
ed the oases of Tumˇsuq, Kucˇa¯, Karaˇsahr, Turfan, and Hami,
teristic example of the fate of many manuscript finds,
while the southern route led along the Kunlun to Khotan
especially those from Khotan and from Dunhuang.
and then on to Niya, Mira¯n, and Dunhuang. Most of the
LANGUAGES. Indian languages, and from the fifth century
monks in the monasteries on the northern route followed
onwards, only Sanskrit, remained the “church language”
mainstream Buddhism in the form of the Sarva¯stiva¯da
(Nattier, 1990) in Central Asia, and the percentage of Indian
school. The overwhelming majority of Sanskrit manuscripts
texts among the literature is absolutely remarkable. In the
found there belongs to the canonical and postcanonical liter-
western part, in Bactria, Sogdiana, and Afghanistan, no
ature of the Sarva¯stiva¯dins. The work represented by the larg-
translations into any of the vernaculars have been found so
est number of manuscripts is the Uda¯navarga, a very popular
far. Two Buddhist texts in Bactrian, which came to light
collection of verses allegedly spoken by the Buddha. Next
among the finds from Afghanistan in the 1990s, are possibly
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN CENTRAL ASIA
1147
not translated, but may have been originally composed in
of Zambasta” is devoted to Maitreya. As in the case of
Bactrian. The Sogdians played a very important role in the
Amita¯bha, the most popular meditation Buddha in Central
transmission of Buddhism to the east, since from the third
Asia, an Iranian origin or at least influence has been much
century onwards they took over the long-distance trade and
discussed. Although both figures display certain elements
built up a network of trade posts from Samarkand far into
that are also found with Iranian gods, these elements can just
China. But when they finally started to translate Buddhist
as easily be explained with reference to the Indian back-
scriptures into their own language, they did so not from San-
ground.
skrit originals, but from Chinese. In Eastern Turkestan,
however, the situation was different: Sanskrit texts are found
One of the most important sites in the region is the
side by side with translations into the vernaculars, and they
monastery Qianfo-dong (“caves of the thousand Buddhas”)
remained in use until the end of Buddhism in the area. Texts
near Dunhuang. The Indo-Scythian Dharmaraks:a, one of
in Tocharian, the easternmost Indo-European language,
the great translators of Buddhist texts into Chinese, was born
which have been found mostly in Kucˇa¯, Karaˇsahr, and Tur-
there around 230 CE, and one of his Chinese disciples
fan, belong to the literature of the Sarva¯stiva¯dins and suggest
founded a large monastery there. The caves are famous for
that it was mainly the Tocharians who continued to use the
their excellently preserved wall paintings, but one of them
original Sanskrit texts of that school. Many bilinguals and
contained another surprise for the European scholars who
Sanskrit manuscripts with Tocharian glosses confirm this
came there in the first decade of the twentieth century. The
supposition. To a certain extent, this also holds true for the
local attendant led them to a previously walled-off chamber,
literature of the Uighurs. After the fall of their empire in the
which concealed a sensational collection of manuscripts.
Orkhon Basin further northeast, parts of this Turkish tribe
They had been hidden probably before 1035 when Dun-
had settled from 840 onwards in the oases of Kucˇa¯, Karaˇsa¯hr,
huang was conquered by the Tanguts, since no Tangut texts
and Turfan, but also in Hami and in the Gansu corridor. In
are found there. The chamber contained forty to fifty thou-
Xocˇo in the oasis of Turfan, a Uighur kingdom was estab-
sand manuscripts, most of them Chinese and Tibetan, the
lished, which existed from approximately 850 to 1250. The
latter dating to the eighth and ninth centuries when the Ti-
Uighurs also used Sanskrit, but from the eighth or ninth cen-
betan empire occupied most of Eastern Turkestan. Besides
tury onwards they translated a growing number of texts,
the Chinese and Tibetan manuscripts, the library included
mostly of Maha¯ya¯na affiliation, from Chinese into Uighur.
texts in Uighur, Sanskrit, Tocharian, Khotanese, and Sogdi-
an (in the last two cases most of what survives in these lan-
INDIGENOUS DEVELOPMENTS. Very different from the devel-
guages was found at Dunhuang).
opment in China, and later in Tibet, it appears that none of
the Central Asian forms of Buddhism succeeded in establish-
Although the Tibetan texts from Dunhuang are of sin-
ing an important indigenous literary tradition based on the
gular importance for the early history of Tibet, the Tibetan
received canonical literature. There are very few independent
occupation made little mark on Central Asian Buddhism.
works in the vernaculars; a famous example is a work in Kho-
Only the Uighurs translated Buddhist texts from Tibetan
tanese, provisionally called the “Book of Zambasta” after the
into their own language, but when they started to do so it
person who commissioned it, a voluminous verse-summary
was after the turn of the millennium and at a time when
of Buddhism, which probably dates from the seventh centu-
Tibet had long lost all political influence in Central Asia.
ry. Remarkably enough, its author complains that “The Kho-
This was very different with Chinese Buddhism. During the
tanese do not value the [Buddhist] Law at all in Khotanese.
first centuries CE, it was mainly monks from Central Asia
They understand it badly in Indian. In Khotanese it does not
who brought the new religion to China and who became in-
seem to them to be the Law. For the Chinese the Law is in
strumental in acquainting the Chinese with Buddhism by
Chinese. . . . To the Khotanese that seems to be the law
translating the texts. Without such outstanding figures like
whose meaning they do not understand at all” (Emmerick,
the famous Kuma¯raj¯ıva, Buddhism would probably never
1968, p. 343ff.). This clinging to Sanskrit as the authorita-
have made a lasting impact on Chinese culture. As a son of
tive medium of religious literature may have been one of the
an Indian father and a local princess, Kuma¯raj¯ıva was born
reasons for the comparatively small number of indigenous
in Kucˇa¯ and brought to Chang’an at the beginning of the
works in the vernaculars.
fifth century. With him, a new translation technique was de-
veloped, which finally succeeded in presenting Buddhism in
One of the most important works from the northern
a literary form acceptable to Chinese taste. From the time
route is the Maitreyasamitina¯t:aka, the “dramatical descrip-
of the Tang dynasty, however, the relationship was partly re-
tion of the meeting with [the future Buddha] Maitreya” in
versed. Buddhist literature was no longer imported from
twenty-seven chapters. Although the text pretends to be of
Central Asia; instead, Chinese translations of what were orig-
Indian origin, it was probably composed in Karaˇsa¯hr in To-
inally Indian texts were now translated into Khotanese, Sog-
charian and then translated into Uighur under the title
dian, and Uighur.
Maitrisimit. It attests to the important position of the cult
of Maitreya in Central Asian Buddhism. This cult was prac-
In the western part of Central Asia, Buddhism had prac-
ticed equally by followers of mainstream and of Maha¯ya¯na
tically disappeared by the end of the first millennium.
Buddhism, and significantly a whole chapter of the “Book
Around 950, it came to an end in Khotan when the rulers
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1148
BUDDHISM: BUDDHISM IN MONGOLIA
decided to embrace Islam. Only on the northern route of the
BUDDHISM: BUDDHISM IN MONGOLIA
Silk Road did Buddhism survive for a few more centuries,
Buddhism in Chinese, Central Asian, Ka¯´smiri, and Tibetan
although it must already have been in decline at that time.
forms influenced Mongolia’s ancient and medieval nomadic
Around the end of the fifteenth century, at the latest, it final-
empires in varying degrees. From 1580 to 1920 Tibetan-
ly disappeared from the Turfan oasis when the ruler of Xocˇo
style Buddhism dominated Mongolia and touched every as-
withdrew his support of the local monks.
pect of life. Communist antireligious campaigns destroyed
this hegemony, but after 1985 liberalization led to a renewed
religious revival. The Mongolian plateau can be divided into
BIBLIOGRAPHY
Mongolia proper (Outer Mongolia, now the independent
To date, a comprehensive history of Buddhism in Central Asia re-
State of Mongolia) to the north, and Inner Mongolia (now
mains a desideratum. Despite its promising title, Boris A.
an autonomous region in China) along the borders of China
Litvinsky, Die Geschichte des Buddhismus in Ostturkestan
proper. From the fourth century on, the Mongolic-speaking
(Wiesbaden, 1999), is utterly disappointing. A survey of the
Xianbi in Inner Mongolia and north China patronized Chi-
history of Eastern Turkestan is given in Luciano Petech’s
nese Buddhism. The Kitans, another branch of the Xianbi,
“The Silk Road, Turfan and Tun-huang in the First Millen-
whose Mongolic language has been partly deciphered, be-
nium A.D.” in Turfan and Tun-huang, The Texts: Encounter
came avid patrons and practitioners of Chinese Buddhism
of Civilizations on the Silk Route, edited by Alfredo Cadonna,
under their Liao dynasty (907–1125). Many rulers of the
pp. 1–13 (Florence, 1992). A very good historical study of
Türk empires, which dominated Mongolia proper from 552
the early phase is still offered by John Brough, “Comments
to 745, also patronized Buddhist monks from the Central
on Third-Century Shan-shan and the History of Buddhism,”
Asian oasis states and from China.
Bulletin of the School of Oriental and African Studies 28
(1965): 582-612 (= Collected Papers. Edited by Minoru
By the twelfth century, Mongolia and Inner Mongolia
Hara, J.C. Wright. London, 1996: 276–307). The history of
were occupied by a variety of Turkic and Mongolic-speaking
the Tibetan influence is treated in Christopher I. Beckwith’s
tribes, and Buddhist influence had virtually disappeared. The
The Tibetan Empire in Central Asia: A History of the Struggle
unification of the plateau by Chinggis Khan (Genghis, r.
for Great Power among Tibetans, Turks, Arabs, and Chinese
1206–1227) and his conquests brought the Mongols again
during the Early Middle Ages. Princeton, 1987.
in touch with Buddhism among the Uighurs of the Central
Asian oases (in today’s eastern Xinjiang) and in northern
Buddhism among single ethnic groups is treated in Hans-Joachim
China. In 1219 Chinggis Khan granted tax exemption to all
Klimkeit’s “Buddhism in Turkish Central Asia,” Numen 37
Buddhist clerics. Buddhism, alongside Christianity, Daoism,
(1990): 53–69; and Georges-Jean Pinault’s “Aspects du
and Islam, became one of the four favored religions of the
bouddhisme pratiqué au nord du désert du Taklamakan,
Mongol empire. Until 1253, the khans chiefly patronized
d’après les documents tokhariens,” Bouddhisme et cultures lo-
Chinese dhya¯na (Zen) monks.
cales, edited by Fumimasa Fukui and Gérard Fussman,
pp. 85–113. Paris, 1994. Jan Nattier’s “Church Language
With the conquest of the Xi (western) Xia or Tangut
and Vernacular Language in Central Asian Buddhism,”
dynasty in northwestern China completed in 1227, the
Numen 37 (1990): 195–219, is a judicious study on the com-
Mongols learned of its long-standing ties with Tibetan Bud-
plex linguistic situation of Buddhist literature. Useful surveys
dhist clerics. In 1240 the Mongols first reconnoitered Tibet
of this literature in the various languages are Johan Elver-
to find a Tibetan cleric. In 1247, the first Tibetan Buddhist
skog, Uygur Buddhist Literature. Turnhout, 1997; Ronald E.
lama came to the court of a Mongol prince. Mongol expan-
Emmerick, A Guide to the Literature of Khotan. 2d rev. ed.
sion also brought contact with Ka¯´smiri monks.
Tokyo, 1992; Klaus T. Schmidt, “Zur Erforschung der to-
charischen Literatur. Stand und Aufgaben,” Tocharisch.
In 1251 a new branch of Chinggis Khan’s family seized
Akten der Fachtagung der Indogermanischen Gesellschaft, ed-
power. Möngke Khan (r. 1251–1259) began actively patron-
ited by Bernfried Schlerath, pp. 239–283. Berlin, 1994; and
izing Tibetan and Ka¯´smiri Buddhist leaders of several differ-
David A. Utz, A Survey of Buddhist Sogdian Studies. Tokyo,
ent lineages. Möngke’s brother Qubilai Khan (r. 1260–
1978. The most detailed general survey is still provided by
1294) made ’Phags pa Lama, of the Tibetan Sa skya pa mo-
Lore Sander, “Buddhist Literature in Central Asia,” Encyclo-
nastic order, the chief cleric of the empire. From then on,
paedia of Buddhism, edited by G. P. Malalasekera, vol. 4,
the imperial family of the Mongols in China, as well as many
pp. 52–75. Colombo, Sri Lanka, 1979. This article, howev-
aristocratic Mongol clans, regularly received tutoring and
er, contains many inaccuracies of detail and must be used
Tantric initiations from Sa skya pa and other Tibetan Bud-
with caution. There are a vast number of either very general
dhist hierarchs.
or very detailed studies of Buddhist art in Central Asia, but
no comprehensive account. This gap is only partly filled by
The Mongols adopted the Uighur script under Chinggis
Marianne Yaldiz, Archäologie und Kunstgeschichte Chinesisch-
Khan. In the late thirteenth and early to mid-fourteenth cen-
Zentralasiens (Xinjiang). Leiden, 1987. See also R. E. Em-
turies, the Mongols in China sponsored many Buddhist
merick’s The Book of Zambasta (London, 1968), pp. 343ff.
translations. Although the translations were generally made
from Tibetan texts, the translators were strongly influenced
JENS-UWE HARTMANN (2005)
by Uighur Buddhist terminology. The translations of Chos-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN MONGOLIA
1149
gi-Odsir (fl. 1307–1321) were particularly famous. A Nepa-
more tenacious, but by 1800 it survived in institutionalized
lese artist, Aniga (1244–1278), invited to Qubilai’s court,
form only on the eastern and northern fringes of the Mongo-
began a school of Nepalese-influenced Inner Asian Buddhist
lian plateau. From 1800 on, another wave of Dge lugs pa
artwork. Surviving monuments of the era include the White
missionary activity converted many Buriat Mongols in
Pagoda in central Beijing. Mongol princes also patronized
southern Siberia.
other religions and ’Phags pa Lama and succeeding court
During the Second Conversion, noblemen dedicated
chaplains participated in the Mongol ancestral cults main-
their children to monastic life. Monastic institutions rapidly
tained at court. Buddhist clergy served as astrologers and di-
took shape all over Mongolia. In 1639 the son of a Chinggi-
viners.
sid nobleman became the first of the line of Jibzundamba
After 1260, the Mongol dominions in the Middle East,
Khutugtus, the most holy Mongolian Buddhist incarnate
Eastern Europe and Kazakhstan, and in Central Asia broke
lama lineage. This First Jibzundamba Khutugtu, named
away from the power of the great khans in East Asia. The
Zanabazar (1635–1723), also become a major political leader
local Mongol rulers continued to patronize Buddhist monks,
who led the Mongols of Mongolia proper into submission
called baqshi, who were sometimes Tibetan, Ka¯´smiri, or Chi-
to the Manchu Qing dynasty (1636–1912). He was also one
nese, but mostly Uighur. This patronage in the Mongols’
of the great sculptors of the Buddhist artistic tradition.
western domains ceased after successive waves of Islamization
Translation of the Buddhist scriptures culminated in the
from 1295 to 1335.
complete translation of the Tibetan Buddhist canon, first of
the Bka’ ’gyur (the canonical sutras and tantras), in 1628 to
Although the Mongol great khans were expelled from
1629 and then of the Bstan ’gyur (the canonical Indian com-
China in 1368, they continued to rule on the Mongolian
mentaries) in 1749.
plateau in the name of the Chinggisid dynasty. Buddhist
monks were appointed as court chaplains at least through
By the 1830s virtually every aspect of Tibetan monastic
1455, but after that the influence of Buddhism declined.
culture had been transplanted to Mongolia. With only a few
Particularly after the reign of Dayan Khan (1480?–1517?),
exceptions, Mongolian Buddhist services were carried on in
the ancestral cult of Chinggis Khan became the focus of
Tibetan language. In the 1918 census of Mongolia proper,
court religious life.
about 45 percent of the Mongolian male population had re-
ceived some monastic education and hence were considered
From the 1550s on, Mongols expanded into Kökenuur
lamas. Only about a third of these, however, actually lived
(Qinghai) in northeastern Tibet where they again came in
in monasteries as celibate lamas. The rest left the monasteries
contact with Tibetan Buddhist clerics. At the same time,
in their late teens and became married householders, per-
Altan Khan (1508–1582), in Höhhot of modern Inner
forming all normal lay duties. Nuns (chibagantsa) were al-
Mongolia, gave refuge to millenarian Buddhists fleeing per-
most always widows or unmarried older women who took
secution in China. After making peace with China in 1571,
vows; no organized nunneries are known. Incarnate lamas
however, Altan Khan extradited the millenarian leaders and
and major monasteries also had lay subjects, called shabi (dis-
instead turned to Tibetan lamas. The Second Conversion
ciples). Mongolia’s present capital, Ulaanbaatar, developed
that made Mongolia a pervasively Buddhist country began
around the monastery of the Jibzundamba Khutugtu. Other
in 1578 when Altan Khan and the Chinggisid nobility of
major monasteries include Erdeni Zuu in central Mongolia
southwestern Inner Mongolia met the Third Dalai Lama of
and Badgar Juu in Inner Mongolia.
the new Dge lugs pa, or Yellow Hat, order of Tibetan Bud-
dhist monks.
Mongolian Buddhist literature was first nurtured by
translated Indian and Tibetan works. Many Mongolian
In Tibet itself, the passionately convinced Dge lugs pa
scholars wrote in Tibetan on Buddhist philosophy, tantra,
adherents fought fierce opposition in order to purge Bud-
astrology, medicine, and grammar. In the eighteenth centu-
dhism of noncanonical tantras and practices. The embattled
ry, the Third Mergen Gegeen Lubsang Dambi Jalsan (1717–
Dge lugs pa saw the Mongol conversion as a chance to create
1766) designed a Mongolian-language liturgy that incorpo-
a purely Yellow Hat society. Mongol rulers converted to Dge
rated local Mongolian deities and spirits. He also began the
lugs pa Buddhism, destroyed shamanist ancestral figures, and
tradition of writing didactic poetry and devotional songs in
severely punished shamanist sacrifices. As Dge lugs pa mis-
Mongolian; many of his songs are still sung today. This tradi-
sionaries expanded to eastern Inner Mongolia and Mongolia
tion reached its height with the wild poet and incarnate lama
proper during the seventeenth century, they also struggled
Danzin Rabjai (1803–1856).
tenaciously against adherents of older Buddhist orders, par-
ticularly the Sa skya pa. The missionary endeavor of the Dge
Lay Mongolian religious life revolved around a number
lugs pas paid off in 1642 when Güüshi Khan, ruler of the
of cults such as that of the oboo (cairns), the “White Old
western Oirat Mongols (from today’s northern Xinjiang) in-
Man” (tsagan ebügen), and the rituals of the household fire,
vaded Tibet, destroyed the enemies of the Yellow Hats, and
particularly that of the Lunar New Year. Many scholars have
enthroned the Fifth Dalai Lama as Central Tibet’s secular
seen these as “survivals of shamanism,” yet they were com-
and religious ruler. By 1700, non-Yellow Hat Buddhism had
pletely integrated into Mongolian Buddhist practice. In fact,
essentially disappeared from Mongolia. Shamanism was
the oboo cult actually seems to have been introduced 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
1150
BUDDHISM: BUDDHISM IN TIBET
Mongolia from Tibet in the seventeenth to eighteenth centu-
monks are being trained in new religious schools. At the
ries. Poems and sermons addressed to the laity castigated so-
same time, Buddhism faces new competition from evangeli-
cial evils such as hunting, blood sacrifices, alcohol, smoking,
cal Christian missionaries. Among the Buriat Mongols,
and youthful romance, while advocating filial piety, frugali-
Christian missions are much more limited, but Western-
ty, and obedience to authorities in religion and state.
based advocates of non-Dge lugs pa, non-traditional forms
of Buddhism have brought new divisions.
After the Manchu Qing dynasty changed its policy to
sinicizing the Mongols in 1901, the Eighth Jibzundamba
Khutugtu (1870–1924) declared Mongolia proper indepen-
BIBLIOGRAPHY
dent in 1911. Under his theocratic rule from 1911 to 1919,
Atwood, Christopher P. “Buddhism and Popular Ritual in Mon-
golian Religion: A Reexamination of the Fire Cult.” History
clerical privileges in Mongolia expanded to unprecedented
of Religions 36 (1996): 112–139. Challenges the “shamanist
levels. Several monuments of Buddhist architecture were
survival” theory of Mongolian popular religion.
built, including the temple housing the 80-foot high statue
Bawden, C.R., trans. Tales of an Old Lama. Tring, 1997. De-
of Avalokite´svara and the Green Palace.
scribes the monastic life and atmosphere in the period from
In southeastern Inner Mongolia, the Chinese-
1900 to 1921.
influenced writer Injannashi (1837–1892) had sharply criti-
Berger, Patricia, and Theresa Tse Bartholomew, eds. Mongolia:
cized Buddhist lamas for their ignorant and arrogant rejec-
The Legacy of Chinggis Khan. San Francisco, 1995. Intro-
tion of the world. This criticism, reflecting a long-standing
duces Mongolian Buddhist art, focusing on Zanabazar’s
Confucian critique of Buddhism, developed in the early
sculptures. Extensive bibliography.
twentieth century into an anticlerical ethos that pervaded the
Heissig, Walther. The Religions of Mongolia. Translated by Geof-
new schools movement in eastern Inner Mongolia. By con-
frey Samuel. Berkeley, Calif., 1980. Surveys the sixteenth–
trast, many Buriat Mongols of southern Siberia clung strong-
seventeenth centuries’ Second Conversion and aspects of the
ly to Buddhism in resisting Tsarist Russia’s policies of Russi-
popular pantheon from the perspective of “shamanist surviv-
fication and Christianization. After 1917, the lama Agwang
als.” Extensive bibliography.
Dorzhiev (1853–1938) and the secular intellectual Tsyben
Hyer, Paul, and Sechin Jagchid. A Mongolian Living Buddha: Bi-
Zhamtsarano (1881–1942) strongly advocated the compati-
ography of the Kanjurwa Khutughtu. Albany, N.Y., 1983. De-
bility of Buddhism with modern science and socialism.
scribes life in an Inner Mongolian monastery between 1915
and 1949.
In independent Mongolia, a Soviet-supported leftist re-
Lattimore, Owen, and Fukiko Isono. The Diluv Khutagt: Memoirs
gime was installed in 1921. When the Eighth Jibzundamba
and Autobiography of a Mongol Buddhist Reincarnation in Re-
Khutugtu died in 1924, Mongolia was declared a People’s
ligion and Revolution. Wiesbaden, Germany, 1982. Memoir
Republic. In 1929, mass anti-Buddhist campaigns began
of an active figure in the theocratic regime who was later
among the Buriat Mongols of southern Siberia and in Mon-
tried for counterrevolutionary activities in 1930.
golia proper. Popular support for the monasteries remained
Miller, Robert James. Monasteries and Culture Change in Inner
strong and religiously based insurrections in Mongolia in
Mongolia. Wiesbaden, Germany, 1959. Surveys Inner Mon-
1932 forced a temporary reversal. Between 1936 and 1939,
golian Buddhist institutions.
however, pressure from Moscow resulted in the complete de-
Moses, Larry William. Political Role of Mongol Buddhism. Bloom-
struction of institutional Buddhism in Mongolia and Siberia.
ington, Ind., 1977. A useful survey of the antireligious cam-
In Mongolia, perhaps 50,000 lamas were arrested or shot.
paigns, despite the absence of post-1990 revelations.
After 1944 one monastery was reopened in Mongolia
Pozdneyev, Aleksei M. Religion and Ritual in Society: Lamaist Bud-
proper and two in Buriatia. Education of children in reli-
dhism in Late 19th-Century Mongolia. Translated by Alo
Raun and Linda Raun. Bloomington, Ind., 1978. By far, the
gious tenets was prohibited. Lamas were prohibited from
fullest description of clerical life in nineteenth-century Mon-
performing any religious functions outside the monasteries.
golia, by a sympathetic Russian Mongolist.
All lamas were expected to marry. In 1947 the Chinese Com-
munists came to power in Inner Mongolia. After a period of
Zhukovskaia, N.L. “Revival of Buddhism in Buryatia: Problems
and Prospects.” In Anthropology and Archeology of Eurasia 39,
limited religious tolerance, anti-Buddhist persecution began
no. 4 (Spring 2000–2001): 23–47. Describes the conflicts in
there in 1958, which resulted in the destruction of all Bud-
modern Buriat Mongol Buddhism.
dhist institutions after 1966.
CHRISTOPHER P. ATWOOD (2005)
In 1979 liberalization in China allowed Inner Mongo-
lian monasteries to open again. By the 1990s, Buddhist
monasteries again enjoyed a qualified toleration, although
the Communist party still controlled education and public
BUDDHISM: BUDDHISM IN TIBET
discourse. After 1989, the collapse of the Soviet bloc brought
Religion pervades many aspects of Tibetan life and culture,
full religious freedom to Mongolia proper for the first time.
and the dominant, institutional religious system of Tibet is
Old Buddhist monasteries are being rebuilt, often with funds
Buddhism (sangs rgyas kyi bstan pa). The Tibetan Bon reli-
from India, Japan, and the Mongolian government. Child-
gion, in its organized, clerical dimension, is a form of Bud-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN TIBET
1151
dhism whose first human teacher, Ston pa Gshen rab (Tönpa
ness of the Buddha himself. The statue, known as the Jowo
Shenrab), is always referred to by the Bon po as a buddha
(Lord), remains Tibet’s holiest object of pilgrimage. Later ac-
(sangs rgyas) who lived long before S´a¯kyamuni. Bon, like the
counts relate that the monarch also married a Nepalese Bud-
other forms of Buddhism in Tibet, embraces a wide-ranging
dhist princess, Bhr:kut:¯ı, and that, inspired by the devotion
sphere of cultural and religious activity, whose elaborate tra-
of his two foreign queens, Srong btsan sgam po and the inner
ditions of ritual, art, and learning derive from both indige-
circle of his court embraced the Indian religion. Indeed, the
nous sources and the ancient religious matrices of India, Iran,
emperor was regarded in later times as a Tibetan emana-
and China.
tion of the regal bodhisattva of compassionate love,
Avalokite´svara.
Besides the originally “foreign” traditions of Buddhism
and Bon, Tibetan religions embrace a broad range of beliefs,
Though Srong btsan sgam po may have extended some
practices, and specialist practitioners that appear to be of au-
degree of official tolerance to Buddhism, at least in order to
tochthonous origin. These may be found in both Bon po and
accommodate his Chinese bride and her court, it is unlikely
Buddhist settings as well as in some contexts in which sectari-
that the alien faith made much progress in Tibet before an-
an affiliation is left unclear. At issue are the elements of Ti-
other half century or more had passed. In the time of the
betan religious life that constitute what R. A. Stein has called
ruler Khri ’Dus srong (Trhi Düsong, d. 704), a temple was
the “nameless religion,” in preference to the misleading des-
founded in the region of Gling, in far eastern Tibet, perhaps
ignation of “popular religion.” What is at stake here is not
in connection with military campaigns in the southeastern
a distinction between the beliefs of the general populace and
part of the Tibetan Empire, aimed at subjugating the Bud-
those of the religious or social elite. In actual practice, the
dhist kingdom of Nanzhao (in modern Yunnan). Neverthe-
nameless religion, centering on the cults of local divinities
less, it was only during the reign of Khri ’Dus srong’s noted
and spirits, the harmony or conflict between humans, and
successor Khri Lde gtsug btsan (Trhi Detsuktsen, 704–755)
the invisible forces with which they must interact, is the con-
that there is clear evidence of Buddhist advances in central
cern of persons belonging to all strata of Tibetan society, and
Tibet. Once again, it was a Chinese princess who played an
it is in fact almost named Buddhism or Bon, depending
instrumental role in supporting the faith.
upon the contexts in which it occurs. For the purposes of the
present survey, however, the point of focus must be restricted
The princess of Jincheng arrived in Tibet in 710, two
to Tibetan Buddhism as represented in the historical and
years before her then six-year-old husband-to-be was granted
doctrinal traditions of the major Buddhist orders apart from
his regal title. She is said to have been much saddened by the
Bon, with some attention too to the role of Buddhism in Ti-
absence of Buddhist funerary rites for the deceased nobility
betan society overall.
and so introduced the Chinese Buddhist custom of conduct-
T
ing rites for the dead during a period of seven weeks of
IBETAN BUDDHIST BEGINNINGS. It is not clear when, ex-
actly, Tibetans made their first contact with the Buddhist re-
mourning. This practice later gave rise to the belief, famed
ligion. Indigenous tradition holds that in the time of the leg-
in such works as the so-called Tibetan Book of the Dead, that
endary king of the Yar lung principality, Lha Tho tho ri (Lha
forty-nine days intervene between death and rebirth. The
Thotori, c. fourth century CE), Buddhist scriptures and im-
princess also invited to central Tibet Khotanese monks, who
ages miraculously fell onto the palace or else that these ob-
formed the first community of the sam:gha in that land.
jects were carried there by a central Asian Buddhist monk.
However, following the death of the princess in 739, proba-
Though these tales must be considered as legends, it is not
bly due to an outbreak of the plague, there was a sharp anti-
implausible that some knowledge of Buddhism may have
Buddhist reaction, and the foreign monks were expelled.
found its way to Tibet during this late period of its prehistory
The last years of Khri Lde gtsug btsan’s reign were
for the Tibetan plateau was by then surrounded on all sides
marked by grave factional conflict among the nobility, result-
by lands in which Buddhism was well established as a reli-
ing finally in the monarch’s assassination. When his thirteen-
gious and cultural system: Nepal and India to the south,
year-old son was placed on the throne in 755, the factions
China to the east, the Silk Road states to the north, and the
dominating the court were implacably hostile to Buddhism.
Iranian world to the west.
The young emperor, Khri Srong lde’u btsan (Trhi Song-
History proper begins in Tibet with the emperor Srong
detsen, 742–c. 797), nevertheless became imperial Tibet’s
btsan sgam po (Songtsen Gampo, c. 617–649), who politi-
greatest ruler as well as an unparalleled Buddhist benefactor.
cally unified the peoples occupying the Tibetan plateau and
In the monarch’s own surviving edicts, it was written that
whose armies then penetrated deep into the surrounding ter-
during the early years of his reign Tibet faced severe epidem-
ritories. The Tibetan system of writing was also developed
ics, afflicting both humans and livestock. When no other via-
at this time. The emperor’s marriage to the Chinese princess
ble solution appeared, he rescinded the ban on the practice
of Wencheng (d. 678) was accompanied by the installation
of Buddhist rites and matters rapidly turned for the better.
in his capital, Lhasa, of a precious image of S´a¯kyamuni Bud-
As a result, he himself adopted the Buddhist religion and un-
dha brought from China as part of her dowry and said to
dertook to study its teachings in depth. His conversion took
have been originally manufactured in India as an exact like-
place in 762, when he was just twenty years of age.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1152
BUDDHISM: BUDDHISM IN TIBET
It is sometimes thought that the adoption of Buddhism
and schools continued to flourish with royal support. In the
by the Tibetan court pacified the formerly warlike Tibetan
reign of U’i dum btsan (Üdumtsen, popularly known as
people and thus contributed to the decline and fall of the em-
Glang Dar ma [Lang Darma], “Ox Dharma,” 838–842),
pire. Research, however, makes clear that Tibet continued
state sponsorship of the monasteries was reduced or with-
aggressive policies of imperial expansion long after Bud-
drawn, perhaps for fiscal reasons. Later tradition, however,
dhism became a key aspect of Tibetan imperial ideology.
recounts that there was a persecution of Buddhism culminat-
Buddhism, in this context, provided the empire with the
ing in Glang Dar ma’s assassination in 842 by the Buddhist
symbolic means to represent itself throughout its domains
monk Lha lung Dpal gyi rdo rje (Lhalung Pelgi Dorje). The
and to its neighbors as embodying a universal spiritual and
collapse of the Tibetan Empire soon followed, and Tibet re-
political order.
mained without central authority for a full four hundred
Khri Srong lde’u btsan went on to construct Tibet’s first
years. Though much of Buddhist activity was curtailed, some
Buddhist monastery, Bsam yas (Samye, c. 779), and invited
traditions of study and practice nevertheless survived, and
the learned Indian monk S´a¯ntaraks:ita to ordain the first offi-
the Tantric traditions appear actually to have flourished fol-
cially recognized Tibetan Buddhist monks. Henceforth, the
lowing the empire’s fall. Monastic Buddhism, however, vir-
Tibetan Buddhist monastic community adhered to the
tually disappeared in central Tibet for more than a century
Vinaya of the Indian Mu¯lasarva¯stiva¯da order as the basis for
and was preserved among Tibetans solely in what had been
its monastic code. The court also sponsored the translation
the empire’s far eastern districts, in the modern Chinese
of Buddhist canonical scriptures, and the hundreds of texts
provinces of Qinghai and Gansu. It was here, at some time
translated into Tibetan by the imperial translation commit-
during the mid-tenth century, that a young Bon po convert-
tees may be counted among the greatest achievements of the
ed and received Buddhist ordination. Known to posterity as
art of translation in world history. The Tibetan translation
Bla chen Dgongs pa rab gsal (Lachen Gongpa Rapsel), the
canon, later organized into the complementary collections of
“great lama whose spirit was clear,” he later ordained a group
the Kanjur (bka’ ’gyur, “translated scriptures”) and Tanjur
of seekers from central and western Tibet, thus sparking the
(bstan ’gyur, “translated commentaries”), preserves numerous
late-tenth-century monastic revival movement that came to
Indian and Chinese texts now unavailable elsewhere.
be called the “later promulgation of the teaching” (bstan pa
The foundation of Bsam yas is said also to have involved
phyi dar).
the intercession of Padmasambhava, a renowned Tantric
Tibet had now entered a new period of economic and
adept from Od:d:iya¯na in northern India, whose services were
political development and change. Throughout much of the
required to quell the hostile spirits and divinities of Tibet and
Tibetan world, local lords struggled for supremacy, and reli-
to win their allegiance to Buddhism. Together, the king Khri
gious authority was no less contested than temporal power.
Srong lde’u btsan, the monk S´a¯ntaraks:ita, and the adept Pad-
Seekers and adventurers looked for authoritative sources of
masambhava are popularly revered as the trinity of the Tibet-
Buddhist teaching in India and Nepal, traveling there in
an conversion and represent three of the major constituents
search of gurus, scriptures, and esoteric lore. These develop-
of the Tibetan Buddhist world: patron, monk, and Tantric
ments were particularly prominent in western Tibet, where
adept.
the great translator Rin chen bzang po (Rinchen Zangpo,
During the 780s, Khri Srong lde’u btsan’s armies con-
958–1055) was patronized by the devout monarch of the Gu
quered Dunhuang, a major center of Chinese Buddhism.
ge Kingdom, Ye shes ’od (Yeshe-ö), who was concerned to
The Chinese Chan master Moheyan was invited to central
purify Tibetan Buddhism from what he regarded as the cor-
Tibet and became involved in a debate or discussion at Bsam
rupt forms of Tantrism that had emerged during the post-
yas with S´a¯ntaraks:ita’s disciple, the Indian philosopher
imperial period. At the royal monastery of Tho ling, one of
Kamala´s¯ıla. Their debate may well have led to a draw, but
a number of religious establishments newly founded in Gu
later tradition reviles Moheyan as representing an irrational
ge’s domains, a translation academy was created, where Indi-
doctrine of mystical intuition and regards Kamala´s¯ıla’s em-
an Buddhist scholars were invited to collaborate with Rin
phasis upon the gradual cultivation of the virtues of a bodhi-
chen bzang po and his disciples. The Tibetan Buddhist trans-
sattva as the enduring paradigm to be emulated by Tibetan
lations, particularly of Tantric materials, produced from this
Buddhists. The Tibetan occupation of Dunhuang in any
time on became known as the “new translations” (gsar ’gyur)
event broadened Tibet’s relations with Chinese Buddhism.
in contradistinction to the “former translations” (snga ’gyur),
The preservation there of numerous Tibetan manuscripts,
whose Tantric texts some believed to be apocryphal or cor-
which first became known in Europe through the work of
rupt. Tho ling continued to flourish long after Ye shes ’od’s
the British explorer Marc Aurel Stein in 1907, provides the
decease, and in 1042 his successor Byang chub ’od (Chang-
richest source of Tibetan documentation for the religious life
cup-ö) invited the renowned Bengali scholar and adept
of the late first millennium.
D¯ıpam:kara´sr¯ıjña¯na, known to posterity as At¯ı´sa, to teach
DECLINE AND RENAISSANCE. Under Khri Srong lde’u btsan’s
there. Three years later At¯ı´sa traveled to central Tibet, where
successors, Khri Lde srong btsan (r. 804–815) and Khri Ral
he continued to augment his Tibetan following until his
pa can (Trhi Relpacen, r. 815–838), Buddhist monasteries
death at Snye thang, not far from Lhasa, in 1054.
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BUDDHISM: BUDDHISM IN TIBET
1153
Ati´sa appears in Tibetan accounts to have been an en-
monastic traditions stemming from the indigenous tenth-
thusiastic, generous, and saintly teacher, austere but at the
century monastic revival. But after years of study in Nepal
same time humorous and good-natured, learned but more
and India, he established his own monastic center and trans-
concerned with the quality of practice than with scholarship
lation academy at Myu gu lung (Nyugulung), where he col-
per se. His successors, above all those affiliated with the line
laborated with the Indian Tantric master Gayadhara. His
of his lay disciple ’Brom ston Rgyal ba’i ’byung gnas (Drom-
most renowned contribution to later Tibetan Buddhism was
tön, 1004–1064), came to be known as Bka’ gdams pa (Ka-
the transmission of a system of Tantrism and yoga based
dampa), “adherents of the scriptures and precepts,” the first
upon the Hevajratantra that came to be the central esoteric
such named Tibetan Buddhist order. ’Brom ston founded
tradition of the Sa skya pa (Sakyapa) order, founded by the
the seat of the order at the monastery of Rwa sgreng (Reting),
aristocratic ’Khon (Khön) household in 1073.
to the north of Lhasa, in 1057. Buddhist philosophical edu-
Among those who studied with ’Brog mi was Mar pa
cation came to flourish at some Bka’ gdams pa centers as
Chos kyi blo gros (Marpa, 1012–1096), who was sent to
well. Especially notable in this regard was the monastery of
study translation when his parents found him otherwise im-
Gsang phu (Sangphu), founded in 1071, where Rngog Blo
possible to control. Eventually he rebelled against his teach-
ldan shes rab (Ngok Loden Sherab, 1059–1109) established
er’s exactions, for ’Brog mi’s tutelage did not come cheap,
a formal curriculum emphasizing debate and scholastic
and set out to make his own way among the celebrated mas-
study, which formed the model for all later Tibetan monastic
ters of India. Famed as the leading Tibetan successor of the
education.
renowned Indian siddhas Na¯ropa and Maitr¯ıpa, he attracted
The renewal of Buddhist activity was marked by inter-
many disciples, who, with their successors, came to be
mittent tensions due to a variety of factors: competing lines
known as Bka’ brgyud pa (Kagyüpa), “adherents of the oral
of transmission, regional and clan affiliations, relations be-
lineage.” Most famous among them was Mi la ras pa (Milare-
tween preexisting Tibetan Buddhist traditions and newly im-
pa, 1040–1123), the great Tibetan mystical poet. The latter’s
ported Indian teachings, orientations favoring monastic
disciple Sgam po pa (Gampopa, 1079–1153) sought to har-
scholarship versus Tantrism and yoga, and competition for
monize the esoteric teachings of Mar pa’s tradition with the
patronage among them. It was in this setting that the guru,
ethical instructions of the Bka’ gdams pa, thus “mingling the
or lama (bla ma), began to emerge as a focal point of religious
two streams.” The several monastic orders of the Bka’ brgyud
and political authority. Though foreigners have sometimes
pa stem from among his disciples and played an important
followed the Chinese in using the word lama to refer to Ti-
role in later Tibetan religious and political life.
betan monks in general, it is a term that retains for Tibetans
The new infusion of Indian Buddhist teaching during
a special reference to the religious teacher who guides the
this period gave rise to a large number of new Tibetan Bud-
spiritual life of the individual and often the practical life of
dhist sects and schools, focusing on both philosophical and
the community as well.
Tantric teachings. At the same time, the reassertion of the
Bon and Rnying ma pa (Nyingmapa) traditions was ad-
Despite the reticence evinced by some factions toward
vanced by means of rediscovered “treasures” (gter ma), texts,
aspects of Tantrism, particularly ritualized sex and violence,
and religious objects said to have been cached by famous
it was precisely during this same period that new efforts were
teachers in ancient times and now recovered. Among the
made to translate and transmit Buddhist Tantric traditions.
Rnying ma pa, their concealment was mostly attributed to
These efforts moreover reflected important changes within
Padmasambhava. By means of their revelation, Nyang ral
the Indian Buddhist Tantrism itself: roughly, a shift to sys-
Nyi ma ’od zer (Nyangrel Nyima Özer, 1124–1196) and the
tems emphasizing internal yoga over external ritual, which
later “treasure revealers” (gter ston) elaborated an abundant
were often strongly eroticized in symbolism and sometimes
and influential body of ritual, historical, and legendary litera-
in practice as well. Indian Tantric adepts active at this time
ture. Here the memory of the Tibetan Empire of the seventh
claimed to possess particularly efficacious means for the swift
to ninth centuries is transformed to become a national reli-
attainment of spiritual powers of various kinds, including
gious myth in which the emperor Srong btsan sgam po fig-
and culminating in enlightenment. Hence, the claims on the
ures as the worldly presence of the bodhisattva Avalokite´svara
part of Tibetan masters to continue the authoritative trans-
and his Chinese and Nepalese brides as that of the savioress
mission of such esoteric knowledge in Tibet came to play a
Ta¯ra¯. Padmasambhava himself is now transfigured to be-
special role in authenticating new sources of power, prestige,
come the “Precious Guru” (Gu ru Rin po che) of the Tibetan
and authority.
people overall. A famous later example of the gter ma litera-
Though the age of the new Tantric translations is gener-
ture is the so-called Tibetan Book of the Dead, the book of
ally said to have begun with Rin chen bzang po, it is one of
“liberation by hearing in the intermediate state” (Bardo Thö-
his junior contemporaries who is regarded as the first great
dröl). This fourteenth-century revelation reflects in part the
proponent of these innovative forms of Indian Buddhist
ancient Tibetan religious concern with the safe passage of the
Tantrism. ’Brog mi S´a¯kya ye shes (Drokmi, 993–1050) was,
deceased.
like most who entered the sam:gha in Tibet during the late
LATER DEVELOPMENTS. In 1204 the Kashmiri scholar
tenth century and early eleventh century, ordained within
S´a¯kya´sr¯ı arrived in Tibet with a retinue of learned followers.
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1154
BUDDHISM: BUDDHISM IN TIBET
Their visit did much to catalyze a new enthusiasm for Indian
practice, relations between his disciples and some representa-
scholarship. Kun dga’ rgyal mtshan (Kunga Gyaltsen, 1182–
tives of the older orders grew increasingly contentious. The
1251), an heir to the ’Khon family of Sa skya and later famed
fifteenth and sixteenth centuries witnessed intensive doctri-
as Sa skya Pan:d:ita, was among those inspired to devote him-
nal debate between the Dge lugs pa and their Sa skya pa and
self to the advancement in Tibet of Indian intellectual tradi-
Bka’ brgyud pa rivals.
tions. Contemporaneously, much of Eurasia experienced the
The connection between Tibetan Buddhism and impe-
devastating upheaval of the Mongol conquest, which had
rial China, which had been formed under China’s Mongol
begun with the rise of Chinggis Khan (d. 1227). By the end
rulers during the Yuan dynasty, did not come to an end after
of the third decade of the century, prophecies began to ap-
that dynasty fell in 1368. An example may be found in the
pear warning of an impending Mongol attack on Tibet.
relationship between one of the greatest Ming emperors,
These proved true when in 1239 an army commanded by
Yongle (r. 1403–1424), and the fifth Karma pa hierarch De
Dorta the Black swept into central Tibet, sacking the temple
bzhin gshegs pa (Dezhinshekpa, 1384–1415). Though the
of Rwa sgreng. The Mongols, however, withdrew without
Ming dynasty is often regarded as a period of Karma pa dom-
consolidating their rule in Tibet. In 1246 Sa skya Pan:d:ita
inance in Sino-Tibetan affairs, the Ming emperors were by
embarked on a mission to the Mongol ruler, Godan Khan,
no means exclusive in their allegiance to a single Tibetan
and remained among the Mongols until his death. His visit
school. Tsong kha pa’s disciple, Byams chen Chos rje (Jamc-
established a precedent for Mongol relations with Tibet and
hen Chöje, 1352–1435), for instance, who established Se ra
for the eventual adoption of Buddhism by the Mongols. Sa
Monastery near Lhasa in 1419, traveled to the Chinese capi-
skya Pan:d:ita’s nephew ’Phags pa (Phakpa, 1235–1280) later
tal and enjoyed an enthusiastic reception at the court, where
became the Tibetan preceptor of Kublai Khan. As the preem-
he was showered with honors and gifts.
inent Tibetan clergyman in the eastern Mongol Empire (the
Chinese Yuan dynasty), he would be instrumental in the es-
Throughout the fifteenth century, Tsong kha pa’s suc-
tablishment of Sa skya pa preeminence in Tibet under the
cessors continued to found important new monastic estab-
Mongols.
lishments, gathering the patronage and support of leading
princes and powerful families. One of those who succeeded
Members of non–Sa skya pa orders also maintained rela-
in this way was Dge ’dun grub (Gendündrup, 1391–1474),
tions with the Mongol lords: examples are the second Karma
founder of the Bkra shis lhun po (Tashi Lhünpo) monastery
pa hierarch, Karma Pakshi (1206–1283), and his successor,
in Gtsang (Tsang) province. This had significant political
Karma pa III Rang byung Rdo rje (Rangjung Dorje) (1284–
ramifications during the seventeenth century, when the rul-
1339). The Karma pas, who headed one of the prominent
ers of Gtsang came to favor the Dge lugs pa’s rivals, above
Bka’ brgyud pa orders, were instrumental in creating Tibet’s
all, the Karma pas. Dge ’dun grub and his successor, Dge
unique form of ecclesiastical succession, in which a child is
’dun rgya mtsho (Gendün Gyatso, 1476–1542), were, how-
identified as the reborn emanation (sprul sku) and legal heir
ever, primarily famed for their learning and sanctity, and
of a deceased master. During the period of the Mongol–Sa
under their guidance Bkra shis lhun po soon became the pre-
skya pa hegemony, Tibetan Buddhist scholastic philosophy
eminent Dge lugs pa institution in Gtsang and the base for
also came into flower, thanks in part to Sa skya Pan:d:ita’s ex-
the expansion of the order throughout western Tibet.
ample. The many famous figures active during this period
included the Bka’ gdams pa scholiast Bcom ldan rig ral
During the sixteenth century, important powers in cen-
(Comden Raldri, early fourteenth century), the celebrated
tral Tibet were allied with the Dge lugs pa, while the kings
canonical editor Bu ston (Butön, 1290–1364), the promul-
of Gtsang in the west supported hierarchs of the Bka’ brgyud
gator of the Jo nang pa (Jonangpa) order’s controversial “ex-
pa, Jo nang pa, and other orders. Dge ’dun rgya mtsho’s suc-
trinsic emptiness” (gzhan stong) doctrine, Dol po pa (1292–
cessor, Bsod nams rgya mtsho (Sonam Gyatso, 1543–1588),
1361), and the redactor of the Great Perfection system,
at this time became a missionary to the Mongols, and on
Klong chen Rab ’byams pa (Longchen Rabjampa, 1308–
winning the allegiance of the chieftain Altan Khan (1578)
1363).
of the Tumed tribe, he received the Mongolian title Dalai
Lama (oceanic guru). Because the title was bestowed posthu-
Toward 1350, under the leadership of Ta’i Si tu Byang
mously on his predecessors, he became the third in the line.
chub rgyal mtshan (Tasi Changcup Gyaltsen, 1302–1364)
The connection forged with the Mongols encouraged the re-
of the Phag mo gru pa (Phakmotrupa) order, a Bka’ brgyud
newed interest of the Mongolian leadership in Tibetan af-
pa offshoot, Tibet was freed from the Sa skya pa–Mongol re-
fairs, and in 1642 Gushri Khan of the Khoshot tribe con-
gime. It was during the period of Phag mo gru pa dominance
quered all of Tibet, establishing the fifth Dalai Lama (1617–
that followed that Rje Tsong kha pa Blo bzang grags pa (Je
1682) as ruler of the reunified realm. The kingdom of
Tsongkhapa, 1357–1419) founded the Dga’ ldan (Ganden)
Gtsang was suppressed together with the religious traditions
monastery to the east of Lhasa (1409), which emerged as the
it had favored, above all the Jo nang pa, who were banned
main seat of a new order, best known as Dge lugs pa (Geluk-
from all but a few Tibetan territories outside the sphere of
pa), the “adherents of virtue.” Though Tsong kha pa was
the Dalai Lama’s control. The government of the fifth Dalai
greatly revered for his vast learning and rigorous standard of
Lama strongly supported the development of mass monasti-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN TIBET
1155
cism in all parts of the country, and new Dge lugs pa estab-
major center of learning and culture in the Karma pa order
lishments were founded everywhere. Many centers of the
was Dpal spungs (Pelpung) monastery, in the eastern princi-
older orders and of the Bon religion were now required to
pality of Sde dge (Derge). With the patronage of the rulers
become Dge lugs pa.
of Sde dge, eastern Tibetan Karma pa and Sa skya pa masters
contributed to the foundation of Tibet’s greatest publishing
The fifth Dalai Lama forged Tibet’s unique political sys-
house, the Sde dge Printery, whose eighteenth-century edi-
tem, based in principle upon a reciprocal relationship be-
tion of the Tibetan Buddhist canon is considered one of the
tween the religious and secular branches of government (chos
masterworks of traditional Tibetan printing. At the same
srid gnyis ldan), with the Dalai Lama or his regent directing
time, some of the Dge lugs pa monasteries in eastern Tibet
the affairs of state. This system required that monastic hier-
for the first time also became important centers of learning
archs and officials be directly involved in most offices of the
in their own right, particularly in Amdo. The best-known
Tibetan government. The authority of the Great Fifth’s re-
examples were no doubt Sku ’bum (Kumbum), near Tsong
gime was given concrete form in the imposing Potala Palace,
kha pa’s birthplace not far from the city of Xining (Qinghai
a large complex of government offices, shrines, and resi-
province), and Bla brang Bkra shis ’khyil (Labrang Tashikhy-
dences. His tutor, the Pan:chen bla ma Blo bzang chos rgyan
il), founded by ’Jam dbyangs bzhad pa (Jamyang Zhepa,
(Lozang Chögyen, 1567–1662), a distinguished scholar, rose
1648–1721) in southern Gansu.
to prominence at this time as well. Thereafter, the successive
rebirths of the Panchen Lamas were recognized at Bkra shis
Nineteenth-century Khams became home to a dynamic
lhun po, where they often wielded considerable political
movement often characterized as “eclectic” or “universalist”
power. The Panchen Lamas were officially second in rank to,
(Ris med), which sought to defuse the intense sectarianism
but sometimes actually rivaled, the Dalai Lamas themselves.
that had often plagued Tibetan Buddhism. The encyclopedic
writings of ’Jam dbyangs Mkhyen brtse’i dbang po (Jam-
The Manchu rulers of China’s Qing dynasty (1644–
yang Khyentse, 1820–1892) and ’Jam mgon kong sprul
1911) became directly involved in Tibetan affairs in opposi-
(Jamgön Kongtrül, 1813–1899) became in some respects a
tion to the renewed Mongol power in Tibet, and the fifth
new canon for the adherents of this movement. One of their
Dalai Lama visited the court soon after the new dynasty’s in-
disciples, Mi pham rnam rgyal (Mipham Namgyal, 1846–
ception. Tibet was soon a focal point of competition between
1912) also elaborated a new scholastic curriculum emphasiz-
Manchus and Mongols in their struggle for hegemony in
ing the doctrinal standpoint of the Rnying ma pa order.
central Asia. The controversial sixth Dalai Lama, Tshangs
Though the thirteenth Dalai Lama (1876–1933) was sympa-
dbyangs rgya mtsho (Tshangyang Gyatso, 1683–1706), a
thetic to the goals of the eclectic movement, some factions
libertine who preferred the company of women to the life
within the Dge lugs pa leadership were not. Prominent
of a monk, was forcibly removed from office and died under
among them was Pha bong kha pa Bde chen Snying po (Pha-
mysterious circumstances enroute to the Chinese capital. In
bongkhapa Dechen Nyingpo, 1878–1941), whose visions of
1717 the Mongolian Dzungar tribe invaded Tibet, bringing
the spirit Rdo rje shugs ldan (Dorje Shukden) seem to have
renewed civil war and intersectarian violence. During the
entailed a commitment to oppose actively the other schools
1720s, the Manchus sought to consolidate their rule over
of Tibetan Buddhism and the Bon religion. There has been,
large parts of the eastern Tibetan provinces of Amdo and
as a result, a continuing legacy of sectarian dispute among
Kham. Leading Dge lugs pa hierarchs from Amdo, such as
Tibetans to the early twenty-first century.
the Qianlong emperor’s teacher Lcang skya Rol pa’i rdo rje
(Jangkya Rölpe Dorje, 1717–1786), came to play an impor-
ESSENTIAL BELIEFS AND DOCTRINES. The several orders and
tant role in the religious affairs of the Manchu Empire.
schools of Tibetan Buddhism have a great many particular
doctrines and precepts, which impart to them each a distinc-
The political turmoil in central Tibet throughout much
tive character. Here, however, only salient features of the
of the seventeenth and eighteenth centuries contributed to
common heritage of Tibetan Buddhism will be considered.
a remarkable shift in Tibet’s cultural geography. Whereas
central Tibet had been, throughout the preceding centuries,
Like many Buddhist traditions, Tibetan Buddhism em-
the unrivaled heart of Tibetan religious life, it became now
phasizes the impermanence of conditioned reality and the re-
the tendency for masters of eastern Tibetan origin to devote
sulting inevitability of suffering and death. Living beings
much of their energy to activities in or near their native dis-
who have not achieved nirva¯n:a (myang ’das), that is, the en-
tricts. The eastward displacement of cultural activity had
lightenment of a buddha, are subject to a perpetual, painful
many causes and consequences. Thus, for example, the civil
round of rebirth, or sam:sa¯ra (’khor ba), their condition in any
wars of the seventeenth century made an exile of the tenth
given lifetime, whether human, divine, or infernal, being de-
Karma pa, Chos dbyings rdo rje (Chöying Dorje, 1605–
termined by the impetus of their past meritorious and de-
1674), a talented painter and patron of the arts, and led him
meritorious karma (las). Tibetan Buddhism therefore stresses
to spend much of his career in the far southeast of Tibet, in
the necessity of gaining merit (bsod nams) through donations
what is now Yunnan. The patronage of his order by impor-
to monks and religious institutions, offering of lamps and in-
tant princes in Khams encouraged his followers to regard the
cense, recitation of scriptures, performance of prostrations
east as their true base, so that in succeeding centuries the
and circumambulations, “ransoming” of animals from the
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1156
BUDDHISM: BUDDHISM IN TIBET
butcher, and many other types of religiously valued actions.
adolescence. Rudimentary alphabetization seems to have
One must turn from worldly activities to religion by taking
been relatively widespread among monks and nuns, though
refuge in the Three Precious Jewels (dkon mchog gsum): the
the numbers able or inclined to pursue a higher education
Buddha, his teaching (chos), and the religious community
in Buddhist philosophy, or in such disciplines as medicine,
(dge ’dun). Often one’s lama is added to this universal Bud-
art, or astrology, were few. The majority of the monks partic-
dhist trinity as a fourth refuge.
ipated when possible in prayer services sponsored by lay pa-
trons, who offered tea, butter, grain, and cash to the assem-
Tibetan Buddhists are encouraged not to seek nirva¯n:a
bled congregation. Monks also pursued economic or
for themselves alone but to cultivate compassion (snying rje)
administrative activities required for their own support or for
for all living beings. One is to embark upon the Great Vehi-
that of the monastic community. They therefore were regu-
cle, the Maha¯ya¯na (theg chen), that is, the path of a bodhisatt-
larly involved in commerce and in various trades. Larger
va (byang chub sems dpa’), and to develop the virtues of chari-
monasteries had their own complex bureaucracies, in which
ty, self-restraint, patience, diligence, meditation, and insight.
some offices were filled according to merit and ability and
This last is, above all, insight into the radically contingent
others occupied by incarnates (sprul sku) groomed for the
nature of conditioned things, that is, their emptiness (stong
task since childhood.
nyid). To comprehend this difficult concept through reason
is among the central concerns of Tibetan Buddhist philoso-
Some monasteries housed colleges where advanced
phy and is a source of considerable debate.
studies could be pursued by those who were motivated to do
MONASTIC INSTITUTIONS AND EDUCATION. The institu-
so. Aspirant monk-scholars sometimes traveled for months
tional heart of Tibetan Buddhism is the monastery. Mass
across the whole of the Tibetan world to enter an especially
monasticism was encouraged in traditional Tibetan society,
famous college. Besides the economic and ritual functions of
particularly after the consolidation of political power by the
the monastery therefore, almost the entire apparatus of Ti-
fifth Dalai Lama. This was justified ideologically by the no-
betan formal education was concentrated within the
tion that the monk was in an especially privileged position
monasteries as well. Literacy in traditional Tibet was a pre-
to avoid evil and to achieve merit, so that by maximizing mo-
eminently religious affair, and so, not surprisingly, the cleri-
nasticism, the maximum merit accrued to Tibetan society as
cal services of trained monks were required by the old Lhasa
a whole and especially to those individuals and families who
government and by the administrations of the eastern Tibet-
most contributed to the monastic system by dedicating sons
an principalities as well.
to the religious life and who used their wealth to support reli-
It has become customary to characterize the intellectual
gious activities. Nomadic groups in the east often felt this to
life of the Tibetan monastic colleges as a type of scholasti-
be a particularly urgent matter, for the merit earned by sup-
cism. From the late eleventh century onward, the Tibetan
porting good monks and their monasteries was believed to
colleges emphasized a highly rationalized approach to Bud-
counterbalance the burden of sin that one acquired through
dhist doctrine, over and against one dominated exclusively
actions prohibited by the system of religious ethics, especially
by faith. The curriculum of the colleges required the careful
the slaughter of animals, that were nevertheless unavoidable
study of Indian Buddhist philosophical writings, with the
in a nomadic livelihood. Although worldly life was thought
epistemological and logical works of Dharmak¯ırti (c. 600)
to be inevitably ensnared in various evils, a family could still
supplying the major methodological organ. Other required
better itself spiritually by committing some sons to the cler-
topics included the monastic code or Vinaya (’dul ba), the
gy. And if those sons achieved religious distinction, this
“meta-doctrine” or Abhidharma (chos mngon pa), the Perfec-
could sometimes also impact favorably upon the status of the
tion of Wisdom or Prajña¯pa¯ramita¯ (phar phyin), and the
family concerned.
teaching of the Middle Way (dbu ma), that is, the
The monastery fostered a concentration of cultural re-
Ma¯dhyamika dialectic of the Indian philosopher Na¯ga¯rjuna.
sources, serving as a center for education and for the cultiva-
In the Dge lugs pa colleges, those who completed this curric-
tion of the arts (though in most cases, only a minority of the
ulum were awarded the title of dge bshes, “spiritual benefac-
monks participated in these pursuits). Significantly too the
tor” (equivalent to the Sanskrit kalya¯n:amitra).
monastery absorbed surplus labor. Whenever the rate of fer-
Among the most contentious of topics for doctrinal de-
tility outpaced the expansion of economic activity, monasti-
bate was the relationship between the Ma¯dhyamika teaching
cism provided a socially valued alternative to production. For
of emptiness and the positive conception of a “buddha na-
religious girls and women, nunneries also existed, though
ture” pervading living beings and forming the basis for their
nuns appear to have been less numerous than monks and sel-
potential to achieve enlightenment. While some interpreted
dom had access to resources for more than a rudimentary ed-
the latter as just a metaphorical description of emptiness, the
ucation.
proponents of “extrinsic emptiness,” following the teaching
Most monks entered the monastery as children and did
of the Jo nang pa master Dol po pa, argued that the absolute,
so at the wish of their parents. Such children were granted
in its proper nature, was not intrinsically empty at all but em-
the essential vows of the Buddhist novitiate and became eligi-
bodied instead the plenitude of the attributes of the Bud-
ble to receive full ordination as bhiks:u (dge slong) only in later
dha’s enlightenment.
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BUDDHISM: BUDDHISM IN TIBET
1157
TANTRISM AND YOGA. Tibetan Buddhism was especially in-
5. Transference (’pho ba), the means to cause one’s con-
fluenced by the esoteric Indian teachings of Vajraya¯na, the
sciousness to leave the body abruptly at the moment of
“Vajra Vehicle” (rdo rje theg pa), so-called because the prima-
death and to seek rebirth in a pure realm;
ry symbol of this branch of Maha¯ya¯na Buddhism is the vajra
6. Intermediate State (bar do), which here refers primarily
(rdo rje), a ritual implement at once symbolizing the dia-
to the state of consciousness in the course of migration
mond-like clarity and unalterabilty of mind as emptiness and
between death and rebirth.
its lightning-like brilliance. Vajraya¯na Buddhism has its own
authoritative texts, called Tantras (rgyud), which are primari-
The first four doctrines enable one to attain enlightenment
ly manuals of ritual and esoteric lore. Among the major top-
swiftly during this very lifetime, the last two to achieve it at
ics treated in the Tantras is abhis:eka (dbang), the consecra-
death. Adepts who have attained the goals of this esoteric
tion or “empowerment” whereby a disciple is initiated into
path are called siddha (grub thob), “accomplished” or “per-
a sphere of meditation called a man:d:ala (dkyil ’khor), which
fected,” because they have attained siddhi (dngos grub), the
is most often represented as a heavenly palace. This is the res-
mundane or supermundane powers and realizations that are
idence of the deity, who is the focal point of the initiate’s
especially cultivated on the path of the Vajraya¯na.
meditation and who is invoked by means of special formulas
The highest teachings of Tibetan Tantric Buddhism are
called mantras (sngags). The central deity may be male, fe-
those relating to the abstract realization of the ultimate na-
male—in which case she is sometimes referred to as a d:a¯kin¯ı
ture of mind. For the Rnying ma pa tradition, these are rep-
(mkha’ ’gro ma), a term also used to describe women who are
resented primarily by the Great Perfection (rdzogs chen)
Tantric adepts—or a couple in union and is often surround-
teaching, while for the Bka’ brgyud pa and Dge lugs pa, the
ed by a retinue of divine attendants, arranged symmetrically
Great Seal (phyag chen) system in the tradition of Mar pa is
throughout the man:d:ala. Avalokite´svara (spyan ras gzigs) in
preeminent. Although there are many special points of em-
particular was identified as the national patron-deity and be-
phasis, particular to each of these approaches to the absolute,
came the focus of a much-elaborated cult. Of central impor-
the words of Klong chen Rab ’byams pa summarize their
tance is the recitation of Avalokite´svara’s famous six-syllable
common orientation:
mantra, Om: Man:ipadme Hu¯m:, invoking the divinity as the
The luminous nucleus is the absolute truth, permanent,
“bearer of jewel and lotus. ” The ubiquitousness of this for-
stable, not subject to change or transformation, quies-
mula in Tibetan religion—it is often uttered aloud while
cent, undeceiving, the essence of gnosis that accords
turning a prayer wheel containing the mantra written many
with the ground from beginning to end and is free from
times on a paper scroll—was noted even by medieval Euro-
all the limits of intellectual elaboration. It should be
pean visitors to Tibet.
known to be by nature neither stained, nor being
The systems of meditation taught in the Tantras are re-
stained, nor about to be stained by any of the principles
of mind or mental events, and like unto the taintless orb
ferred to as yoga (rnal ’byor), or “union,” for yoga is a disci-
of the sun.
pline said to unite the adept with the realization of ultimate
reality. This unification of the enlightened mind and the ab-
PILGRIMAGES, FESTIVALS, AND RITUAL CYCLES. Among the
solute is symbolized by the depiction of deities as couples in
many characteristic religious activities in which virtually all
sexual embrace. Besides those types of yoga concerned with
Tibetans at some time or other participate, pilgrimage is par-
the visualization of man:d:ala and deity and the recitation of
ticularly prominent. Pilgrimage was traditionally one of the
the mantra, there are also more advanced disciplines involv-
central phenomena contributing to, and perhaps even to
ing visualizations and exercises in which one’s body is con-
some extent engendering, the cultural unity of Tibet. Pil-
ceived as a network of subtle channels and energies, the skill-
grimage, among other things, promoted trade in both goods
ful manipulation of which is believed to hasten the adept’s
and information. It brought persons from distant parts of the
progress toward enlightenment and also to lead to the acqui-
Tibetan world into direct contact with one another and thus
sition of uncanny, magical abilities: clairvoyance, miraculous
militated to some extent against divisive regional tendencies.
flight, and the resurrection of the dead. These advanced tech-
Among the many famous Tibetan places of pilgrimage,
niques of yogas are often described in terms of six doctrines
most Tibetans regarded the religious shrines of Lhasa to be
(chos drug):
particularly important to visit. There, in the ancient Tibetan
1. Inner Heat (gtum mo), whereby the adept learns to mas-
capital, they could behold and be blessed by contact with the
ter the subtle physical energies of the body;
Jowo S´a¯kyamuni image residing in the central temple that
was thought to have been brought from China by the prin-
2. Body of Apparition (sgyu lus), through which the illu-
cess of Wencheng. The pilgrims who flocked to Lhasa
sion-like nature of experience becomes known;
brought offerings for the temples and monks and also fre-
3. Dream (rmi lam), whereby one achieves the ability to
quently engaged in trade to finance their journeys. Thus, be-
consciously explore the possibilities revealed during
sides its purely religious significance, pilgrimage also came
dreams;
to play an important role in the Tibetan economy.
4. Radiant Light (’od gsal), referring to the luminous di-
The capital, however, was not the sole center of pilgrim-
mension of the mind;
age. In fact, there was a sort of national pilgrimage network
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1158
BUDDHISM: BUDDHISM IN TIBET
in Tibet, whose routes, extending the length and breadth of
the events surrounding the Lhasa Uprising of 1959 and the
the country, joined great and small temples and shrines as
subsequent flight of the Dalai Lama to India, the steadily
well as caves, mountains, valleys, and lakes that were imbued
worsening relations between the Tibetan Buddhist establish-
with sacred significance. In far western Tibet, the greatest
ment and the Chinese government spun altogether out of
pilgrimage center was undoubtedly Mount Kailash, regarded
control. The Dalai Lama and many religious Tibetans fled
popularly as being substantially identical with the world-
into exile in India, and many who remained behind were per-
mountain, the axis mundi. As such it was a major destination
secuted and imprisoned. By 1962 both the tenth Panchen
for both Hindus and Buddhists. Other important centers of
Lama and Shes rab rgya mtsho, the two leading Tibetan cler-
pilgrimage included Tsa ri, where a great procession that
ics remaining in China, openly expressed their disillusion-
convened once every twelve years was said to purge even the
ment and were subsequently dismissed from their posts. The
taint of murder, and Mchod rten Nyi ma (Chöten Nyima),
assault on religion intensified throughout the 1960s and dur-
to the north of Sikkim, where incest pollution could be
ing the Cultural Revolution (1966–1976), when all but a few
cleansed.
of the thousands of Tibetan temples and monasteries were
razed, their artistic treasures and libraries destroyed or plun-
Related in some respects to the pilgrimage cycles are the
dered. Tens of thousands of monks and nuns were forced to
festivals of Tibetan Buddhism. The celebration of the Bud-
undergo “reeducation,” and many perished under extraordi-
dha’s enlightenment (sa ga zla ba, equivalent to the Vesakh
narily harsh conditions or suffered prolonged maltreatment
of Therava¯da Buddhism) is marked by fasting and commu-
in prison.
nal prayer. The Tibetan New Year requires the performance
of extensive rites on behalf of the protective divinities and
The conclusion of the Cultural Revolution and the con-
is the occasion for the convening of the Great Prayer Festival
solidation of Chinese power by Deng Xiaoping in 1978
(smon lam chen mo) in Lhasa. The tenth day of each lunar
brought great changes to cultural and religious affairs. A visit
month is consecrated to the guru and, among the Rnying ma
to Tibet in 1980 by the party secretary Hu Yaobang clearly
pa in particular, is a time for communal feast rituals and
signaled that cultural redevelopment was now possible. In
sometimes also the elaborate masked dances known as ’cham.
view of new policy directives, a dramatic revival of Tibetan
Buddhism now ensued, which took many different forms.
TIBETAN BUDDHISM IN THE PEOPLE’S REPUBLIC OF CHINA.
At its most basic level, it meant that ordinary believers could
When the course of events in China turned decisively in
now engage publicly once more in a variety of devotional and
favor of the communists after World War II, some Tibetan
ritual activities: performance of prostrations, circumambula-
modernists felt that the revolutionary programs of the Com-
tions, offerings, and prayers at temples and other sacred sites;
munist Party offered them the best opportunity for modern-
erecting prayer flags and stone walls with prayers carved
ization and reform. An example was the celebrated monk-
upon them; copying and distributing prayer books and reli-
scholar Rdo bis Shes rab rgya mtsho (Dobi Sherab Gyatso,
gious icons. The small number of temples and monasteries
1884–1968), who after allying himself with the Chinese Na-
that had survived in more or less usable condition began to
tionalists during the 1930s, later turned to the Communists.
be refurbished and reopened, and efforts were made to re-
In 1952, two years after China assumed control of Tibet, he
build some that had been destroyed. As the monasteries re-
became the first chairman of the Chinese Buddhist Associa-
opened, the few aged monks who remained were joined by
tion. His attempt to find a common ground between the pol-
numbers of young new recruits. The reinception of religious
icies of the party and the interests of Tibetan Buddhism came
festivals and pilgrimages was also a development welcomed
to represent in some measure the norm among educated Ti-
by both monks and laypersons.
betan clergy during the 1950s, when both the Dalai Lama
and the Panchen Lama embraced the hopeful idea that Mao
The revival that began in the late twentieth century con-
Zedong’s revolution had room for their religion and indeed
tinued into the twenty-first century and even attracted non-
that the ethical concerns of Maha¯ya¯na Buddhism for univer-
Tibetan, Chinese converts to Tibetan Buddhism, but it has
sal well-being would be realized by the dawning socialist
nevertheless been marked by repeated tensions with the Chi-
order.
nese political leadership. Most dramatically, a series of dem-
onstrations in support of the exiled Dalai Lama, staged by
Soon, however, the promise of a harmonious relation-
monks in Lhasa beginning in 1987, led to rioting that culmi-
ship between Chinese Communism and Tibetan Buddhism
nated in the declaration of a state of emergency in 1989. Sub-
came undone. As the monasteries were considered by
sequently, the government’s view of the Dalai Lama steadily
China’s leadership to be among the centers of resistance to
hardened, and after a period during which the expression of
the implementation of Communist programs and also to be
purely religious devotion to him was tolerated, any explicit
giving shelter to rebels in the eastern Tibetan province of
manifestation of loyalty to him became treated as fundamen-
Khams, they became increasingly prone to direct attack, and
tally political in nature.
in 1956 a number of eastern Tibetan monasteries were sub-
jected to aerial bombardment. These circumstances were
In 1989 the highest-ranking Buddhist hierarch who had
deeply shocking to Tibetan sensibilities and led to the flight
remained in Tibet after 1959, the Panchen Lama, died sud-
of large numbers of eastern Tibetans to central Tibet. With
denly, and his passing led to new disputes between 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
BUDDHISM: BUDDHISM IN TIBET
1159
authorities and the partisans of the Dalai Lama. This re-
Goldstein, Melvyn C., and Matthew T. Kapstein, eds. Buddhism
ceived worldwide attention when, on May 14, 1995, the
in Contemporary Tibet: Religious Revival and Cultural Identi-
Dalai Lama and the Tibetan government-in-exile announced
ty. Berkeley, Calif., 1998. Survey and case studies of the
the discovery of the young incarnate Panchen in Tibet. The
post–Cultural Revolution revival of Tibetan Buddhism
Chinese responded harshly: the acting abbot of Tashi Lhün-
through the early 1990s.
po monastery, Chadrel Rinpoche, was arrested in Chengdu,
Kapstein, Matthew T. The Tibetan Assimilation of Buddhism: Con-
Sichuan, and Gendun Choekyi Nyima, the young boy who
version, Contestation, and Memory. Oxford, 2000. Includes
studies of the formation of some of the major Tibetan Bud-
had been recognized as the Panchen Lama by the Dalai
dhist myth-historical traditions.
Lama, was detained with his family. Shortly thereafter, his
recognition was rejected by the Chinese government, and a
Karmay, Samten Gyaltsen. The Great Perfection: A Philosophical
and Meditative Teaching of Tibetan Buddhism. Leiden and
lottery was held on November 29, 1995, to choose a new
New York, 1988. A valuable study of the earliest known
Panchen Lama from among several officially approved candi-
works of the Great Perfection system.
dates.
Klimberg-Salter, Deborah E. Tabo: A Lamp for the Kingdom. New
The Dalai Lama, a Nobel Peace Prize laureate in 1989,
York, 1998. Thorough art historical study of one of the
remained of course the best-known symbol of Tibetan aspi-
major temples founded by Ye shes ’od and Rin chen bzang
rations in the world at large and also for Tibetans themselves.
po, with a valuable historical contribution by Luciano
During the late 1980s and the early 1990s, photographs of
Petech.
the Dalai Lama were so ubiquitous as to be seen plentifully
Lopez, Donald, Jr., ed. Religions of Tibet in Practice. Princeton,
in temples, homes, shops, and markets. In reaction to the
N.J., 1997. Provides translations, with brief introductions,
Panchen Lama affair, the Communist Party launched a cam-
of texts on many aspects of religious life in Tibet.
paign in April 1996 to remove such images from view, par-
Obermiller, E. History of Buddhism (Chos-zbyung) by Bu-ston, Part
ticularly from public and otherwise high prestige venues,
1: The Jewelry of Scripture, Part 2: The History of Buddhism
such as schools and the homes and offices of Tibetan offi-
in India and Tibet. Suzuki Research Foundation Reprint se-
cials. With the beginning of the new millennium, the Dalai
ries 5. Heidelberg, 1931–1932. Translation of a key four-
teenth-century historical and doctrinal treatise.
Lama’s government-in-exile and the Chinese leadership cau-
tiously resumed efforts to settle their differences through ne-
Roerich, George, trans. The Blue Annals. Delhi, 1976. Translation
of ’Gos lo Gzhon nu dpal’s celebrated history of Tibetan
gotiation. These seem to have made little progress so far, and
Buddhism through the early fifteenth century.
Buddhism in the Tibetan autonomous region remains ham-
pered by severe restrictions placed on religious recruitment,
Samuel, Geoffrey. Civilized Shamans: Buddhism in Tibetan Socie-
ties. Washington, D.C., and London, 1993. A wide-ranging
livelihood, and education.
anthropological investigation of Tibetan Buddhism as a cul-
tural system.
SEE ALSO Bon; Buddhism, Schools of, article on Tibetan
and Mongolian Buddhism; Dalai Lama; Dge lugs pa;
Smith, E. Gene. Among Tibetan Texts. Boston, 2001. A leading
Maha¯siddhas; Pilgrimage, article on Tibetan Pilgrimage.
Tibetanist’s introductions to a wide range of major textual
sources.
Snellgrove, David. Indo-Tibetan Buddhism: Indian Buddhists and
BIBLIOGRAPHY
Their Tibetan Successors. Boston, 1987. Detailed survey of es-
Blondeau, Anne-Marie. “Les religions du Tibet.” In Histoire des
oteric Buddhism and its history in India, Nepal, and Tibet.
Religions, edited by Henri-Charles Peuch, vol. 3. Paris, 1970.
Now dated in respect of some particulars but nevertheless of-
Snellgrove, David, and Hugh Richardson. A Cultural History of
fers a still useful overview.
Tibet. New York and Washington, D.C., 1968. Accessible
survey, though now dated.
Cabezón, José Ignacio, and Roger R. Jackson, eds. Tibetan Litera-
Snellgrove, David, and Tadeusz Skorupski. A Cultural History of
ture: Studies in Genre. Ithaca, N.Y., 1996. Provides useful
Ladakh. 2 vols. Boulder, Colo., 1977–1980.
surveys of the main classes of Tibetan religious writings.
So⁄rensen, Per K. Tibetan Buddhist Historiography: The Mirror Illu-
Demiéville, Paul. Le concile de Lhasa: Une controverse sur le quié-
minating the Royal Genealogies. Wiesbaden, 1994. Critically
tisme entre bouddhistes de l’Inde et de la Chine au VIIIe siècle
annotated translation of a famous fourteenth-century retell-
de l’ère chrétienne, Vol. 7: Bibliothèque de l’Institut des Hautes
ing of the legends of the early Tibetan Empire.
Études Chinoises. Paris, 1952. Magisterial study of Dunhuang
Chinese sources on the Chan master Moheyan’s mission in
Stein, R. A. Tibetan Civilization. Translated by J. E. Stapleton
Tibet.
Driver. Stanford, Calif., 1972. A fine general account of
Tibet as a civilizational sphere.
Dreyfus, Georges. The Sound of Two Hands Clapping. Berkeley,
Calif., 2003. Invaluable exploration of Tibetan monastic ed-
Tucci, Giuseppe. The Religions of Tibet. Translated by Geoffrey
ucation.
Samuel. Berkeley, Calif., and Los Angeles, 1980. The re-
nowned Italian Tibetanist’s survey of Tibetan religions.
Dudjom Rinpoche, and Jikdrel Yeshe Dorje.The Nyingma School
Vitali, Roberto. The Kingdoms of Gu.ge Pu.hrang. Dharamsala,
of Tibetan Buddhism: Its Fundamentals and History. Translat-
1996. Thorough account of the history of the main king-
ed by Gyurme Dorje and Matthew Kapstein. Boston, 1991.
doms of western Tibet.
A Tibetan master’s synthesis of Rnying ma pa doctrinal and
historical traditions.
MATTHEW T. KAPSTEIN (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
1160
BUDDHISM: BUDDHISM IN CHINA
BUDDHISM: BUDDHISM IN CHINA
word but made no sense in Chinese. Buddha, for instance,
First imported from India and Central Asia around the first
was pronounced in Chinese as Fotuo (or abbreviated as Fo),
century CE, Buddhism in China is an evolving hybrid of Chi-
which attempts to reproduce the phonetics of the original
nese and foreign elements. As a social organization with sig-
Indic word. The significance of the second method of trans-
nificant implications for the proper ordering of the world,
lation is that Chinese Buddhists chose to maintain an audible
Buddhism has had a long, complicated relationship with the
trace of the non-Chinese nature of their religion.
Chinese state, both the imperial dynastic system and the
Chinese Buddhists often celebrate that theirs is a foreign
modern Republican and Communist states that began in
faith, meaning that its founder and earliest patriarchs lived
the twentieth century. Buddhist conceptions of rebirth and
outside of China. These facts are both undeniable and mis-
salvation, mythologies of buddhas, bodhisattvas, and other
leading. Already in the Han dynasty, Buddhist monks were
figures as well as Buddhist art and temple life have attracted
criticized for worshiping a foreign god, following doctrines
people from all social classes. Philosophers have wrestled
unattested in the Chinese classics, dressing in barbarian fash-
with Buddhist understandings of emptiness, enlightenment,
ion, and destroying the foundation of the Chinese kinship
and sagehood. Buddhist rituals, formed partly in relation to
system. Rather than disavowing their foreign origins, Bud-
Daoist traditions, are diffused throughout much of Chinese
dhists responded by claiming that even Chinese figures like
popular religion. Even during those eras when the institu-
Laozi (sixth century BCE) had left China to gain enlighten-
tional presence of Buddhism in the form of temples, monks,
ment as a disciple of S´a¯kyamuni Buddha. They explained
and nuns has been small, its influence on Chinese culture has
that the meaning of the Buddha’s golden speech could be ac-
remained strong.
curately conveyed in Chinese translation, that monks fol-
A HYBRID OF CHINESE AND FOREIGN. Both in its origin and
lowed the more noble among the barbarian habits, and that
later development, Buddhism in China constituted a mix-
the ultimate devotion to one’s parents was bringing Buddhist
ture of foreign and native elements. The first Buddhists in
salvation to one’s ancestors rather than begetting offspring.
China were immigrants. Before entering the Chinese Empire
The controversy over the foreign nature of Chinese Bud-
ruled by the Han dynasty (206 BCE–220 CE), they grew up
dhism was never fully settled. Native and foreign (or the vari-
in lands to the west: parts of India ruled by the Kushan
ous words authors used for Chinese and Indian) were contin-
dynasty (an Indo-Scythian ethnic group, called Yuezhi in
ually redefined in relation to each other; they were rhetorical
Chinese, that ruled from 128 BCE to 450 CE), and smaller
claims rather than fixed identities.
Central Asian kingdoms like Parthia and Sogdiana. The texts
The interdependence of the notions of India and China
they memorized, or in some cases carried with them, were
also casts doubt on the model of Sinification (making Chi-
composed in Sanskrit, forms of prakrit, or other Indo-
nese), often used to conceptualize the history of Chinese
Iranian languages of the Silk Road. When these travelers first
Buddhism. In general terms it might make sense to say that
arrived in Dunhuang (modern Gansu province, China), the
over a span of two thousand years, Buddhism in China was
westernmost garrison town in Chinese territory, and pro-
made more Chinese, or that the tradition was uprooted from
ceeded to the capital city of Luoyang (Henan province), they
Indian soil and transplanted in China. The problem is that
probably could not speak Chinese. Before they developed
the two parties engaged in this imagined process—“India”
proficiency in the spoken language, they relied on transla-
and “China”—were themselves undergoing constant change.
tors. Thus to explain their beliefs to their Chinese hosts, for-
One of the more interesting features of Chinese Buddhism
eign monks depended on local go-betweens, Chinese-born
is that it provides such a helpful lens for bringing this history
interpreters whose cultural presuppositions inevitably influ-
of intercultural redefinition into better focus. The metaphor
enced how they articulated what their guests were trying to
of transplantation is faulty because the two soils in which the
say. The first Buddhists in China had even less control over
plant grew were not inert media or simply defined cultures.
how their message was conveyed in written form. Most of
Rather, they were city-states, kingdoms, and empires the def-
them never mastered Classical Chinese, which differs signifi-
inition of which was changing and often contested. Further-
cantly from the spoken language in both grammar and lexi-
more models of Sinification, transmission, and transplanting
con (comparable to the difference between Latin and the Ro-
assume that the religion transmitted between cultures was
mance vernacular languages). For the first several centuries,
sufficiently stable to be identified as an Indian tradition at
translation was usually a process conducted by a committee
one moment and a Chinese tradition at another point in
with numerous overseers, none of whom was capable of
time. Yet neither in India nor in the various oasis empires
judging the result against the original.
of Central Asia was Buddhism defined by a single canon or
The vocabulary developed by foreign monks and their
governing body. In China too Buddhism might best be con-
local assistants advertises this mixture of cultural influences.
sidered plural rather than singular. The hybrid nature of Chi-
Some foreign terms were translated by Chinese words that
nese Buddhism thus means that the model of Buddhism
had a preestablished frame of meaning. Dharma, for in-
being made more Chinese is simplistic at best and misleading
stance, was rendered by the Chinese word for “law,” “princi-
at worst.
ple,” or “method” (fa). Another translation strategy was to
BUDDHISM AND POLITICAL AUTHORITY. In both theory and
use Chinese words that mimicked the sound of the foreign
practice, the Buddhist movement in China intersected fre-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN CHINA
1161
quently with political power. Even when Buddhists defined
ment could simultaneously offer support, exercise power,
their ultimate purpose as the achieving of nirva¯n:a (literally,
and take advantage of the religion’s popularity. The state
“extinction”) or enlightenment, they made strong claims
limited the number of monks and nuns, sold ordination cer-
about the social world in which that goal was pursued. Like
tificates, established state-supported monasteries and nun-
Buddhists elsewhere, Chinese Buddhists considered morality
neries, drafted statutes governing monastic behavior, defined
to be the foundation of religious practice. Most Chinese au-
the Buddhist canon, and distributed copies of the canon
thors appreciated that traditional Buddhist thought accepted
throughout the empire. At the other extreme, the govern-
the government and social order as givens. Chinese audiences
ment proscribed books, melted down statues, forcibly re-
were also receptive to some of the standard Buddhist models
turned clerics to lay life, redistributed temple landholdings,
for political authority, especially the ideal of the
banned religious organizations, and put their leaders to
cakravarti-ra¯ja or “wheel-turning king,” the monarch who
death.
achieves dominion over the entire world through his support
of the dharma. King A´soka, who ruled the Mauryan Empire
CONTINUING TRENDS. Beginning around 400 CE the basic
in India from circa 270 BCE to 230 BCE and sent relics and
foundation of Buddhist belief and practice was well estab-
monks abroad to disseminate Buddhism, was a living symbol
lished and has remain recognizable as such into the twenty-
for some Chinese emperors. Such ideals were a powerful sup-
first century. The fundamental characteristics of Chinese
plement and at times an alternative to the Confucian sym-
Buddhism described here apply to people from all walks of
bolism of imperial rule. Buddhist models of divine kingship
life, including those—the vast majority—who would never
were especially attractive to groups, such as female emperors
have identified themselves as exclusive followers of any single
and rulers of non-Chinese origin, who were normally left out
religious tradition. (Variations over time and the activities of
of traditional political theory.
monks, elite laypeople, and the state are discussed in the fol-
lowing sections.)
Despite their differences, the paradigms of imperial sov-
ereignty offered by Buddhists, Daoists, and Confucians all
The basic worldview of premodern Buddhism proved
stipulated that the emperor should behave as the ritual mas-
difficult but not impossible to translate into Chinese terms.
ter of the cosmos. As son of heaven (tianzi, ancient parlance
The cosmology of continual rebirth was depicted in paint-
for the emperor), the divine monarch was supposed to bring
ings of the six paths in which sentient beings are reborn: gods
harmony to the world by ordaining the proper ceremonies,
in heaven, demigods or asuras, humans, animals, hungry
including sacrifices to heaven and earth, rites to guarantee
ghosts, and beings in hell. Preachers explained how people
good harvests, and observances to assure victory in war. Em-
are reborn in accordance with their deeds (karma). Many rit-
perors drew ecumenically from the ritual repertoires offered
uals aimed for rebirth in paradises overseen by buddhas or
by shamans and by specialists in Buddhism, Daoism, and
in the heavens of the gods. This proximate result was sup-
Confucianism. From the emperor’s perspective, as ritual
posed to be followed by the ultimate goal: having a direct
techniques for rainmaking or blessing the nation, any of
encounter with a buddha and achieving enlightenment or
these traditions served as well as the others.
nirva¯n:a. Chinese Buddhists were concerned with the ques-
tion of what exactly carried over from one lifetime to the
Buddhism also played a significant role in the private
next. Answers included canonical explanations (one’s deeds,
religious life of the ruler. In their personal as opposed to po-
one’s consciousness, or the five “bundles” [skandha] of psy-
litical lives, emperors behaved like other people: they got sick
chophysical existence) as well as ideas about the yin and yang
and needed curing, they were concerned with the afterlife
aspects of the person drawn from ancient Chinese cosmolo-
and the fate of their ancestors, and they made donations to
gy. The basis of Buddhist practice was morality (´s¯ıla), fol-
religious establishments. Many emperors turned to both
lowed by the cultivation of concentrative states (sama¯dhi)
Buddhism and Daoism, simultaneously or in succession, for
and the development of wisdom (prajña¯). Specific ethical du-
this side of their religious lives. They followed the ceremony
ties varied from one group to the next. Although everyone
of becoming a lay Buddhist, ransomed themselves to Bud-
was supposed to follow the same guiding principles, there
dhist monasteries, practiced meditation, sought longevity,
was an ascending series of disciplines. Laypeople adhered to
and built temples to honor their parents.
the five precepts, which prohibited the taking of life, stealing,
Buddhism had inescapable political implications in yet
illicit sexual relations, lying, and consuming alcohol. Novices
another sense by virtue of the large-scale social organization
undertook 5 more, fully ordained monks usually observed
it proposed: a community of monks and nuns dependent on
250 regulations (348 for nuns), and ascetic monks and her-
lay donors for support. In China the state vested in itself the
mits were even more severe. The critique of egocentric cling-
right to encourage, limit, or destroy any social institution
ing, analysis of perception, discussion of the path, and phi-
outside the family whose membership attracted significant
losophy of language in Chinese Buddhism brought the
numbers or whose organizers even hinted at rebellion. The
tradition into sustained dialogue with pre-Buddhist Chinese
successive dynasties placed Buddhist and Daoist monastic in-
philosophy. Chinese Buddhist writings on emptiness, non-
stitutions under the control of various branches of the gov-
duality, two levels of truth, and buddha-nature are as rich
ernment. By licensing institutions and practices, the govern-
and complex as those in any Buddhist culture.
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1162
BUDDHISM: BUDDHISM IN CHINA
Chinese Buddhism offers devotees a responsive pan-
memoration, and other pious acts performed by descendants
theon of gods and spirits. In theory buddhas are the most
on behalf of their ancestors were more effective when carried
majestic and powerful of all beings. Having spent many life-
out in a Buddhist context, with offerings made to buddhas
times perfecting themselves, they have become “enlightened
and bodhisattvas and payments given to the sam:gha.
ones” (buddhas). Each buddha exercises dominion over an
Buddhism had a tremendous influence on rituals aimed
entire world or buddha-country. S´a¯kyamuni (the historical
at increasing good fortune and reducing bad luck. At all le-
Buddha, fifth-century BCE India) lived as a prince, renounced
vels of society, there were Buddhist versions of rituals, per-
his birthright, achieved enlightenment, and spent fifty years
formed by monks as well as unlicensed practitioners, for cur-
teaching others. Beings who resided in India during his time
ing illness, prolonging life, vanquishing spirits, and
were particularly fortunate, since hearing a buddha preach
foretelling the future. Buddhist ideas and ritual structures
or simply being in his presence has a transformative effect
permeated other forms of Chinese religion. The cross-
on believers, more efficacious than trying to reach enlighten-
fertilization between Buddhist and Daoist versions of impor-
ment on one’s own. The next buddha who will be reincarnat-
tant rituals was particularly strong.
ed in this world will be Maitreya, who now resides in Tus:ita
Heaven. Amita¯bha (or Amita¯yus) is a currently existing bud-
One religious structure that set Buddhism apart from
dha who presides over a distant realm of bliss in the west,
other Chinese religions was monasticism, a special commu-
known as a “Pure Land” (Chinese, jingtu; Japanese, jo¯do) in
nity of ascetics clearly demarcated from normal social life.
the Sino-Japanese tradition. Another important buddha is
Monks and in lesser number nuns were supposed to leave
Maha¯vairocana, a cosmic figure who functions as the onto-
their families, remain celibate, give up worldly conveniences,
logical ground or essence for all manifestations of buddha-
dedicate themselves full-time to spiritual cultivation, and
hood. Just below buddhas are bodhisattvas, beings dedicated
serve as paragons of the highest Buddhist ideals. Such theo-
to becoming buddhas. They define themselves as bodhisattvas
ries usually came into conflict with realities, political and
by taking a formal series of vows in the presence of a buddha.
otherwise. The sam:gha itself was organized into ranks and
Often serving as saints to people in need, bodhisattvas have
administered by officers, monks and nuns did not fully di-
discrete functions or specializations. Avalokite´svara (Chi-
vorce themselves from their families, monasteries and tem-
nese, Guanyin; Japanese, Kannon; Tibetan, Chenrezi), argu-
ples were frequented by lay visitors, and the Buddhist
ably the most popular bodhisattva in China, assures mothers
Church possessed great wealth that required careful corpo-
of safe childbirth; Bhais:ajyaguru (Chinese, Yaoshiwang) is
rate management. Sometimes the Daoist Church developed
especially invoked in curing rites; Ks:itigarbha (Chinese, Di-
a similar monastic structure.
zang; Japanese, Jizo¯) rescues beings reborn in hell. Bodhisatt-
Although one can assume that most Buddhists in China
vas often reincarnate themselves in different guises to make
reflected on their beliefs and thought about their religious
their compassion more effective. Laypeople also modeled
practice, the overwhelming weight of evidence about Chi-
their own actions after those of the bodhisattva and commit-
nese Buddhism was produced by and for a tiny but powerful
ted themselves in ceremonies to lesser versions of the bodhi-
minority, the literate elite. With that caveat in mind, what
sattva vows. Ranking significantly below bodhisattvas are
was the self-understanding of well-educated Chinese Bud-
gods who, in the Buddhist conceptual world, are only tem-
dhists as contained in traditional Buddhist canons? The core
porarily powerful and happy, since they will suffer demotion
of the canon consisted of faithful translations of any words
in their next life. Many gods reside in the heavens, like the
attributed to the Buddha or his Indian followers, organized
gods living in Indra’s palace atop Mount Sumeru. Less-
into the traditional three baskets (tripit:aka; Chinese, san-
powerful gods populate the terrestrial world, inhabiting
zang) of su¯tra, Vinaya, and abhidharma. In addition it con-
trees, rocks, caverns, and lakes. All such beings can be con-
tained an astonishing variety of books written in China:
verted to serve the Buddhist cause. Biographies, hagiogra-
apologetic literature defending Buddhism, biographies, text
phies, and miracle tales—genres that blend into each other—
criticism and bibliographies, encyclopedias, commentaries,
record the exemplary lives and unusual deeds performed by
essays, miracle tales, genealogies, local histories, debates with
all these beings treading the path to enlightenment.
Daoists, official documents submitted to the throne, and
chronicles of the fate of Buddhist institutions under imperial
Because of its implications for the fate of the ancestors,
governance. Buddhist authors wanted to prove that Bud-
the rebirth cosmology in which Buddhism was bundled has
dhism, like other noble Chinese traditions, possessed a hal-
always been a prime concern for Chinese Buddhists. Reli-
lowed historical record and was led by models worthy of em-
gious rituals carried out in the home and a reverence for the
ulation, ranging from buddhas, bodhisattvas, and arhats to
ancestors were hallmarks of early Chinese social life. Bud-
local patriarchs, pure monks, and sagacious emperors.
dhism preached the acceptance of impermanence and valo-
rized the example of the Buddha, who approached his own
Owing to the decentralization of the welter of texts
special death (nirva¯n:a rather than another lifetime of suffer-
brought into their country from the West, Chinese thinkers
ing) with equanimity. Buddhists accepted the traditional
devoted themselves to making sense of the history and diver-
Chinese value of filial piety (xiao) but redefined its practice.
sity of Buddhism. The problem of doctrinal classification
Priests argued that deathbed rituals, funerals, rites of com-
gave rise to various attempts to “divide the teachings” (pan-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN CHINA
1163
jiao). Since all teachings were understood as the infallible
name to the dominant ethnic group in China as well. During
word of the Buddha, each text and philosophical movement
the stable years of that dynasty, China was run by a central-
was assigned to a specific time-period and audience of
ized bureaucracy. Emperor Wu (r. 140–87 BCE) in particular
S´a¯kyamuni’s preachings. Followers of the Tiantai School
was responsible for extending Han influence into Central
(named for its monastic home, Mount Tiantai, in Zhejiang)
Asia, sending emissaries all the way to Bactria in 138 BCE.
placed the Lotus Su¯tra at the apex of Buddha’s pronounce-
The military ventures and trade missions of the first few cen-
ments, while proponents of Huayan (“Flower Adornment”)
turies were responsible for securing the overland route be-
Buddhism (named after the text, the Avatam:saka [Chinese,
tween China and the West. It was via this Silk Road that
Huayan] Su¯tra) believed that their text was the most subtle
Buddhism and other Western traditions first entered China.
and profound. In keeping with Buddhist ideas of inclusivity,
By the end of the Han dynasty, Buddhist communities com-
these interpretations of religious pluralism tended to privi-
posed of foreign monks, native monks, and local lay support-
lege one school over another by portraying it not as the sole
ers had been established in at least three areas: the capital of
truth but as best adapted to its audience’s needs.
Luoyang (Henan) in central China, Pengcheng (modern Da-
tong, Shanxi) in the east, and the Tonkin region (now Viet-
Another important paradigm invoked by Chinese Bud-
nam, ruled by China 111 BCE–939 CE) in the far south.
dhists to make sense of Buddhist history was that of lineage.
Monks followed a celibate lifestyle and practiced the semi-
Like the lines of descent that define Chinese kinship groups,
monthly communal confession and recitation of the
a Buddhist lineage consists of current male members who
pra¯timoks:a rules, and laypeople observed periodic fasting.
trace their spiritual authenticity through successive genera-
Buddhist statues were installed in public temples, sometimes
tions of patriarchs. Especially but not exclusively used by the
alongside icons of Daoist deities. Han dynasty Buddhists also
Chan (Japanese, Zen) School, the idea of patriarchal succes-
knew the rudiments of the biography of S´a¯kyamuni. Bud-
sion solved several problems. It located the sacred origin of
dhist philosophy of the time was already quite diverse, repre-
current Buddhist leaders in the legendary heroes of the past;
sented in early texts like the Su¯tra in Forty-Two Sections and
it linked China to India; it wrapped male authority in the
Mouzi’s Essay Resolving Doubts. Scores of su¯tras were translat-
guise of ineffable religious experience; it answered critics who
ed by An Shigao (fl. 148–170 CE), a Parthian interested in
impugned Buddhism’s antiquity; and it helped solidify the
meditation techniques and numbered lists of doctrines, and
identity of various Chinese schools (not really “sects” in the
by Lokaks:ema (Chinese, Zhi Loujiaqian, fl. 167–186 CE), a
Protestant or modern Japanese sense) in relation to each
Yuezhi monk who propagated early Maha¯ya¯na texts.
other.
NORTHERN AND SOUTHERN BUDDHISM. Even after the dis-
ORIGINS. Legends written long after the fact illuminate what
solution of Han rule, Buddhism continued to grow in influ-
later generations thought was important about the encultura-
ence and numbers, as exemplified by the massive translation
tion of Buddhism. According to some, Confucius (551–479
effort of Dharmaraks:a (Chinese, Zhu Faohu, fl. 265–313),
BCE) knew of the Buddha, and Laozi left China to study with
a Yuezhi who was raised in Dunhuang. Under increasing
him. Other accounts speak cryptically of a foreign magician
military pressure from strong nomadic groups to the north,
carrying the implements of the Buddhist wanderer, a staff
the unified Chinese Empire broke apart decisively in the
and begging bowl, when he visited China in 317 BCE. Some
early fourth century. From 317 until 589 CE the north was
stories claim that the first Buddhist missionaries had been
governed by a succession of strong regimes of various non-
sent by King A´soka. Another late source explains the chance
Han groups, especially the Tabgatch (Chinese, Tuoba),
discovery of sixty scrolls of Sanskrit texts in China by hy-
whereas south China was ruled by numerous Han aristocrat-
pothesizing that they had been hidden intentionally to es-
ic families. The bifurcation of political authority had impor-
cape the burning of books carried out under the first Qin
tant consequences for Buddhism.
emperor, Shihuangdi (r. 221–210 BCE). Military records of
the defeat of a Xiongnu army (a nomadic group in ancient
In the south the landowning gentry extended the philo-
northern China) in 120
sophical and literary experimentation that had begun at the
BCE talk about the local people bow-
ing and offering incense to a golden statue. Another legend
end of the Han in a movement known as “dark learning”
states that in 2
(xuanxue). The southern capital of Jiankang (modern Nan-
BCE a man named Jinglu received oral instruc-
tion in Buddhism from a royal visitor to China sent by the
jing, in Jiangsu) was home to new reflections on texts by
Yuezhi. The most famous and one of the oldest stories about
Laozi and Zhuangzi and on the Book of Changes. One of the
the origin of Chinese Buddhism is that Emperor Ming
most famous monks of the time, Zhi Dun (also known as
(r. 58–75
Zhi Daolin, 314–366 CE), was interested in Buddhist under-
CE) dreamed of a golden deity and dispatched a
mission to the Yuezhi; the embassy returned bearing the first
standings of the perfection of wisdom (prajña¯pa¯ramita¯),
Buddhist text to reach Chinese soil, perhaps accompanied by
wrote commentaries on Zhuangzi, and offered a new analysis
monks and statues.
of the Chinese notion of principle (li). Another member of
a southern aristocratic family, Huiyuan (334–416 CE), wrote
It is most likely that Buddhist monks, texts, and images
on Buddhist philosophy and the practice of seeking a good
began to trickle into China sometime in the middle of the
rebirth and championed the independence of the sam:gha
Han dynasty (206 BCE–220 CE), the dynasty that gives its
from state authority. The fortunes of organized Buddhism
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1164
BUDDHISM: BUDDHISM IN CHINA
in the south rose to their highest symbolic level under Em-
cine, and astronomy. To most people outside of India—
peror Wu of the Liang dynasty (r. 501–549 CE), who spon-
Uighurs and other Central Asian ethnicities, Tibetans, Kore-
sored Buddhist ceremonies, promoted vegetarianism and so-
ans, and Japanese—the center of the Buddhist world was not
cial welfare, and oversaw the construction of lavish Buddhist
India but China. The Japanese prelate Genbo¯ (d. 746 CE)
temples.
traveled to China and returned to Japan with over five thou-
sand scrolls of Buddhist scripture, paving the way for later
In north China non-Han rulers frequently employed
pilgrims like Ku¯kai (774–835 CE), Ennin (794–864 CE), and
Buddhist resources to build a strong centralized government.
Do¯gen (1200–1253). Buddhism dominated public religious
The Central Asian monk Fotudeng (d. 349 CE) served the
life but did not blot out other traditions: Christianity in its
Later Zhao dynasty (328–352) for nearly twenty years and
Persian (Nestorian) form, Islam, and the Iranian religions of
was famous for performing ceremonies to bring rain during
Zoroastrianism and Manichaeism were also known in some
times of drought and to assist the empire in warfare. Dao’an
cities.
(312–385 CE) influenced many aspects of Buddhist philoso-
phy. He wrote on meditation and emptiness, compiled a cat-
The ruling house of the Tang declared its descent from
alog of the translation of Buddhist texts into Chinese, led
Laozi and officially claimed in 637 CE that the stability of
ceremonies for people seeking rebirth in Tus:ita Heaven,
the empire rested on the Daoist-inspired principle of effort-
composed rules for monastic life, and suggested that the fa-
less action (wuwei). This ostensive affiliation, however, never
mous monk of Kucha, Kuma¯raj¯ıva (Chinese, Jiumoluoshi,
outweighed the value, personal and political, that the govern-
350–409/413 CE), be invited to China. With state support,
ment saw in Buddhist rituals. Buddhist symbolism also
Kuma¯raj¯ıva assembled a translation team said to number one
played a crucial role in the career of Wu Zhao (624–705 CE),
thousand in the capital of Chang’an, where he rendered
who had been empress (wife of Emperor Gaozong, r. 650–
many texts, including key treatises of the Ma¯dhyamika
684 CE) but who seized control of the government, instituted
school. Kuma¯raj¯ıva’s translation idiom and literary style, as
a new dynasty (Zhou), and assumed the title of emperor in
seen in his Lotus Su¯tra and Vimalak¯ırti Nirde´sa, soon became
the year 690 CE. As a female monarch, Empress Wu could
the dominant form of Chinese Buddhist writing. His Chi-
not easily draw on Confucian ideology to justify her rule. In-
nese disciple, Sengzhao (373–414 CE), wrote unparalleled es-
stead, she turned to a variety of Buddhist regalia: she was
says on the meaning of emptiness (´su¯nyata¯; Chinese, kong).
portrayed as a incarnation of Maitreya and as a cakravartin
In institutional terms one of the most important develop-
king.
ments in the north was the monk Tanyao’s (fl. 470 CE) cre-
The most famous translator of Sanskrit scripture into
ation of two social structures under the Northern Wei dynas-
Chinese was the Chinese monk Xuanzang (c. 600–664
ty (493–534
CE).
CE). After a period of state support for Daoism
He was already considered a master of Buddhist philosophy
and the mass migration of families uprooted by warfare,
when he embarked for India in 629
Tanyao reasoned that the resources of Buddhism should be
CE in search of authorita-
tive texts and teachers. He traveled throughout Central Asia
used to relieve poverty and encourage agricultural produc-
and India, studying intensively at the great center of Bud-
tion. He proposed that families be grouped into units called
dhist scholasticism, Na¯landa¯ (Bihar State, India), before re-
sam:gha-households that would send grain to monasteries,
turning to China in 645
which would in turn distribute food to the poor and the gen-
CE. He carried back hundreds of
texts and a knowledge of Sanskrit that few if any Chinese
eral populace in times of drought. He also founded buddha-
monks have ever matched. He translated seventy-three works
households, work units of criminals and slaves attached to
into Chinese in a style known for its philological precision,
Buddhist monasteries who worked in the temple or farmed
and he composed a record of his journey detailing the geog-
its land.
raphy, politics, and religious life of China’s western neigh-
CENTRALIZED COSMOPOLITAN DYNASTIES. Traditional his-
bors. His exploits as an explorer also made him famous, and
tories view the Sui (581–618 CE) and Tang (618–907 CE)
one thousand years later his legend was crystallized in the
dynasties as a golden age or high point of Buddhism in
much-beloved vernacular novel Journey to the West (Xiyou ji,
China. This interpretation puts too much emphasis on dy-
also known as Monkey).
nastic structures, underplays social history, and privileges
certain kinds of doctrinal innovation in Buddhism. Never-
One of Xuanzang’s most influential contemporaries was
theless there are good reasons for considering these three cen-
Daoxuan (596–667 CE). Daoxuan was an expert on the
turies as China’s Buddhist age.
Vinaya, and he set new standards in the compilation of biog-
raphies, miracle tales, apologetic literature, and catalogs of
The capital cities of Chang’an and Luoyang were home
the Buddhist canon. Rather than following Xuanzang’s over-
to a large national bureaucracy of officials recruited increas-
land route, the Chinese monk Yijing (635–713 CE) traveled
ingly through a publicly administered examination, and they
by sea to South and Southeast Asia. After more than twenty
were also the destination of diplomats, armies, Buddhist
years abroad, he returned and translated fifty-six separate
monks, entertainers, and merchants from most of Eurasia.
books, many of them devoted to monastic discipline.
The Tang court maintained contacts with Arab rulers and
Amoghavajra (Bukongjingang, 705–774 CE), who was prob-
sought Indian scholars knowledgeable in mathematics, medi-
ably born in Ceylon (Sri Lanka), came to China and translat-
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BUDDHISM: BUDDHISM IN CHINA
1165
ed nearly eighty texts, including a key scripture on the
(Northern Song, 960–1127; Southern Song 1127–1279)
Vajradha¯tu Man:d:ala and many shorter Tantric ritual books.
were lavish patrons of Buddhism. In many ways, however,
the society they ruled and the religion they supported were
The Sui and Tang were Buddhist dynasties also in the
quite different from those of earlier centuries. Wet rice culti-
sense that literary, artistic, and philosophical production was
vation became dominant, and the population of the south
dominated by explicitly Buddhist work in hitherto unprece-
outnumbered that of the north. The gentry families who had
dented ways. The poet Wang Wei (701–761 CE) employed
controlled access to power declined at the same time that the
what could be considered a Buddhist poetics and inculcated
use of paper money grew, a merchant class arose, and more
an attitude toward nature that draws heavily from Buddhist
and more people lived in cities. Wood-block printing, first
ideas. Even the most famous anti-Buddhist writer, Han Yu
used for the reproduction of Buddhist spells, led to the dis-
(768–824 CE), who wrote a memorial protesting Emperor
semination of all kinds of books. All of these changes meant
Xianzong (r. 805–820 CE) honoring the Buddha’s finger
relic, was influenced by the tradition he criticized. Han Yu
that the general public to which Buddhism spoke and the
believed the bone had dangerous powers, and his attempt to
wealthy classes whose support it sought were fundamentally
resuscitate Confucian ideas and revitalize classical prose de-
different from its former clientele. The government virtually
pended on Buddhist versions of orthodox transmission. The
rescinded the tax-exempt status of the monkhood and made
writing of miracle tales, many of which concerned icons, as-
larger profits for the state through the sale of ordination cer-
sumed the validity of reincarnation. The popular practice of
tificates. The revival of Confucian thought among officials
storytelling with pictures (evidenced in “transformation
like Zhu Xi (1130–1200), although not yet constituting an
texts,” bianwen) was inspired by notions of the salvific inter-
official orthodoxy, began to offer comprehensive philosophi-
vention of buddhas and bodhisattvas. Paintings of paradise
cal alternatives to Buddhist systems of thought.
scenes and icons of Buddhist deities could be found every-
Buddhist responses to this changing world resulted in
where. Wu Daozi (also known as Wu Daoxuan, fl. 710–760
a clearer definition of the relationship between elite Bud-
CE), a highly placed court painter, was famous for the Bud-
dhism and other traditions as well as the drawing of clearer
dhist subject matter he chose. His contemporaries report that
lines separating the various schools of Buddhism from each
his renderings of hell struck terror into viewers and that he
other. The very notion of a strong sectarian identity came
carried out the act of painting in an inspired, theatrical man-
into existence at this time through the writing of Chan histo-
ner. Buddhist metaphors were so well known that they rarely
ries, beginning with The Record of the Transmission of the
required explanation: a bubble meant evanescence, a lotus
Flame [or Lamp] Compiled in the Jingde Era (Jingde chuan-
flower symbolized purity amid filth, silence was a reference
deng lu, 1004). Earlier literature had portrayed connections
to Vimalak¯ırti’s understanding of wisdom. The debates of
between masters and disciples as contending lineages that
the age were dominated by Buddhist problems like sudden
could coexist simultaneously. Song sources, however, ad-
versus gradual approaches to enlightenment, the mechanics
vance the claim that the orthodox tradition originated at a
of rebirth in paradise, and the effectiveness of spells (dha¯ran:¯ı
single point (S´a¯kyamuni smiling or wordlessly passing a
and mantra).
flower to Ka¯´syapa¯) and continued in a mind-to-mind trans-
Written sources dating from the Tang dynasty also pro-
mission with only one patriarch per generation. The “records
vide unambiguous evidence of the spread of Buddhist cele-
of discourse” (yulu) detailing the words and deeds of masters
brations, especially in temples, that may have started earlier.
were put together during the Song. Dahui Zonggao (1089–
Temples, which were not isolated enclaves of monastics in
1163) emphasized sustained meditation on the phrase “No”
the first place, were especially busy during annual festivals.
(a response to the question of whether dogs possess buddha-
The yearly cycle included the emperor’s birthday, the imperi-
nature), and full collections of past examples of “public
al ancestors’ memorial days, the lantern celebration of the
cases” (gongan; Japanese, ko¯an) were rendered in classic form
new year (around January 15), the Buddha’s birthday (Feb-
in anthologies like The Blue Cliff Record (Biyan lu, 1125).
ruary 8 or April 8), and the ghost festival (July 15). Rituals
The Chan myth of patriarchy assumed that the Song
involving the offering of a gift to the sam:gha and the partici-
dynasty form of identifiable Chan monasteries had begun
pation of monks and nuns were carried out for life-cycle
during the Tang. The vague notion of a Buddhist “school”
events (safe childbirth, weddings, building houses, curing ill-
(zong) was forged into a more exclusive sense of identity also
ness, deathbed rites, funerals, memorial services) or at the be-
in response to the new institutional structures implemented
hest of the individual practitioner (for commissioning statues
under the Song. The government exercised formal control
or attending lectures). Tang dynasty manuscripts also supply
over a system of public monasteries divided into three classes,
the first detailed evidence of the formation of societies or
Vinaya (lü), teachings (jiao), and meditation (chan), the
loose congregations at the local level, groups that came to-
greatest number of which was the latter. In this atmosphere
gether for semimonthly meetings, to hear monks preach, or
even proponents of Tiantai ideas followed the dominance of
to help members of the group with funeral expenses.
Chan and portrayed their patriarchs as single pearls in an un-
THE FORMATION OF SECTARIAN IDENTITY. Like the early
broken strand rather than as abbots of strong local monaste-
Tang emperors, the first emperors of the Song dynasty
ries. Such a conception underlies the new genre of Buddhist
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1166
BUDDHISM: BUDDHISM IN CHINA
history writing in Zhipan’s (fl. 1258–1269) Comprehensive
practices and those of other religious traditions. Buddhist
Record of Buddhas and Patriarchs (Fozu tongji), which was
symbolism proved amenable to many foreign groups who
also influenced by developments in secular historiography.
never forgot that Buddhism itself had begun outside of
Genealogical exclusivity was even extended to the Pure Land
China. Buddhist mythology, in addition to offering models
tradition, which received its first formal list of unbroken pa-
like the cakravartin monarch, easily accommodated the pro-
triarch succession from Tiantai writers in the thirteenth cen-
tector deities, shamanistic practices, and styles of ancestor
tury. It should not be forgotten, however, that although sec-
veneration of the northern nomads. This complicated pro-
tarian rigidity existed as both rhetoric and institution, it was
cess of cultural mixing is apparent in the temple architecture,
not universal. Most of Buddhist practice—attending festi-
tomb building, and art that survives from these periods.
vals, making offerings to buddhas and bodhisattvas, seeking
Under the Xia dynasty the Chinese Buddhist canon was writ-
assistance at the local temple, praying for the salvation of
ten in Tangut script, while the Yuan emperors sponsored
one’s parents—remained generic. Even the liturgies collected
both the printing of the Chinese canon and the translation
by self-avowed followers of the Tiantai school like Zunshi
of the Tibetan canon into Mongolian.
(964–1032) incorporated the practices of local cults. Bud-
dhists of every persuasion continued to draw on Buddhist
BUDDHISM IN LATE IMPERIAL CHINA. Although many
ideas that, though associated with one particular school or
events can be used to demarcate important breaks in the his-
another, belonged to all: the one mind (Chan), Amita¯bha
tory of China between the fourteenth and twentieth centu-
Buddha’s vows (Pure Land), three thousand worlds in one
ries, long-term trends are also apparent during this period.
moment of thought (Tiantai), and the realm of true reality
One continuity is the threat to imperial sovereignty emanat-
(Huayan).
ing from the millenarian mythology embedded in some
DYNASTIES OF NON-HAN RULE. Beginning in the tenth cen-
forms of Buddhism and other religions. Daoism, Buddhism,
tury three foreign, originally nomadic groups ruled as Chi-
and Manichaeism (and later Christianity) all contained sub-
nese dynasties over portions of north China: the Khitan
traditions positing an imminent cataclysm of cosmic propor-
(Liao dynasty) from 946 to 1125, the Jurchen (Jin dynasty)
tions and the replacement of the current regime with a new
from 1115 to 1234, and the Tangut (Western Xia dynasty)
order ruled by a divine king. Buddhist versions of this escha-
from 1038 to 1227. After that the Mongols, whose quadri-
tology, known since the fourth century, focused on the im-
partite dominance over Eurasia extended from Kiev and Bu-
pending incarnation of Maitreya as a ruler. Already during
charest in the west to Korea and Taiwan in the east, con-
the Yuan dynasty, Maitreya belief took new social and liter-
quered all of China and established the Yuan dynasty (1206–
ary forms. This was a time of growth for sectarian groups—
1368). Whereas other dynasties could claim that China was
voluntary organizations of laypeople not based on family ties
a multiethnic and religiously plural empire, during the Yuan
or attendance at temples but rather defined by Buddhist be-
dynasty the already diverse Chinese polity was one portion
lief and practice. Their members read and recited a relatively
of an even more diverse empire of global proportions. Euro-
new form of vernacular sacred text, “precious scrolls” (baoj-
peans, the most famous of whom was Marco Polo (c. 1254–
uan), which mixed mythology, moral guidance, and ele-
1324), traveled to and wrote about the Chinese part of the
ments from a variety of religious traditions. Movements like
Mongol Empire, and Muslims from the Middle East and
the White Cloud (Baiyun) remained utterly conventional in
Central Asia directed financial administration for the Yuan
insisting that members observe all forms of political authori-
government at the local level. Many traditions prospered in
ty. Other groups, such as the White Lotus (Bailian), fre-
China under the Yuan. Despite the banning of all Daoist
quently sought the immediate installation of new, purified
scriptures except the Dao de jing in 1281, four different Dao-
regimes or were suppressed by the government for being sus-
ist movements flourished: Complete Perfection (Quanzhen),
pected of rebellion. The man who became the first Ming em-
Grant Unity (Taiyi), Greatness of Perfection (Zhenda) in the
peror, Zhu Yuanzhang (1328–1398), was a local leader of
north, and Correct Unity (Zhengyi) in the south. Mongol
one such movement in Anhui. His military success allowed
educators wittingly aided the institutionalization of Confu-
him to wrest control from the Mongols and other adversaries
cianism when they turned the Four Books (the Analects of
and be enthroned as the Hongwu emperor (r. 1368–1398)
Confucius, Mencius, The Great Learning, and The Doctrine
of the Ming dynasty (1368–1644). The succeeding Qing
of the Mean) with Zhu Xi’s commentaries into the basis for
dynasty (1644–1911) was founded by the Manchu people
the civil service examination in 1313.
of the northeast, descendants of the Jurchens. Their leader
Qubilai (Chinese reign name Shizu, r. 1260–1294) was
was considered an incarnation of the bodhisattva Mañju´sr¯ı,
instrumental in placing Tibetan Buddhist clergy at the apex
and all of the Qing emperors made significant visits to the
of the Yuan religious establishment. He received consecra-
temple complex on Mount Wutai (Sanxi province), where
tion (abhis:eka) into the cult of Hevajra (Tibetan, Dges pa rdo
Mañju´sr¯ı was believed to have manifested himself. With
rje) in 1253 and named the Tibetan prelate Blo gros rgyal
Qing imperial support, the Buddhist canon was translated
mtshan (Lodro Gyaltsen, the ’Phags pa bla ma, 1235–1280)
into Manchu in 1790. Following the pattern of earlier dynas-
the imperial preceptor in 1260. Tibetan Buddhism became
ties, emperors regulated and manipulated Buddhist institu-
the new state religion, existing on top of Chinese Buddhist
tions, and the Ming and Qing ruling houses accorded politi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN CHINA
1167
cal office to the highest ranking bla mas and other monastic
his message in terms derived from the Confucian classics,
authorities in Tibet and Mongolia.
and drew on ancient Chinese precedents to castigate Bud-
dhism, Daoism, and the practices of popular religion. A
Another important pattern of late imperial times is the
more pervasive Christian influence began in the early nine-
seeming dissolution of distinctively Buddhist elements into
teenth century, when Protestant missionaries first arrived in
Chinese society. During these centuries traces of Buddhism
China. They aimed at the lower strata of society and worked
could be found almost everywhere yet not always recognized
at the local level. They formed congregations by preaching
as such. Perhaps because it was so pervasive, the Buddhism
about Jesus, translating the Bible into the spoken language,
of this period has received the least amount of scholarly re-
disputing Buddhist ideas of reincarnation, and railing against
search. The conceptual underpinnings of the ethical system
belief in spirits.
of late imperial popular religion were heavily Buddhist. Al-
BUDDHISM IN MODERN CHINA. Buddhism was never insu-
though human centered, the worldview of Chinese religion
lated from the cataclysms shaking Chinese society from the
had been englobed by a wider framework that included other
1850s to the twenty-first century: Western military incur-
species (animals) and forms of life (gods, hell beings). Every
sions, imposition of treaties and reparations, unprecedented
act, large or small, was thought to carry moral consequences,
natural disasters, the overthrow of the imperial system of
and ideas of karma were expressed in notions like “planting
governance in 1911, the founding of the Republic of China
good roots” for future rebirths. Other myths, symbols, and
in 1912, civil war and rule by warlords, warfare and eventual-
rituals that derived from Buddhism had become a part of ge-
ly occupation of most of China by Japan between 1937 and
neric religious practice in annual festivals, rites of curing, ex-
1945, the victory of Mao Zedong’s (1893–1976) Commu-
orcism, funerals, and pilgrimage. Buddhist monastic leaders
nist Party and the establishment of the People’s Republic of
like Yunqi Zhuhong (1535–1615) exhorted their elite fol-
China in 1949, continuing upheaval and the Great Proletari-
lowers to practice the releasing of life (freeing animals bound
an Cultural Revolution (1966–1976), the opening to foreign
for the butcher), to adopt a vegetarian diet, and to refrain
capital in 1978, and economic expansion and international-
from wearing silk (the production of which kills silkworms)
ization beginning in the 1990s. Propelled into the modern
whenever possible. They promoted the joint practice of
world so violently and in such a relatively short period of
Chan-style meditation and the chanting of Amita¯bha Bud-
time (by comparison to Europe), China has offered many so-
dha’s name, and they sought rapprochement among all
lutions to the problem of how to understand “modernity.”
schools of thought. Even outspoken proponents of Confu-
Chinese from all walks of life debated what form government
cian learning launched ideas that had been heavily influenced
should take, what place in the world order China should oc-
by Buddhism. Wang Yangming (formally named Wang Sh-
cupy, and what roles science and religion should play in
ouren, 1472–1529) shifted the focus of Confucian discourse
modern society. The answers have been complicated and var-
from principle (li) to the power of the mind and the process
ied. Intellectuals like Hu Shi (1891–1962) distinguished be-
of moral thinking. Much as Buddhists predicated the achiev-
tween unscientific, tradition-bound schools of thinking and
ing of enlightenment on the inborn capacity to become a
rational, practical, Sinified forms of religious thought—
buddha, Wang believed that ethical discernment was possi-
including some forms of Buddhism—that could be har-
ble because of every person’s “innate knowledge” (liangzhi).
nessed to modernity. Monks like Taixu (1890–1947), theo-
One piece of common wisdom in late imperial times was the
rizing the proper social functions of Buddhism, advocated
slogan that “the three teachings are one” (sanjiao heyi). Dif-
turning away from involvement in funerals and memorial
ferent interpretations of the claim were offered—that Confu-
services and focusing on more this-worldly concerns. Bud-
cianism, Daoism, and Buddhism seek a common goal, or
dhist clerics in China debated the contradictions involved in
stem from the same metaphysical ground, or form three dis-
armed resistance against the Japanese military, just as their
tinct stages of cultivation—but the basic idea (often called
Japanese brethren came to grips with and often contributed
syncretism) was pervasive.
to the Japanese colonial enterprise.
Increasingly during the Ming and Qing dynasties, Bud-
Modern China provides an interesting testing ground
dhism existed in a world that knew various forms of Chris-
for the interaction between Buddhism and Communism.
tianity. Portuguese traders talked about their faith in the
Marxist thought in general treats religion as a superstructure
early 1500s, and a variety of European orders dispatched
of the pre-Communist state. From this perspective Bud-
priests to China. Matteo Ricci (1552–1610), the most fa-
dhism is an ideology used to camouflage real suffering in the
mous Jesuit in China, formulated a strategy for the propaga-
world, which is caused by ownership of the means of produc-
tion of Christianity after learning from the example of Bud-
tion (land) by the gentry and the consequent alienation of
dhist missionizing. During his first years in China, Ricci
the masses. Following Mao’s exhortation, Marxist philoso-
adopted the dress of Buddhist monks; the two orders of
phers viewed Buddhist monks as a nonproductive class and
monks did, after all, share a celibate lifestyle. Ricci soon felt
criticized Buddhist idealism for its opposition to a materialist
the need, however, to distance himself from the role of ritual
concept of history. The earliest land reforms in the 1940s
specialist and the suspicions cast on monks by the highest
began to expropriate the economic basis of the monastic live-
classes. He changed into the robes of the scholar, couched
lihood, and the Cultural Revolution targeted monks, nuns,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1168
BUDDHISM: BUDDHISM IN CHINA
teachers, doctors, and other counterrevolutionaries for harsh
SEE ALSO Amoghavajra; A´soka; Avalokite´svara;
reeducation. Nevertheless freedom of religious belief is guar-
Bhais:ajyaguru; Buddhism, Schools of, article on Chinese
anteed in the Chinese constitution, adopted in 1954. Under
Buddhism; Chinese Religion, overview article; Huiyuan;
new policies in the post-Mao era, private belief in any of five
Ks:itigarbha; Kuma¯raj¯ıva; Nirva¯n:a; Politics and Religion, ar-
recognized religions (Daoism, Buddhism, Islam, Catholi-
ticles on Politics and Buddhism and Politics and Chinese
cism, and Protestantism) is allowed. The Chinese Buddhist
Religion; Taixu; Xuanzang; Yijing; Zhu Xi.
Association (Zhongguo fojiao xiehui), founded in 1953, is
the government-supervised organization of clergy and lay-
BIBLIOGRAPHY
people. Under its auspices Buddha relics have been ex-
Kenneth Ch’en, Buddhism in China: A Historical Survey (Prince-
changed with other Buddhist countries, and intra-Asian mis-
ton, N.J., 1964), remains a good comprehensive, one-
volume survey of the field, despite its slim treatment of the
sions have been sponsored. Having claimed political
period from 907 to the twenty-first century, titled “Decline.”
dominance over Tibet for centuries, the Chinese army took
Erik Zürcher, “Perspectives in the Study of Chinese Bud-
control of Tibet in 1959; the government formally recog-
dhism,” Journal of the Royal Asiatic Society 2 (1982):
nized the authority of the Panchen Lama and derecognized
161–176, offers trenchant comments on the most important
the Dalai Lama, who escaped to India. For Tibetan Bud-
historiographical problems confronting the field. Bunyiu
dhists as well as Buddhist believers from other officially rec-
Nanjio, trans., A Catalogue of the Chinese Translation of the
ognized minority groups (like those in Yunnan, Sichuan,
Buddhist Tripitaka, the Sacred Canon of the Buddhists in
Qinghai, and Xinjiang provinces), state entitlements are sup-
China and Japan (1883; reprint, San Francisco, 1975) is a
translation of the table of contents of the official Ming
posed to include the practice of traditional religion. How the
dynasty canon. Paul Demiéville, “Les sources chinoises,” in
government weighs this right against its perception of the
L’Inde classique, edited by Louis Renou and Jean Filliozat
overarching authority of the state to condone or extirpate any
(Paris, 1953), vol. 2, pp. 398–463, surveys the standard
form of social action remains to be seen.
modern scholarly canon, Taisho¯ shinshu¯ daizo¯kyo¯. An over-
view of Chinese history that emphasizes Buddhism is Jacques
The future of Chinese Buddhism will depend increas-
Gernet, A History of Chinese Civilization, 2d ed., translated
ingly on forms of Buddhism outside the Chinese mainland.
by J. R. Foster and Charles Hartman (Cambridge, U.K.,
Taiwan was ruled by the Japanese from 1895 to 1945, and
1996).
the Nationalist Party (Guomindang or Kuomintang [KMT])
For the early centuries, the standard study is Erik Zürcher, The
fled there in 1949. The Nationalists consciously distin-
Buddhist Conquest of China: The Spread and Adaptation of
guished their religious policies from those of their Commu-
Buddhism in Early Medieval China, 2 vols., rev. ed. (Leiden,
nist foes and supported the practice of many forms of Chi-
1972). See also Paul Demiéville, “Philosophy and Religion
nese religion, including Buddhism. Many organized groups
from Han to Sui,” in The Cambridge History of China, vol.
proliferated after the liberalization of laws regarding civic or-
1: The Ch’in and Han Empires, 221 BC–AD 220, edited by
ganizations in 1989, and religious revivals continued after
Denis Twitchett and Michael Loewe (Cambridge, U.K.,
1986), pp. 808–872; and Helwig Schmidt-Glintzer, Das
the Nationalists lost the presidency in the 2000 elections.
Hung-ming chi und die Aufnahme des Buddhismus in China
Taiwan in the late twentieth century saw the growth of many
(Wiesbaden, Germany, 1976).
Buddhist organizations, including the Tzu Chi Foundation
(or Buddhist Compassion Relief Merit Association [Fojiao
For Buddhist practice during the medieval period, see Edward L.
Davis, Society and the Supernatural in Song China (Honolulu,
ciji gongde hui]), founded by the nun Zhengyan (b. 1937),
2001); Jacques Gernet, Buddhism in Chinese Society: An Eco-
which emphasizes medical care, social welfare, and disaster
nomic History from the Fifth to the Tenth Centuries, translated
relief; Buddha’s Light International Association (Foguang-
by Franciscus Verellen (New York, 1995); Li-ying Kuo, Con-
shan), a broad-based, comprehensive organization of laypeo-
fession et contrition dans le bouddhisme chinois du Ve au Xe siè-
ple and clerics led by the monk Xingyun (b. 1927); and
cle (Paris, 1994); Stephen F. Teiser, The Ghost Festival in Me-
Dharma Drum Mountain (Fagushan), founded by the monk
dieval China (Princeton, N.J., 1988); and Stephen F. Teiser,
Shengyan (b. 1931), whose educational complex in northern
“The Scripture on the Ten Kings” and the Making of Purgatory
Taiwan includes a Buddhist seminary, university, library,
in Medieval Chinese Buddhism (Honolulu, 1994). The place
of Buddhism in Chinese culture is discussed in Alan Cole,
museum, and conference center. All three of these associa-
Mothers and Sons in Chinese Buddhism (Stanford, Calif.,
tions have branches active in other countries, Asian and
1998); John Kieschnick, The Eminent Monk: Buddhist Ideals
Western, and they carry out exchanges with Buddhist groups
in Medieval Chinese Hagiography (Honolulu, 1997); and
in China.
Peter N. Gregory, ed., Sudden and Gradual: Approaches to
Enlightenment in Chinese Thought (Honolulu, 1987).
Buddhist movements comprising laypeople and monas-
On the range of Buddhist philosophy, see Bernard Faure, The
tics continue to proliferate in the Chinese communities of
Rhetoric of Immediacy: A Cultural Critique of Chan/Zen Bud-
Southeast Asia and the West. Just as Buddhism was original-
dhism (Princeton, N.J., 1991); Bernard Faure, The Will to
ly carried into China from abroad, the undecided fate of
Orthodoxy: A Critical Genealogy of Northern Chan Buddhism,
Buddhism in China is now bound up with forms of Bud-
translated by Phyllis Brooks (Stanford, Calif., 1997); Jamie
dhism practiced elsewhere.
Hubbard, Absolute Delusion, Perfect Buddhahood: The Rise
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN KOREA
1169
and Fall of a Chinese Heresy (Honolulu, 2001); Ming-Wood
Haar, The White Lotus Teachings in Chinese Religious History
Liu, Madhyamaka Thought in China, (Leiden, 1994); John
(Leiden, 1992). For relations between Buddhism and the
R. McRae, Seeing through Zen: Encounter, Transformation,
state, see Charles D. Orzech, Politics and Transcendent Wis-
and Genealogy in Chinese Chan Buddhism (Berkeley, Calif.,
dom: “The Scripture for Humane Kings” in the Creation of Chi-
2003); Julian Pas, Visions of Sukha¯vat¯ı: Shan-tao’s Commen-
nese Buddhism (University Park, Pa., 1998); Antonino Forte,
tary on the Kuan Wu-Liang-Shou-Fo Ching (Albany, N.Y.,
Political Propaganda and Ideology in China at the End of the
1995); Michel Strickmann, Mantras et mandarins: Le boudd-
Seventh Century: Inquiry into the Nature, Authors and Func-
hisme tantrique en Chine (Paris, 1996); and Brook Ziporyn,
tion of the Tunhuang Document S. 6502 Followed by an Anno-
Evil and/or/as the Good: Omnicentrism, Intersubjectivity, and
tated Translation (Naples, Italy, 1976); Stanley Weinstein,
Value Paradox in Tiantai Buddhist Thought (Cambridge,
Buddhism under the T’ang (Cambridge, U.K., 1987); and Pa-
Mass., 2000).
tricia Berger: Empire of Emptiness: Buddhist Art and Political
Authority in Qing China (Honolulu, 2003).
On Buddhism from the Song through the Ming dynasties, see
Peter N. Gregory and Daniel A. Getz Jr., eds., Buddhism in
On important Buddhist deities, see Raoul Birnbaum, The Healing
the Sung (Honolulu, 1999); Yifa, The Origins of Buddhist
Buddha (Boulder, Colo., 1979); Françoise Wang-Toutain,
Monastic Codes in China: An Annotated Translation and Study
Le bodhisattva Ks:itigarbha en Chine du Ve au XIIIe siècle
of the Chanyuan Qinggui (Honolulu, 2002); Ruth W. Dun-
(Paris, 1998); and Chün-fang Yü, Kuan-yin: The Chinese
nell, The Great State of White and High: Buddhism and State
Transformation of Avalokite´svara (New York, 2001).
Formation in Eleventh-Century Xia (Honolulu, 1996); Chün-
On Buddhist art, see Stanley K. Abe, Ordinary Images (Chicago,
fang Yü, “Ming Buddhism,” in The Cambridge History of
2002); Sarah E. Fraser, Performing the Visual: The Practice of
China, vol. 8: The Ming Dynasty, 1368–1644, pt. 2, edited
Wall Painting in China and Central Asia (Stanford, Calif.,
by Denis Twitchett and Frederick W. Mote (Cambridge,
2004); Angela Falco Howard, Summit of Treasures: Buddhist
U.K., 1998), pp. 893–952; Herbert Franke and Denis Twit-
Cave Art of Dazu, China (Trumbull, Conn., 2001); and
chett, eds., The Cambridge History of China, vol. 6: Alien Re-
Marsha Weidner, Latter Days of the Law: Images of Chinese
gimes and Border States (Cambridge, U.K., 1995); Chün-fang
Buddhism, 850–1850 (Lawrence, Kans., and Honolulu,
Yü, The Renewal of Buddhism in China: Chu-hung and the
1994).
Late Ming Synthesis (New York, 1981); and Timothy Brook,
English translations of important su¯tras include Leon Hurvitz,
Praying for Power: Buddhism and the Formation of Gentry So-
trans., Scripture of the Lotus Blossom of the Fine Dharma (The
ciety in Late-Ming China (Cambridge, Mass., 1993).
Lotus Su¯tra) (New York, 1976); Burton Watson, trans., The
The nineteenth and twentieth centuries are discussed in Charles
Lotus Sutra (New York, 1993); Luis O. Gómez, trans., The
Brewer Jones, Buddhism in Taiwan: Religion and the State,
Land of Bliss: The Paradise of the Buddha of Measureless Light,
1660–1990 (Honolulu, 1999); Don A. Pitmann, Toward a
Sanskrit and Chinese Versions of the Sukha¯vat¯ıvyu¯ha Sutras
Modern Chinese Buddhism: Taixu’s Reforms (Honolulu,
(Honolulu, 1996); Red Pine, trans., The Diamond Sutra: The
2001); Holmes Welch, The Practice of Chinese Buddhism,
Perfection of Wisdom (Washington, D.C., 2001); Burton
1900–1950 (Cambridge, Mass., 1967); Holmes Welch, The
Watson, trans., TheVimalakirti Sutra (New York, 1996); and
Buddhist Revival in China (Cambridge, Mass., 1968);
Thomas Cleary, trans., The Flower Ornament Scripture: A
Holmes Welch, Buddhism under Mao (Cambridge, Mass.,
Translation of the Avatamsaka Sutra, 3 vols. (Boulder, Colo.,
1972); Stuart Chandler, Establishing a Pure Land on Earth:
and Boston, 1984–1987). For works composed in China, see
The Foguang Buddhist Perspective on Modernization and Glo-
Robert E. Buswell Jr., ed., Chinese Buddhist Apocrypha (Ho-
balization (Honolulu, 2004); and Daniel L. Overmyer, ed.,
nolulu, 1990); Neal Donner and Daniel B. Stevenson, The
Religion in China Today, China Quarterly Special Issues, n.s.
Great Calming and Contemplation: A Study and Annotated
3 (Cambridge, U.K., 2003).
Translation of the First Chapter of Chih-i’s “Mo-ho chih-kuan,”
(Honolulu, 1993); Philip B. Yampolsky, trans., The Platform
For the interactions between Buddhism and Daoism, see Stephen
Sutra of the Sixth Patriarch (New York, 1967); Burton Wat-
R. Bokenkamp, “Sources of the Ling-pao Scriptures,” in Tan-
son, trans., The Zen Teachings of Master Lin-chi: A Transla-
tric and Taoist Studies in Honour of R. A. Stein, edited by Mi-
tion of the Lin-chi lu (New York, 1999); and Thomas Cleary,
chel Strickmann, vol. 2: Mélanges chinois et bouddhiques 21
trans., No Barrier: Unlocking the Zen Koan; A New Transla-
(Brussels, 1983), pp. 434–486; Stephen F. Bokenkamp,
tion of the Zen Classic Wumenguan (Mumonkan) (New York,
“Stages of Transcendence: The Bhu¯mi Concept in Taoist
1993). For popular literature influenced by Buddhism, see
Scripture,” in Chinese Buddhist Apocrypha, edited by Robert
Victor H. Mair, trans., Tun-huang Popular Narratives (Cam-
E. Buswell Jr. (Honolulu, 1990), pp. 119–148; Livia Kohn,
bridge, U.K., 1983); Anthony C. Yu, trans., The Journey to
Monastic Life in Medieval Daoism: A Cross-Cultural Perspec-
the West, 4 vols. (Chicago, 1977–1983); and Daniel L. Over-
tive (Honolulu, Hawaii, 2003); Robert H. Sharf, Coming to
myer, Precious Volumes: An Introduction to Chinese Sectarian
Terms with Chinese Buddhism: A Reading of the Treasure Store
Scriptures from the Sixteenth and Seventeenth Centuries (Cam-
Treatise (Honolulu, 2002); Michel Strickmann, Chinese
bridge, Mass., 1999).
Magical Medicine, edited by Bernard Faure (Stanford, Calif.,
2002); and Erik Zürcher, “Buddhist Influence on Early Tao-
STEPHEN F. TEISER (2005)
ism: A Survey of Scriptural Evidence,” T’oung Pao 66, nos.
1–3 (1980): 84–147.
Buddhism and sectarian religion are the subject of Daniel L. Over-
BUDDHISM: BUDDHISM IN KOREA
myer, Folk Buddhist Religion: Dissenting Sects in Late Tradi-
In any examination of the Korean Buddhist tradition, it is
tional China (Cambridge, Mass., 1976); and Barend ter
essential to recall that in no way was Korea isolated 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
1170
BUDDHISM: BUDDHISM IN KOREA
neighboring regions of Northeast Asia. During its prehistory,
have been erected for Sundo in 376, the first reference to a
Korean culture was most closely akin to that of the semino-
formal Buddhist institution on Korean soil.
madic tribes of the Central and North Asian steppes. From
Sundo was followed in 384 by the Serindian monk
the Warring States period (403–221 BCE) on, however, when
Maranant’a (*Ma¯la¯nanda; *Kuma¯ra¯nandin), who is reputed
refugees from the northern Chinese states of Yan, Qi, and
to have come via sea to Paekche from the Chinese state of
Zhao immigrated to the peninsula to escape the ravages of
Eastern Jin (317–420). His enthusiastic reception by the
the mainland wars, Han civilization began to eclipse that in-
royal court initiated the rapid diffusion of Buddhism
digenous culture at an ever-increasing pace. It is for this rea-
throughout the Paekche kingdom. Less than a year after his
son that Korean Buddhism must be treated as part and parcel
arrival a monastery had been founded on Mount Han for
of a larger East Asian Buddhist tradition. Indeed, Korea’s
Maranant’a and the first Korean natives ordained as Bud-
later appellation as the “hermit kingdom” notwithstanding,
dhist monks. In both Koguryo˘ and Paekche, there is evi-
there was in fact an almost organic relationship between the
dence that such schools as Samnon (Ma¯dhyamika),
Korean, Chinese, and, during its incipient period, the Japa-
Sarva¯stiva¯da Abhidharma, Nirva¯n:a, Satyasiddhi, and
nese Buddhist traditions. Admittedly, the Silk Route afford-
Ch’o˘nt’ae (Chin., Tiantai) flourished, though few works
ed China closer ties with the Buddhism of India and Central
from this period are now extant. Of vital importance for the
Asia, and China’s overwhelming size, both in territory and
dissemination of Buddhism throughout East Asia, however,
population, inevitably led to its domination of the doctrinal
was Paekche’s nautical skill, which made the kingdom the
trends within East Asian Buddhism. This does not deny,
Phoenicia of medieval East Asia. Over its well-developed sea
however, that Korean exegetes working on both the peninsu-
lanes, Paekche began in 554 to dispatch Buddhist doctrinal
la and the Chinese mainland made seminal contributions to
specialists, psalmodists, iconographers, and architects to
the development of what are commonly considered to be dis-
Japan, thus transmitting to the Japanese the rudiments of
tinctively “Chinese” schools of Buddhism, such as Tiantai,
sinified Buddhist culture and laying the foundation for the
Huayan, and Chan. At the same time, many Chinese Bud-
rich Buddhist culture of the Asuka and Nara periods. Silla
dhist theological insights were molded into new forms in
expansion throughout southern Korea also prompted mas-
Korea, innovations comparable to the Chinese syntheses of
sive emigration of Koreans to Japan (where they were known
Indian and Central Asian Buddhist teachings. Hence, any
as kikajin), and many of the cultural and technical achieve-
appraisal of characteristically East Asian developments in the
ments of early Japan—such as the development of paddy
Buddhist tradition cannot neglect to take into account the
fields, the construction of palaces and temples, and town
contributions made by Koreans.
planning—were direct results of the expertise introduced by
THREE KINGDOMS BUDDHISM (C. LATE FOURTH CENTURY–
these successive waves of emigrants. These advancements ul-
668 CE). According to such traditional Korean historical
timately paved the way for Japan’s first constitution, pur-
sources as Samguk sagi (Historical record of the Three King-
portedly written by Prince Sho¯toku in 604, and led to the
doms), Haedong kosu˘ng cho˘n (Biographies of eminent Korean
Taika reform of 646, which initiated a sinified bureaucracy
monks), and Samguk yusa (Memorabilia and mirabilia of the
in Japan.
Three Kingdoms), Buddhism was transmitted to Korea from
It was not until 529, following the martyrdom of
the Chinese mainland during the (Korean) Three Kingdoms
Ich’adon (Pak Yo˘mch’o˘k), that Silla, the last of the three
period. The introduction of Buddhism into Korea is pre-
kingdoms to consolidate its power, officially embraced Bud-
sumed to have occurred in 372 CE, when King Fujian (r.
dhism. Political exigencies were probably the catalyst for the
357–384) of the Former Qin dynasty (351–394) sent a
acceptance of Buddhism in Silla. The Silla nobility, who
monk-envoy, Shundao (Kor., Sundo), to the Koguryo˘ court
continued their drive for peninsular unification, found
with scriptures and images. Former Qin hegemony over the
strong incentive to embrace Buddhism in an effort to accom-
remarkably cosmopolitan region of eastern Turkistan had
modate the newly conquered Koguryo˘ and Paekche aristoc-
brought Chinese culture into intimate contact with Indian,
racy, which had embraced Buddhism long before. The vital
Iranian, and Hellenistic civilizations, ultimately engendering
role played by the Buddhist religion as a conduit through
a new, sinified form of Buddhism. Fujian’s defeat, in 370,
which Chinese civilization was introduced into Silla closely
of the Former Yan state, which had for decades laid siege to
parallels the sinification of non-Chinese tribes that occurred
Koguryo˘, initiated close ties between Fujian and his Koguryo˘
throughout Chinese history.
contemporary, King Sosurim (r. 371–383). These contacts
allowed this vibrant northern Chinese culture, which includ-
Three Kingdoms Buddhism seems to have been a thor-
ed the Buddhist religion, to be introduced into Korea. While
oughgoing amalgamation of the foreign religion and indige-
a paucity of information remains by which we can evaluate
nous local cults. Autochthonous snake and dragon cults, for
the characteristics of the Buddhism of this early period, it is
example, merged with the Maha¯ya¯na belief in dragons as
probable that it was characterized by thaumaturgic practices,
protectors of the Dharma, forming the unique variety of
a symbiotic relationship between the ecclesia and the state,
hoguk pulgyo (“state-protection Buddhism”) that was thereaf-
Maitreya worship, and the study of scriptures affiliated with
ter to characterize Korean Buddhism. One of the earliest ex-
the Maha¯ya¯na branch of Buddhism. A monastery is said to
amples of this amalgamation was the vow of the Silla king
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN KOREA
1171
Munmu (r. 661–681) to be reborn as a sea dragon after his
Buddhism that had developed in China were introduced into
death in order to guard his country and its new faith from
Korea. The doctrinal teachings that had begun to be import-
foreign invasion. Buddhism and the state subsequently
ed during the Three Kingdoms period were consolidated
evolved a symbiotic relationship in which the monks entreat-
during the Unified Silla into five major ideological schools:
ed the buddhas and bodhisattvas to protect the state and the
the Kyeyul-chong, which stressed the study and training in
state provided munificent support for the dissemination of
Buddhist monastic discipline (Vinaya); the Yo˘lban-chong,
the religion throughout the empire. Many of the most visible
which promulgated the teachings of the Maha¯parinirva¯n:a
achievements of the Korean church throughout its history,
Su¯tra; the Po˘pso˘ng-chong (Dharma Nature), a uniquely Ko-
such as the xylographic carvings of the Buddhist canon un-
rean school of Buddhism that stressed a synthetic outlook to-
dertaken during the succeeding Koryo˘ dynasty, were prod-
ward Buddhist doctrine; the Wo˘nyung-chong, which was
ucts of this concern with state protection. Buddhist monks
the early Korean branch of the Flower Garland (Kor.,
also sought to demonstrate correspondences between Korean
Hwao˘m; Chin., Huayan) school; and the Po˘psang-chong,
ancestral heroes and the new religion, thereby accelerating
derived from on the “consciousness-only” (vijña¯ptima¯trata¯)
the assimilation of the religion among Koreans. Attempts
teachings of Yoga¯ca¯ra. Some of the greatest achievements of
were made, for example, to prove that Hwanin, the Celestial
early Korean philosophy occurred during this period, and
Emperor, was identical to S´akro Deva¯n:a¯m Indra
such important scholiasts as Wo˘nhyo (617–686) and U
˘ isang
(Cheso˘k-ch’o˘n), the Indian and Buddhist king of the gods,
(625–702) forged approaches to Buddhist philosophy that
and that Tan’gun, the progenitor of the Korean race, was the
would become the hallmarks of the Korean church from that
theophany of S´r¯ı Maha¯dev¯ı (Kilsang-ch’o˘n). Vestiges of the
time onward. Korean exegetes working in China also played
dispensations of previous buddhas were alleged to have been
major roles in the development of Chinese schools of Bud-
uncovered in Korea, and the advent of the future Buddha,
dhism. Both Wo˘nhyo and U
˘ isang were important vaunt-
Maitreya, was prophesied to occur in the south of the penin-
couriers in the Huayan school, as reflected in their influence
sula. Modern-day visitors to a Korean monastery will notice
on the systematizer of the Chinese Huayan school, Fazang
on the perimeter of the campus shrines devoted to the moun-
(643–712). Wo˘nch’uk (613–696), a close disciple of Xuan-
tain god or to the seven stars of the Big Dipper, the presence
zang (d. 664), was a prominent exegete in the Chinese Faxi-
of which is indicative of the synthesis of common sinified
ang school, whose commentaries on such texts as the
culture with Buddhism.
Sam:dhinirmocana Su¯tra exerted profound influence on early
One of the most prominent institutions of Three King-
Tibetan Buddhism.
doms Buddhism that is commonly assumed to have been in-
It was during this era of ardent scholarly activity that
dicative of this interaction between Buddhism and indige-
one of the most characteristic features of the mature Korean
nous Korean culture was the Hwarang (Flower Boy)
Buddhist tradition developed: that of “ecumenism” or “syn-
movement. According to the Samguk sagi, this movement
thesis.” From the inception of Buddhism in East Asia, the
was instituted around 576 by the Silla king Chinhu˘ng
religion had formed around a number of disparate scriptural
(r. 540–575), and was patterned upon a more primitive asso-
and commentarial traditions that had developed first in India
ciation of shamanesses. The formation of the Hwarang
and later in Central Asia. For this reason, the Chinese church
movement is considered to have been part of the expansionist
became characterized by a loosely structured sectarianism.
policies of the Silla court, and was intended to instill in the
The various extremes each of these factional divisions took
sons of nobility a regard for ethical virtues and an apprecia-
led to an attempt, begun first in China and considerably re-
tion of refined culture. A later Silla writer relates that they
fined later in Korea, to see these various approaches, each os-
were trained in Confucian filial piety and national loyalty,
tensibly Buddhist yet each so different, in some common
Daoist quietism, and Buddhist morality. The prominent reli-
light, so as to find some means by which their discordant ele-
gious orientation of the Hwarang as related in this and other
ments could be reconciled. Certain features of the Korean
accounts militates against the popular notion that it was a
tradition contributed to the synthetic tendency of the reli-
paramilitary organization. The group aesthetic celebra-
gion. Owing to the smaller size of Korea and its monastic
tions—such as singing and dancing out in the open—that
population, there was little hope that Buddhism could con-
are commonly associated with the Hwarang has suggested to
tinue as a stable and influential force within the religious
a number of scholars the shamanistic activities of initiation
arena if it was divided into contentious factions. In addition,
journeys and pilgrimages. While the Hwarang’s Buddhist af-
the constant threat of foreign invasion created the need for
finities are far from certain, their eventual identification with
a unified, centrally organized ecclesiastical institution. The
Maitreya assured that tradition would regard the movement
quest to discover the common denominators in all of these
as one intended to disseminate the Buddhist faith among
sectarian interpretations—and subsequently to use those
Koreans.
unifying elements in order to establish an interdenomina-
UNIFIED SILLA BUDDHISM (668–935). After the unification
tional approach (t’ong pulgyo) to the religion that could in-
of the peninsula under the Silla banner in 668, the fortunes
corporate all elements of Buddhist philosophy and prac-
of the new religion expanded on an unprecedented scale. It
tice—was to inspire the efforts of all major Korean Buddhist
was during this period that the major schools of scholastic
philosophers. This attitude prompted the Koreans to develop
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1172
BUDDHISM: BUDDHISM IN KOREA
what remains one of the more ecumenical traditions of Bud-
regarded the meditative emphasis of the Ch’o˘nt’ae teachings
dhism to be found anywhere is Asia.
as the ideal vehicle for accommodating the varying concerns
of the So˘n and scholastic schools. Unfortunately, his prema-
One of the most momentous developments in the histo-
ture death at the age of forty-six brought a sudden end to
ry of Korean Buddhism occurred during the Unified Silla pe-
his endeavor and left the sectarian scene still more unsettled.
riod: the introduction of the Chan teachings, known in
Korea as So˘n. The earliest transmission of So˘n to the penin-
U
˘ ich’o˘n’s efforts were followed some three generations
sula is attributed to the monk Po˘mnang (fl. 632–646), a Ko-
later by those of Chinul (1158–1210), a charismatic So˘n
rean who is said to have trained with the fourth patriarch of
master who was similarly motivated by a synthetic vision of
the Chinese Chan school, Daoxin (580–646). While little is
the unity of So˘n and the scholastic teachings. Unlike
known of Po˘mnang’s life or thought, there are indications
U
˘ ich’o˘n’s scholastic orientation, however, Chinul sought to
that he attempted to combine the teachings of two distinct
merge the various Buddhist schools of his time into a new
Chinese Chan lineages—that of Bodhidharma (c. fifth cen-
So˘n school that would synthesize a disparate variety of Bud-
tury), Huiguo (487–592), and Sengcan (d. 606) and that of
dhist soteriological approaches. Chinul introduced into Ko-
Daoxin and Hongren (688–761)—with the synthetic
rean So˘n practice the investigation of the “critical phrase”
tatha¯gata-garbha theory of the Dasheng qixin lun (Awakening
(Kor., hwadu; Chin., huatou), better known by the closely
of Faith). A successor in Po˘mnang’s lineage eventually
synonymous term kongan (Chin., gong’an; Jpn., ko¯an), as it
founded the Hu˘iyang-san school, the oldest of the Korean
had been developed in China by Dahui Zonggao (1089–
So˘n schools. During the eighth and ninth centuries, other
1163). Chinul then sought to incorporate this investigation
Korean adepts returning from the mainland established eight
into the soteriological scheme of sudden awakening/gradual
other mountain So˘n sites, forming what came to be known
cultivation taught by Zongmi (780–841), and finally to
as the Nine Mountains school of So˘n (Kusan So˘nmun). Of
amalgamate this approach to So˘n with the interpretation of
these eight, seven were affiliated with the Hongzhou lineage
Hwao˘m thought given by Li Tongxuan (635–730). Chinul’s
of the Middle Chan period, which eventually evolved into
synthesis of So˘n and the scholastic teachings came to be re-
the Linji school of the mature Chan tradition; one, the Sumi-
garded as a distinctively Korean school of So˘n, called the
san school, was derived from the lineage of Qingyuan Xingsi
Chogye-chong. His efforts revitalized the enervated Koryo˘
(d. 740), from which developed the Caodong school. Korean
church, and marked the ascendancy of So˘n thought in the
masters on the mainland, however, also played major roles
Korean Buddhist tradition.
in the development of Chinese Chan. Perhaps the most
prominent of these Koreans was the monk Musang, also
It was Chinul’s disciple, Chin’gak Hyesim (1178–
known as Kim Heshang (680–756; alt. 684–762), who was
1234), who assured the acceptance of hwadu practice as the
regarded as a patriarch of the Baotang school of the Sichuan
principal meditative technique in Korean So˘n Buddhism.
region, and was the first Chan master known to the Tibetans.
Following the model of Chinese thinkers of the Song dynasty
Despite the continued traffic of So˘n adepts between China
(960–1279), Hyesim examined the points of convergence
and Korea, the entrenched position of the scholastic schools
between the three religions of Buddhism, Confucianism, and
within the Korean ecclesia thwarted the propagation of Nine
Daoism. This attempt to extend the embrace of Chinul’s
Mountains So˘n. Continued frustration at their inability to
synthetic outlook so as to accommodate still other religions
disseminate their message led such So˘n adherents as Tou˘i
was to inspire a series of such investigations by later Korean
(d. 825) and Muyo˘m (799–888) to attack the scholastic
authors. A So˘n master of the later Koryo˘ period, T’aego Pou
schools directly, leading ultimately to a bifurcation of the
(1301–1382), worked prodigiously to merge the remnants
Korean Buddhist church into two vociferous factions.
of the Nine Mountains So˘n schools with the new Chogye-
chong, and sought to graft onto this ecumenical school the
KORYO˘ BUDDHISM (937–1392). The principal contribu-
Chinese Linji (Kor., Imje; Jpn., Rinzai) lineage, into which
tion of Koryo˘ Buddhists to the evolution of the Korean
he had received transmission in Yuan-dynasty China. The ef-
church was the reconciliation they effected between the So˘n
forts of these and other teachers assured that the Chogye-
and scholastic schools. It was U
˘ ich’o˘n (1055–1101) who
chong would remain the predominant school of Korean
made the first such attempt, by seeking to combine both the
Buddhism, a position it has retained down to the present.
Nine Mountains and scholastic schools into a revived
Ch’o˘nt’ae school. Ch’o˘nt’ae teachings are known to have
CHOSO˘N BUDDHISM (1392–1910). With the advent of the
been present on the peninsula prior to U
˘ ich’o˘n’s time. A cen-
Choso˘n dynasty in 1392 the fortunes of Buddhism began to
tury before, for example, Ch’egwan (d. 971), a renowned
wane. While the official policies of the Choso˘n dynasty are
Korean Ch’o˘nt’ae adept, had been invited to Tang China to
commonly considered to have been Confucian in orienta-
reintroduce long-lost Tiantai manuals; during his expatria-
tion, many of the kings continued to give munificent person-
tion Ch’egwan systematized the school’s philosophies in his
al support to Buddhism. For example, the founder of the
Tiantai sijiao yi, one of the most important of Chinese
dynasty, Yi T’aejo (r. 1392–1398), appointed the renowned
Tiantai exegetical writings. U
˘ ich’o˘n’s efforts to revitalize the
monk, Muhak Chach’o (1327–1398), to the official post of
school, however, have led to his being considered the effec-
preceptor to the royal family (wangsa), and the account of
tive founder of its Korean branch. It appears that U
˘ ich’o˘n
T’aejo’s reign in the Yijo sillo˘k (Veritable record 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
BUDDHISM: BUDDHISM IN KOREA
1173
Choso˘n dynasty) teems with references to his sponsorship of
upon arranging a merger with a major Japanese sect. Yi
temple construction projects, maigre offerings to monks, and
Hoegwang went so far as to negotiate a combination of the
various Buddhist rites. Confucian bureaucrats, however,
Korean church with the Japanese So¯to¯ sect, but most Korean
continued to pressure the throne for stricter selection proce-
So˘n monks regarded the gradualistic teachings of the So¯to¯
dures for Buddhist monks, limits on the number of monaste-
sect as anathema to the subitist orientation of their own tra-
ries and hermitages, reduction in the number of officially
dition, and managed to block the merger. Another move-
sanctioned sects, and reorganization of the ecclesiastical sys-
ment threatened to further divide the Buddhist church. As
tem, all in order to effect more centralized supervision of the
early as 1913, Han Yongun (1879–1944), a Buddhist signa-
religion. Such policies were formally adopted by T’aejong (r.
tory to the 1919 Korean independence declaration and
1400–1418), the third Choso˘n sovereign, and carried out on
major literary figure, had shocked his contemporaries by ad-
a massive scale by his successor, King Sejong (r. 1418–1450).
vocating that monks be allowed to marry, a move he felt was
In Sejong’s proclamation of 1424, the Chogye, Ch’o˘nt’ae,
necessary if Buddhism were to maintain any viable role in
and Vinaya schools were amalgamated into a single So˘n
modern secular society. While this position was diametrically
(Meditative) school, and the remaining scholastic schools
opposed to the traditional celibate orientation of the Korean
were merged into the Kyo (Doctrinal) school. New regula-
ecclesia, the Japanese colonial government ultimately sus-
tions were adopted for obtaining monk’s certificates, making
tained it in 1926 with its promulgation of new monastic reg-
ordination much more difficult, and many monks already
ulations that legalized matrimony for monks. Within a de-
ordained were defrocked. The official ranks of national mas-
cade, virtually all monastery abbots were married, thereby
ter (kuksa) and royal master (wangsa) were abolished. Temple
producing a dramatic change in the traditional moral disci-
paddy lands and forest properties were confiscated by the
pline of the Korean church. Other reform movements de-
state and the legions of serfs retained by the monasteries were
signed to present Buddhism in a way that would be more rel-
drafted into the army. Buddhist monasteries were no longer
evant to modern concerns arose with increasing frequency.
permitted within the capital or major cities. It is not surpris-
Among the most prominent of these was Wo˘n Buddhism,
ing that during this dire period, Buddhist activities were as
founded in 1916 by Pak Chung-bin, Sot’aesan (1891–
much concerned with the very survival of the tradition as
1943), which combined Buddhist teachings with a disparate
with novel scholarly and meditative endeavors.
variety of elements drawn from Confucianism, Daoism,
Tonghak, and even Christianity.
During this extremely difficult period in Korean Bud-
dhist history, it is So˘san Hyujo˘ng (1520–1604) who epito-
After independence in 1945, Korean Buddhism was
mizes the continued So˘n orientation of the church. Drawing
badly split between two irreconcilable sects. The T’aego-
his inspiration from Chinul’s earlier vision of the unity of the
chong, a liberal sect of married monks, had flourished under
So˘n and scholastic schools, Hyujo˘ng produced a succinct
Japanese patronage and was based principally in the cities
manual of practice, titled the So˘n’ga kugam (Mirror of the
where it catered to the lay Buddhist population. The
So˘n School). His other guides to Confucianism and Daoism
Chogye-chong was a smaller, religiously conservative faction
were intended to sustain the reconciliation between Bud-
of monks who had managed to maintain their celibacy dur-
dhism and its rival religions that was begun during the
ing the long years of Japanese occupation; their concern was
mid-Koryo˘ and to outline their many similarities of purpose.
to restore the meditative, scholastic, and disciplinary orienta-
Despite all the attempts of Hyujo˘ng’s lineage, however, Bud-
tions of traditional Korean Buddhism. Only after years of in-
dhism’s creative drive continued to wane.
tense conflict did the Chogye-chong finally win government
support for its position in 1954 and virtually all of major
BUDDHISM DURING THE MODERN ERA. Japanese inroads on
monasteries have reverted to its control. Now the predomi-
the peninsula from the late nineteenth century onward pres-
nant sect of Buddhism in Korea, the Chogye-chong has had
ented both new opportunities and new pressures for the Ko-
considerable success in attracting a new generation of lay be-
rean Buddhist tradition. Following the ratification of the
lievers and monastic postulants to the teachings and practices
Korea-Japan treaty of 1876, Japanese Buddhist sects, begin-
of Buddhism.
ning with the Higashi Honganji sect of Pure Land, began to
proselytize among the increasing number of Japanese immi-
SEE ALSO Chan; Chinul; Confucianism in Korea; Fazang;
grants resident in Korea, an activity that soon spread to the
Huayan; Korean Religion; Tatha¯gata-garbha; Tiantai;
native Korean populace as well. Remonstrations by Japanese
U
˘ icho˘n; U˘isang; Wo˘nhyo; Worship and Devotional Life,
Nichiren missionaries compelled the impotent Choso˘n court
article on Buddhist Devotional Life in East Asia; Xuanzang;
in 1895 to lift the centuries-old prohibition against the pres-
Zongmi.
ence of Buddhist monks in the capital of Seoul. During the
same period, a resurgence of So˘n practice was catalyzed by
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1174
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Grand Master Sosan. Seoul, n.d.
families in the capital area (and may have also had immigrant
Muller, A. Charles. The Sutra of Perfect Enlightenment: Korean
origins), was the most powerful clan of the court and spon-
Buddhism’s Guide to Meditation (With Commentary by the
sored the introduction of Buddhist clerics and objects, as well
So˘n Monk Kihwa). Albany, N.Y. 1999.
Buddhist construction, from the late sixth to mid-seventh
Odin, Steve. Process Metaphysics and Hua-yen Buddhism: A Critical
centuries. In addition, in this connection the immigrant
Study of Cumulative Penetration vs. Interpenetration. Albany,
family of the Hata and, apparently, other immigrant families
1982.
also constructed Buddhist temples at the 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
BUDDHISM: BUDDHISM IN JAPAN
1175
Prince Sho¯toku. Although some of the other promi-
eign’s own hand; an accompanying nunnery was to be re-
nent families of the court drew their support from older fam-
ferred to as “convent for the Lotus Su¯tra expiation rite,” in
ilies of the Japanese isles and argued that worship of Bud-
which nuns would perform regular repentance rites on behalf
dhist divinities would antagonize indigenous deities (kami),
of the realm—evoking memories that the first Japanese Bud-
the Soga’s efforts may have been bolstered through patronage
dhist clerics had been nuns and had obvious ritual and the-
by Prince Taishi Sho¯toku (574?–622?), who is represented
matic connections with native shamanistic traditions, associ-
from the early eighth century on as having became an ardent
ated generally with kami worship.
supporter of the faith. The Sogas and Sho¯toku seem to have
Sho¯mu and the court were supportive on a personal and
seen buddhas and bodhisattvas as beings who offered a variety
broader level of the Nara Buddhist temples and to small
of benefits so long as they were approached through appro-
Buddhist lineages that were developing in Nara. The well-
priate ritual. Moreover, the fact that all of the temples con-
known six lineages within the larger temples of Nara includ-
structed prior to the mid-seventh century were erected in
ed: Sanron, Hosso¯, Ritsu (Skt., Vinaya), Jo¯jitsu (satyasiddhi),
connection with efforts to protect specific clans—Asukadera,
Kusha (abhidharma), and Kegon (Skt. Avatamsaka), the last
possessing the character of a “clan temple” of the Sogas,
of which seems to have been added only with the ongoing
being most prominent—illustrates the extent to which the
completion of construction of the head temple of the provin-
reception varied depending on the group, that there was no
cial system, To¯daiji, in the 750s. In actuality, these lineages
consensus in the larger court concerning its relevance, and
included only a small percentage of the monks residing in
that the thaumaturgical capacities of Buddhist ritual were
the great temples; for example, in the case of To¯daiji, they
central to their concerns more than enlightenment.
included only roughly 2 percent of the some three thousand
The Yamato Court in the late seventh century. Re-
monks.
cent excavations have indicated that the government began
Sho¯mu’s wife, Ko¯myo¯, was an equally fervent patron of
to establish large temples in the seventh century. It is clear
Buddhists. Her sponsorship of a su¯tra-copying bureau,
that in the late seventh century the court patronized Bud-
To¯daiji administration, and convent construction indicate at
dhist temples at the same time that it began also to promote
least two important points about Buddhism in early Japan.
a notion of the ruler as tenno¯ (“heavenly thearch”) and high
First, it is clear that women of the court, particularly during
priest of the court, with the ancestral kami (deity) of his fami-
the Nara period, were powerful sponsors of Buddhist activi-
ly represented as the highest in the realm. The offering of rev-
ties. Second, such sponsorship, associated with efforts
erence to kami, on the one hand, and veneration of buddhas/
throughout continental Asia to collect Buddhist scriptures,
bodhisattvas, on the other, seem to have been accepted and,
constituted a forerunner of later efforts of Japanese sover-
presumably, openly supported by the larger court. Indeed,
eigns and temples to acquire newly copied or printed ver-
it would seem that most in the court saw the buddhas and
sions of the Buddhist canon (daizo¯kyo¯) and, in that connec-
bodhisattvas as similar to the native kami in their perceived
tion, to establish large collections of Buddhist and related
capacity to offer a variety of benefits (riyaku). Discourses
materials (kyo¯zo¯, ho¯zo¯).
concerning karma, rebirth, and enlightenment seem to have
been virtually absent during this early era.
The personal interest of Sho¯mu and the ruling house in
Buddhism, while made problematic by his daughter’s later
BUDDHISM IN THE NARA AND EARLY HEIAN PERIODS. It
relationship as tenno¯ with the monk Do¯kyo¯, also illustrates
was during the Nara period (710–784 CE) that Buddhist in-
the close relationship leading families of the court had with
stitutions began to flourish on a much larger scale and Bud-
Buddhist clerics from the Nara period onwards. Recent
dhist practices came to have an impact on the general popu-
scholarship has made it clear that much of the vibrancy of
lace in the isles. Japanese monks’ travel to China to study
Buddhism in the era was constituted in the employ of monks
under eminent Buddhist clerics became increasingly promi-
(or, sometimes, nuns) as family ritual practitioners or teach-
nent in the Nara and Early Heian (794–1185) periods,
ers. That is, monks were often invited, often for lengthy peri-
among which the most prominent were Saicho¯ (c. 767–822)
ods, to take up residence in the homes of leading aristocratic
and Ku¯kai (774–835), who respectively founded the lineages
families; it is believed that such clerics spent most of their
of Tendai and Shingon.
time engaged in rituals for the purpose of healing, bodily
protection, and sometimes the more general avoidance of ca-
The impact of the ruling family. The reign of the ruler
lamity (sokusai), and that such activities foreshadowed those
Sho¯mu (r. 724–749) and his wife Ko¯myo¯ constituted a clear
of the guardian palace monks (gojiso¯) of the Heian period.
shift toward ever more visible support of Buddhist temples
and clerics. Sho¯mu began to establish a set of temples and
The increasing prominence of Buddhist discourses
convents in every province of the realm: in this case, a pro-
on karma, rebirth, and enlightenment. During the Nara
vincial temple that included, among its features, a stu¯pa of
period, beliefs in karma, rebirth, and occasionally enlighten-
seven stories, in which were to be installed copies of the
ment became prominent in the court as well as in regional
realm-protecting su¯tras, the Golden Light Scripture of Victori-
families, especially those close to the capital area. The earliest
ous Kings and Scripture of the Lotus Blossom of the Wonderful
Japanese didactic story collection, Nihon ryo¯iki (Anomalous
Law, together with part of the first su¯tra written in the sover-
Tales of Japan) by the Yakushiji monk Kyo¯kai (fl. 823), indi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1176
BUDDHISM: BUDDHISM IN JAPAN
cates that many in the capital as well as regional areas be-
framework that would continue throughout the history of
lieved in karma and related discourses like rebirth and in-
Buddhism in Japan. In this way, as scholars have recently
debtedness. Such developments may have been related to the
noted, the novel production of male lineages at the same
activities of figures like Gyo¯ki (668–749), who worked
time seems to have constituted a major source of the precipi-
among the larger populace and was especially known for his
tous decline that occurred in nuns’ ordinations in the Heian
help in the construction of landmarks such as bridges and
periods.
water projects.
Based on his studies in China, especially at Mount Tian-
Thus, karma, rebirth, and notions of enlightenment
tai, Saicho¯ created in his Tendai lineage a catholic study pro-
were increasingly prominent among the larger populace,
gram that allowed for four major areas of concentration
while the court, given its patronage of official Nara Bud-
while promoting the Lotus Su¯tra as the greatest scripture in
dhism, was clearly cognizant of such teachings and the Bud-
Maha¯ya¯na Buddhism: esoteric Buddhism (Tantra), medita-
dhist cosmology, which was distinct from that represented
tion, precepts, and the “perfect teaching” (Tendai). With the
in the court mytho-histories concerning the ancestral kami
permission of the court, Saicho¯ established a precepts plat-
of the ruling family. Moreover, Chinese Buddhist works de-
form at the temple complex he had established at Mount
picting the lives of eminent monks commonly featured ten-
Hiei, not far from the capital of Heian. There, he used the
sions between buddhas/bodhisattvas and native divinities,
Maha¯ya¯na bodhisattva precepts based on the Fan wang ching
which may suggest a general parallel if not knowledge of ear-
scripture in clerical ordinations as an alternative to the tradi-
lier patterns of assimilation of native religiosity. Given such
tional precepts, which had been carried over from early Bud-
awareness, there were efforts, evident first through ritual
dhist into Maha¯ya¯na Buddhist ordinations throughout East
practice and construction, to explain or resolve such ambigu-
Asia. Saicho¯, drawing on Chinese Tian-tai doctrine, divided
ity. First, small Buddhist temples called jingu¯ji were con-
Buddhist teachings into classifications of scriptures, with the
structed at shrine compounds like Ise and Usa from the
Lotus Su¯tra and Maha¯n¯ırva¯na Su¯tra at the apex, and added
eighth century on, in which clerics venerated buddhas/
new classifications conferring priority on scriptures (su¯tra)
bodhisattvas on behalf of the kami, who were apparently seen
over clerics’ treatises (´sa¯stra); he especially criticized Hosso¯
as inferior and unenlightened beings in need of aid. Second,
and Sanron for their dependence on treatises. His acquisition
the ruling house itself incorporated Buddhist figures into its
of a precepts platform, teachings, as well as debates he had
own ancestral veneration, as the shrine at Usa came to match
with monks of the Nara temples, illustrate that Saicho¯ was
Ise in its landholdings and prominence during the eighth
not on good terms with the leading Nara Buddhist institu-
century as a shrine of the ruling family; in particular, the
tions.
main kami came, by the late eighth century, to be seen as not
merely the spirit of the fifth-century ruler O
¯ jin but at the
Shingon lineages. Ku¯kai also went to China in 804 but
same time as the bodhisattva Hachiman (Yahata).
returned a year later than Saicho¯, in 806. Ku¯kai studied eso-
teric Buddhist (Tantric) discourse and practice in the Chi-
Nara Buddhism and the advent of new Buddhist lin-
nese imperial capital of Chang-an under the monk Hui-kuo,
eages. A radical break did not actually occur in Japanese
and given his master’s death, he was given a large number
Buddhism with the move of the capital from Nara to Nagao-
of esoteric Buddhist scriptures, ritual implements, and Bud-
ka and, shortly thereafter, Heian (Kyo¯to). The great Nara
dha relics to take with him back to Japan. Ku¯kai initially
temples authorized by the government remained large insti-
found himself in a disadvantageous position vis-à-vis the
tutions, and the lineages within them remained the province
Heian court, but he emphasized his unique possession of eso-
of a small number of monks.
teric ritual knowledge and made a sustained effort to demon-
The ruler Kanmu (r. 781–806) moved the capital and
strate it through performing esoteric Buddhist consecrations
made efforts to strengthen the authority of the sovereign. He
(kanjo¯; Skt. abhiseka) on behalf of large numbers of people,
also sponsored new monastic and other envoys to China and
including the retired ruler Heizei (r. 806–809) and the lead-
welcomed the related advent of new lineages of Japanese
ing clerics of the Nara Buddhist establishment. Ku¯kai’s
Buddhism. The monks Saicho¯ and Ku¯kai were the first
teaching emphasized that proper initiation into and practice
monks to introduce major new lineages after their respective
of three mysteries lead to realization of buddhahood in this
studies in Tang China in the early ninth century.
very body (sokushin jo¯butsu): body (use of appropriate hand
gestures), speech (sacred verbal formulae, mantras), and
Tendai lineages. Saicho¯, who trained primarily in
mind (use of man:d:alas).
Tian-tai Buddhism there, with some studies of esoteric Bud-
dhism as well, returned first in 805 and gained the patronage
Given that the court believed his claims to ritual knowl-
of Kanmu. Saicho¯ succeeded in convincing Kanmu to intro-
edge, Ku¯kai was often called upon to perform rites such as
duce a new system of ordination the next year; the system
rain prayer. His increasingly close relationship with the court
based the distribution of annual ordinands granted to tem-
culminated in its granting him the temple To¯ji in 822. From
ples on their affiliation with specific lineages, which in-
834, the Shingon lineage received annual ordinands from the
creased the prominence of the lineages while at the same
government. Although Ku¯kai introduced esoteric Buddhist
time, insofar as it was limited to males, producing a gendered
precepts, he did so in collaboration with the official system
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BUDDHISM: BUDDHISM IN JAPAN
1177
of ordination, centered at To¯daiji in Nara; thus, Shingon
Buddhist scriptures, especially attempted to increase their
monks’ ordinations would always be conducted only at
collections of not merely Buddhist scriptures but also ritual
To¯daiji, guaranteeing an ongoing relationship between Shin-
treatises as well as oral transmissions (kuden) concerning ritu-
gon and the Nara lineages, especially Kegon and Sanron. In
al practice.
his later years, Ku¯kai retired to his remote temple complex
Shingon traditions drew upon the charisma associated
at Mount Ko¯ya, where he continued to write major treatises
uniquely with Ku¯kai’s image to emphasize their esoteric lin-
on esoteric Buddhism.
eages. Monks of Shingon lineage produced over time many
BUDDHISM IN THE MID-HEIAN AND KAMAKURA (1192–
biographies of Ku¯kai (Ku¯kaiden), though it is apparent that
1333) PERIODS. From the mid-ninth century on, the royal
they wrote little along the lines of the treatises that Ku¯kai had
court and those surrounding it underwent fundamental
himself produced; indeed, only one major treatise was writ-
changes that made the Ritsuryo¯ legal system, developed in
ten about Ku¯kai’s works in the first two centuries after his
the eighth century, increasingly irrelevant to the lives of the
death. From the late eleventh century on, when the larger
aristocrats and Buddhist clerics. The advent in 859 CE of the
aristocracy made increasing efforts to recover the high level
domination of the court by the northern Fujiwara family in
of Chinese studies of the early Heian period, Shingon monks
the form of the system of chancellors and regents (sekkan
began to produce new editions of Ku¯kai’s works and treatises
taisei) governing on behalf of the tenno¯ meant that the latter
on them, while the court scholar Fujiwara no Atsumitsu
was increasingly reduced to primarily symbolic, ritual roles.
(1063–1144) wrote treatises about Ku¯kai’s esoteric Buddhist
Annual court ceremonies and temple-shrine patron-
writings.
age. This development was also intimately related to the in-
Shingon lineages also increasingly began to splinter into
creasingly prominent series of annual court ceremonies
lines of ritual and textual interpretation, particularly demon-
(nenju¯ gyo¯ji), the fuller outlines of which became apparent
strated in varied oral transmissions that usually claimed spe-
by the 840s and that included some major Buddhist rites,
cial access to knowledge of the “original teaching” (honsetsu)
including the Latter Seven-Day Rite, the Misai-e Assembly,
of Ku¯kai—interpreted as orthodox Shingon instruction. Par-
the Buddha’s Birthday Assembly (Kanbutsu-e), the Buddha-
tially in an effort to explain the oral transmissions concerning
Names Assembly (Butsumyo¯-e), and the Seasonal Su¯tra Rec-
esoteric ritual practice, Shingon monks began to compile co-
itation (of the Greater Prajña¯pa¯ramita¯ Su¯tra), the last of
pious iconographic commentaries and other works, eventual-
which would be performed first in 859 CE, corresponding to
ly producing extremely large manuscript treasuries.
the beginning of the regent-chancellor system. Meanwhile,
Buddhist ordinands were granted to pray for the salvation
The advent of Pure Land Buddhist discourses and
of the kami even at great shrines like Kamo and Kasuga, be-
practices. From early on, Tendai featured monks interested
ginning the very same year; on the occasion of the petition,
not only in esoteric Buddhist practice but also in the practice
the Hiei monk Eryo¯ (c. 802–860) employed, as the very first
of the nenbutsu, that is, of chanting the name of the Buddha
historical instance, the explanation that the kami were
Amida (Sanskrit, Amita¯bha) in hopes of birth in his Pure
“traces” (suijaku) of the Buddha (honji, “essence”), a dis-
Land at the time of death—or to help enable unsettled spirits
course that would become increasingly common from the
find peace. Although there were clearly esoteric Buddhist ele-
eleventh century on.
ments in the Hiei monk Genshin’s (942–1017) O
¯ jo¯ yo¯shu¯
(Essentials for Birth in the Pure Land, written in 985 CE), the
Ritual knowledge, transmission, and the increasing
work featured as its main theme the reasons for and means
prominence of esoteric Buddhist lineages. From the tenth
by which one can be born in the Pure Land of the Buddha
to twelfth centuries, mid-ranking aristocratic families typi-
Amida, and had a great influence on the aristocracy.
cally tried to acquire ritual knowledge that would be useful
at court, often through trying to gain their sons employ in
Meanwhile, semi-independent clerics increasingly in-
record keeping on behalf of the government. At the same
habited areas adjacent to and sometimes distant from the
time, of course, the northern Fujiwaras themselves attempted
major Buddhist monasteries, and they were referred to most
to gain unparalleled access to knowledge of such ritual, and
commonly as ascetics or “holy ones” (hijiri). Perhaps influ-
in the era just after the unrivaled leadership of the great Fuji-
enced in part by the precedent of Gyo¯ki, such figures typical-
wara no Michinaga (966–1027), established the first of many
ly had much more interaction with those in the general pop-
great treasuries of the era: Uji (no) Ho¯zo¯, which included
ulace than other monks. They were commonly associated
great quantities of documents, objects, and Buddhist scrip-
with one or the other of the major temple complexes, so they
tures.
seem most often to have not been completely independent.
Indeed, the introduction of esoteric Buddhist lineages,
Since even the early ninth century veneration of promi-
which emphasized the importance of initiation into—access
nent bodhisattvas such as Kannon, Miroku (Skt. Maitreya),
to—secret rituals and the related possession of ritual knowl-
and Jizo¯, and sometimes of resident holy men or mountain
edge, was undoubtedly also related to this trend in the court.
ascetics (shugenja) was increasingly common not only among
The esoteric Buddhist lineages, while partially influenced by
aristocrats and the populace in the area in or near the capital
earlier examples of temples’ amassing of large collections of
but also in outlying regions. For many in the aristocracy 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
1178
BUDDHISM: BUDDHISM IN JAPAN
in the larger populace, Buddhist practice had little to do with
preaching traditions even before the advent of the new Ka-
scholastic study or participation in a school of Buddhism but
makura schools. One occasion for such practice was that of
rather with the perceived powers of divinities in specific tem-
esoteric ritual (shuho¯), in which a ritual pronouncement
ples—such as at Kumano, where multiple divinities, identi-
(hyo¯byaku) would be made, and the texts of such pronounce-
fied as local manifestations of buddha figures like the Pure
ments came to be commonly assembled in collections by the
Land Buddha and Kannon, were prominent objects of pil-
mid-twelfth century; soon after, liturgical prayers (ko¯shiki)
grimage and veneration throughout premodern times.
also became increasingly common, as they were read on the
Tendai lineages and shifts in Heian Buddhism. The
occasion of Buddhist assemblies. Another series of promi-
major Tendai temples at Mount Hiei and Onjo¯ji (Miidera)
nent examples of such traditions included the Agui preaching
profited from the combination of their locale in the moun-
lines, which began with one of the sons of the illustrious
tains and comparative geographical nearness to the capital
scholar and politician Fujiwara no Michinori (Shinzei; d.
and, in that context, especially close relationship with leading
1159), the Tendai monk Cho¯ken (c. 1126–1203).
aristocrats such as those in the northern Fujiwaras, the family
Moreover, lay aristocrats were also intimately involved
that dominated court politics from the mid-ninth to mid-
in the “popularization” and intellectual activities of Bud-
eleventh centuries.
dhism in the late Heian period. Such activity was often con-
Ryo¯gen (912–985) was in many ways a paradigmatic
nected with aristocratic or royal cloisters (monzeki) following
and particularly early example of a monk at Hiei who negoti-
the same general pattern as represented by the halls Jinzen
ated the difficult path to clerical success through parlaying
established at Hiei. Lay involvement was registered not mere-
personal skills and alliances with powerful figures of his era.
ly in the writing by figures like O
¯ e no Masafusa (1041–1111)
Following his impressive performance at a debate on the oc-
of ritual pronouncements and Fujiwara no Atsumitsu’s com-
casion of the Yuima-e Assembly at Ko¯fukuji in Nara, Ryo¯gen
mentaries on Ku¯kai’s esoteric treatises, but also in figures
became known to members of the court and, eventually, Fu-
such as the aristocrat Fujiwara no Yorinaga (1120–1156),
jiwara no Tadahira (880–949) and Fujiwara no Morosuke
who studied Buddhist logic under the tutelage of masters at
(908–960), the most powerful aristocrats of the day, became
the Nara temples To¯daiji and, especially, Ko¯fukuji. More-
his patrons in exchange for a variety of ritual services. Two
over, O
¯ e no Masafusa and other aristocrats continued the
of the sons of Morosuke were ordained under Ryo¯gen. One,
practice of compiling hagiographical accounts (o¯jo¯den) of
Jinzen (943–990), eventually became head of the complex
those thought to have been born in the Pure Land at the
at Hiei, where he not only engaged in regular rituals on be-
times of their deaths.
half of his family but also received large private donations of
estates directed to monastic halls he controlled; in this way,
Meanwhile, warriors who proclaimed themselves Fuji-
Jinzen amassed many estates and effectively directed their
waras and governed at the autonomous area of Hiraizumi to
earnings to halls where members of his family would, ideally,
the northeast in the twelfth century followed patterns estab-
continue to reside as monks in perpetuity.
lished by the northern Fujiwaras and retired emperors, estab-
By the late Heian era, in a manner similar to Shingon,
lishing complexes of temples where they were entombed and
Tendai lineages increasingly splintered along lines of distinct
the objects of Pure Land mortuary practice; thus, even lay
ritual and textual transmission. It was, in particular, monks
believers who were apparently of cultural backgrounds dis-
of Tendai lineages who in this connection introduced more
tinct from the population of the capital area appropriated
and more discourses related to “original enlightenment”
Buddhist practices to embolden their authority and improve
(hongaku), which were originally rooted in Chinese com-
their destinies in the afterlife.
mentarial works that concerned the dichotomy between
The prince-monk Shukaku (1150–1202) drew upon his
gradual or ascending approaches to the Buddhist path and
those based on initial acknowledgement of the practitioner’s
privileged access to multiple lineages of Buddhist and court
inherently awakened status as “buddha.”
ritual, clerical and general scholarship, and poetry to inaugu-
rate the construction of a vast manuscript collection at the
Buddhist knowledge, proselytization, and the rise of
main Omuro cloister of the Shingon temple Ninnaji. In-
“new Kamakura Buddhisms.” Consideration of this explo-
deed, cultural salons or enclaves such as that at Shukaku’s
sion of literatures in the so-called established kenmitsu (exo-
cloister, or those of certain other mountain temples in the
teric-esoteric) lineages, apparent in Tendai discussions on
area near the capital, brought together monks and aristocrats
hongaku and in Shingon efforts to uncover the “original
(sometimes disillusioned with capital politics) to engage in
teaching” (honsetsu) of the twelfth century and thereafter, in-
conversations (ko¯dan, zo¯tan), and thus helped give rise over
dicates that what scholars have referred to as the “new Kama-
time to a variety of aesthetic lineages. For example, Shingon
kura schools” of Japanese Buddhism did not, in any sense,
and Tendai cloisters had a great impact on the development
exclusively demonstrate intellectual and religious vibrancy
of literary treatises and poetry houses. Meanwhile, the pow-
during the Kamakura and later eras.
erful Tendai cleric Jien (1155–1225), in this connection, was
For example, in connection with the explosion of litera-
not only a famous poet and rhetorician but also the author
tures in the kenmitsu lineages, it is clear that they established
of the first treatise on Japanese history, Gukan sho¯.
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BUDDHISM: BUDDHISM IN JAPAN
1179
The Nara Buddhist community, in fact, was also in-
women; and while female aristocrats would often take vary-
creasingly active. Although individual figures of Hosso¯ lin-
ing levels of tonsure as household nuns, particularly in their
eage were prominent, such as the important scholar- and
old age, such activities were most often taken after the death
preacher-monk Jo¯kei (1155–1213), a grandson of Fujiwara
of a spouse or even in desperation and thus did not suggest
no Michinori (Shinzei) who was well known in his day for
that the conditions of female Buddhist practice in any sense
his ritual pronouncements and liturgical prayers, practice of
matched that achieved in the Nara era.
recitation of the historical Buddha’s name (shaka nenbutsu),
Kamakura Buddhisms. Given that those involved with
criticisms of Ho¯nen’s (1133–1212) new Pure Land lineage,
“new” movements of the Kamakura period possessed a vari-
as well as faith in the bodhisattvas Miroku and Kannon, the
ety of relationships with their respective groups, it is useful
lineages associated with To¯daiji were most active, especially
to use the general category of “lineage” rather than “school”
Kegon and Shingon. (Precept lineages also developed, which
to analyze their activities.
will be discussed in the next section.) Among the figures es-
pecially active were Cho¯gen (1121–1206), Myo¯e (1170–
The first Pure Land Buddhist lineage was that of Ho¯nen
1232), So¯sho¯ (1202–1278), and his disciple Gyo¯nen (1240–
(1133–1212), who was trained at Mount Hiei but came to
1321). Cho¯gen, a semi-independent holy man (hijiri) of
teach that only the chanting of the name of the Buddha
Shingon lineage, was appointed the fundraiser for the re-
Amida was appropriate to the Final Age of the Buddhist
building of To¯daiji following its burning in the 1180s and
dharma (mappo¯), an ancient discourse introduced many cen-
supported Pure Land Buddhist practice through establishing
turies earlier that taught that the world would enter a darker
a series of subsidiary temples—in that connection, acquiring
era with increasing temporal distance from the life of the his-
buddha relics and promoting their veneration. Myo¯e at-
torical Buddha. The appeal of the Pure Land Buddha Amida
tempted to restore Shingon and Kegon lineages to what he
was already especially associated with his ability to transform
saw as their appropriate prominence—and like Jo¯kei openly
believers to his realm despite the problems of the Final Age,
opposed Ho¯nen’s lineage; however, he is also known for his
and such discourse was increasingly common not only in
preoccupation with revelatory dreams, his establishment of
Tendai but also Shingon lineages. However, with the virtual
the temple Ko¯zanji in Kyo¯to, related amassing of a large
absence of social mobility during Fujiwara preeminence as
manuscript collection, authorship of a treatise on the esoteric
well as the increasing decentralization of power since the as-
ko¯myo¯ shingon death rite, and establishment of a convent for
cendance of the retired emperors—including the multiple
female survivors of the Ho¯jo¯ family following the Jo¯kyu¯ war.
power blocs all the more evident with the rise of the Kama-
kura shogunate—many in the aristocracy and greater popu-
So¯sho¯ was especially eminent in Kegon studies, al-
lace realized the remarkably unstable character of their era
though he also had a broad background in the study of Bud-
and associated it all the more with the dire straits of mappo¯.
dhist logic, Yoga¯ca¯ra (J. Yuishiki), and abhidharma (J.
Ho¯nen and his promotion of the exclusive practice (senju)
Kusha). He was thus associated with the developing eclectic
of the nenbutsu chant thus gained a ready audience, especially
study tradition at To¯daiji and left a massive corpus of com-
among the aristocracy. Given that Ho¯nen called for such ex-
mentaries and other works. Moreover, So¯sho¯, apparently in
clusive practice, high-ranking Tendai clerics of Hiei and of
connection with the precedent of the recent Jo¯kei, became
other kenmitsu temples were incensed, so he not only origi-
devoted to the bodhisattva Miroku, a topic about which he
nally had to leave Hiei but would eventually be exiled and
also wrote. His disciple Gyo¯nen became just as influential in
repeatedly denounced. His numerous disciples developed
the scholastic tradition at To¯daiji, writing the famous work
multiple lineages of belief and practice, including that of
Combined Study of the Eight Lineages (Hasshu¯ ko¯yo¯).
Shinran (1173–1262) whose would become, like Ho¯nen’s,
one of the main schools delineated by the government
Thus, the monastic lineages of Tendai, Shingon, and
among the major Buddhist institutions of the Tokugawa pe-
the major Nara temples featured within their complexes and
riod. Another prominent yet unrelated Pure Land lineage de-
in their relationships with the court, aristocracy, and the larg-
veloping from the late thirteenth century on was that of the
er population aspects often associated with the “new” Kama-
Jishu¯, based on the beliefs and practices of the itinerant
kura lineages. Temples of Nara as well as the Tendai complex
monk Ippen (1239–1289).
at Hiei, moreover, sponsored buddha-relic assemblies open
to women from the tenth century; in the latter case, such ac-
Among other novel lineages that began to emerge in the
tivity was undertaken especially with monks’ mothers in
early Kamakura period were those focused on sitting medita-
mind, yet it also featured large processions in the capital that
tion (Zen; Chinese, Chan), which particularly drew upon be-
were attended by great numbers of the local populace. Fe-
liefs and practices of contemporary Buddhism in Song
male members of imperial house, especially retired empresses
Dynasty China. The monk Eisai (alternatively, Yo¯sai; 1141–
of the northern Fujiwaras, would be especially involved in
1215) was also initially trained at Mount Hiei and went to
relic veneration during the era of retired sovereigns. At the
China, where he studied Tendai and Zen, the latter of which
same time, fully ordained nuns became increasingly rare dur-
flourished in the Song. Eisai returned from China and estab-
ing the Heian period, and the major mountain complexes of
lished Zen temples from the 1190s on, and he freely drew
the Tendai and Shingon lineages prohibited the presence of
upon Tendai and esoteric Buddhist teachings and practices
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1180
BUDDHISM: BUDDHISM IN JAPAN
in his exploration of Rinzai Zen practice; though opposed
eastern region (Kanto¯) of the main island rather than the
by many in Nara and at Hiei, Eisai was supported by the Ka-
western area, which was where most of the other new lineages
makura shogunate. Not long after, a Hiei monk named
initially developed. A series of lineages would develop based
Do¯gen (1200–1253) also traveled to China and studied the
on the teachings of his leading disciples; two of these lin-
strict Zen of a contemporary master of the Cao-dong (J.
eages, Nichirenshu¯ and Nichiren Sho¯shu¯, would become
So¯to¯) lineage. Do¯gen stressed the importance of “just sitting”
particularly prominent in later eras.
(shikan taza) meditation as itself an end—attempting there-
Over the course of the Kamakura period, Precept lin-
by to especially undercut any division between discourses of
eages also developed within kenmitsu Buddhism. Although
gradual and sudden attainment of enlightenment. It was,
the Sennyu¯ji monk Shunjo¯ (1166–1227), the Ko¯fukuji
however, only with the developing Five Mountains (gozan)
monk Kakujo¯ (1194–1249), and To¯daiji’s Ensho¯ (1221–
temple system of the Rinzai lineage, patronized by the Kama-
1277) were prominent figures, it was Eison (1201–1290)
kura and then, especially, by the Ashikaga shogunates, that
who had the greatest impact on the development of such lin-
meditation lineages became increasingly prominent; from
eages.
the late medieval era on, Zen temples would also become ex-
tremely prominent among the more general populace and
Eison, trained originally at the Shingon temple Daigoji
were especially known for their performance of funerals, in-
in Kyo¯to and at Mount Ko¯ya, inaugurated a Precept lineage
cluding the bestowal of posthumous ordinations (kaimyo¯).
(Risshu¯; later called Shingon Risshu¯) after developing a con-
In the case of each of these kinds of temples, contrary to the
viction concerning the importance of proper observance of
images that would develop after Rinzai and So¯to¯ were as-
the precepts and studying at the Nara Precepts temple Sai-
signed the designation of distinct schools in the Tokugawa
daiji in the 1230s. Eison also received instruction, at the
period, it was common for temples to include monks affiliat-
time, in the “self-administered precepts” (jisei jukai) from the
ed with both lineages.
monk Kakujo¯ at nearby Ko¯fukuji, in which one could ad-
minister one’s own clerical precepts rite—in cases where
The Zen lineages spawned a number of convents. In
qualified precepts masters were absent—through taking a
fact, a system of Five Mountains Rinzai convents developed
vow directly in front of an image of the Buddha. Eison estab-
in Kyo¯to and Kamakura that complemented the more fa-
lished the Precept lineage at Saidaiji, where he engaged in
mous monastic system of the same name. A prominent nun-
large-scale ordinations for both lay and monastic believers;
nery was To¯keiji in Kamakura. The wife of the late military
in this connection, he was especially devoted to the historical
ruler Ho¯jo¯ Tokimune, who took the name of Kakusan
buddha S´a¯kyamuni. Eison also helped revive the convent of
(1252–1305) after her ordination, had studied with her hus-
Hokkeji in Nara when he administered the Precepts to nuns
band under the Chinese Zen master Wu-xue (1226–1286),
there in 1245, leading to the nunnery’s flourishing and re-
established To¯keiji with her son in 1282; the convent, as a
classification as a subtemple of Saidaiji. Later, Eison, espe-
unique site outside of state restrictions, became prominent
cially together with his active disciple Ninsho¯ (1217–1303),
as a “divorce” nunnery for women who sought sanctuary
came to engage in a variety of charitable activities for groups
from the seventeenth century on. In So¯to¯ Zen lineages, there
of so-called non-persons, or hinin, disadvantaged lepers and
were only a few convents, although fairly large groups of
others at the margins of society (sometimes represented as
nuns were often trained in hermitages outside the gates of
having sacred powers to dissolve defilement).
monasteries. At the same time, women were the object of the
majority of recorded So¯to¯ Zen funerals in the late medieval
In addition, kenmitsu Buddhist lineages spawned the be-
era, which may be related to their status as lay patrons and,
ginnings of literatures and rituals of “Shinto¯” (originally pro-
perhaps, to increasing associations of women with impurity
nounced Jindo¯) by giving rise in the late Kamakura period
in late medieval society, given the introduction of the Chi-
to new lineages that concerned themselves with understand-
nese “Blood-bowl” Su¯tra (ketsubonkyo¯): the work depicted
ing and appropriating the true character and power of the
women’s assignment to birth in a blood hell due to men-
kami, which were understood in specifically Buddhist terms.
strual blood and the necessity of performing rites for their
It was, particularly, in Shingon Jingi (kami-worship) lineages
salvation.
and Tendai Jingi lineages that esoteric kami initiation devel-
oped. In particular, these lineages conducted so-called shinto¯
Another series of new lineages that developed were those
kanjo¯ consecrations patterned on initiatory denbo¯ kanjo¯ con-
of Nichiren or Lotus Buddhism, which were based on the
secration rites. Just as the ruler began to undergo Buddhist
teachings and practices associated with the monk Nichiren
consecration at the time of his accession (sokui kanjo¯) from
(1222–1282), who seems to have believed that he would re-
the late thirteenth century on—and clearly related to its de-
form Tendai lineages through returning them to exclusive
velopment—the Buddhist Jingi lineages developed such con-
practice of devotion to the Lotus Su¯tra. Nichiren promoted
secrations to enable initiates such as mountain ascetics (shu-
the chanting of the title of the scripture and called for the
genja) and monks at shrines to ritually and symbolically
establishment of a Buddhocracy, whereupon the world
acquire rulership in imitation of the tenno¯. In terms of cere-
would be realized as a Buddha Realm. Nichiren’s lineages
monial space, such activities ritually activated the trace es-
were also distinct insofar as Nichiren was himself from the
sence (honji-suijaku) associations between kami and Buddha.
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BUDDHISM: BUDDHISM IN JAPAN
1181
There were also discourses that cut across a large num-
thirteenth and fourteenth centuries. Several of the major
ber of the new lineages that developed. As noted above, hon-
monasteries of the kenmitsu lineages, especially Enryakuji
gaku discourses in Tendai lineages and similar discourses in
(Mount Hiei: Tendai), Onjo¯ji (Tendai), Ko¯fukuji (Nara:
Shingon lineages (honsetsu, etc.) constituted important as-
Hosso¯), To¯daiji (Nara: Kegon, Shingon), and Kongo¯buji
pects of the explosion of Buddhist literatures of the era, espe-
(Mount Ko¯ya: Shingon), took advantage of the extremely de-
cially from the twelfth century on. For example, discourses
centralized conditions to not merely improve their economic
associated with the new lineages, such as attainment of en-
conditions through attempting to acquire all manner of new
lightenment in an instant, focus on a single factor as the key
lands and often engage in overseas trade, but to commonly
to salvation, the universally encompassing character of en-
establish fighting forces to serve on behalf of their interests.
lightenment, and the fluidity of the relationship between
In connection with offerings of land, branch temples and
moral causality and salvation all found expression in hongaku
shrines were often constructed, in which the resident Bud-
discussions.
dhist divinities or kami were commonly seen by those in the
BUDDHISM IN THE MUROMACHI AND TOKUGAWA PERI-
area as arbiters of natural forces and in need of propitiation
ODS. Buddhist lineages and their temples underwent a series
or veneration. They routinely also established new temples,
of fundamental changes over the course of the Muromachi
including sometimes relatively large manuscript collec-
(1336–1573) and Tokugawa (1600–1867) periods. At the
tions, to spread ritual knowledge and, sometimes, monastic
same time, larger trends occurred in Buddhist belief and
learning.
practice that, when considered with larger societal develop-
ments, provide insight into the extent and character of the
Zen and the culture of learning. At the same time, Zen
“popularization” and, eventually, “nationalization” of Bud-
lineages increasingly took unique positions among the newer
dhism. Insofar as the Muromachi era witnessed the most un-
lineages with their success at winning the patronage of the
stable series of wars and related events in Japanese history,
Ashikaga (Muromachi) shogunate, which came particularly
resulting in decentralized rule on an unprecedented level, it
to promote Rinzai Zen lineages and the Five Mountains sys-
is not surprising that Buddhist lineages and their temples ex-
tem from the late fourteenth century on. The Zen traditions,
perienced varying combinations of growth and instability.
similar to the relationship between the kenmitsu lineages and
Early on, divided imperial lines struggled mutually for politi-
the larger aristocracy, began in their patronage by the sho-
cal legitimacy. In this and related contexts, theories elaborat-
gunate to influence the production of new cultural practices
ing the meaning of kami within Buddhist cosmology reached
and, eventually, aesthetic lineages. The leaders of the sho-
new levels of complexity. The discourse of “origin trace”
gunate were especially interested in cultivating the cultural
(honji suijaku), which had arisen in kenmitsu Buddhist circles
traits of the aristocracies of Japan as well as China, and cer-
from the Heian period on and positioned buddhas/
tain arts associated with Zen presumably carried such traits
bodhisattvas as essences with kami manifestations, became a
(and, in part, Buddhist meaning as well). The development
linchpin not only for Buddhist Shinto¯ initiations but also for
of Japanese landscape arts—especially landscape paintings
all manner of “Shinto¯” theories within the kenmitsu temple
and rock gardens—from the late fourteenth century on was
complexes.
especially indebted to those in the cultural enclaves of the
Five Mountains Zen temples and convents. This culture of
Changes in the Kenmitsu lineages. Meanwhile, insti-
learning, commonly represented in the form of paintings of
tutionally, kenmitsu Buddhist lineages continued to thrive
and literary references to the Zen monk’s study (shosai), in-
and prosper in a number of regions, while a number of the
cluded Buddhist contemplation, analysis, and discussion of
newer lineages continued to spread their practices, accompa-
continental Asian scholarship. Moreover, the shogunate
nied by their messages. The impetus to create larger and larg-
academy Ashikaga Gakko¯, which developed by the 1420s,
er manuscript treasuries, increasingly accompanied by inter-
was directly indebted to those in the Five Mountains institu-
est in continental Asian materials, particularly evident from
tions. In addition, beginning in the fourteenth century, the
the twelfth century on, continued throughout the Kamakura
shogunate supported the inception of tea parties reminiscent
period and into the Muromachi period. Printing technology
of similar events in China. The monk Murata Shuko¯ (1423–
was appropriated to produce canons at Shingon’s Mount
1502), who studied under the unconventional Zen cleric
Ko¯ya, and temples in areas such as Kamakura and Nara
Ikkyu¯ at Daitokuji, developed the first form of the later tea
printed Buddhist scriptures, Zen literature, and other works
ceremony, which would eventually blend the influence of
from the continent. At the same time, the production and
such aristocratic practice with those of the general populace.
hand copying (shosha) of vast quantities of works continued
especially in the Shingon, Tendai, multiple Nara, and most
Developments in other newer lineages. Meanwhile,
of the newer Buddhist lineages; although substantially pro-
recluses associated with Jishu¯ and Precept lineages were heav-
duced even from the twelfth century on, legends of the ori-
ily involved in Linked Poetry (renga) gatherings, which were
gins of temples (engimono), temple documentary or ritual re-
similar to the cultural enclaves yet were marked by bringing
cords (monjo, kikigaki, kirigami, etc.), a variety of
together persons of different status on common ground.
commentaries (zuzo¯ sho, sho¯, sho¯mono), compilations (shu¯,
These figures were thus connected also with the “non-
ruiju), and biographies (den) increased dramatically in the
humans” (hinin)—itinerant priests, entertainers, traders, 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
1182
BUDDHISM: BUDDHISM IN JAPAN
lepers often living in liminal riverbank areas (kawara), where
on to take advantage of the new wealth, land, and military
cadavers were commonly left. The origins of such gatherings
strength to establish the Honganji temple in the capital of
may have also been related to Eison’s and Ninsho¯’s activities
Kyo¯to in 1496. The Nichiren lineage (Hokke shu¯) also be-
of the self-administered precepts, which also brought togeth-
came similarly powerful through the development of leagues,
er persons of differing classes in activity marked by equality,
although in this case it converted its followers increasingly
and constituted leagues (ikki) that would transform into
in urban areas, especially in Kyo¯to during the 1530s.
groups challenging authorities from the fifteenth century on.
The arrival of Europeans and the nationalization of
Other of the newer lineages of Buddhism variously made in-
Buddhist “schools.” Following the mid-sixteenth-century
roads into rural areas. Although lineages such as Shinran’s
appearance of the Europeans and their religion, the leading
and Nichiren’s had moved to some degree into the rural areas
samurai destroyed the military powers of the Buddhists with-
of the eastern area (Kanto¯) of the main island as early as the
in decades. The newly formed ruling Tokugawa shogunate
late Kamakura era and the Jishu¯ and Precept lineages were
(1600–1867) then decided to incorporate Buddhists into its
comparatively mobile, most of the newer lineages had little
administrative structure. It first ordered each major “school”
success in rural areas before well into the Muromachi period.
of Japanese Buddhism to have a main temple for the training
It was particularly with the increasing decentralization of
of clerics and a strictly hierarchical system of main and
power and social mobility from the mid-fifteenth century on
branch temples, as well as possess rules for monks’ status, dis-
that the newer lineages became especially successful in at-
cipline, and clothing within the organization. By order of the
tracting larger numbers of adherents, and such conversions
shogunate, a national system of main-branch temples (hon-
were often made in connection with leagues (ikki) that these
matsu seido) was developed, which forced all temples to affili-
lineages offered—that is, related to efforts to challenge the
ate with one or other of the nationally designated schools.
authority of local lords, their retainers, and governors. Shin-
The shogunate eventually required that all Japanese house-
ran’s True Pure Land lineage (Jo¯do shinshu¯, or Ikko¯ shu¯) be-
holds (ie) register with and become parishioners of their local
came especially prominent from the fifteenth century, when
temple, a system that became universal by roughly the 1660s.
the eighth patriarch Rennyo (1415–1499) led it. Shinran’s
The development of this national system of congregations or
teaching especially appealed to the general populace through
parishes (danka seido) meant that Buddhist institutions,
its emphasis on the Final Age of the Buddhist dharma and,
which had directly or indirectly affected much of Japanese
in that context, the notion that all, whether monk or lay, are
cultural and social life for a millennium, became even more
equally incapable of contributing in any way to their own sal-
pervasive. Each household, through its membership, could
vation; Shinran had indeed himself said he was “neither
not easily change its affiliation from one temple or school of
monk nor layman” and went so far as to take a wife (based
Buddhism to another, while it at the same time was required
on an instruction in vision from the bodhisattva Kannon)—
to support the temple, particularly through donating to cler-
the precedent for True Pure Land priests’ marriage from that
ics on the occasions of family funerals or related memorial
time forward. Arguing that only one recitation of the nenbut-
rites. In this way, the members of most households came in-
su with faith was sufficient for birth in Amida’s Pure Land,
creasingly to associate Buddhist temples with death or mor-
Shinran and his successors gradually developed a willing au-
tuary rites. At the same time, it is clear that Buddhism there-
dience among the population, especially over the course of
by became an integral part of ritual life for virtually all
the Muromachi period, when traditionally accepted class dis-
Japanese. The traditional kenmitsu and the newer lineages
tinctions were increasingly seen by some as fundamentally ar-
tended to profit financially from the national system set in
bitrary in character. Rennyo, after his persecution by Hiei
place by the shogunate. True Pure Land lineages, given the
and move to the Hokuriku region of northern Japan, trans-
wealth of the Honganji, continued despite early subjugation
formed the lineage by appealing especially to all classes of
efforts by the first shogun of the era, Tokugawa Ieyasu
rural villagers (especially peasants and low-level samurai) and
(1542–1616), to enjoy special privileges vis-à-vis the military
emphasizing the universal and simple character of Amidist
government, such as the continuing right to marry. Most of
beliefs and practices; in doing so, and given the gradual rise
the major temples increasingly offered a whole variety of ritu-
in literacy, Rennyo attempted to expand the number of peo-
al services on behalf of the local populations. Those with fa-
ple who could read monks’ sermons in the lineage by encour-
mous buddha, bodhisattva, or other images increasingly of-
aging use of the syllabary rather Chinese characters in their
fered regular displays (kaicho¯) of their sacred icons. Buddhist
recording. He also promoted the use of parishes or confrater-
monks typically asked, as had commonly been the case
nities (ko¯), where villagers met in the local place of practice
throughout history, for donations when they conducted oc-
(do¯jo¯), located in a temple or in the home of a supporting
casional rituals, though in this case they also enjoyed the in-
layman, who was usually a low-level samurai. The ikko¯ ikki
creasing benefit of the new series of required funerary and
leagues that rebelled against local governors beginning in the
memorial rites. Meanwhile, temples of Shingon and other
1570s, featuring the low-level samurai and large numbers of
lineages undertook to reorganize and expand their manu-
peasants—the latter of which did not want to pay rents to
script collections not so much in connection with record-
local lords—were often at variance with Rennyo’s wishes,
keeping requirements as an effort to revive their intellectual
but following successes in Hokuriku in 1488 Rennyo went
life, which had particularly suffered with the breakdown of
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BUDDHISM: BUDDHISM IN JAPAN
1183
shogunal authority from the late fifteenth century on. Al-
they responded by engaging, increasingly along transsectari-
though the shogunate tried to retain control over religious
an (ecumenical) lines, in working on behalf of the population
practice, transinstitutional practices such as pilgrimage be-
by constructing hospitals, aiding the poor, helping those in
came more vibrant than ever. Meanwhile, various groups of
prison, feeding the ill of other lands, and also using their or-
so-called Kumano nuns traveled the isles and preached,
ganizations to aid the Japanese military overseas.
sometimes promoting a physical pilgrimage but more often
For institutional Buddhists, the national and interna-
using “Kumano Ten-Realms Man:d:ala” (kumano jikkai man-
tional unity of their faith was mediated by a transnational
dara) paintings to endorse a spiritual pilgrimage to salva-
Asian Buddhism. Speaking of the “Three Realms” (India,
tion—avoiding the torments of the blood hell, which they
China, Japan), a Japanese term originally used prior to na-
taught awaited most women at death. Moreover, the fact that
tion-states (which also appropriated the same Japanese word,
print had become a virtually universal medium in the bur-
koku/kuni), they drew upon premodern discourses of the
geoning merchant economy meant that a whole variety of
To¯daiji monk Gyo¯nen and others who had attempted to le-
easily accessible publications appeared in connection with
gitimate Buddhist belief and practice in the Japanese isles
practices like pilgrimage. Guidebooks to pilgrimage sites, lit-
through appealing to the presumed unified transmission of
erary descendants in part of the earlier temple legend collec-
a singular and authentic Buddhist tradition. In the same pe-
tions, flourished as such sites grew more popular than ever
riod, Daisetsu Teitaro¯ (“D.T.”) Suzuki’s (1870–1966) trans-
before, despite the shogunate’s efforts to limit physical
lation of The Awakening of Faith attempted to establish a
movement.
“common ground” for all “true Buddhists” beyond attach-
BUDDHISM IN THE MEIJI PERIOD (1868–1912) AND MOD-
ment to “sectarian tenets,” in this case an essential Maha¯ya¯na
ERN JAPAN. Given the increasing intellectual current of “na-
doctrine represented as in no way inferior to the presumably
tivism” (kokugaku), which was not only connected with
more scientific early Buddhism. While Suzuki’s work would
movement toward the development of a nation-state and
later find a larger readership in Europe and the United States
modernization but also increasingly with a call for the return
and come to stress discourses on buddha-nature in the con-
to full sovereignty of the tenno¯ and the rejection of foreign
text of Zen belief, The Awakening of Faith would be studied
influences, it is not surprising that Buddhist institutions,
by modern Japanese scholars because of its influence on Ten-
long gateways to continental learning and civilization, came
dai and other discourses concerning “original enlighten-
to be subjected to all manner of criticisms.
ment” (hongaku) and interpreted by some as having reached
its flowering in Japanese Buddhism. Such interpretations,
Following patterns established on a small scale from the
combined with the emphasis on the Three Nations, are
mid-seventeenth century on by lords of certain local do-
thought to have also contributed conceptually to pan-
mains, the new government immediately decided to separate
Asianism, which in the form of the Japanese policy of the
kami-worshipping shrines from Buddhist temples by force,
“Greater East Asian Co-Prosperity Sphere” rhetorically
taking a policy of “Separation of Kami and Buddhas” (shin-
helped to legitimize military aggression on the continent
butsu bunri) and producing what would come to be called
during the Pacific war. Recently, however, some other Japa-
“State Shinto¯” (kokka shinto¯). The sharply anti-Buddhist pol-
nese scholars would argue that Japanese Buddhism, especial-
icies and tone of government statements created an atmo-
ly in its emphasis on “original enlightenment,” was especially
sphere rife for exploitation, whereupon a virtual cultural rev-
prone to antinomianism.
olution occurred in which Buddhist images and temples were
purged throughout the Japanese isles. This purge, which
Another aspect of institutional Buddhism of the late
came to known as “Expelling Buddhism and Destroying
nineteenth and early twentieth centuries that should be
S´a¯kyamuni” (haibutsu kishaku), began as soon as the new
noted was the universalizing of clerical marriage. While
government policy was announced: a kami-worshipping
monks sometimes possessed wives and children but did not
priest led an armed group that stormed the Hie Shrine, part
speak openly of their presence (this was frequent enough that
of the larger Enryakuji temple complex at Mount Hiei, and
children had rights to a deceased monk’s property in the
burned several hundred Buddhist images and scriptures.
Heian period), it was only with Shinran and the True Pure
From this point on, violence against Buddhist institutions
Land lineages he founded that Buddhist clerics began to
became rampant.
openly marry. However, Buddhist clerics as a whole now lost
whatever privileges or exceptional aspects that had marked
By 1871, the worst remnants of the purge were over,
them; as a key part of this process, the government disman-
and Buddhist clerics, sometimes together with and some-
tled in 1872 all laws differentiating clergy from others in the
times in opposition to the government, began to make efforts
populace—including official proscriptions against clerical
to reconceive of and newly represent the relevance of Bud-
marriage and meat eating (nikujiki saitai)—so most monks
dhist belief and practice to Japanese society. In response to
married. At the same time, almost all nuns, who unlike their
the most prominent ideological attacks on institutional Bud-
male counterparts were not bequeathed family temples by
dhists—that monks and temples did not contribute to the
their fathers and did not feel pressure to themselves be-
nation, that their faith was foreign and counter to that of the
queath—instead “left home” to enter the clergy—are unmar-
nation, and that they held to ahistorical and mythic beliefs—
ried to this day.
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1184
BUDDHISM: BUDDHISM IN JAPAN
While monastic Buddhists were generally supportive of
have been particularly called into question, and some have
the war effort—and on peaceful terms with the militarists—
argued that such practices target young women by producing
the government was particularly distrustful of those in “new
fear of the curses (tatari) of unsettled fetus spirits—thus con-
religions,” including Buddhist ones like So¯ka Kyo¯iku Gakkai
stituting an unfair and discriminatory practice.
(later called So¯ka Gakkai), Reiyu¯kai, Rissho¯ Ko¯seikai, Shin-
Institutional Buddhists have also been challenged by re-
nyoen, Gedatsukai, and Honmon Butsuryu¯shu¯. Members of
cent changes in death practices. The image of greedy monks
many of the new religions were observed on a regular basis
has led some Japanese to prefer to forgo such funerals, choos-
and often imprisoned. With the destruction of the major
ing options such as common graves and the free scattering
metropolitan centers and the freeing of the leaders of the new
of the dead’s ashes.
religions, the latter enjoyed tremendous successes during the
early postwar era. All of the new religions, including those
However, alongside the growth of new practices transin-
Buddhist in character, offered this-worldly benefits of vari-
stitutional rites of more traditional vintage like the Obon day
ous sorts (often healing) as well as related resolutions to spiri-
of the dead as well as pilgrimage have been retained if not
tual/emotional problems.
reinvigorated. Moreover, the New Year’s pilgrimage, while
associated with Shinto¯ shrines, is often made instead to Bud-
So¯ka Gakkai, a lay organization that began within the
dhist temples, where Buddhas and bodhisattvas are likewise
Nichiren Sho¯shu¯ sect, grew from an organization of a few
approached with prayers. In addition, Buddhist pilgrimage
thousand at the beginning of the 1950s to a membership of
circuits vibrant since the Tokugawa period, such as the
more than 7 million by the early 1970s. This and other of
eighty-eight-temple route undertaken to match the piety of
the new religions were particularly successful in urban areas,
the great Shingon master Ku¯kai, have become as prominent
where residents were often geographically separated from
as ever.
their larger families; one member of an urban family, often
the wife or mother in the household, would commonly enter
Finally, we should note that the influence of Buddhist
the movement, attend regular meetings, and eventually bring
discourses on society has accompanied the vast increase in
in other members. So¯ka Gakkai featured regular group meet-
media. The development of the internet as well as the popu-
ings for Buddhist practice featuring recitation of the title of
larity of manga (comics), anime (animation), and films have
the Lotus Su¯tra, belief in the essential importance of active
contributed to a wide diffusion of Buddhist images and
proselytization, and, in that connection, political action to
ideas. Buddhist temples, new (and “new-new”) Buddhist re-
promote world peace and salvation. Other Buddhist new re-
ligions, and a variety of other Buddhist groups have taken
ligions tended to emphasize ancestor veneration as a major
advantage of the web to explain their teachings and offer
component, including Reiyu¯kai, out of which other new reli-
other services. From the 1970s on, manga series such as the
gions, such as Rissho¯ Ko¯seikai, have developed.
great Tezuka Osamu’s series entitled Buddha and anime se-
ries such as Ikkyu¯-san have enjoyed great popularity. Bud-
From the 1970s on so-called “new-new religions” (shin-
dhist themes also figured prominently in novels and other
shin shu¯kyo¯) have developed, which generally share character-
literature. The prominence of Buddhist figures, themes, im-
istics different from those of the new religions, and of which
ages, and teachings in these media indicates the extent to
those of Buddhist character have also been active. While the
which Buddhism continues to have a vibrant and multiple
growth of most of the earlier new religions slowed, these
influence on Japanese culture, while its institutional presence
groups attempted to offer new responses to the changing
perdures despite a variety of challenges.
conditions in contemporary Japan. For the most part, groups
like Agonshu¯ and Aum Shinrikyo¯, like their non-Buddhist
SEE ALSO Buddhism, Schools of, article on Japanese Bud-
counterparts, tended to appeal to youth through not merely
dhism; Japanese Religions, overview article; Missions, article
this-worldly benefits but also a more critical stance vis-à-vis
on Buddhist Missions; Pilgrimage, article on Buddhist Pil-
the current social and political situation.
grimage in East Asia; Shinto¯; Shugendo¯.
Recently, institutional Buddhists have faced charges of
social-class and gender discrimination. With regard to social
BIBLIOGRAPHY
discrimination, research during the last decades of the twen-
Studies in English
tieth century clarified that some major sects of Japanese Bud-
The volume of Western-language materials concerning Buddhism
dhism, such as Zen, were involved historically in the use of
in Japan has recently increased dramatically, as has the vol-
“discriminatory precept names” (sabetsu kaimyo¯)—the appli-
ume of the research. Prominently, relevant articles appear in
cation of discriminatory religious titles to those deceased of
Japanese Journal of Religious Studies, Japanese Religions, and
a series of other journals on religion or Japan. Surprisingly,
the outcast class (burakumin). Finally, the creation and in-
there is not as yet an up-to-date standard reference on Bud-
creased use of mizuko kuyo¯ rites, veneration of the bodhisattva
dhism in Japan or Japanese religion, whereas specialized
Jizo¯ (mizuko jizo¯) practiced on behalf of the spirits of aborted
studies are numerous. The work edited by Kazuo Kasahara,
fetuses, from the 1970s on in some Buddhist temples had an
A History of Japanese Religion (Tokyo, 2001), is a useful set
integral relationship with advertising campaigns and broader
of essays by prominent scholars of Japanese religion, though
temple efforts to increase profits; the motives of the temples
it remains a translation of a much earlier two-volume set
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN JAPAN
1185
published in Japanese. Comparatively more introductory
increasingly establish the commonalities between the previ-
works include H. Byron Earhart, Japanese Religion: Unity and
ously existing lineages and those newly developed in the Ka-
Diversity, 3rd ed. (Belmont, Calif., 2004) and Ian Reader,
makura period, including relevant Shinto¯ lineages. These in-
Esben Andreasen, and Finn Stefansson, eds., Japanese Reli-
clude Mikael S. Adolphson, The Gates of Power: Monks,
gions Past and Present (Honolulu, Hawaii, 1993). Daigan
Courtiers, and Warriors in Premodern Japan (Honolulu, Ha-
Matsunaga and Alicia Matsunaga, Foundation of Japanese
waii, 2000); Bernard Faure, Visions of Power: Imagining Me-
Buddhism, 2 vols. (Los Angeles and Tokyo, 1974–1976), is
dieval Japanese Buddhism (Princeton, N.J., 1996); Richard
a detailed yet dated overview of the historical transmission
K. Payne, ed., Re-Visioning “Kamakura” Buddhism (Honolu-
of the best known lineages of Japanese Buddhism.
lu, Hawaii, 1998); Mark Teeuwen and Fabio Rambelli, eds.,
Specialized Studies
Buddhas and Kami in Japan: Honji Suijaku as a Combinatory
Paradigm (London, 2003); and Robert H. Sharf and Eliza-
Most of the promising work on Buddhism in Japan has been con-
beth Horton Sharf, eds., Living Images: Japanese Buddhist
ducted in specialized studies or edited volumes. The follow-
Icons in Context (Stanford, Calif., 2001). While the last of
ing discussion constitutes an incomplete list, due to the vol-
these works includes studies of Buddhism from the Muro-
ume of materials recently published. Early Japanese
machi and Tokugawa periods, the number of other promi-
Buddhism remains little studied, although Ryu¯ichi Abé, The
nent works remains comparatively few, and typically concern
Weaving of Mantra: Ku¯kai and the Construction of Esoteric
particular figures or institutions of the period or popular reli-
Buddhist Discourse (New York, 1999) offers a useful overview
gious practices. Studies of figures include Peter Haskel and
of Buddhism in the Nara period. For a discussion of women
in Nara period Buddhism, see Hongo¯ Masatsugu, “State
Ryu¯ichi Abé, Great Fool: Zen Master Ryo¯kan—Poems, Letters,
Buddhism and Court Buddhism: The Role of Court Women
and Other Writings (Honolulu, Hawaii, 1996) and James H.
in the Development of Buddhism from the Seventh to the
Sanford, Zen-man Ikkyu¯ (Chico, Calif., 1981). Prominent
Ninth Centuries,” in Enduring Faith: Women and Buddhism
works on institutions or popular practices include Helen J.
in Premodern Japan, edited by Barbara Ruch (Ann Arbor,
Baroni, O
¯ baku Zen: The Emergence of the Third Sect of Zen
Mich, 2002); the Ruch work includes a broad array of studies
in Tokugawa Japan (Honolulu, Hawaii, 2000); Martin Coll-
on women’s involvement in both lay and monastic Bud-
cutt, Five Mountains: The Rinzai Zen Monastic Institution in
dhism prior to the modern era. For studies of Saicho¯ and
Medieval Japan (Cambridge, U.K., 1981); Helen Hardacre,
Ku¯kai, see Paul Groner, Saicho¯: The Establishment of the Ten-
Religion and Society in Nineteenth-Century Japan: A Study of
dai School (Honolulu, Hawaii, 2000), and the Abé work
the Southern Kanto Region, Using Late Edo and Early Meiji
noted above, as well as the older Yoshito Hakeda, Ku¯kai:
Gazetteers (Ann Arbor, Mich., 2002); Nam-Lin Hur, Prayer
Major Works (New York, 1972). There are a number of im-
and Play in Late Tokugawa Japan: Asakusa Senso¯ji and Edo
portant studies of Buddhism from the mid-Heian to the Ka-
Society (Cambridge, U.K., 2000); Neil McMullin, Buddhism
makura period. William LaFleur’s The Karma of Words: Bud-
and the State in Sixteenth Century Japan (Princeton, N.J.,
dhism and the Literary Arts in Medieval Japan (Princeton,
1984); D. Max Moerman, Localizing Paradise: Kumano Pil-
N.J., 1983) examined the introduction of karmic cosmology
grimage and the Religious Landscape of Premodern Japan
into Japanese literature. With regard to Buddhist activities
(Cambridge, U.K., 2004); Joseph D. Parker, Zen Buddhist
or lineages that existed prior to the advent of the new Kama-
Landscape Arts of Early Muromachi Japan (1336–1573) (Al-
kura period lineages, see Mark L. Blum, The Origins and De-
bany, N.Y., 1999); and Duncan Ryu¯ken Williams, The
velopment of Pure Land Buddhism: A Study and Translation
Other Side of Zen: A Social History of Soto Zen Buddhism in
of Gyo¯nen’s Jo¯do Ho¯mon Genrusho¯ (New York, 2002); Paul
Tokugawa Japan (Princeton, N.J., 2005). There are numer-
Groner, Ryo¯gen and Mount Hiei: Japanese Tendai in the Tenth
ous studies of Buddhism in the modern era, of which the
Century (Honolulu, Hawaii, 2002); Janet Goodwin, Alms
most prominent are: Paula Kane Robinson Arai, Women Liv-
and Vagabonds: Buddhist Temples and Popular Patronage in
ing Zen (New York, 1999); Helen Hardacre, Lay Buddhism
Medieval Japan (Honolulu, Hawaii, 1994); Brian D. Rup-
in Contemporary Japan: Reiyu¯kai Kyo¯dan (Princeton, N.J.,
pert, Jewel in the Ashes: Buddha Relics and Power in Early Me-
1984); Helen Hardacre, Marketing the Menacing Fetus in
dieval Japan (Cambridge, U.K., 2000); Jacqueline I. Stone,
Japan (Berkeley, Calif., 1999); Richard M. Jaffe, Neither
Original Enlightenment and the Transformation of Medieval
Monk Nor Layman: Clerical Marriage in Modern Japanese
Japanese Buddhism (Honolulu, Hawaii, 1999); George J.
Buddhism (Princeton, N.J., 2001); James Edward Ketelaar,
Tanabe, Myo¯e the Dreamkeeper: Fantasy and Knowledge in
Of Heretics and Martyrs in Meiji Japan: Buddhism and Its Per-
Early Kamakura Buddhism (Cambridge, U.K., 1992), and
secution (Princeton, N.J., 1990); William LaFleur, Liquid
Mimi Hall Yiengpruksawan, Hiraizumi: Buddhist Art and
Life: Abortion and Buddhism in Japan (Princeton, N.J.,
Regional Politics in Twelfth-Century Japan (Cambridge, U.K.,
1991); Ian Reader and George Tanabe, Practically Religious:
1998). With regard to studies of new Kamakura period lin-
Worldly Benefits and the Common Religion of Japan (Honolu-
eages, James Dobbins, Jo¯do Shinshu¯: Shin Buddhism in Medi-
lu, Hawaii, 1998); Brian Daizen Victoria, Zen at War (New
eval Japan (Honolulu, Hawaii, 2002) remains the standard
York, 1997); and Judith Snodgrass, Presenting Japanese Bud-
work on Shinran’s lineage, as does William Bodiford, So¯to¯
dhism to the West: Orientalism, Occidentalism, and the Colum-
Zen in Medieval Japan (Honolulu, Hawaii, 1993) concerning
bian Exposition (Chapel Hill, N.C., 2003) on the “new”
So¯to¯ Zen; the Senchakushu¯ English Translation Project,
Buddhism of the Meiji period and the interaction with the
trans. and ed., Ho¯nen’s Senchakushu¯ (Honolulu, Hawaii,
West and Western Buddhologists. Jamie Hubbard and Paul
1998), provides the best translation of Ho¯nen’s most famous
L. Swanson, eds., Pruning the Bodhi Tree: The Storm over
work while offering a useful introduction. There are also a
Critical Buddhism (Honolulu, Hawaii, 1997), focuses on the
number of translations of works by Nichiren. Other works
debate concerning contemporary Japanese scholars who 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
1186
BUDDHISM: BUDDHISM IN THE WEST
criticized original enlightenment discourses in Japanese Bud-
Rissho¯ Daigaku Nichiren Kyo¯gaku Kenkyu¯jo, ed.,
dhism.
Nichirenshu¯ shu¯gaku zensho (Tokyo, 1968–1978) and Sho¯wa
teihon Nichiren Sho¯nin ibun (Minobusan, 1988). In the case
Studies in Japanese
of virtually all of the major lineages, collections of works by
The great bulk of publications in the study of Japanese Buddhism
the founders and other major figures of the traditions have
has and remains in Japanese, and the volume of publication
been published and should be consulted; recent research has
has dramatically increased in recent years. The most useful
resulted in the publication of large new collections of works
reference with which to consider the broader history of Japa-
attributed to figures lesser-known to scholarship, like the
nese Buddhism has long been Tsuji Zennosuke, Nihon
monk Shukaku of Shingon lineage. Collections of materials
bukkyo¯shi, 10 vols. (Tokyo, 1944–1953), although there
of the Tokugawa, Meiji, and modern periods can often be
have been a large number of recent general works that ad-
found in those of entire lineages, noted above. However,
dress developments in theory and research. More recently, a
work of contemporary scholars such as scholars at the Histo-
series edited by Nihon Bukkyo¯ Kenkyu¯kai entitled Nihon no
riographical Institute, University of Tokyo, and Tamamuro
bukkyo¯, 6 vols. (Kyo¯to, 1994–1996) and a volume edited by
Fumio have also made great quantities of previously unpub-
the same group called Nihon bukkyo¯ no kenkyu¯ho¯ (Kyo¯to,
lished materials available for research. Relevant materials
2000) have offered the most rigorous series of general articles
such as diaries and various genres of temple records should
by leading contemporary scholars as well as the most up-to-
also be consulted regularly.
date bibliographical essays on significant research that has
been conducted on Japanese Buddhism in recent decades;
BRIAN O. RUPPERT (2005)
the topics covered include not only the major historical peri-
ods, lineages of Japanese Buddhism, and kami-Buddha amal-
gamation but also the fields of Buddhist folklore, Buddhist
literature, women in Buddhism, Buddhist art, and Buddhist
BUDDHISM: BUDDHISM IN THE WEST
architecture. For verification of the existence or historical va-
During the twentieth century Buddhism became globally
lidity of Buddhist texts, Ono Genmyo¯, ed., Bussho kaisetsu
distributed and established. Buddhists have set foot in Aus-
daijiten, 13 vols. (Tokyo, Supplementary vols. 12–13 ed.
tralia and New Zealand, in the southern region of Africa, and
Maruyama Takao, rev. ed. 1964–1967) remains the best re-
in most countries of Europe, as well as in South and North
source.
America. Buddhism outside of Asia is marked by a heteroge-
Specialized Studies
neity and diversity that is observable in all thus-denoted
All of the major traditional sects of Japanese Buddhism have col-
“Western” countries. The entire range of Buddhism’s main
lected their own textual corpuses. However, careful study of
traditions and subtraditions can be found outside of Asia,
any group or individual in Japanese Buddhism requires con-
often in one country and sometimes even in one major city,
sultation of a broad range of both primary and secondary
with some forty, fifty, or more different Buddhist groups in
sources in Japanese. In terms of primary sources, initial col-
a single place. Buddhists of divergent traditions and schools
lections that should be consulted are the sections including
have become neighbors—a rarity in Asia itself. Additionally,
Japanese Buddhist works in Taisho¯ shinshu¯ daizo¯kyo¯, 100
new Western Buddhist orders and organizations have been
vols. (Tokyo, 1924–1932), Dainihon zokuzo¯kyo¯, 750 vols.
(Kyo¯to, 1905–1912), and Dainihon bukkyo¯ zensho, 151 vols.
founded, signaling ambitious moves to create indigenized
(Tokyo, 1912–1922). Important sources for the study of
variations of Buddhist forms, practices, and interpretations.
early Buddhism include, of course, court chronicles, archaeo-
As the Western institutionalization of Buddhism rapidly ac-
logical records, Sho¯so¯’in monjo records, temple stories, and
celerated in the closing three decades of the twentieth centu-
official temple collection records (shizaicho¯). As for major
ry, its research matured and became a recognized subject
lineages that developed in the early period, only Tendai and
with numerous studies.
Shingon feature large collections, which include: Tendai
EARLY ENCOUNTERS. Very early information about Bud-
Shu¯ten Kanko¯kai, ed., Tendaishu¯ zensho, 25 vols. (Tokyo,
dhist concepts can be traced to the records of the Greek phi-
1935–1937), and Tendai Shu¯ten Hensanjo, ed., Zoku
Tendaishu¯ zensho, 15+ vols. (Tokyo: 1987–); Shingonshu¯
losopher Plutarch (first century CE). Plutarch writes about
Zensho Kanko¯kai, ed., Shingonshu zensho, 44 vols. (Ko¯yasan,
the Indo-Greek king Menander (Menandros, c. 155–130
1933–1939), and Zoku Shingonshu¯ Zensho Kanko¯kai, ed.,
BCE) and his conversation with the Buddhist monk
Zoku Shingonshu¯ zensho, 42 vols. (Ko¯yasan, 1973–1988). As
Na¯gasena, documented in the Pali text Milindapañha (Ques-
for the newer Kamakura period lineages, some of the major
tions of King Milinda). The rise of Christianity and later of
Pure Land Buddhist collections are Jo¯doshu¯ Shu¯ten
Islam blocked further exchange until Franciscan friars trav-
Kanko¯kai, ed., Jo¯doshu¯ zensho, 21 vols. (Tokyo, 1929–1931);
eled to Mongolia in the thirteenth century. From the six-
Shu¯sho Hozonkai, ed., Zoku Jo¯doshu¯ zensho, 20 vols. (Tokyo,
teenth century onwards, travelers and Jesuit missionaries to
1940–1942); Tsumaki Naoyoshi, ed., Shinshu¯ zensho, 74
Tibet, China, and Japan left fragmentary accounts of Bud-
vols. (Tokyo, 1913–1916); Shinshu¯ Tenseki Kanko¯kai, ed.,
dhist rituals and concepts. In the course of European colonial
Shinshu¯ taikei, 37 vols. (Tokyo, 1974–1976) and Zoku
Shinshu¯ taikei, 24 vols. plus Bekkan, 4 vols. (Tokyo, 1976–
expansion, information was gathered about the customs and
1977). Some major Zen collections include: So¯to¯shu¯ Zensho
history of the peoples and regions that were subjected to Brit-
Kanko¯kai, ed., So¯to¯shu¯ zensho (Tokyo, 1929–1935); Zoku
ish, Portuguese, and Dutch domination. Texts and descrip-
So¯to¯shu¯ Zensho Kanko¯kai, ed., Zoku So¯to¯shu¯ zensho (Tokyo,
tions began to be collected and translated in the late eigh-
1974–1977). Prominent Nichiren lineage collections are
teenth century, although a distinction had not yet 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
BUDDHISM: BUDDHISM IN THE WEST
1187
clearly made between Hindu and Buddhist treatises. Simul-
an society. This debate was strengthened when a few com-
taneously, in Europe the Romantic movement gave rise to
mitted men, including Anton Güth (1878–1957), ordained
a glorifying enthusiasm for the East and for India in particu-
as Nya¯natiloka, became monks in the Therava¯da tradition
lar. The Asian world and its religious and philosophical tradi-
in the early twentieth century and temporarily remained in
tions were discovered along with efforts aimed at tracing a
Europe.
genuine and pure spirituality that was supposedly lost in Eu-
rope through the victory of rationalism.
Internationalization: Toward a global Buddhism. To
a certain extent the incipient Buddhist activities in Western
Discovery of Buddhism through texts. The credit for
countries relied on reformist approaches and modernist rein-
first systematizing the increasing amount of information on
terpretations of Asian Buddhist concepts. In Ceylon (Sri
Buddhist texts and concepts goes to the Paris philologist Eu-
Lanka), the center of South Asian Buddhist revival, educated
gène Burnouf (1801–1852). His L’introduction à l’histoire du
urban Buddhists who had been influence by Orientalist con-
buddhisme indien (1844) presented a scientific survey of
cepts emphasized the rational and scientific aspects of Bud-
Buddhist history and doctrines. Burnouf imposed a rational
dhist teachings. These modernist Buddhists portrayed Bud-
order on ideas hitherto perceived as unrelated, in this way
dhism as text-based, pragmatic, rational, universal, and
creating the prototype of the European concept of Bud-
socially active. Both European scholarship and the Western
dhism. In the 1850s, Europe witnessed a boom of studies
glorification of Buddhist ideas strengthened national and re-
and translations, paving the way for an enhanced knowledge
ligious self-confidence in South Asia, further generating ideas
of and interest in the teachings. At this time Asian religion
of a missionary outreach. In addition, in 1880 Olcott and
was essentially treated as a textual object located in books,
Blavatsky visited Colombo, Ceylon, and publicly took refuge
Oriental libraries, and institutes of the West.
in the Buddha, dharma, and sam:gha, becoming the first
Westerners to do so in an Asian country.
The writings of the German philosopher Arthur Scho-
penhauer (1788–1860) inspired wide interest in Buddhist
In the two decades that followed, Olcott and the Cey-
philosophy and ethics among intellectuals, academics, and
lonese Anaga¯rika Dharmapa¯la (1864–1933) worked together
artists. In the United States, the nineteenth-century tran-
to renew the importance of Buddhism. In 1891, Dharmapa¯la
scendentalists Ralph Waldo Emerson, Henry David Tho-
set up the Maha¯ Bodhi Society, its aim being to restore the
reau, and Walt Whitman praised Indian philosophy and in-
neglected site of Bodh Gaya¯ in North India and to resuscitate
troduced translations, produced in Europe, to members of
Buddhism in India. These activities led to Dharmapa¯la’s in-
the American middle- and upper classes. Circles of aesthetic
vitation to the World’s Parliament of Religions in Chicago
conversation and textual sources were the mediators that ini-
in 1893. His well-received speech at this paramount event
tiated the spread of and provided for the public presence of
for the formal debut of Asian religions in the United States
Buddhist ideas in Europe and the United States. The appeal
established Dharmapa¯la as the main spokesman of Buddhist
of Indian spirituality was strengthened by the intervention
revival in South Asia. It was in Chicago in 1893 as well that
of the Theosophical Society, founded by Helena P. Blavatsky
Carl Theodor Strauss (1852–1937) became the first Ameri-
(1831–1891) and Henry Steel Olcott (1832–1907) in 1875
can to formally convert to Buddhism on American soil. In
in New York. In addition, Sir Edwin Arnold (1832–1904)
the years to come Strauss and Dharmapa¯la worked jointly
published his famous poem The Light of Asia in 1879, fol-
and traveled extensively around the world to spread Buddhist
lowed by Olcott’s Buddhist Catechism in 1881. Both works
teachings. Overseas branches of the Maha¯ Bodhi Society
praised the Buddha and his teaching. Echoing this overt glo-
were formed in the United States (1897), Germany (1911),
rification of the Asian religion, a few Europeans became the
and Great Britain (1926), in this way establishing the society
first self-converted followers of the teaching in the early
as the first international Buddhist organization and its
1880s.
founder as the first global Buddhist missionary or propa-
gandist.
Though more Westerners took up Buddhist teachings
as their new orientation in life, another twenty years passed
Buddhism brought by immigrants. A different, non-
before the first Buddhist organizations outside of Asia were
modernist, and religiously more tradition-oriented line of
formed. The Indologist Karl Seidenstücker (1876–1936) es-
Buddhism reached Western countries with the arrival of
tablished the Society for the Buddhist Mission in Germany
Chinese and Japanese migrants to the U.S. West Coast and
in 1903 in Leipzig. Likewise, the first British monk, Ananda
later to South America. Gold had been discovered in Califor-
Metteyya (Allen Bennett McGregor, 1872–1923), formed
nia in 1848, and miners from China came in hopes of un-
the Buddhist Society of Great Britain and Ireland in 1907
earthing a fortune. By the 1880s the number of Chinese in
in London. By means of lectures, pamphlets, and books, the
California, Montana, and Idaho had grown to over 100,000
first professed Western Buddhists tried to win recruits from
people. Upon their arrival, the immigrants built Chinese
the educated middle- and upper social strata of society.
temples, the first two in San Francisco in 1853. During the
These and related activities were polemically commented on
next fifty years hundreds of so-called joss-houses, where Bud-
by Christian clergy, who criticized the “nihilism” of Bud-
dhist, Daoist, and Chinese folk traditions mingled, appeared
dhism and the “foreignness” of the Asian religion to Europe-
throughout the western United States.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1188
BUDDHISM: BUDDHISM IN THE WEST
In striking contrast to the high esteem that Buddhist
Chinese in the United States remained mostly concen-
texts and ideas had gained among East Coast intellectuals,
trated in Chinatowns along the West Coast. As the numbers
Americans on the West Coast devalued East Asian culture
of Chinese dropped due to the Chinese Exclusion Act, so did
as exotic, strange, and incomprehensible. The Chinese laun-
the number of temples. The other strand of Buddhism in the
drymen, cooks, and miners were regarded as unwelcome im-
United States—made up of those who had converted to
migrants. In 1882, the Chinese Exclusion Act restricted fur-
Buddhism—was no more successful at initiating Buddhist
ther immigration of Chinese nationals. In a similar way,
activities during the first half of the twentieth century. The
Japanese who had come to the United States in search of
appearance of the Japanese Rinzai Zen monk So¯en Shaku
work beginning in the 1870s faced racism and social exclu-
(1859–1919) at the World’s Parliament of Religions gave
sion. Buddhism was regarded as a foreign religion, causing
momentum to the practice of Zen meditation, which was
a threat to the relationship between Japanese and American
strengthened by two disciples sent by So¯en Shaku to the
people. Nevertheless, two Jo¯do Shinshu¯ priests were sent in
United States: Zen masters Nyo¯gen Senzaki (1876–1958)
1899 to support the spiritual needs of Japanese laborers, and
and Sokei-an Sasaki (1882–1945). Although they stayed in
the Buddhist Mission to North America became formally es-
the United States for years, the meditation groups they set
tablished in 1914.
up were met with little interest. It was not until D. T. Suzuki
(1870–1966) returned to North America for a long stay
More migrants from Japan arrived in Central and South
in the 1950s that a psychologically reshaped Zen became
America around the turn of the century. Japanese workers
popular.
traveled to Mexico and Peru in 1897 and to Sa˜o Paulo in
Brazil in 1908. The laborers intended to work for only a few
BUDDHISM IN EUROPE DURING THE FIRST HALF OF THE
years on the plantations and then return to Japan. Most
TWENTIETH CENTURY. World War I brought an end to the
often, however, their stay turned into long-term residence.
incipient Buddhist movements in Europe. But Buddhism
During the first forty years of residence in Brazil, only one
was taken up again immediately after the war, especially in
Japanese Buddhist temple was established, in Cafelândia in
Britain and Germany. In contrast to the early period, Bud-
Sa˜o Paulo in 1932. Japanese workers were expected to assim-
dhism was now beginning to be practiced, at least by its lead-
ilate as quickly as possible to Brazilian culture, an expectation
ing proponents. The teachings were not only to be conceived
that included, among other things, abandoning their “hea-
by the mind, but also applied to the whole person. Religious
then practices” and converting to Roman Catholicism. A fair
practices such as spiritual exercises and devotional acts be-
number did, as the Japanese saw conversion as necessary to
came part of German and British Buddhist life during the
the process of Brazilianization. On the other hand, the deci-
1920s and 1930s.
sion to change their status from sojourner to immigrant re-
In 1921 Georg Grimm (1868–1945) and Seidenstücker
sulted in efforts to ensure the preservation of Japanese culture
initiated the Buddhist Parish in Germany. The committed
and identity. It was from the 1950s onward, after Japan’s de-
group saw itself expressly as a religious community of Bud-
feat in World War II brought an end to the migrants’ hopes
dhist lay followers. Lectures by Grimm were attended by five
for return, that Buddhist and Shinto¯ temples became estab-
hundred to one thousand listeners. In Berlin, Paul Dahlke
lished in Brazil. The Mission of So¯to¯ Zenshu¯ in Brazil
(1865–1928) built the famous Buddhist House in 1924. In
founded Busshinji temple in 1956, followed by the influx of
this house, which served as both residence and monastery,
other Buddhist traditions since the 1970s.
Dahlke led the same kind of ascetic and religious life as South
Asian Buddhist monks. The divergent interpretations of the
As in Brazil, World War II was a watershed for Japanese
teachings of the Pali canon by Grimm and Dahlke led to the
people in the United States. Acculturative processes had
formation of two independent schools, which polemically
begun during the 1920s and 1930s to meet the needs of the
disputed the central teaching of anatta¯ (Pali, “no-self”). Both
American-born generation; these processes included educa-
schools continued their work during the Nazi period (1933–
tion programs and such adaptations as referring to Buddhist
1945), albeit restricted to small, private circles that were at
temples as churches and to priestly personnel as minister or
times under Nazi political control. Buddhists were regarded
reverend. Paradoxically, adaptation accelerated tremendously
by the Nazis as pacifists and eccentrics. With the exception
during the time of the internment camps. From 1942 to
of those who had abandoned their Jewish faith and become
1945, some 111,000 people of Japanese ancestry were in-
Buddhists—about a third of all Buddhists in German-
terned, almost 62,000 of them being Buddhists, the majority
speaking areas during the 1920s—no official or public perse-
Jo¯do Shinshu¯. Religious services in the camps were conduct-
cution of Buddhism took place.
ed in English, a demand that was later established as the
norm. Of similar importance, formerly tight bonds with the
In London, Christmas Humphreys (1901–1983)
mother temples in Japan dissolved. This emancipation from
formed the Buddhist Lodge of the Theosophical Society in
the normative Japanese model was expressed in the organiza-
1924. A Buddhist shrine room was opened in 1925, and
tion’s new name: No longer a “Mission [from Japan] to
Buddhist festivals were celebrated. As a result of Anaga¯rika
North America,” it became reincorporated as the Buddhist
Dharmapa¯la’s missionary efforts in Britain during the mid-
Churches of America in 1944.
1920s, British Buddhists founded a branch of the Maha¯
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM: BUDDHISM IN THE WEST
1189
Bodhi Society (1926) and established a Buddhist monastery
wanted to experience Buddhism both spiritually and physi-
with three resident Therava¯da bhikkhus (monks) in London
cally. Meditation became popular, and Buddhists and sym-
(1928–1940, reopened in 1954). It was the first time that
pathizers filled courses in Therava¯da vipassana¯ meditation
several monks resided for an extended period outside of Asia.
and Japanese Zen meditation. Zen seminars (Jpn., sesshin)
took place in increasing numbers, with teachers coming from
In Europe, it was undoubtedly those who had adopted
Japan to guide newly formed groups.
Buddhism as their new orientation in life who dominated the
small Buddhist scene. Except for a few Buddhist activists,
In the United States, lecture tours by Suzuki instigated
such as Anaga¯rika Dharmapa¯la and some Japanese Zen Bud-
an upsurge of interest in Zen concepts and meditation. At
dhists, no Buddhist migrants from Asia came to Europe dur-
the same time, “Beat Zen” and “Square Zen” created by
ing this time. However, there is an important exception to
Allan Watts, Allen Ginsberg, and Jack Kerouac, popularized
this pattern: In the early twentieth century, Mongolian Ti-
Zen and attracted members of the emerging counterculture.
betan Buddhists from Kalmykia and Buryatia in Russia es-
Japanese teachers such as So¯to¯ Zen master Shunryu Suzuki
tablished sizeable communities in Saint Petersburg, the czar-
settled in the United States as immigration regulations were
ist Russian capital until 1917. They built a Dge lugs (Geluk)
relaxed during the mid-1950s and 1960s. In addition, vari-
style temple and monastery in Saint Petersburg in 1909 to
ous meditation centers were founded as young Americans re-
1915. The first Buddhist monastery on European soil thus
turned from Japan having received a traditional religious ed-
became established not by European convert Buddhists but
ucation. Notable among these was Philip Kapleau (1912–
by so-called ethnic or migrant Buddhists led by the Buryat-
2004), author of the instrumental The Three Pillars of Zen
Mongol lama Agvan Dorzhev. During the Communist Rev-
(1965) and founder of the Rochester Zen Center in New
olution in 1917, however, the temple was desecrated. Fol-
York (1966), and Robert Aitken (b. 1917), founder of the
lowing the comparative calm of the 1920s, Buddhists and
Diamond Sangha in the 1960s. Both were disciples of Zen
scholars were persecuted and murdered under Joseph Stalin’s
master Hakuun Yasutani (1885–1974), founder of the Zen
dictatorship (1930s–1953). It was not until the 1980s that
school Sanbo Kyodan in 1954. In addition to the explosive
conditions improved for Buddhists in Russia, and they were
interest in Zen meditational practice, further Buddhist tradi-
able to establish small communities and centers for different
tions arrived from Asia with Sri Lankan, Thai, Chinese, Tai-
Buddhist traditions.
wanese, Korean, and Japanese teachers. Among these tradi-
tions and schools, one of the most vigorous turned out to
THE 1950S AND 1960S: SPREAD AND PLURALIZATION. In
be the So¯ka Gakkai from Japan, which claimed a member-
contrast to the first half of the twentieth century, the second
ship of 500,000 people in the mid-1970s.
half witnessed a boom of Buddhism outside of Asia. Western
countries experienced a heavy influx of Asian immigrants
The first Australian Buddhist organization was founded
and a tremendously expanded interest in Buddhist medita-
in 1952, with a membership of mainly well-educated citi-
tion, liturgy, and teachings among Westerners. World War
zens. Leading Australian Buddhists, such as Charles F.
II had brought an end to most public Buddhist activities in
Knight (1890–1975) and Natasha Jackson (1902–1990), re-
Europe. However, after 1945 Buddhists reestablished former
garded Buddhism as a triumph of rationalism and used it as
Therava¯da groups or founded new ones. Buddhist lectures
a foil in their attacks on Christianity. Their specific approach
were well attended and Buddhist books and journals well re-
was strongly intellectualized, and they went to great lengths
ceived. From the 1950s onwards, new Buddhist traditions
to prove that Buddhism was fully consonant with scientific
were brought to Europe. Japanese Jo¯do Shinshu¯ was estab-
thinking. As in Europe and the United States, Zen, Pure
lished in Britain (1952) and Germany (1956). The writings
Land, and So¯ka Gakkai were also imported into Australia
of Suzuki and Eugen Herrigel (1884–1955) popularized Zen
during the 1960s.
meditation and art. Tibetan Buddhism won its first Western
In general, during this time two characteristics stand out
converts in Berlin in 1952 through the establishment of the
in contrast to the previous phases: Buddhism was no longer
Western branch of the order Arya Maitreya Mandala,
dominated by a single main tradition, as had been the case
founded by the German-born Lama Govinda in 1933 in
in Europe with Therava¯da and in the United States with
India. In addition, the activities of Buddhist missionary orga-
Maha¯ya¯na Buddhism. Rather, since the 1950s, Buddhist
nizations from South Asia gained momentum, an example
teachers of various traditions arrived from Asia to win con-
being the Lanka Dharmaduta Society, founded in 1952,
verts and to found centers. A plurality of Buddhist traditions
which sent Therava¯da bhikkhus to the Berlin Buddhist
emerged, substantially supplemented by the various Bud-
House with the aim of spreading the dharma.
dhist strands formed by immigrant Buddhists. Secondly, the
Buddhism spread more and more widely in various Eu-
shift from intellectual interest to practical application deep-
ropean countries as attractive books and translations became
ened and spread through increased interest in meditation.
more readily available. Simultaneously, Asian teachers began
FROM THE 1970S ONWARD: RAPID INCREASE AND ONGO-
visiting new Buddhist groups to lecture and conduct courses
ING PLURALIZATION. The Zen boom of the 1960s was fol-
on a regular basis. During the 1960s a considerable change
lowed by an upsurge of interest in Tibetan Buddhism. Tibet-
occurred in the way that members and interested people
an teachers such as Tarthang Tulku (b. 1935) and Chögyam
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1190
BUDDHISM: BUDDHISM IN THE WEST
Trungpa (1939–1987) arrived in the United States in 1969
members in the socioculturally foreign and often discrimina-
and 1970 and formed organizations that established Europe-
tory environment. With the rise of second and third genera-
an branches during the 1980s. Beginning in the mid-1970s,
tions of immigrants from Asia, established role models and
high-ranking lamas conducted preaching tours in Europe,
hierarchies are changing, and Asians in the West are pointing
North America, and Australia, as well in South Africa and
to language issues and calling for acculturated rituals, forms,
South America in later years. Many Westerners who were in-
and contents. Estimates of the total numbers of Buddhists
volved in the protest movements and counterculture of the
in Europe at the beginning of the twenty-first century
late 1960s became fascinated by Tibetan Buddhist rituals
amount to around one million, two thirds of them Asian im-
and symbols and the lives of the lamas. Within two decades,
migrants. In North America the number may be four to five
converts to Tibetan Buddhism were able to found a multi-
times higher than in Europe, with Buddhists of Asian ances-
tude of centers and groups, which at times outnumbered
try making up the vast majority.
those of all other Buddhist traditions in a given country.
Buddhism grew as well in both South America and
This rapid increase, accompanied by an expansion of ex-
South Africa beginning in the 1970s. Zen has captured the
isting institutions, led to a considerable rise in the number
interest of non-Japanese Brazilians since the late 1970s, re-
of Buddhist groups and centers associated with convert Bud-
sulting in the establishment of numerous local meditation
dhists. In Great Britain, for example, the number of Bud-
groups and centers. Likewise, Japanese traditions of
dhist organizations nearly quintupled from seventy-four to
Nichiren, Shingon, and Pure Land have gained followings.
four hundred between 1979 and 2000. In Germany, interest
Tibetan Buddhism, arriving in Brazil the late 1980s, also ex-
in Buddhism resulted in an increase from approximately
perienced a boom during the 1990s. As in other non-Asian
forty to more than six hundred groups, meditation circles,
countries to which Buddhism spread, a plurality of schools
centers, and societies between 1975 and 2004. In North
and traditions has become established.
America, Don Morreale’s Complete Guide to Buddhist Ameri-
ca (1998) listed 1,062 meditation centers in 1997, the major-
In South Africa, after an attempt to convert Indian mi-
ity having been founded since the mid-1980s. Similar pat-
grant Hindus to Buddhism beginning in 1917, small Bud-
terns are observable in Australia, where the number of
dhist groups were formed during the 1970s in metropolitan
Buddhist groups rose from 167 to 308 between 1991 and
centers. The emphasis was a nondenominational one, al-
1998. As a result of large-scale immigration, especially of
though followers of Tibetan, Zen, or Therava¯da came to-
Vietnamese people, the number of Buddhists in Australia
gether for joint meetings. One of South Africa’s main Bud-
multiplied more than six times from 35,000 to 200,000 from
dhist reference points became the Buddhist Retreat Center
1981 to 1996. As in Europe and North America, numerous
near Ixopo, formally inaugurated in 1980. In contrast to a
schools, branches, and traditions of Therava¯da, Maha¯ya¯na,
prevalent ecumenical spirit, since the mid-1980s the various
Tibetan, and nonsectarian Buddhism have gained a firm
groups have begun sharpening their doctrinal identity and
standing in Australia, and in New Zealand as well.
lineage adherence, and in many cases hitherto loose bonds
with the Asian parent tradition or headquarters were
In a parallel development, considerable numbers of
strengthened. During the 1990s, Tibetan Buddhism gained
Buddhists from Asian countries have come to Western Eu-
a strong following as teachers started to stay permanently in
rope, North America, and Australia since the 1960s. In Eu-
South Africa. Likewise, Zen teachers and Therava¯da bhik-
rope, and France in particular, large communities of refugees
khus settled in the country and firmly established their tradi-
from Vietnam, Laos, and Cambodia have emerged. Paris has
tions.
become the center for Southeast Asian Buddhist migrants,
P
although the largest Vietnamese pagoda in Europe was inau-
LURALITY AND GLOBAL INTERCONNECTEDNESS. Buddhism
gurated in Hanover, Germany, in 1991. Furthermore, many
outside of Asia is deeply marked by its plurality and heteroge-
refugees, migrants, and business people from Asian countries
neity. A multitude of schools and traditions have successfully
have found asylum or a place to work in Western Europe.
settled in urbanized, industrialized settings. The general tra-
Similarly, in Canada and the United States hundreds of
ditions of Therava¯da, Maha¯ya¯na, and Tibetan Buddhism are
thousands of migrants arrived after immigration regulations
internally heavily subdivided according to country of origin
were relaxed in the mid-1960s.
(e.g., Therava¯da from Sri Lanka, Thailand, Myanmar, or
Laos); lineage (e.g., Tibetan Buddhism following Dge lugs
Whether in North America, Western Europe, or Austra-
[Geluk], Karma Bka’ brgyud [Kagyu], Sa skya [Sakya], or
lia, in the process of settling down, migrants established their
Rnying ma [Nyingma]; teacher (Asian and Western, mani-
own religious and cultural institutions to preserve their iden-
fold); and emphasis on specific Buddhist concepts and prac-
tity and heritage. By visiting pagodas and temples, perform-
tices. Flourishing in the West, these various Asian-derived
ing customary acts of devotional worship, and jointly cele-
schools and traditions did not remain unchanged, and vari-
brating Buddhist festivals, immigrant Asian Buddhists
ous subschools have evolved. In addition, a second genera-
gained a home away from home. Most Asian migrant com-
tion of Western teachers who are disciples to Western, not
munities have turned out to be markedly conservative, pre-
Asian masters, is maturing. These multifold developments
senting a primarily stable and familiar environment for their
have given birth to both traditionally oriented centers 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
BUDDHISM: BUDDHISM IN THE WEST
1191
to independent centers favoring innovation and the creation
Americanization include Charles S. Prebish and Kenneth K.
of a “Western Buddhism.” Noteworthy examples of the lat-
Tanaka, eds., The Faces of Buddhism in America (Berkeley,
ter include the Insight Meditation Society in the United
Calif., 1998); Charles S. Prebish, Luminous Passage: The
States and the Friends of the Western Buddhist Order,
Practice and Study of Buddhism in America (Berkeley, Calif.,
founded by the British Sangharakshita in 1967.
1999); Richard Hugh Seager, Buddhism in America (New
York, 1999); and Duncan Ryu¯ken Williams and Christopher
The marked plurality of Buddhism outside of Asia has
S. Queen, eds., American Buddhism: Methods and Findings in
been intensified by the globalization of once local organiza-
Recent Scholarship (Richmond, Va., 1999). Further research
tions. The British-based Friends of the Western Buddhist
focusing on specific traditions includes a portrait of promi-
Order has spread worldwide. Organizations formerly re-
nent American Zen teachers by Helen Tworkow, Zen in
stricted to the United States, such as the Insight Meditation
America: Five Teachers and the Search for an American Bud-
dhism (New York, 1989; reprint, 1994); an instructive study
Society or Aitken’s Diamond Sangha, have established
by Jane D. Hurst, Nichiren Shoshu Buddhism and the Soka
branch centers in Europe, Australia, and elsewhere. This
Gakkai in America: The Ethos of a New Religious Movement
global reach also came to apply to American Zen teachers,
(New York, 1992); and an analytical description of immi-
including Richard Baker Ro¯shi, Bernard Glassman Ro¯shi,
grant temples built by South Asian Buddhists by Paul David
and Prabhasadharma Ro¯shi, as well as to prominent Viet-
Numrich, Old Wisdom in the New World: Americanization in
namese and Korean meditation masters, including Thich
Two Immigrant Theravada Buddhist Temples (Knoxville,
Nhat Hanh and Seung Sahn. Tibetan Buddhist organiza-
Tenn., 1996).
tions have created similar global networks. Lamas and teach-
Compared to this wealth of studies, Buddhism in Canada has
ers tour the globe untiringly, and they visit the multitude of
been covered only in a chapter by Bruce Matthew in Charles
local groups and centers, including Chögyam Trungpa’s
S. Prebish and Martin Baumann, eds., Westward Dharma:
Vajradha¯tu organization (renamed Shambhala Internation-
Buddhism beyond Asia (Berkeley, Calif., 2002), and in Janet
al), the Karma Kagyu centers affiliated with Ole Nydahl
McLellan’s study on immigrant communities and temples,
from Denmark, Sogyal Rinpoche’s Rigpa organization, or
Many Petals of the Lotus: Five Asian Buddhist Communities in
the New Kadampa Tradition of Geshe Kelsang Gyatso.
Toronto (Toronto, 1999).
Global interconnectedness has become greatly intensi-
Most studies of Buddhism in Europe have focused on specific
fied as a result of the World Wide Web. Buddhist centers
countries. The early history of Buddhism in Great Britain
was covered by one of its key figures, Christmas Humphreys,
maintain their own websites, linked to sister centers and par-
in Sixty Years of Buddhism in England (1907–1967): A Histo-
ent organizations, and facilitating the exchange and spread
ry and a Survey (London, 1968). This was followed by the
of information. Numerous so-called cyber-sam:ghas are avail-
more scholarly study by Ian Oliver, Buddhism in Britain
able online, thus establishing a new form of Buddhist com-
(London, 1979). Helen Waterhouse’s Authority and Adapta-
munity. In these ways Buddhism adapts, as it has done con-
tion: A Case Study in British Buddhism (Leeds, U.K., 1997)
tinuously during its 2,600 years of history, to new cultural,
provides in-depth studies of the various Buddhist groups in
political, and technological environments.
Bath, whereas Bryan Wilson and Karel Dobbelaere offer a
profound sociological investigation of the So¯ka Gakkai in A
Time to Chant: The Soka Gakkai Buddhists in Britain (Ox-
BIBLIOGRAPHY
ford, 1994).
On ancient and premodern encounters between Buddhism and
the West, see the following instructive studies: Raymond
The history of Buddhism in Germany is covered in Martin Bau-
Schwab, The Oriental Renaissance: Europe’s Discovery of India
mann’s detailed study Deutsche Buddhisten: Geschichte und
and the East, 1680–1880 (New York, 1984); Wilhelm Halb-
Gemeinschaften (Marburg, Germany, 1993; 2d ed., 1995).
fass, India and Europe: An Essay in Understanding (Albany,
Various articles by Baumann provide information in English
N.Y., 1988), and the introductory chapters in Stephen Bat-
of Buddhism’s past and present in Germany. A mine of in-
chelor, The Awakening of the West: The Encounter of Bud-
formation can be found in two volumes on the lives of about
dhism and Western Culture (Berkeley, Calif., 1994).
130 early German Buddhists by Hellmuth Hecker, Lebens-
bilder deutscher Buddhisten: Ein bio-bibliographisches Hand-
Due to the wide-ranging institutionalization and explosive growth
buch (Konstanz, Germany, 1996/1997). A valuable addition
of Buddhism in the closing decades of the twentieth century,
to these are interviews with ten contemporary leading Ger-
the 1990s saw an increase of descriptive and analytical studies
man Buddhists by Detlef Kantowsky, Wegzeichen-Gespräche
focusing on specific countries outside of Asia. Developments
über buddhistische Praxis (Konstanz, Germany, 1991; rev.
in the United States have been covered by numerous studies.
ed., Ulm, Germany, 1994).
The first encompassing overviews by Charles S. Prebish,
American Buddhism (North Scituate, Mass., 1979), and Rick
Buddhism in France with a focus on Tibetan Buddhism was treat-
Field, How the Swans Came to the Lake: A Narrative History
ed by Lionel Obadia, Bouddhisme et Occident: La diffusion du
of Buddhism in America (Boulder, Colo., 1981; 3d rev. ed.,
bouddhisme tibétan en France (Paris, 1999). A sociological
1992), were enriched by Thomas A. Tweed’s historical and
study of convert Buddhists is Frédéric Lenoir, Le bouddhisme
analytical account in The American Encounter with Buddhism
en France (Paris, 1999); the same author describes the en-
1844–1912: Victorian Culture and the Limits of Dissent
counter of Buddhism and the West in La rencontre du boudd-
(Bloomington, Ind., 1992; reprint, 2000). Insightful over-
hisme et de l’Occident (Paris, 1999). Catherine Choron-Baix
views and analyses of Buddhism’s plurality and processes of
provides one of the rare studies on immigrant Laotian Bud-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1192
BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
dhists in France in Bouddhisme et migration: La reconstitution
BUDDHISM, SCHOOLS OF
d’une paroisse bouddhiste Lao en banlieue parisienne (Paris,
This entry consists of the following articles:
1986).
EARLY DOCTRINAL SCHOOLS OF BUDDHISM
MAHA¯YA¯NA PHILOSOPHICAL SCHOOLS OF BUDDHISM
Further country-specific documentation exists, for example, for
TANTRIC RITUAL SCHOOLS OF BUDDHISM [FIRST
Italy, Switzerland, Austria, the Netherlands, Norway, and
EDITION]
Russia. The online annotated bibliography by Martin Bau-
TANTRIC RITUAL SCHOOLS OF BUDDHISM [FURTHER
mann, “Buddhism in Europe,” listed about 380 titles in
CONSIDERATIONS]
2001. It is available from http://www.globalbuddhism.org/
TIBETAN AND MONGOLIAN BUDDHISM
HIMALAYAN BUDDHISM
bib-bud.html.
CHINESE BUDDHISM
The history of Buddhism in Australia is well documented in Paul
JAPANESE BUDDHISM
EAST ASIAN BUDDHISM
Croucher’s Buddhism in Australia, 1848–1988 (Kensington,
U.K., 1989). Enid Adam and Philip J. Hughes give a picture
of Buddhism’s growth and composition by an analysis of
BUDDHISM, SCHOOLS OF: EARLY
census data in Religious Community Profiles: The Buddhists in
DOCTRINAL SCHOOLS OF BUDDHISM
Australia (Canberra, Australia, 1996). Michelle Spuler’s Fac-
The term H¯ınaya¯na refers to the group of Buddhist schools
ets of the Diamond: Developments in Australian Buddhism
or sects that appeared before the beginning of the common
(Richmond, U.K., 2002) describes the history and modes of
adaptation of Robert Aitken’s Diamond Sangha in Australia.
era and those directly derived from them. The word
H¯ınaya¯na, which means “small vehicle,” that is, “lesser
Buddhism in South Africa is covered by a small informative book
means of progress” toward liberation, is pejorative. It was ap-
edited by Michel Clasquin and Kobus Krüger, Buddhism and
plied disdainfully to these early forms of Buddhism by the
Africa (Pretoria, South Africa, 1999). Cristina Moreira da
followers of the great reformist movement that arose just at
Rocha has set up an online bibliography on “Buddhism in
the beginning of the common era, which referred to itself as
Brazil,” which is linked to the Journal of Global Buddhism,
the Maha¯ya¯na, or “large vehicle,” that is, “greater means of
available from http://www.globalbuddhism.org. This journal
also provides bibliographies on Buddhism in Australia,
progress” toward liberation. Indeed, the adherents of the
South Africa, Europe, the United States, and Canada.
Maha¯ya¯na charged those of the H¯ınaya¯na with selfishly pur-
suing only their own personal salvation, whereas they them-
Two prominent themes in studies on Western Buddhism are en-
selves claimed an interest in the liberation of all beings and
gaged Buddhism and the role and importance of women in
vowed to postpone their own deliverance until the end of
establishing Buddhism in the West. Kenneth Kraft’s The
time. In other words, the ideal of the practitioners of the
Wheel of Engaged Buddhism: A New Map of the Path (New
H¯ınaya¯na was the arhat (Pali, arahant), the saint who has at-
York, 1999) focuses on Buddhism and sociopolitical engage-
ment, as does Christopher S. Queen, ed., Engaged Buddhism
tained nirva¯n:a, while that of the Maha¯ya¯na was the bodhi-
in the West (Boston, 2000). Edited by one of the leading
sattva, the all-compassionate hero who, resolving to become
Buddhist women in the West, Karma Lekshe Tsomo’s Bud-
a Buddha in some far-distant future, dedicated the course of
dhism through American Women’s Eyes (Ithaca, N.Y., 1995)
his innumerable lives to saving beings of all kinds. It would
provides thirteen first-person accounts of Buddhist lives in
be more correct to give the name “early Buddhism” to what
the United States. Valuable additions are Marianne Dresser,
is called H¯ınaya¯na, for the term denotes the whole collection
ed., Buddhist Women on the Edge: Contemporary Perspectives
of the most ancient forms of Buddhism: those earlier than
from the Dharma Frontier (Berkeley, Calif., 1996), which in-
the rise of the Maha¯ya¯na and those that share the same inspi-
cludes twenty-five essays by American convert Buddhist
ration as these and have the same ideal, namely the arhat.
women; and Sandy Boucher’s Opening the Lotus: A Women’s
Guide to Buddhism (Boston, 1997).
Although it is directly descended from the earliest Bud-
dhism—that originally preached by the Buddha himself—
Finally, comprehensive analyses of Buddhism in the West can be
this early Buddhism is distinguished from it by the continual
found in Stephen Batchelor’s masterfully written narrative,
additions and reformulations of its adherents and teachers in
The Awakening of the West: The Encounter of Buddhism and
Western Culture (Berkeley, Calif., 1994), as well as in the
their desire to deepen and perfect the interpretation of the
broad-based scholarly volume edited by Charles S. Prebish
ancient teaching. This constant, and quite legitimate, effort
and Martin Baumann, Westward Dharma: Buddhism Beyond
gave rise to many debates, controversies, and divisions that
Asia (Berkeley, 2002). Online sources on Buddhism in the
resulted in the appearance of a score of sects or schools. The
West multiplied during the 1990s and early 2000s; notable
actual, original teaching of the Buddha is accessible to us
online resources include the Australia-based BuddhaNet,
only through the canonic texts of these schools, texts that
available from http://www.buddhanet.net; the online Journal
were set down in writing only about the beginning of the
of Buddhist Ethics, available from http://jbe.gold.ac.uk; and
common era and reflect the divergences that already existed
the Journal of Global Buddhism, available from http://
among these sects. Moreover, only a very small part of this
www.globalbuddhism.org. All provide links to the multitude
vast canonic literature has survived, either in its original Indi-
of homepages on specific Buddhist traditions, schools, and
centers.
an language or in Chinese or Tibetan translation, and for this
reason our knowledge of the doctrine taught by the Buddha
MARTIN BAUMANN (2005)
himself still remains rather vague and conjectural. We do not
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
1193
possess all the documents necessary to recover it with certain-
lems that might occur to the minds of people as diverse as
ty: even by compiling all the doctrinal and other elements
those it was destined to reach. Thus, monks and lay disciples,
common to the canonic texts we do have, we can reach, at
as well as people outside Buddhism but curious and interest-
best, only a stage of Buddhist doctrine immediately prior to
ed in its doctrine—brahman opponents, Jains, and others—
the divergence of these schools. Their texts have been pre-
easily found numerous flaws, errors, and contradictions in
served for us by the mere chances of history.
the teaching. These troubled the sam:gha but pleased those
who were determined to refute or discredit it. Although the
The Indic word, both Sanskrit and Pali, that we trans-
Buddhist preachers who improvised answers to these varied
late here as “school” or “sect” is nika¯ya, meaning, properly,
questions and objections were guided by what they knew and
“group.” In our context, it refers to a group of initiates, most
understood of the Buddha’s teaching, their attempts expand-
likely monks (bhiks:us) rather than laymen, who sincerely
ed upon the original teaching and at the same time inevitably
profess to be faithful disciples of the Buddha but are distin-
created new causes for differences and disputes within the
guishable from other similar groups in that they base their
heart of the community itself.
beliefs on a body of canonic texts that differs from others to
a greater or lesser extent. These differences between canonic
According to some eminent scholars, we must distin-
texts involve not only their wording or written form but also
guish Buddhist “sects” from “schools.” Sects, under this in-
a certain number of doctrinal elements and rules of monastic
terpretation, were invariably born from serious dissent over
discipline. Despite the disaggregative pressures to which they
issues of monastic discipline. Such dissent resulted in a frac-
were exposed (the same pressures, indeed, that created them),
turing of the community, a sam:ghabheda, or schism, the par-
despite their geographical expansion and sometimes consid-
ticipants in which ceased to live together or carry on a com-
erable dispersion, and notwithstanding the vicissitudes of
mon religious life. By contrast, schools were differentiated by
history, which often posed new problems for them, most of
divergences of opinion on doctrinal points, but their dissen-
these groups preserved a remarkable internal cohesiveness
sion in these matters never gave rise to actual schisms or open
throughout several centuries. Still, schisms did occur within
hostility. This interpretation is certainly attractive, but it
many of them, leading to the formation of new schools.
must be mitigated somewhat by the recognition that the ac-
Moreover, to judge from the documents we have—though
tual situation prevailing between the various communities of
these are unfortunately very scarce—it seems that relations
the early church was somewhat more complex and variable
among these various groups were generally good. Their dis-
than that indicated by the theory advanced here.
putes remained at the level of more or less lively discussion
ORIGIN AND RELATIONSHIP OF THE SECTS AND SCHOOLS.
and degenerated into more serious conflicts only when in-
All the documents from which we can draw information
volving questions of economics or politics.
about the origin of the early Buddhist groups were written
after the beginning of the common era and are therefore un-
Several factors account for these divisions and for the
reliable. Nevertheless, since the oldest of these texts generally
formation of these sects or schools. First of all, the Buddhist
agree on the main points, we can attempt to restore with a
monastic community (sam:gha) never knew a supreme au-
certain amount of confidence the common tradition from
thority, imposing its unity by powerful and diverse methods,
which they derive. This should provide a fairly accurate re-
as was long the case in Christianity with its papacy. If we be-
flection of the true interrelationships among the sects and
lieve some canonic texts that seem to faithfully reflect reality,
schools.
the Buddha himself was probably faced with several instances
of insubordination on the part of certain groups of his monks
The first division of the community probably occurred
and was not always able to overcome them. The oldest tradi-
toward the middle of the fourth century BCE, some time after
tions, furthermore, agree that he did not designate a succes-
the council of Vai´sa¯l¯ı but having no direct connection with
sor to head the community but only counseled his followers
this event, the claims of the Sinhala (Therava¯da) tradition
to remain faithful to his Doctrine (Dharma). This was a frag-
notwithstanding. The schism was probably caused by a num-
ile defense against the forces that tried to break up the com-
ber of disagreements on the nature of the arhats, who, ac-
munity once it was “orphaned” by the death of its founder.
cording to some authorities, retained imperfections even
though they had attained nirva¯n:a in this world. Because they
For at least five centuries, the Buddha’s teaching was ac-
were more numerous, the supporters of these ideas formed
tually preserved by oral transmission alone, very probably in
a group called the Maha¯sa¯m:ghikas, “those of the larger com-
different, though related, dialects. This, and the absence of
munity”; their opponents, who claimed to remain faithful to
an authoritative ecclesiastical hierarchy in the sam:gha, consti-
the teaching of the Buddha’s first disciples and denied that
tute two obvious sources of progressive distortion and alter-
the arhat could retain any imperfections, took the name
ation of the message left by the Blessed One to his immediate
Sthavirava¯dins, “those who speak as the elders” or “those
disciples. Furthermore, this message was not entirely clear or
who teach the doctrine of the old ones.”
convincing to everyone it addressed, leading Buddhist
preachers to furnish explanations and interpretations of the
Each of these two groups were then, in turn, divided
teaching. Finally, the teaching given by the Buddha was far
progressively into several sects or schools. Although we are
from a complete system containing solutions to all the prob-
in little doubt about their origins as Maha¯sa¯m:ghikas or
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BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
Sthavirava¯dins, we often do not know precisely how these
internal squabbles and divisions: some years before the com-
subsequent sects were linked with the first two groups, nor
mon era, the Abhayagiriva¯sins split from the Maha¯viha¯ras,
do we know the circumstances or time in which they ap-
founded at the time of the arrival of Buddhism in Lanka;
peared. We are particularly bereft of information about the
later, in the fourth century, the Jetavan¯ıyas appeared.
sects and schools that arose directly or indirectly from the
Finally, three sects derived from the Sthavirava¯dins pres-
Maha¯sa¯m:ghika.
ent some problems regarding their precise relationship and
Among the groups that developed from the Maha¯-
identity. The Ka¯´syap¯ıyas, whose basic position was a com-
sa¯m:ghika were the Ekavya¯vaha¯rika, then the Gokulika, and
promise between those of the Sarva¯stiva¯dins and the
finally the Caitika schools. The Ekavya¯vaha¯rika probably
Vibhajyava¯dins, apparently broke from the latter shortly
gave rise, in turn, to the Lokottarava¯dins, but it may be that
after the split that created the Sarva¯stiva¯da and Vibhajyava¯da
the Lokottarava¯dins were simply a form taken by the
nika¯yas. More mysterious are the Haimavatas, about whom
Ekavya¯vaha¯rikas at a particular time because of the evolution
the facts are both scarce and contradictory. As for the
of their doctrine. From the Gokulikas came the Bahu´srut¯ıyas
Mu¯lasarva¯stiva¯dins, or “radical Sarva¯stiva¯dins,” they ap-
and the Prajñaptiva¯dins. At least a part of the Caitika school
peared suddenly at the end of the seventh century with a
settled in southern India, on the lower Krishna River, shortly
huge “basket of discipline” (Vinaya Pit:aka) in Sanskrit, much
before the beginning of the common era. From them two
different in many respects from that of the earlier
important sects soon arose: the Pu¯rva´sailas and the
Sarva¯stiva¯dins. It is impossible to determine exactly what
Apara´sailas, then a little later the Ra¯jagirikas and the
connection the Mu¯lasarva¯stiva¯dins had with the
Siddha¯rthikas. Together, the four sects formed Andhraka
Sarva¯stiva¯dins.
group, which took its name from the area (Andhra) where
Except for a few of the more important of these sects
they thrived during the first few centuries CE.
and schools—such as the Therava¯dins, who left us the trea-
The Sthavirava¯da group seems to have remained united
sure of their celebrated Sinhala chronicles—we know noth-
until about the beginning of the third century BCE, when the
ing of the history of these different groups. Their existence
Va¯ts¯ıputr¯ıyas, who maintained the existence of a quasi-
is nevertheless assured, thanks to the testimony of a fair num-
autonomous “person” (pudgala), split off. A half century
ber of inscriptions and other substantial documents. To
later, probably during the reign of A´soka (consecrated c. 268
judge from the information given by Xuanzang and Yijing,
BCE), the Sarva¯stiva¯dins also separated from the
by the time they made their long visits to India in the seventh
non-Va¯ts¯ıputr¯ıya Sthavirava¯dins and settled in northwest
century, most of the sects had already disappeared. Of all the
India. This time the dispute was over the Sarva¯stiva¯din no-
many groups descended from the original Maha¯sa¯m:ghikas,
tion that “everything exists” (sarvam asti). In the beginning
only the Lokottarava¯dins were still numerous and thriving,
of the second century, the remaining Sthavirava¯dins, who
but only in a very specific location, Bamian (Ba¯miya¯n, in
appear to have taken at this time the name Vibhajyava¯dins,
present-day Afghanistan).
“those who teach discrimination,” to distinguish themselves
Here arises an important question, one whose answer
from the Sarva¯stiva¯dins, found themselves divided once
is still uncertain: what connections existed between these
again. Out of this dispute were born the Mah¯ı´sa¯sakas and
early Buddhist sects and schools, known as H¯ınaya¯na, and
the Dharmaguptakas, who opposed each other over whether
the groups formed by the followers of the Maha¯ya¯na? Were
the Buddha, properly speaking, belonged to the monastic
any of them—in particular those of Maha¯sa¯m:ghika origin—
community and over the relative value of offerings made to
converted in large numbers to the Maha¯ya¯na, or did they
the Blessed One and those made to the community. At an
perhaps give birth to it through the natural evolution of their
unknown date about the beginning of the common era four
doctrine? Should we interpret in this sense the expression
new groups sprang from the Va¯ts¯ıputr¯ıyas: the
Maha¯ya¯na-Sthavirava¯din, which Xuanzang used to refer to
Dharmottar¯ıyas, the Bhadraya¯n¯ıyas, the S:an:n:agarikas, and
numerous Buddhist communities he encountered through-
the Sammat¯ıyas. The Sammat¯ıyas, who were very important
out India, and deduce from it that their followers were
in Indian Buddhism, later gave rise to the Avantaka and the
Sthavirava¯dins converted to the Maha¯ya¯na? Or did believers
Kurukulla schools. One group broke from the Sarva¯-
of both groups live together, without mingling, in the areas
stiva¯dins: the Sautra¯ntikas, who can be identified with the
where they were found? This second interpretation strikes
Da¯rs:t:a¯ntikas and the Sam:kra¯ntiva¯dins.
one as more satisfactory; nevertheless, the first cannot be re-
Some of the Vibhajyava¯dins settled in southern India
jected definitively.
and Lanka in the mid-third century BCE and seem to have
GEOGRAPHICAL DISTRIBUTION. Two types of records in-
maintained fairly close relations for some time with the
form us about the geographical distribution of the sects and
Mah¯ı´sa¯sakas, whose presence is attested in the same area.
schools: inscriptions and the reports of a number of Chinese
Adopting Pali as a canonical language and energetically
pilgrims who came to India. Numbering only a few tens and
claiming their teaching to be the strict orthodoxy, they took
ranging in time between the second century BCE and the
the name Therava¯dins, a Pali form of the Sanskrit
sixth century CE, the inscriptions that mention early sects
Sthavirava¯dins. Like the Sthavirava¯dins, they suffered from
give us only spotty and very insufficient data. Although they
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1195
may actually attest to the presence of a given group in a spe-
the Indian northwest only; and that of the Ka¯´syap¯ıyas mostly
cific place at a particular date, they leave us completely igno-
in the Indian northwest but also around Bombay. The
rant about the presence or absence of this sect in other places
Sarva¯stiva¯dins were clearly in a majority over all of northwest
and at other times. The information supplied by the Chinese
India, from the upper Ganges Basin to Kashmir, from the
travelers, principally Xuanzang and to a lesser extent Yijing,
mid-third century BCE to at least the seventh century CE.
is incomparably more complete, but it is valid only for the
In the seventh century, the Sammat¯ıyas formed the sect
seventh century, when their journeys took place.
comprising the largest number of monks and generally con-
The study of these two kinds of sources—like that of
trolled all of western India, from the middle Indus Valley to
the Sinhala chronicles, which are concerned mostly with Sri
southeast of Bombay. They were also very numerous
Lankan Buddhism—reveals some important general features
throughout the Ganges Basin and in eastern India. Several
about the early Buddhist schools. None of the groups was
inscriptions testify to the presence, at the beginning of the
present everywhere throughout India and its neighboring
common era, of Dharmottar¯ıyas and Bhadraya¯n¯ıyas in the
countries; on the other hand, no area was the exclusive do-
area of Bombay.
main of any one group. For reasons that unfortunately nearly
always escape us, certain groups were in the majority in some
Data concerning the Maha¯sa¯m:ghika proper, and most
places, in the minority in others, and completely absent in
of the sects that developed from it, are rare and widely scat-
still others but, as far as we can tell, coexisted in varying pro-
tered. We know for certain that the Maha¯sa¯m:ghika existed
portions with other groups wherever they were found. For
in northwestern India, around Bombay and on the banks of
example, in a number of places—especially those that history
the lower Krishna. Caitikas also inhabited these last two areas
or legend made holy in the eyes of Buddhist devotees and
but primarily the second, where Bahu´srut¯ıyas also resided.
were important places of pilgrimage—the monks of various
By the seventh century, the Lokottarava¯dins had made Bami-
sects lived together in neighboring monasteries and often
an, in the heart of present-day Afghanistan, one of the main
venerated the same sacred objects—topes (stu¯pas), bodhi
centers of Buddhism in the Indo-Iranian realms and were
trees, and others. This was the case not only in the holy
still very numerous there, as Xuanzang reports. The
places in the Ganges Basin, where the major events in the
Pu¯rva´sailas, Apara´sailas, Ra¯jagirikas, and Siddha¯rtikas pros-
Buddha’s life occurred, but also far from there, in Sa¯ñch¯ı,
pered during the first centuries of the common era in the
Karl¯ı, Amara¯vat¯ı, Na¯ga¯rjunikon:d:a, and elsewhere. In Sri
lower Krishna Valley, which they covered with magnificent
Lanka, the three great monasteries that became the centers
monuments, but by the beginning of the seventh century
of the three subsects of the Therava¯da, the Maha¯viha¯ra, the
they had almost disappeared.
Abhaya-giri, and the Jetavana, were located on the outskirts
MAJOR DOCTRINAL DIFFERENCES. We are well acquainted
of the island’s ancient capital, Anuradhapura.
with the principal doctrinal differences that gave rise to many
All of the sects and schools seem to have been present
of these schools, the basic ideas that distinguish them, and
in the middle Ganges Basin, which is easily understandable
the reactions and rebuttals the various sects offered each
since the principal places of pilgrimage were located there.
other. In most cases, though, and particularly with regard to
The more important ones, which originated in both the
the apparently less important sects, our information is unfor-
Maha¯sa¯m:ghika and Sthavirava¯da groups, also appear to have
tunately too vague, and sometimes even contradictory or
coexisted in eastern India, Bengal, and nearby areas, at least
nonexistent, to tell us anything about the specifics of their
in the seventh century, as reported by both Xuanzang and
doctrine.
Yijing.
Although many questions divided all or some of the
The Therava¯dins always dominated most of Sri Lanka
schools, they did not provoke the formation of new sects.
and still do today. In the eleventh century, they also largely
These debates were sometimes very important for the evolu-
converted the Burmese, followed a little later by the people
tion of Buddhism as a whole. Often, various of the early sects
of Thailand, Cambodia, and Laos, where they continue to
that we might expect to hold similar views given their genesis
exercise religious dominion today. In the seventh century,
in fact adopted doctrinal opinions at great variance with one
the Vibhajyava¯da Sthavirava¯dins, who were very close, if not
another. Thus, there often came about, among schools with
identical, to the Therava¯dins, likewise controlled all the
similar opinions on specific questions, entirely different re-
Tamil country, the part of India nearest to Sri Lanka, and
groupings from those one would expect in light of their tra-
were also extremely numerous in the coastal region north of
ditional relationships. Let us first examine the fundamental
Bombay and near Buddhist holy places on the Ganges from
ideas that appear to have brought about the formation of the
which people embarked on journeys to Lanka and southern
principal sects.
India.
The Maha¯sa¯m:ghikas probably separated from the
Very little is known about the location of the sects most
Sthavirava¯dins over the belief that certain arhats, although
closely related to these. The presence of the Mah¯ı´sa¯sakas is
they had attained nirva¯n:a in this world, could be subject to
recorded both in the Indian northwest, on the banks of the
nocturnal defilements as a result of erotic dreams; that they
Krishna, and in Sri Lanka; that of the Dharmaguptakas in
still harbored vestiges of ignorance; that they had areas of
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BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
doubt on matters outside Buddhist doctrine; that they could
part of the monastic community (sam:gha); hence a gift given
be informed, indeed saved, by other people; and, finally, that
to the community produces a “great fruit” (ma¯haphalam),
they utter certain words when they meditated on the Path
but one directed specifically to the Buddha does not. The
of Liberation. The Sthavirava¯dins denied these five possibili-
Dharmaguptakas, on the other hand, held that the Buddha
ties, arguing that the arhat is completely free of all imper-
is separate from the community, and as he is far superior to
fections.
it—since it is composed only of his followers—only the gift
The Va¯ts¯ıputr¯ıyas and the schools that later developed
given to the Buddha produces a great fruit. These two oppos-
from them, the Sammat¯ıyas and others, believed in the exis-
ing views had considerable influence on the religious prac-
tence of a “person” (pudgala) who is neither identical to the
tices of early Buddhism.
five aggregates (skandhas) that make up the living being nor
The Lokottarava¯dins differed from other Maha¯sa¯m:-
different from them; neither within these five aggregates nor
ghika schools in holding that the Buddhas are “otherworld-
outside them. Although differing from the Brahmanic “soul”
ly” (lokottara), a word having several very different senses but
(a¯tman), denied unanimously by Buddhist doctrine, this
which they employed loosely to attribute an extraordinary
“person” lives on from one existence to the next, thus ensur-
nature to the Buddhas. According to them, the Buddhas are
ing the continuing identities of the agent of an act and of
otherworldly not only because their thought is always per-
the being who suffers its effects in this life or the next. All
fectly pure but also because they remain outside and above
the other schools rejected this hypothesis, maintaining the
the world. Thus it would seem to be among the
logical impossibility of conceptualizing this “person” and
Lokottarava¯dins that we should seek the origin of Buddhist
seeing in it simply a disguised form of the a¯tman.
docetism, that is, the distinction between the real, transcen-
The Sarva¯stiva¯dins claimed that “everything exists” (sar-
dent, and infinite Buddha, the “body of doctrine”
vam asti), that is, that the past and the future have real and
(dharmaka¯ya), and the apparent Buddha, the “body of magi-
material existence. This belief enabled them to explain sever-
cal creation” (nirma¯n:aka¯ya)—a kind of phantom emanating
al phenomena that were very important to Buddhists: the act
from the real one. To rescue beings, the nirma¯n:aka¯ya be-
of consciousness, which is made up of several successive, in-
comes incarnate, taking on their form and thus seeming to
dividual mental actions; memory or consciousness of the
be born, to grow up, to discover and preach the doctrine of
past; foresight or consciousness of the future; and the “ripen-
enlightenment, and to finally die and become completely ex-
ing” (vipa¯ka) of “actions” (karman), which takes place over
tinguished. The Lokottarava¯dins must have also extolled the
a longer or shorter span of time, often exceeding the length
extraordinary character of the bodhisattva, undoubtedly on
of a single life. For the other sects, however, it was perfectly
account of their supernatural conception of the Buddhas.
clear that what is past exists no longer and that what is to
These singular notions lead one to believe that this sect
come does not yet exist.
played an important part in the formation of the Maha¯ya¯na,
whose teaching adopted and developed similar ideas.
The Ka¯´syap¯ıyas, also called Suvarss:kas, maintained a
position between these two, namely, that a past action that
As their name seems to indicate, the Prajñaptiva¯dins
has not yet borne fruit exists, but the rest of the past does
were probably distinguished from the other schools that
not. This approach, however, satisfied neither the
arose from the Maha¯sa¯m:ghika group because they taught
Sarva¯stiva¯dins nor their critics.
that all things are mere products of linguistic convention
(prajñapti) and, hence, are devoid of actual existence. One
The Sautra¯ntikas distinguished themselves from the
might see here the origin of the famous theory of the univer-
Sarva¯stiva¯dins insofar as they considered the canonic “basket
sal “void” (´su¯nyata¯), which is one of the basic elements of
of sermons” (Su¯tra Pit:aka) to be the only one to contain the
the Maha¯ya¯na doctrine and is the main theme, reiterated
authentic words of the Buddha, whereas the “basket of
with the greatest insistence, of its oldest works, the first
higher teaching” (Abhidharma Pit:aka) is the work of the
Prajña¯pa¯ramita¯ Su¯tras.
Blessed One’s disciples. According to some of our sources,
the Sautra¯ntikas were also called Sam:kra¯ntiva¯dins because
Unfortunately, we do not know the basic premises of
they held that the five aggregates (skandhas) constituting the
the other schools, whether they arose from the Sthavirava¯da
living being “transmigrate” (sam:kra¯nti) from one existence
group or the Maha¯sa¯m:ghika. The data that have come down
to the next; probably this should be understood to mean
to us concerning a few of them, such as the Gokulikas (also
that, in their view, four of these aggregates were absorbed at
called Kukkut:ikas), the Bahu´srut¯ıyas, the Sammat¯ıyas, and
the moment of death into the fifth, a subtle consciousness.
some others, are very doubtful, vague, or extremely obscure,
It also seems that the Sautra¯ntikas can be identified with the
even contradictory. For others, we possess no information
Da¯rs:t:a¯ntikas, who were often criticized in the Sarvastivada
at all.
writings and apparently gained their name because of their
As noted above, hundreds of controversies also set the
frequent use of comparisons or parables (dr:s:t:a¯tas) in their dis-
various schools apart from one another without provoking
cussions.
new divisions of the community. Most of these debates ap-
An important disagreement separated the Mah¯ı´sa¯sakas
parently concerned only two or three sects and lasted for a
from the Dharmaguptakas. For the former, the Buddha is
short time—unless this impression is due solely to our lack
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1197
of information. On the other hand, certain of these argu-
ditioned dharma. Several of them taught that “dependent
ments affected, and even impassioned, a large number of
origination” (prat¯ıtya-samutpa¯da), the path (ma¯rga) of en-
schools for long periods, sometimes for centuries, as evi-
lightenment, and sometimes other entities as well, in particu-
denced by the treatises and commentaries on canonic texts
lar the “suchness” (tathata¯) or “permanence” (sthitata¯) of
that have come down to us. In these more important contro-
things, were equally absolute and unconditioned. Thus, the
versies the distribution of the sects between the two opposing
ideas of these schools were quite close to those of the
camps is often independent of their derivational connec-
Maha¯ya¯na.
tions. It may be that relations of good neighborliness and,
Several important debates centered on the nature of the
hence, ties based on geographical distribution favored such
passions, more specifically, latent passions or tendencies
doctrinal alliances. In any case, I will point out the most sig-
(anu´saya) and active passions or obsessions (paryavastha¯na).
nificant of these divergences of opinion, which are important
The Maha¯sa¯m:ghikas, the Andhakas, and the Mah¯ı´sa¯sakas set
features in the history of early Buddhist thought.
up a very precise distinction between them, while the
The Sarva¯stiva¯dins, the Sammat¯ıyas, and the
Therava¯dins and Sarva¯stiva¯dins chose to see in them only
Pu¯rva´sailas firmly believed in an “intermediate existence”
two aspects of the same passions. For the Therava¯dins and
(antara¯bhava) that linked death and rebirth. This concept
the Sarva¯stiva¯dins, tendencies and obsessions alike were con-
was rejected by the Therava¯dins and the Maha¯sa¯m:ghikas.
nected, or cofunctioned, with thought (cittasam:prayukta),
The latter, along with the Andhakas and the Sarva¯stiva¯dins,
whereas for the Maha¯sa¯m:ghikas, the Va¯ts¯ıputr¯ıyas, the
maintained that the bodhisattva may be born in the so-called
Sammat¯ıyas, and the Mah¯ı´sa¯sakas, tendencies were uncon-
evil existences (durgati), even in the various hells, to lighten
nected, did not cofunction, with thought (cittaviprayukta),
the sufferings of the beings who live in them. The
while obsessions were connected with it. As for the And-
Therava¯dins denied that this was possible because, in their
hakas, they held that obsessions and tendencies were equally
view, of the automatic retribution consequent upon all ac-
separate from thought.
tions, a retribution that completely determines the circum-
According to the Sarva¯stiva¯dins and the Va¯ts¯ıputr¯ıyas,
stances of rebirths. According to the Va¯ts¯ıputr¯ıyas, the
ascetics of other, non-Buddhist beliefs (t¯ırthika) could,
Sammat¯ıyas, the Sarva¯stiva¯dins, and the Pu¯rva´sailas, the ar-
through their efforts, obtain the five lesser supernatural facul-
hats could backslide in varying degrees and even lose nirva¯n:a,
ties (abhijña¯) and thus work various miracles—perceiving
but the Therava¯dins, Maha¯sa¯m:ghikas, and Sautra¯ntikas re-
the thoughts of others, recollecting their past lives, seeing the
fused to accept this idea. The Therava¯dins, the
rebirths of creatures as conditioned by their past actions, and
Sarva¯stiva¯dins, and the Dharmaguptakas agreed that it was
so forth. The Mah¯ı´sa¯sakas and the Dharmaguptakas, howev-
possible for the gods to practice the sexual abstinence (brah-
er, declared that the five supernatural faculties—like the
macarya) of ascetics, whereas the Sammat¯ıyas and the
sixth, the cleansing of impurities, that is, the attainment of
Mah¯ı´sa¯sakas judged this impossible. For the Therava¯dins
nirva¯n:a—could be acquired only by Buddhist ascetics tread-
and the Sarva¯stiva¯dins, there were only five fates (gatis),
ing the Path of Enlightenment.
namely, those of gods, men, animals, starving ghosts (pretas),
and the damned, but the Andhakas and the Va¯ts¯ıputr¯ıyas
The relation between “matter” (ru¯pa) and the mecha-
added another, that of the asuras, the superhuman beings
nism of the ripening (vipa¯ka) of actions (karman) also gave
who were adversaries of the gods (devas) yet were not devils
rise to disagreements. For the Therava¯dins, matter is inde-
in the Christian sense.
pendent of the ripening of actions, and it is not the fruit of
this ripening. It is morally neither good nor bad but inher-
The Maha¯sa¯m:ghikas, the Therava¯dins, and the
ently neutral. In contrast, the Sarva¯stiva¯dins, Sammat¯ıyas,
Mah¯ı´sa¯sakas taught that the clear understanding (abhisa-
and Mah¯ı´sa¯sakas taught that matter can be good or bad
maya) of the four noble truths (catva¯ry a¯ryasatya¯ni) was in-
when it participates, through the body of man, in a good or
stantaneous, whereas the Andhakas, the Sarva¯stiva¯dins, and
bad act. Matter is also the fruit of ripening when it becomes
the Sammat¯ıyas believed that it happened gradually. So im-
the body—be it handsome or ugly, robust or sickly—
portant was this dispute that it was still the central theme of
received by a person at birth as a consequence of past deeds.
the council of Lhasa (held in the eighth century), where Chi-
nese and Tibetan Buddhist teachers opposed each other in
According to the Sarva¯stiva¯dins, the five forms of senso-
doctrinal debate. The Sarva¯stiva¯dins seem to have been alone
ry perception are always associated with passionate desires
in denying that “thought” (citta) is inherently pure and con-
(ra¯gas). The Maha¯sa¯m:ghikas and the Mah¯ı´sa¯sakas thought
taminated only by accidental impurities, a belief held by the
that they were sometimes associated and sometimes unasso-
Maha¯sa¯m:ghikas, the Therava¯dins, and the neighboring
ciated with them, while the Va¯ts¯ıputr¯ıyas rejected both these
schools.
possibilities, declaring that the five forms of sensory percep-
tion are morally neutral by nature and thus can never be ei-
The Therava¯dins, the Va¯ts¯ıputr¯ıyas, and the
ther good or bad.
Sammat¯ıyas recognized only one absolute, or “uncondi-
tioned” (asam:skr:ta) dharma, namely, nirva¯n:a, but the major-
LITERATURE. The literature of early Buddhism must have
ity of schools also considered empty space (a¯ka¯´sa) an uncon-
been very important in extent and interest because what has
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BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
been preserved for us, even though it represents only a small
books, the Katha¯vatthu (Points of controversy), refutes more
part of the whole, is considerable. The great majority of this
than two hundred opinions held by other Buddhist schools
literature vanished with the sects that produced it; let us re-
and in the process reveals the doctrines peculiar to the
call that only one, the Therava¯da, still flourishes today in Sri
Therava¯da.
Lanka and Southeast Asia. Most of the schools have left us
nothing, save perhaps a few fragments, isolated su¯tras, and
Sadly, we do not possess a complete Tripit:aka from any
other brief works in the original Indian language or more
other early sect, but more or less significant parts of several
often in Chinese translation. Which sects they belonged to
of them have been preserved. Thus, five Vinaya Pit:akas
nearly always remains undetermined.
have come to us intact: those of the Maha¯sa¯m:ghikas,
Mah¯ı´sa¯sakas, Dharmaguptakas, Sarva¯stiva¯dins, and Mu¯la-
Roughly half of what has been handed down to us is in
sarva¯stiva¯dins, all in Chinese translation, plus more or less
the original Indian language, in a more or less “hybrid” San-
extensive fragments of the last two in the original Sanskrit.
skrit, in various Middle Indic dialects, and above all in Pali.
We have an entire Tibetan translation of the
It is in Pali that the body of Therava¯da literature, which we
Mu¯lasarva¯stiva¯dins Vinaya Pit:aka, which is much more volu-
possess practically in its entirety, was written. The remain-
minous and written later than the others. In addition, we
der, of approximately the same size, has come down to us
have a detached portion of the Lokottarava¯da Vinaya Pit:aka
only in Chinese or Tibetan translations. The scope of what
under the name Maha¯vastu (Great Tale) in Hybrid Sanskrit.
was preserved in the Tibetan version, as far as the H¯ınaya¯na
This is actually a traditional and partial biography of the
in particular is concerned, is much more limited than that
Buddha, heavily encrusted with legendry.
of the Chinese translation and, moreover, is confined almost
solely to works of the Sarva¯stiva¯dins and Mu¯lasarva¯stiva¯dins.
The non-Therava¯da sects used the term a¯gama
In Maha¯ya¯na literature, in contrast, the enormous amount
(“tradition”) for the four or five parts that made up their
of material translated into Tibetan is virtually equal to what
Su¯tra Pit:akas, which correspond to the Pali Nika¯yas. Five of
was translated into Chinese.
these A¯gamas, evidently complete, have survived in Chinese
translation: the Dirghagama of the Dharmaguptakas; the
Thus, it seems that a greater proportion of the canonical
Madhyamagama of the Sarva¯stiva¯dins; the Samyuktagamas
literature—properly speaking, that which belonged to the
of the Sarva¯stiva¯dins and the Ka¯´syap¯ıyas; and, finally, an
Tripit:aka (“three baskets”)—than of the postcanonical litera-
Ekottara¯gama that most probably belongs to a sect derived
ture has been passed on to us. It comprises, primarily, the
from the Maha¯sa¯m:ghikas but different from the
complete Pali Tipit:aka, made up of its Sutta Pit:aka (“basket
Lokottarava¯dins. There are also more than 150 isolated
of sermons”), its Vinaya Pit:aka (“basket of discipline”), and
su¯tras, nearly all preserved in Chinese and a few in their orig-
its Abhidhamma Pit:aka (“basket of higher teaching”).
inal Indian language, but it is generally impossible to deter-
mine what school they come from. No collection corre-
The Sutta Pit:aka, in turn, is composed of five Nika¯yas,
sponding to the Pali Khuddaka Nika¯ya survives, but we do
or “groupings,” bringing together the “long” (d¯ıgha), “medi-
have the Chinese translations of some seventy works similar
um” (majjhima), and “grouped” (sam:yutta) sermons; those
to those that make up the Therava¯da collection, as well as
arranged according to number of categories (an˙guttara); and,
the Indian originals of a number of others.
lastly, the “minor” (khuddaka) sermons, the longest and
most varied section of all. The Khuddaka Nika¯ya assembles
Two complete Abhidharma Pit:akas have survived in
the legends of the former “births” (ja¯taka) of the Buddha,
Chinese translation: that of the Sarva¯stiva¯dins (one part of
legends recounting the “deeds” (apada¯na; Skt., avada¯na) of
this also exists in Tibetan) and one entitled
the great disciples, didactic stanzas (ga¯tha¯) attributed to
S´a¯riputra-abhidharma, which seems to have belonged to the
them, a famous but anonymous collection of other instruc-
Dharmaguptakas but was perhaps also influenced by
tional stanzas called the Dhammapada, and ten or so other
the Maha¯sa¯m:ghika. Like the Abhidharma Pit:aka of the
equally varied works.
Therava¯dins, that of the Sarva¯stiva¯dins comprises seven
works, but its overall structure is very different, as is its doc-
Like the other Baskets of Discipline that have survived,
trine, although there are notable similarities between some
the Pali Vinaya Pit:aka essentially contains three parts. These
parts of the two works. The S´a¯riputra-abhidharma, which is
provide detailed definitions and explanations of the numer-
made up of four main sections, differs even more from the
ous rules of discipline imposed on monks (bhikkus), those to
Therava¯dins text. For the most part these three collections
be observed by nuns (bhikkun¯ıs), and specific rules concern-
definitely postdate the first appearance of the sects that com-
ing the material life of both: the correct use of objects they
posed them and defended their own positions in them. The
were allowed to own, ceremony, sentencing of offenders, set-
teaching given by the sermons in the various Nika¯yas or
tling of disputes, and so on.
A¯gamas of the Su¯tra Pit:akas, in contrast, presents a truly re-
The Pali Abhidhamma Pit:aka consists of seven different
markable consistency, whatever their school of origin, and,
works, in which the doctrine set forth in no particular order
thus, a great fidelity to the common early Buddhist base, pre-
in the sermons (suttas) is reorganized, classified systematical-
dating the community’s division into sects. The same is true
ly, and fleshed out at numerous points. One of these seven
for most of the monastic rules contained in the various
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BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
1199
Vinaya Pit:aka, which are distinguished mainly by details of
However, it is its famous chronicles, a genre almost en-
secondary or minor aspects of the ascetic life.
tirely abandoned in ancient India, that make Therava¯da liter-
ature stand apart from that of the other sects. The series of
The postcanonical literature was undoubtedly very im-
the D¯ıpavam:sa (History of the island), Maha¯vam:sa (Great
portant, but even less of it remains than of the canonic mate-
history), and Cu¯l:avam:sa (Lesser history) records in verse the
rial, and it is more unevenly distributed. Luckily, we possess
whole history of Sri Lanka, from its beginning to the end of
in Pali the greater part of what was written by the
the eighteenth century, from the very specific point of view
Therava¯dins—commentaries on the canonic texts, treatises
of the “elders” (theras) of the Maha¯viha¯ra, the principal Sin-
on doctrine, collections of legends, and devotional poems.
hala Therava¯da school. Other chronicles recount, in grandi-
We have also the principal Sarva¯stiva¯da treatises, several
ose verse style, the stories of sacred relics: the Bodhivam:sa
commentaries on these works and on the major portion of
tells the story of the bodhi tree, the Thu¯pavam:sa that of the
their Abhidharma Pit:aka, as well as a few other late works.
principal mound of Anura¯dhapura, and the Da¯t:ha¯vam:sa that
Unfortunately, the postcanonic literature available to us
of the Buddha’s tooth.
from all the other schools is limited to a half-dozen works.
The main works of the Sarva¯stiva¯din postcanonic litera-
The whole series of commentaries in Pali on the
ture have generally survived in Chinese or Tibetan transla-
Therava¯da canonic texts was composed in the fourth and
tion. Complete or partial Sanskrit originals of several of them
fifth centuries CE by Buddhadatta, Buddhaghosa, and
have also been found.
Dhammapala, who made use of ancient commentaries, now
lost, in Old Sinhala. We also owe to Buddhaghosa, the wisest
Only two commentaries on the postcanonic literature
and most renowned of all the Therava¯da masters, a substan-
of the Sarva¯stiva¯dins have come down to us. One concerns
tial treatise entitled Visuddhimagga (The path of purity), in
the rules of monastic discipline and is entitled
which the Maha¯viha¯ra school’s entire doctrine is set forth.
Sarva¯stiva¯da-vinaya-vibha¯s:a¯; the other, called Abhidharma-
Another famous treatise is the Abhidhammatthasangaha
maha¯vibha¯s:a¯, comments on the Jña¯naprastha¯na, the princi-
(Collection of interpretations of the higher doctrine), written
pal work of the Abhidharma Pit:aka of this sect. This
by the Sinhala monk Anuruddha about the eleventh century.
Maha¯vibha¯s:a¯ (Great commentary) is an immense summa-
Other, less important treatises of the Maha¯viha¯ra school were
tion of the doctrine of the Sarva¯stiva¯dins or, more precisely,
composed by various authors between the fourth and fif-
of their most important school, known as the Vaibha¯s:ika,
teenth centuries. Each of these works was the subject of one
“supporter of the (Maha¯-) Vibha¯s:a¯.” It is one of the most vo-
or more commentaries, most of which have not survived.
luminous works in all Buddhist literature.
Only one non-Maha¯viha¯ra Therava¯da work—strangely, in
The Sarva¯stiva¯dins left several treatises written in San-
Chinese translation—is extant: a large treatise called Vimutti-
skrit during the first few centuries of the common era. The
magga (The path of liberation), attributed to Upatissa, who
principal and best known is the Abhidharmako´sa (Treasury
must have lived some time before Buddhaghosa and was
of higher doctrine), written by Vasubandhu in the fifth cen-
probably a master of the Abhayagiri school.
tury and the subject of numerous commentaries, many of
To the treatises may be added the Lokapaññatti (De-
which are extant in the Sanskrit original or in Chinese or Ti-
scription of the world), a fourteenth-century adaptation by
betan translation. Vasubandhu was accused of holding
the Burmese monk Saddhammaghosa of a lost Sanskrit
Sautra¯ntika views by his contemporary Sam:ghabhadra, a
work, and especially the well-known Milindapañha (Ques-
strictly orthodox Sarva¯stiva¯din. Sam:ghabhadra refuted these
tions of King Milinda), likewise inspired by a lost work. This
views in a large treatise entitled Abhidharma-nya¯ya¯nusa¯ra
seems to have been a little Buddhist propaganda manual
(Consistent with the logic of the further doctrine) and in a
aimed at the Greeks and Eurasians, such as King Menander
long commentary on the didactic stanzas (ka¯rika¯s) of the
(Milinda), who lived in northwestern India in the second
Abhidharmako´sa. The Sarva¯stiva¯dins also composed a Loka-
century
prajñapti (Description of the world) according to Buddhist
BCE. Besides the Pali version, there are two Chinese
translations of the Milindapañha that rather differ from each
ideas, which has survived in Chinese and Tibetan trans-
other and even more so from the Therava¯da text.
lations.
The other schools have left only Chinese translations of
The postcanonic Therava¯da literature also includes in-
a few treatises and commentaries, often very short and of un-
structional poems and collections of legends in verse or
known origin. Among the commentaries, which all corre-
prose. Among the instructional poems are the Ana¯gatavam:sa
spond to complete or partial Vinaya Pit:akas, we may men-
(History of the future), in which the monk Kassapa recounts
tion the Vinayasam:graha (Collection of Discipline) by the
the life of the next Buddha, named Metteyya, and the Jina-
Mu¯lasarva¯stiva¯dins Vi´ses:amitra and the Vinayama¯tr:ka¯
carita (Story of the conqueror), Medham:kara’s account of
(Summary of discipline), the sectarian affinity of which is
the miraculous life of the historical Buddha. The Rasava¯hin¯ı
uncertain.
(Transportress of flavors), translated into Pali by Vedeha
from an Old Sinhala poem, is a collection of some one hun-
All that remains of the literature of the Va¯ts¯ıputr¯ıyas
dred legends meant to encourage a life of piety.
and related schools, which must have been considerable, are
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BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
the Chinese translations, sadly inferior and obscure, of two
formation that tradition has preserved about them is either
small treatises summarizing their teaching. The most impor-
vague, contradictory, or obviously distorted by legend, oblig-
tant of these is entitled Sammat¯ıya-nika¯ya-´sa¯stra (Treatise of
ing us to make use of it with great skepticism. Even the biog-
the Sammat¯ıya sect).
raphies of the principal Sinhala elders (theras) of the
Therava¯da sect, whose history is told at length and in detail
Two other works of the same type have also survived in
by the chronicles of Sri Lanka, are hardly better known to
Chinese translation, but although they are better translated
us than those of the masters of other groups and schools of
and are much longer, their sectarian origin presents some dif-
early Indian Buddhism. In any case, we possess infinitely less
ficulty. One, called Satyasiddhi (Realization of the truths),
detail about the lives of these theras than about those of the
written by Harivarman around the third century CE, teaches
kings, princes, and generals who studded the history of Sri
and defends the doctrine of a Maha¯sa¯m:ghika-derived school,
Lanka and protected the island’s monastic community for
probably the Bahu´srut¯ıyas. The other is the Vimuttimagga,
two thousand years. Nonetheless, these chronicles permit us
mentioned above, whose author, Upatissa, probably be-
to know the names of a much larger number of these Sinhala
longed to the Sinhala Abhayagiri school; its Pali original was
Therava¯da elders than of the masters of other sects, and
recently rediscovered.
thanks to them we are generally informed with some preci-
The literary genre of devotional legends in verse or prose
sion about the time and place in which many of them lived.
was also a great inspiration to authors of all sects, most of
Among the most noteworthy figures of the Therava¯da,
whom remained as anonymous as those of the canonic texts.
we must first point out the three great scholars to whom all
Some of these works recounted the life of the historical Bud-
of the commentaries on the Pali canon and several important
dha, embellishing it with numerous miracles for the sake of
treatises on doctrine are attributed. The most famous is cer-
greater glory. Two of the three most famous were preserved
tainly Buddhaghosa, author of the Visuddhimagga. Accord-
by chance in their Indian originals. These were composed in
ing to tradition, Buddhaghosa was an Indian brahman from
Hybrid Sanskrit, which is to say greatly influenced by the
Bihar who converted to Buddhism, then probably came to
Prakrit dialects: the Maha¯vastu (Great tale) and the Lalitavi-
live in the Tamil country and afterward in the Sri Lankan
stara (Account of the sport), both important sources for the
capital, Anura¯dhapura, during the reign of Maha¯na¯ma (409–
development of the Buddha legend. The first is a detached
431). Buddhadatta, who was, it seems, a little older than
portion of the Lokottarava¯da Vinaya Pit:aka, but in scope, as
Buddhaghosa, was probably born in the Tamil country, on
well as in specific subject matter, it can be considered a dis-
the banks of the Ka¯ver¯ı, and spent most of his life there, but
tinct and, moreover, rather late work. The Lalitavistara was
he probably sojourned in Anura¯dhapura as well. Finally,
first compiled by the Sarva¯stiva¯dins but later revised by fol-
Dhammapa¯la was probably also a Tamil, born in
lowers of the Maha¯ya¯na. In contrast with these two, the Bud-
Ka¯ñc¯ıpuram in the late fourth century, and most likely lived
dhacarita (Story of the Buddha) was written in classical San-
mainly in his native land but also journeyed to Lanka. Thus,
skrit by one of the greatest Indian poets, A´svaghos:a, who
it would seem that in the early fifth century, Tamil India was
lived around the second century CE; only half of the Sanskrit
an important seat of Buddhist—or, more precisely,
text has been recovered, but the Chinese translation is com-
Therava¯da—culture, on a par with Sri Lanka and perhaps
plete.
even more active.
The collections of legendary material recounting the ed-
ifying deeds of Buddhist saints, or the previous incarnations
The reign of Parakkamaba¯hu (Parakramaba¯hu) I
of these or the future Buddha, are numerous, whether in Hy-
(1153–1186), an especially prosperous epoch for the Sinhala
brid Sanskrit originals or in Chinese versions. We shall men-
Therava¯dins, was made illustrious by a number of scholar-
tion here only the best known, the Avada¯a´sataka (Hundred
monks. The most famous was Sa¯riputta, a pupil of Kassapa
exploits) and the Divya¯vadana (Divine exploits).
of Udumbaragiri, who had played a pivotal role in the reform
of the community ordered by the king and was himself a
NOTABLE PERSONALITIES. Be they Buddhists, brahmans, or
great scholar. Sa¯riputta turned his residence, the new monas-
otherwise, the Indians of ancient times had practically no in-
tery of Jetavana at Polonnaruwa, into the major center of
terest in history as we understand it, with its concern for the
knowledge and Buddhist learning of his time. Author of sev-
exact recording of events, dates, names, and biographies of
eral authoritative subcommentaries on canonic texts, highly
important figures in order to preserve a precise record of
esteemed grammarian and poet, he was as well versed in San-
them. This is especially true for the history of Indian Bud-
skrit as in Pali and composed his works in both languages.
dhism and the lives of its great masters. With very rare excep-
Several of his many students became learned monks and au-
tions, to us the masters are only names attached to one or
thors of valued literary works, notably Dhammakitti,
more literary works or, much less often, to an important item
San˙gharakkhita, Suman˙gala, Buddhana¯ga, Medan˙kara, and
or event in the history of Buddhism—such as an idea that
Va¯cissara.
was declared heretical, a dispute, or a council. Nearly always,
we know nothing whatever of the lives of these people, in-
In modern times, mention must be made of one first-
cluding the regions where they were born or lived and the
rank figure whose influence on the evolution of Therava¯da
centuries in which they were active. Moreover, the scant in-
Buddhism was both decisive and extensive. Prince Mongkut,
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1201
the youngest son of the Siamese king Rama II, became a
EXPANSION OF THE SCHOOLS OUTSIDE OF INDIA. Owing to
monk and, during the quarter-century that he spent in yel-
the pious zeal of the emperor A´soka, from the mid-third cen-
low robes, undertook a great reform of the community in his
tury BCE Buddhism began to expand outside of India proper,
country. In particular, he founded a new monastic order, the
southeastward into Sri Lanka and northwestward into what
Thammayut, which observed the rules of discipline more
is now Afghanistan. Numerous important epigraphic and ar-
strictly than did its contemporaries, but he also kept abreast
chaeological monuments show that it soon prospered in both
of the social realities of Siam and enthusiastically studied the
these areas. From this evidence and from the Sinhala chroni-
culture and religions of the West. Becoming king on the
cles we know that the Therava¯dins very quickly became, and
death of his elder brother, he ruled under the name Rama
remained, the dominant group in Sri Lanka, but we do not
IV (1851–1868), completing his work and transforming his
know exactly which sects flourished at the same time—
country into a modern state largely open to trade and exter-
during the last three centuries BCE—in the mountainous
nal influence. He is one of the principal architects of the
areas of the northwest, then called Gandhara and Kapi´sa. It
great reform of Therava¯da Buddhism that took place after
seems, however, that the Sarva¯stiva¯dins, traditionally be-
the mid-nineteenth century not only in Siam but also in the
lieved to have originated in nearby Kashmir during the reign
neighboring kingdoms and in Sri Lanka. This movement
of A´soka, began the conversion of these lands to Buddhism
was characterized by a return to the sources of the religion,
and were joined somewhat later by schools of the
namely the Pali Tipit:aka, and also by a necessary and rational
Maha¯sa¯m:ghika group.
adaptation to modern circumstances.
A few very scarce inscriptions, but especially the reports
The best-known figure of the Sarva¯stiva¯dins is certainly
of the famous Chinese pilgrims Xuanzang and Yijing, as well
Vasubandhu, the author of the Abhidharmako´sa. Unfortu-
as the numerous discoveries of Buddhist manuscripts in Cen-
nately, our information about this great master is suspect and
tral Asia, provide information on the presence of various
seemingly contradictory, so that his life remains a subject of
early sects outside India. Sects were found in Southeast Asia,
debate. Is Vasubandhu the Sarva¯stiva¯din identical with Va-
Indonesia, Central Asia, and China in the first few centuries
subandhu the Yoga¯ca¯ra, the brother of A˙sanga? Did he live
of the common era, especially in the seventh century.
in the fourth or the fifth century of our era? Was he born
at Purusapura (present-day Peshawar) into a brahman fami-
At this same time, the Therava¯dins had found their way
ly? Did he live in Kashmir, and then Ayodhya (present-day
into Indonesia, where the Sarva¯stiva¯dins or Mu¯lasar-
Faiza¯ba¯d), where he probably died? No agreement has been
va¯stiva¯dins were a strong majority. These two groups were
reached on these or other, lesser points of his biography.
extremely numerous and nearly alone in all of Central Asia,
and they also flourished in southern China, where the
We know even less about his principal adversary,
Mah¯ı´sa¯sakas, Dharmaguptakas, and Ka¯´syap¯ıyas prospered
Sam:ghabhadra, except that he was Vasubandhu’s contempo-
as well. These last three sects thrived in Indonesia, and Dhar-
rary, a Kashmiri, and a staunch defender of Vaibhasika
maguptakas were also found in eastern China as well as in
Sarva¯stiva¯da orthodoxy. As for other great teachers of this
Shensi province. As for the Sammat¯ıyas, they were in the ma-
sect, to whom are attributed various interpretations of the
jority in Champa, in the center of present-day Vietnam.
notion of sarvam asti or the treatises that have come down
Such is the information provided by Yijing.
to us in Chinese translation, they are hardly more than
names to us: Vasumitra (one or several?), Ka¯tya¯yan¯ıputra,
The Chinese translations of three different works of
Dharma´sr¯ı, Ghos:aka, Upa´sa¯nta, Dharmatra¯ta. . . . Indeed,
early Indian Buddhist sects formed the basis of an equal
the Sarva¯stiva¯da’s founder, Madhya¯ntika, who probably set-
number of distinctively Chinese schools, which were intro-
tled with his disciples in Kashmir during the reign of A´soka,
duced shortly afterward into Japan. The oldest is known by
seems himself to belong more to legend than to history.
the name Chengshi, which is the title of Kuma¯raj¯ıva’s Chi-
nese translation (411–412) of Harivarman’s Satyasiddhi. The
The founders of other schools are also nothing but
main doctrine of this treatise, which attracted and held the
names to us, and even these have been handed down:
attention of its Chinese followers, distinguishes two truths:
Maha¯deva for the Maha¯sa¯m:ghikas, Va¯ts¯ıputra for the
a mundane or relative truth and a supreme or absolute truth.
Va¯ts¯ıputr¯ıyas, Uttara for the Sautra¯ntikas, and so on. We
It teaches that all things are empty of substance, not only the
only know two or three other masters, whose names have
individual person made up of the five aggregates of phenom-
been preserved by chance, such as S´r¯ıla¯ta of the Sautra¯ntika
ena, but also the whole of the external world. Thus, the
and Harivarman, the author of the Satyasiddhi. Of S´r¯ıla¯ta we
teaching of this work would seem to lie between those of the
know nothing more than his opinions, as these were criti-
H¯ınaya¯na and the Maha¯ya¯na or, more precisely, the
cized in Sarva¯stiva¯din tracts. Harivarman was probably a
Ma¯dhyamika. The Chengshi school was in fact founded by
brahman from the middle Ganges Basin, who most likely
two direct disciples of Kuma¯raj¯ıva, Sengdao and Sengsong,
lived around the third century CE and was converted to Bud-
who each headed a different branch, one centered in Anhui
dhism as a follower of one of the Maha¯sa¯m:ghika sects, proba-
and the other in Jiangsu. These two masters and some of
bly the Bahu´srut¯ıya, to judge from the study of his long
their disciples composed many commentaries on the Satya-
treatise.
siddhi or, more exactly, on its Chinese translation, which
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BUDDHISM, SCHOOLS OF: EARLY DOCTRINAL SCHOOLS OF BUDDHISM
helped make it widely known throughout southern China.
it was established well before the common era in Sri Lanka,
The leaders of the Chinese Maha¯ya¯nist Sanlun sect, who
a relatively isolated region, and that it has almost always
were faithful followers of the Ma¯dhyamikas, vigorously com-
maintained a strongly preferential relationship with the is-
batted this teaching, insisting that its concept of the void was
land’s political authorities and has known how best to profit
mistaken. Their attacks resulted in the decline of the Cheng-
from it. Much less certain was the extension of this phenom-
shi school in the mid-seventh century and in its disappear-
enon to a compact group of countries of mainland Southeast
ance shortly afterward. Still, in 625, a Korean monk intro-
Asia from the eleventh century, a time when Buddhism, es-
duced the Chinese translation of the Satyasiddhi and its
pecially the early, so-called H¯ınaya¯na Buddhism, was dying
teaching to Japan, but the sect, which received the name
out throughout India itself. At that time, H¯ınaya¯na Bud-
Jo¯jitsu (after the Japanese pronunciation of Chengshi),
dhism could claim only a very few followers, scattered among
found less success there than in China and was quickly ab-
small and failing communities, in the whole vast territory of
sorbed by the rival school of Sanron, the Japanese form of
India. We can understand how the effect of such a happy
San-lun.
chance could have seemed miraculous to Buddhist devotees.
The second sect was called Jushe, a transliteration of the
This process began in Burma, in the mid-eleventh cen-
Sanskrit ko´sa, because it was based on the famous
tury, when Anora¯tha, who ruled the central and northern
Abhidharmako´sa of Vasubandhu, translated into Chinese by
parts of the country, conquered the southern, maritime re-
Parama¯rtha in 563–567 and by Xuanzang in 651–654. The
gion, where Therava¯da monks had recently converted the
Sarva¯stiva¯da realism expounded in this treatise was not very
ruler. Anora¯tha, too, soon adopted the Buddhist faith of the
successful in China, where Maha¯ya¯na doctrines were then
Therava¯dins. Driven by religious zeal, he compelled all of his
dominant; consequently, the Jushe school died out in the late
subjects to follow his example. From that time on,
eighth century, when it was absorbed by the Chinese form
Therava¯da has remained the religion of the majority of the
of Yoga¯ca¯ra known as Faxiang. Previously, as early as 658,
Burmese people.
two Japanese monks, Chitsu and Chitatsu, had introduced
Two centuries later, when the Thai descended from the
the sect to Japan, where it bacame known as the Kusha.
mountains to the north and took control of the entire coun-
There it had less success and longevity as an independent
try known today as Thailand, the same process took place.
school than in China, for Chitsu and Chitatsu themselves
Their king converted to the Therava¯da and exercised all his
were followers of Faxiang, called Hosso¯ in Japan. Hosso¯ had
authority to promote its extension to the whole of the popu-
already attained considerable importance, and it soon ab-
lation.
sorbed the Kusha school.
In the following century, under circumstances that
The third and final Chinese school derived from early
are still poorly known, neighboring Cambodia, where
Buddhism was quite different from the other two. Called Lü
Maha¯ya¯na Buddhism and Hinduism had flourished until
(“discipline”), it was established in the mid-seventh century
then, became completely Therava¯din in a short space of time
by the eminent monk Daoxuan as a reaction against the doc-
and has remained so to the present day. The petty kingdoms
trinal disputes that preoccupied Chinese Buddhists of the
of Laos, stretched out along the middle Mekong, were not
time. He maintained that moral uprightness and strict mo-
long in following suit.
nastic discipline were much more necessary for the religious
In contrast to what had happened in India, this distribu-
life than empty intellectual speculations. Consequently, he
tion of Therava¯da Buddhism among a number of different
imposed on his followers the well-defined rules in the Sifen
countries, which were (except for Sri Lanka) in close proxim-
lü, a Chinese translation of the Vinaya Pit:aka of the Dhar-
ity to each other, helped ensure the sect’s lasting prosperity.
maguptakas made by Buddhaya´sas and Zhu Fonian in 412.
Indeed, when a monastic community in one of these coun-
Although his school never had many adherents of its own,
tries found itself in difficulty or in decline, which happened
it had a clear and lasting influence on Chinese Buddhism.
a number of times here and there, the pious Buddhist king
Thanks to the school’s activities, the Sifen lü became, and re-
would ask for and receive help from another country’s ruler,
mains, the sole collection of disciplinary rules to be followed
who would then send him a group of knowledgeable, re-
by all Chinese Buddhist monks regardless of their school, in-
spected monks to resolve the problems in question and re-
cluding followers of the Maha¯ya¯na. The school was intro-
store the Therava¯da to its full value and strength. Similarly,
duced to Japan in 753 by the Chinese monk Jianzhen (Jpn.,
whatever reforms and progress were made in one country
Ganjin), who was welcomed with open arms at the court of
quickly spread to the Therava¯da communities in others.
Nara. Known by the name of Ritsu (not to be confused with
Such was the case in the last century, when the prince-monk
a homophonous branch of the Shingon sect), it is still active
Mongkut, who became King Rama IV of Siam, instituted
in Japan today (it also existed in China early in this century)
great transformations that allowed the Therava¯da to adapt
but no longer has many adherents.
to the modern world at the same time that he carried out a
return to its distant canonic sources.
However, the only early Buddhist sect to thrive after
spreading outside of India is the Therava¯da. Its lasting suc-
SEE ALSO Arhat; Buddhaghosa; Buddhism, articles on Bud-
cess (it still flourishes today) can be explained by the fact that
dhism in India, Buddhism in Southeast Asia; Buddhist
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: MAHA¯YA¯NA PHILOSOPHICAL SCHOOLS OF BUDDHISM
1203
Books and Texts; Buddhist Philosophy; Councils, article on
with notes, of the Samayabhedoparacanacakra, an account of
Buddhist Councils; Dharma, article on Buddhist Dharma
the H¯ınaya¯na sects and their main tenets.
and Dharmas; Eightfold Path; Four Noble Truths; Ganjin;
Renou, Louis, and Jean Filliozat. L’Inde classique. Paris, 1953.
Karman, article on Buddhist Concepts; Maha¯sa¯m:ghika;
Volume 2, pages 315–608, deals especially with the
Missions, article on Buddhist Missions; Mongkut; Nirva¯n:a;
H¯ınaya¯na sects, their literature, and doctrines. The collabo-
Prat¯ıtya-samutpa¯da; Sam:gha, overview article; Sarva¯stiva¯da;
ration of the Sinologist Paul Demiéville and the Tibetologist
Sautra¯ntika; Sinhala Religion; Soteriology; Southeast Asian
Marcelle Lalou is invaluable.
Religions, overview article; Vasubandhu.
Shizutani Masao. Sho¯jo¯ bukkyo¯shi no kenkyu¯; Buha bukkyo¯ no
seiritsu to hensen. Kyoto, 1978. The most recent work on the
BIBLIOGRAPHY
origin and evolution of the H¯ınaya¯na sects. Detailed and
Aung, Schwe Zan, and C. A. F. Rhys Davids, trans. Points of Con-
complete study of literary and epigraphic sources.
troversy (1915). London, 1969. A translation of the Pali
Takakusu Junjiro¯, trans. A Record of the Buddhist Religion as Prac-
Katha¯vatthu, a text treating the doctrinal controversies be-
ticed in India and the Malay Archipelago (A.D. 671–695)
tween the various H¯ınaya¯na sects from the Therava¯da point
(1896). Reprint, Dehli, 1966. English translation of Yijing’s
of view.
account of his pilgrimage to South and Southeast Asia.
Bareau, André. Les sectes bouddhiques du Petit Véhicule. Publica-
Warder, A. K. Indian Buddhism. 2d rev. ed. Dehli, 1980. Treats
tions de l’École Français d’Extrême-Orient, vol. 38. Saigon,
H¯ınaya¯na sects at length, offering interesting solutions to the
1955. An exhaustive survey based on all available documents.
problems they pose.
Bechert, Heinz, and Richard Gombrich. The World of Buddhism.
Watters, Thomas, trans. On Yuan Chwang’s Travels in India, 629–
London, 1984. This excellent work includes a discussion of
645
schisms on page 82.
A.D. 2 vols. London, 1904–1905. English translation of
numerous extracts from the accounts of Xuanzang’s journey,
Ch’en, Kenneth. Buddhism in China; a Historical Survey. Prince-
with excellent commentary correcting most of the many er-
ton, 1964. See pages 129–131 and 301–303 for information
rors of earlier translations (those of Stanislas Julien, Samuel
on the H¯ınaya¯na-derived Chinese sects.
Beal, etc.), which are today unusable.
Demiéville, Paul. “L’origine des sectes bouddhiques d’après Para-
New Sources
martha.” In Mélanges chinois et bouddhiques, vol. 1,
Cohen, Richard S. “Discontented Categories: Hinayana and Ma-
pp. 15–64. Brussels, 1932. A masterfully annotated French
hayana in Indian Buddhist History.” Journal of the American
translation of one of the principal documents on the subject.
Academy of Religion 63 (1995): 1–25.
Dube, S. N. Cross Currents in Early Buddhism. New Delhi, 1980.
Egge, J. R. Religious Giving and the Invention of Karma in Therava-
Interesting study of doctrinal disputes among early sects, but
da Buddhism. Richmond, 2001.
based primarily on the Katha¯vatthu.
Hoffman, F. J., and M. Deegalle, Pali Buddhism. Richmond,
Dutt, Nalinaksha. Buddhist Sects in India. 2d ed. Calcutta, 1978.
1996.
Good general description of the history and, especially, the
doctrines of the H¯ınaya¯na sects.
Holt, J., J. N. Kinnard, and J. S. Walters. Constituting Communi-
ties: Theravada Buddhism and the Religious Cultures of South
Fujishima Ryauon. Les bouddhisme japonais: Doctrines et histoire
and Southeast Asia. Albany, 2003
de douze sectes bouddhiques du Japon (1889). Reprint, Paris,
1983. This old book is the most complete description in a
Hsüan, T., and S. Ganguly. Treatise on Groups of Elements; The
Western language of Japanese Buddhist sects, particularly the
Abhidharma-dhatukaya-padasastra: English Translation of
three derived from the H¯ınaya¯na.
Hsüan-tsang’s Chinese Version. Delhi, 1994.
Hajime, Nakamura. Indian Buddhism: A Survey with Bibliographi-
Ray, N. An Introduction to the Study of Theravada Buddhism in
cal Notes. Hirakata, 1980. This large work brings into focus
Burma: A Study in Indo-Burmese Historical and Cultural Rela-
our knowledge of the whole of Indian Buddhism and con-
tions from the Earliest Times to the British Conquest. Bangkok,
tains an extremely rich and up-to-date bibliography. A long
2002.
chapter concerns the H¯ınaya¯na sects (pp. 90–140).
Soda, K. Theravada Buddhist Studies in Japan. Calcutta, 1998.
Lamotte, Étienne. Histoire du bouddhisme indien: Des origines à
Thien, C. The Literature of the Personalists of Early Buddhism.
l’ère Saka. Louvain, 1958. A large part (pp. 571–705) of this
Delhi, 1999.
excellent work discusses early sects, their origins and distribu-
tion, Buddhist languages, and the sects’ doctrinal evolution.
Weber, C. Wesen und Eigenschaften des Buddha in der Tradition
des Hinayana-Buddhismus. Wiesbaden, 1994.
La Vallée Poussin, Louis de, trans. L’Abhidharmako´sa de Vasu-
bandhu (1923–1931). 6 vols. Reprint, Brussels, 1971. This
ANDRÉ BAREAU (1987)
French translation of the famous treatise includes copious
Translated from French by David M. Weeks
notes and a very long introduction by the great Belgian
Revised Bibliography
scholar. It is rich in information on the doctrinal controver-
sies that concerned the Sarva¯stiva¯dins.
Law, Bimala Churn. A History of Pali Literature. London, 1933.
BUDDHISM, SCHOOLS OF: MAHA
¯ YA¯NA
Complete, very detailed description of Therava¯da literature.
PHILOSOPHICAL SCHOOLS OF BUDDHISM
Masuda Jiryo. “Origins and Doctrines of Early Indian Buddhist
Maha¯ya¯na Buddhists in India developed numerous theories
Schools.” Asia Major 2 (1925): 1–78. English translation,
on a wide range of topics, and according to Buddhist think-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1204
BUDDHISM, SCHOOLS OF: MAHA¯YA¯NA PHILOSOPHICAL SCHOOLS OF BUDDHISM
ers, all such theories must relate in principle to reaching
specific schools allows Buddhist thinkers to unravel that knot
nirva¯n:a, the highest goal toward which Buddhists are meant
and present its various strands in a straightforward fashion.
to strive. Usually a theory prescribes a specific contemplative
Instead of unpacking endless arguments between individual
practice that will lead the Buddhist to that highest goal, and
authors, one instead interprets them as debates between
it is understood that the practice will lead to nirva¯n:a only
philosophical traditions.
when guided by the theory that recommends it. Indian
The need to sort and classify the bewildering variety of
Maha¯ya¯na Buddhists who accepted the soteriological impor-
Maha¯ya¯na philosophical views becomes especially acute
tance of theory thus faced some critical interpretive tasks: se-
when Buddhism spreads to other regions, such as China and
lect, defend, and articulate the correct (i.e., soteriologically
Tibet. Indeed, in Tibet an entire literature develops around
efficacious) theory among competing theories.
the term school, and most Tibetan monastic libraries hold
As Maha¯ya¯na Buddhist thought develops, these inter-
several dozen texts that are devoted to minutely parsing and
pretive tasks focus on philosophical texts (´sa¯stras) that be-
classifying Indian philosophical systems. This literature,
come, for one reason or another, the inviolable sources of a
called doxography, has heavily influenced the academic study
theoretical system. The main Maha¯ya¯na texts of this kind
of Indian Maha¯ya¯na thought. The success and influence of
were composed by three Buddhist thinkers: Na¯ga¯rjuna (c.
Tibetan doxographies stems in part from their ability to elab-
150 CE), Asan˙ga (c. 325 CE), and Vasubandhu (c. 325 CE).
orate a general classification found in Indian doxographical
Although other thinkers’ works also received considerable at-
texts. Enumerated in these terms, all Buddhist thought falls
tention, the works of these three thinkers form the core of
into the hierarchy of the “four schools”: the lowest two, the
the Maha¯ya¯na philosophical schools. Their texts and ideas
Vaibha¯s:ika and the Sautra¯ntika, are not part of the
are studied and interpreted again and again by each genera-
Maha¯ya¯na, but they provide the foundation for the higher
tion of Indian Maha¯ya¯na thinkers until the virtual disappear-
schools; the latter two, Yoga¯ca¯ra and Madhyamaka, are con-
ance of Maha¯ya¯na philosophy in India (c. 1400 CE).
sidered Maha¯ya¯na schools. This schema, along with its nu-
As each generation’s commentators take up the study of
merous subcategories, has become standard in the academic
these foundational figures, they invariably employ a kind of
study of Maha¯ya¯na philosophy.
dialectical method: arguments are couched as discussions be-
Since it is so prominent, the model of the four schools
tween the proponent and the opponent of a particular no-
will guide the discussion presented below. It will be useful,
tion. These dialectical arguments respond to a wide range of
however, to begin with the problems inherent in the notion
views, both Buddhist and non-Buddhist. Hence, formulat-
of “philosophical schools.” An overview of the first two
ing its own retorts and criticisms, each generation develops
schools will then provide the overall context of Maha¯ya¯na
new and often multiple interpretations of seminal texts and
thought. After a concise historical synopsis, this entry focuses
concepts.
on the earliest historical forms of the two Maha¯ya¯na schools,
By the sixth century, the rapid accumulation of compet-
namely Madhyamaka and Yoga¯ca¯ra, along with a brief con-
ing interpretations leads Maha¯ya¯na thinkers such as
sideration of later developments.
Bha¯vaviveka (c. 525 CE) to systematically employ terms for
“SCHOOLS” AND “PHILOSOPHY.” The notion of a philo-
what are often called “philosophical schools.” One obvious
sophical “school” is a difficult one, even in its English usage.
circumstance underlies this move: commentators fall into
In rough terms, a “school” is a voluntary association of vari-
well-defined camps that adopt a particular moniker to identi-
ous thinkers who articulate and defend a particular set of the-
fy their position. Followers of Na¯ga¯rjuna, for example, speak
ories that are deliberately traced through a series of commen-
of their philosophy as Madhyamaka (the “Middle Way”), a
tators to one or more original thinkers. A main concern in
term that Na¯ga¯rjuna himself coins. Subsequent generations
speaking of schools is the need to distinguish the mere avow-
of Madhyamaka thinkers are always concerned to defend and
al of a position from the systematic articulation and defense
articulate the works of Na¯ga¯rjuna and, to some degree, the
of that position within a tradition. To refer clearly to that
commentaries on Na¯ga¯rjuna composed by their predeces-
type of systematic articulation, Indian Buddhist authors
sors. One thus encounters an unambiguous cohesion within
eventually settle on the term siddha¯nta, literally, the “conclu-
Madhyamaka texts, as evinced by their intertextuality, the
sion” or outcome of one’s theoretical arguments. It is this
continuity of their ideas, their appeal to the same authorities,
term that is often translated as “school.”
and so on. Hence, in using a single moniker to refer to many
Although clearly useful for Buddhist exegetes and aca-
thinkers and their texts, Bha¯vaviveka is simply reflecting the
demic interpreters, the concept of a siddha¯nta or school holds
obvious cohesiveness of their textual traditions.
several problems. For example, if a taxonomy of schools is
In describing Buddhist thought as “schools,” however,
to be of any use, one must sort each thinker and his works
another motivation is the confusion caused by the multiplici-
into one school or another. In this sorting process, however,
ty of views that develop over generations. By Bha¯vaviveka’s
the way in which a thinker may resist or reinterpret his own
time, Buddhist thought exhibits many variations, and if one
school is all too easily lost. The sorting of thinkers into this
adds the opinions of non-Buddhist philosophers, one arrives
or that school may also lead one to ignore noteworthy differ-
at a tangled knot of theory. Parsing authors and texts into
ences and create false boundaries. Candrak¯ırti (c. 625 CE)
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BUDDHISM, SCHOOLS OF: MAHA¯YA¯NA PHILOSOPHICAL SCHOOLS OF BUDDHISM
1205
and S´a¯ntideva (c. 650 CE), for example, diverge significantly
sophical texts cover many of the same topics and use many
in their views, but since they are lumped together into the
of the same methods found in Euro-American philosophical
same school, their important differences may be ignored.
traditions. And, as in classical Greece, philosophy here must
Likewise, Dharmak¯ırti (c. 650 CE) and S´a¯ntaraks:ita (c. 750
not be interpreted as dry theory, but rather as systematic
CE) are sorted into distinct schools, but their thought may
thought that is meant to explain, guide, and sustain contem-
converge in ways that are not apparent in terms of their
plative practices. This does not mean that every argument
schools’ definitions. Along these same lines, the taxonomy
correlates straightforwardly with a contemplative practice—
of schools does not fare well when confronted with liminal
consciously or not, Indian Buddhist thinkers often made
cases, where a thinker’s allegiances are difficult to discern.
philosophical decisions that have no obvious relation to such
practices. Nevertheless, in a fundamental way Buddhist
The English term school may also suggest a type of insti-
thinkers link their arguments to specific contemplative prac-
tutional coherence that does not apply to these philosophical
tices, such as meditations that analyze personal identity. This
traditions. It appears that only men wrote Buddhist philo-
linkage reflects the avowed soteriological context of all Bud-
sophical texts, and nearly all were monks. As such, they re-
dhist thought, namely, the cultivation of meditative experi-
ceived their sustenance through a monastic institution, and
ences that allegedly eliminate suffering and lead to nirva¯n:a.
they held property in common with that institution. The
Indeed, from the traditional view, the Buddhist thinker’s
practical circumstances of a monk’s life and the norms that
philosophical work was itself a kind of spiritual practice that
regulated his behavior were also guided by the rules passed
moved the thinker closer to these final goals. Philosophy is
to him upon ordination. If issues such as sustenance and be-
therefore called “seeing” (dar´sana), a metaphor that evokes
havioral norms lie at the core of a monk’s institutional iden-
a central goal of Buddhist contemplative practice: an experi-
tity, then one must identify nearly every Buddhist philoso-
ence (anubhava) in which one sees things as they truly are
pher first and foremost as a monk from a particular
(yatha¯bhu¯tadar´sana). Thus, in speaking of Maha¯ya¯na “phi-
monastery regulated by the rules of a particular monastic tra-
losophy,” one must recall that it is implicated deeply in this
dition. Monastic traditions, moreover, were not distin-
type of contemplative goal.
guished by their philosophies; instead, each tradition was set
apart primarily by its regional origin and the often mundane
Despite the problems noted above, the schema of the
details of its rules. Hence, in institutional terms, an Indian
four philosophical schools remains useful. The usual proce-
Buddhist philosopher is first distinguished not by a particu-
dure is to begin by discussing the first two schools: the
lar philosophy, but rather by the regional affiliation and rules
Vaibha¯s:ika and the Sautra¯ntika. Doxographers maintain that
of his monastery’s code. To put it another way, in some cases
these schools do not embody any Maha¯ya¯na philosophy, and
the color of a monk’s robe indicated unambiguously the mo-
it is precisely for this reason that they are presented first. In
nastic tradition that he followed, but no such visible cue ever
doing so, doxographers are able to present the shared, foun-
marked the philosophical school that he upheld.
dational notions that run through all Buddhist thought.
Nevertheless, it would be a mistake to suppose that alle-
FOUNDATIONAL THEORIES. From its earliest period, Bud-
giance to a Maha¯ya¯na philosophical school had no impact
dhist thought rested on a straightforward set of claims about
on a monk’s life. Certainly, that allegiance located the philos-
human goals and the means to achieve those goals. In brief,
opher within an intellectual community, one that extended
the main human goal is the elimination of suffering, and the
across many monasteries in many monastic traditions; and
means to that end is the elimination of the causes of suffer-
it is clear that these intellectual communities engaged in both
ing. The strands of early Buddhist thought that develop into
censure and approval of a thinker’s works. A thinker’s com-
Maha¯ya¯na philosophy specify that suffering’s cause is a type
mitment to a Maha¯ya¯na philosophical school also located
of “ignorance” (avidya¯), a distorted way of seeing the world
him within a wider discourse on philosophy conducted by
that stems especially from misconceptions about personal
many traditions, both Buddhist and non-Buddhist. That is,
identity. Ignorance creates and sustains mental dispositions
although many Indian Buddhist thinkers did not compose
that motivate and guide actions, and since those dispositions
their works in Sanskrit, Maha¯ya¯na philosophers did use San-
are rooted in a fundamental error, the actions guided by
skrit, and they thus shared a literary language with a wide
them are doomed to failure. Ignorance, moreover, permeates
range of non-Buddhist theorists. This may be one reason for
the minds of all unenlightened beings; hence, all of their ac-
the remarkable number of extended debates between
tions—including those aimed at their highest goal of elimi-
Maha¯ya¯na philosophy and these other, non-Buddhist tradi-
nating suffering—end in frustration.
tions. In those debates, Maha¯ya¯na Buddhist thinkers acted
as intellectual defenders of the faith against philosophical cri-
The solution is to eliminate the fundamental miscon-
tiques originating outside the Buddhist community, and this
ceptions about one’s personal identity that fuel ignorance,
role probably impacted their lives in terms of patronage and
and one does so by demonstrating that their object, an essen-
prestige.
tially real and immutable “self” or a¯tman, does not exist. The
procedure is to engage in a type of reductive analysis where-
Another practical impact of allegiance to a school was
by, with the aid of contemplative practices, one searches
the Maha¯ya¯na notion of philosophy itself. Maha¯ya¯na philo-
through the constituents of body and mind in order to deter-
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1206
BUDDHISM, SCHOOLS OF: MAHA¯YA¯NA PHILOSOPHICAL SCHOOLS OF BUDDHISM
mine whether any of them—singly or in combination—
practical actions. Thus, since it can be reduced to more fun-
could be such a self. Having seen that there is no such self
damental constituents, a chariot is not ultimately real. Nev-
to be found, one uses meditation to deepen that experience
ertheless, in terms of the conventions that govern the use of
and explore all its implications. Eventually one becomes free
the word chariot, it appears to be real for practical purposes;
of the misconceptions that create suffering; hence, one at-
hence, a chariot is conventionally real. Likewise, since a per-
tains nirva¯n:a, utter freedom from suffering.
son can be reduced to more fundamental constituents, no
person is ultimately real; nevertheless, in practical and lin-
This basic theory, which also lies at the core of
guistic terms, one can speak of a person as conventionally
Maha¯ya¯na philosophy, is the main concern of the abhidhar-
real.
ma, a style of Buddhist thought presented in great detail by
the Vaibha¯s:ika school. The most basic of the four schools ac-
In order for the schema of the two realities to make
cording to Indian and Tibetan doxographers, the Vaibha¯-
sense, the Vaibha¯s:ika must explain precisely what it means
sikas derive their name from the Maha¯viba¯s:a (Great com-
for one to know that an entity exists ultimately. Their view
mentary) that is their inspiration. Their principal task is to
amounts to a kind of taxonomic atomism: an ultimately real
articulate an elaborate taxonomy of all the truly real constitu-
entity is irreducible, and one has full knowledge of this fact
ents of the body and mind in order to facilitate an exhaustive
when one sees that the entity, due to its essence or nature
search for the self. These psychophysical constituents, called
(svabha¯va), belongs to one or another of the irreducible cate-
dharmas, are discovered through analysis to be the irreduc-
gories that exhaustively account for all the stuff of the uni-
ibly real building blocks of the universe, and when one
verse. In other words, the endpoint of the Vaibha¯s:ika analysis
knows them as such, one is seeing mind and body as they
is not just that the thing in question cannot be broken down
truly are (yatha¯bhu¯tadar´sana). Since a person is nothing
further, but also that one knows in an affirmative sense what
other than those irreducible constituents of mind and body,
it truly is by virtue of its nature; and one arrives at this
and since no essential self or immutable identity is numbered
knowledge by correctly categorizing the irreducible thing in
among those constituents, one concludes that this alleged es-
question.
sential self (a¯tman) is not truly real.
In emphasizing this taxonomic approach, the
This theory of “no-self” (ana¯tman) is meant to demon-
Vaibha¯s:ikas’ method betrays a realist attitude toward catego-
strate that no fixed essence lies at the core of personal identi-
ries. This realism attracts the criticism of the second
ty, but it does not deny that in a contingent way, one can
non-Maha¯ya¯na school, the Sautra¯ntikas, who critique it by
speak intelligibly of persons or selves. A traditional example
pointing to its naïve assumptions. One such assumption is
is a chariot: when one performs the Vaibha¯s:ikas’ reductive
the belief that categories—or more generally, words and con-
analysis of a chariot, one finds only the parts, such as the
cepts—refer in some direct and straightforward way to real
wheels, axle, and so on. At the same time, one knows that
entities in the world, such that the things expressed by a par-
there is no chariot separate from those parts; if there were,
ticular word or concept are understood to be the same. For
it would absurdly follow that the chariot would still exist
example, when one uses the word or concept blue, one ap-
even after its parts were removed. Hence, even though it may
pears to be referring to a thing that is somehow, by its nature,
seem that a chariot exists, if one accepts irreducibility as a
the same as all other blue things. In fact, say the Sautra¯ntikas,
criterion of true existence, one must admit that no such char-
words and concepts do not refer in this way to real things.
iot truly exists. Nevertheless, one is still able to use the word
Thus, the seeming sameness of each thing called “blue” is an
“chariot” intelligibly when engaged in the practical task of,
illusion; in actuality, each thing is utterly unique, and its
for example, driving the chariot. Thus, in terms of practical
unique identity or nature cannot be fully expressed through
actions and use of language, a chariot does exist.
words or concepts.
Codifying these two ways of existing, the Vaibha¯s:ika
The Sautra¯ntika critique resorts to complex and techni-
refers to another key concept for the Maha¯ya¯na: the
cal arguments, but to appreciate its relevance to the develop-
“two truths” or “two realities,” namely the “ultimate”
ment of Maha¯ya¯na thought, one need only attend to a main
(parama¯rtha) and the “conventional” (sam:vr:tti). According
outcome: namely, that the Sautra¯ntika view moves away
to the Vaibha¯s:ikas, if one wishes to know whether an entity
from the notion that all things are fixed in categorical identi-
exists ultimately, then one employs their analytical tech-
ties. For the Vaibha¯s:ikas, the universe is composed of irre-
niques; if, at the end of that reductive analysis, the entity in
ducible elements, each of which belongs by its very nature
question has not been reduced to some more fundamental
to a particular category. But according to the Sautra¯ntikas,
constituents, one concludes that it is ultimately real. On the
the nature of a thing cannot be fully captured by a categorical
other hand, even if the entity is reducible to more fundamen-
identity. This leaves open the explicit possibility that any
tal constituents, one may decide that from a practical or lin-
given thing is susceptible to multiple interpretations at the
guistic point of view, it still appears to be existent. In such
level of words and concepts.
a case, the entity will be considered conventionally real be-
GENERAL TRENDS AND PROBLEMS IN MAHA¯YA¯NA
cause, although it does not withstand analysis, it does con-
THOUGHT. Examined through the traditional schema of the
form to the conventions that govern the use of language and
four schools, the first two schools—Vaibha¯s:ika and
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Sautra¯ntika—are usually discussed in the somewhat con-
ontology. It can no longer be the case that the fundamental
trived and ahistorical manner presented just above. Such an
building blocks of reality are fixed by their very nature in im-
approach scarcely does justice to these two “lower” schools,
mutable identities; that is, it can no longer be the case that
but it does capture an important facet of Maha¯ya¯na thought:
the stuff of the world of suffering must always remain what
namely, that it is explicitly rooted in non-Maha¯ya¯na Bud-
it has always been, namely, the direct or indirect product of
dhism. Maha¯ya¯na thinkers accept all of the elements dis-
ignorance. Instead, it must be the case that the world appears
cussed above: namely, that the elimination of suffering is a
as it does—as wracked with suffering or as a blissful buddha-
main spiritual goal; that ignorance is the primary cause of
field—not because of some fixed and essential nature of
suffering; that ignorance is eliminated by knowing things as
things, but instead due to the minds of the beings that are
they truly are; that on the theory of no-self, persons are not
experiencing that world. Here is the relevance of the
ultimately real; and that an entity that is not ultimately real
Sautra¯ntika’s critique of Vaibha¯s:ika thought: the nature of
may nevertheless be considered conventionally real. Rather
a thing cannot be fully captured by a categorical identity, and
than rejecting these basic theories, Maha¯ya¯na thinkers modi-
multiple interpretations of its identity are possible. It is cru-
fy them in a way that creates a conceptual transition—not
cial for Maha¯ya¯na theory that the Sautra¯ntika critique be
a radical discontinuity—from the non-Maha¯ya¯na to the
correct.
Maha¯ya¯na.
From a doxographical perspective, the Maha¯ya¯na’s on-
A key element in this conceptual transition is a funda-
tological revision is facilitated by extending the doctrine of
mental change in the notion of nirva¯n:a. In non-Maha¯ya¯na
no-self. The doctrine of no-self rejects the notion that per-
thought, nirva¯n:a, the state in which suffering has utterly
sons have a fixed, essential identity: one may seem to be an
ceased, stands in strict opposition to sam:sa¯ra, the world of
ultimately real person, but in fact, one is not truly or ulti-
suffering. Sam:sa¯ra, moreover, is literally created by igno-
mately a person because one is reducible to the real, funda-
rance, and on most accounts, this means that everything
mental elements of which one is composed. For the
within sam:sa¯ra is tainted by ignorance. For the Vaibha¯s:ika,
Maha¯ya¯na, a similar critique applies to the fundamental ele-
this taint is an irreversible and indisputable fact about the
ments or dharmas that supposedly make up the person: an
dharmas or fundamental building blocks that constitute
infinitesimal particle of matter, for example, seems to be an
sam:sa¯ra. Nirva¯n:a, on the other hand, is utterly free not only
infinitesimal particle, but it is not truly or ultimately an in-
of suffering, but also of the ignorance that causes suffering.
finitesimal particle. Indeed, according to the Maha¯ya¯na, all
Hence, on the Vaibha¯s:ika view, sam:sa¯ra and nirva¯n:a must
of the Vaibha¯s:ikas’ allegedly fundamental elements of the
be entirely distinct.
universe lack any fixed, essential identity as elements. All
In both literature and philosophy, Maha¯ya¯na moves
things are therefore completely mutable, and the world of
away from this strict distinction between sam:sa¯ra and
suffering that is sam:sa¯ra is not fixed in its nature: it can be
nirva¯n:a. In a literary work such as the Vimalak¯ırtinirde´sa
the very locus of nirva¯n:a.
Su¯tra, one learns that those close to true nirva¯n:a are capable
By extending the critique of essential identity from per-
of seeing this world as a blissful paradise called a buddha-
sons to all the elements of the universe, Maha¯ya¯na thinkers
field, while those farther from that state still see it as a world
encounter three main issues. First, they must present a new
of suffering. In the systematic texts of the first Maha¯ya¯na
style of critique that is not simply reductive; in other words,
philosopher, Na¯ga¯rjuna, one reads that in ontological terms,
the claim that irreducible entities are not ultimately real can-
there is no difference whatsoever between sam:sa¯ra and
not be supported by reducing them once more, since one will
nirva¯n:a. And in other systematic Maha¯ya¯na works, nirva¯n:a
just arrive at the same problem. Instead, some other kind of
is redefined as “unlocated” (apratis:t:hita) in that it is situated
analysis must be brought to bear. Second, Maha¯ya¯na think-
neither within the world of suffering that is sam:sa¯ra, nor in
ers must specify what it means for one to see the true identity
a quietistic nirva¯n:a that is diametrically opposed to that
of things—to “see them as they truly are” (yatha¯-
world. This new, nondualistic paradigm for nirva¯n:a accom-
bhu¯tadar´sana)—when that new analysis reaches its culmina-
panies a redefinition of the highest goal for Buddhists. In
tion. In other words, the Vaibha¯s:ika analysis leads to a
short, for the Maha¯ya¯na, the proper and highest goal of a
straightforward and even intuitive conclusion: when one is
Buddhist is not only the elimination of one’s own suffering,
looking at a chair, in fact what one is seeing is a bunch of
but rather the attainment of buddhahood: a state of perfect
irreducible particles of matter; the notion of a “chair” is just
bliss in which, while still active in a world that appears to
a convenient fiction. But if, as Maha¯ya¯na thinkers maintain,
be one of suffering, one is maximally efficient at leading
even those irreducible elements are not truly real, what then
other beings to nirva¯n:a. Buddhahood is the goal that guides
is left for one to be seeing? This problem relates to the third
the bodhisattva ideal, the Maha¯ya¯na’s central ethical motif,
issue: namely, that if even the fundamental building blocks
which is based on a strong sense of compassion for all beings.
of the world are not truly real, how then does one give an
The Maha¯ya¯na’s new paradigm emphasizes the nondu-
account of conventional reality? For the Vaibha¯s:ika, an enti-
ality of sam:sa¯ra and nirva¯n:a, and to make good philosophical
ty such as a chair is not ultimately real because it can be re-
sense, it must be accompanied by a revision of the Vaibha¯s:ika
duced to its more fundamental parts. Nevertheless, in con-
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ventional terms one may speak of a “chair” as real, and one
Early Madhyamaka: Na¯ga¯rjuna. The first systematic
can do so because the term chair actually refers to those irre-
Maha¯ya¯na thinker was Na¯ga¯rjuna, and his historical primacy
ducible parts that are functioning together in a particular
is matched by his philosophical importance. As noted earlier,
way. Thus, for the Vaibha¯s:ika, the warrant for claiming that
to move beyond early Buddhist thought Maha¯ya¯na thinkers
a chair or a person is conventionally real is precisely the fact
confront three main needs: a new style of analysis that moves
that one can point to the ultimately real elements of which
beyond reductionism, a new account of knowing things as
it is composed. Maha¯ya¯na thinkers, however, deny the ulti-
they are, and a new approach to the definition of convention-
mately reality even of those elements. Of what, then is con-
al reality. Na¯ga¯rjuna’s approach to these issues sets the stage
ventional reality constructed?
for all subsequent Maha¯ya¯na thought.
These three issues—the need for a new style of analysis,
To formulate a new style of analysis, Na¯ga¯rjuna must
a new account of knowing things as they are, and a new ap-
critique the claim that through a strictly reductive analysis,
proach to conventional reality—all raise another issue:
one comes upon things that are ultimately real. The early
namely, that Maha¯ya¯na thinkers seem to be arguing that, to
Buddhist style of reductive analysis is straightforward: one
at least some degree, the Vaibha¯s:ikas and other
analyzes an entity by attempting to break it into its compo-
non-Maha¯ya¯na philosophers are just plain wrong. Not only
nent parts, and if it cannot be broken down further, the enti-
do they seem to argue that many Buddhists are wrong, but
ty is ultimately real. A chair, for example, is not ultimately
since Maha¯ya¯na thinkers accept the Vaibha¯s:ikas’ claim that
real because it can be broken down into more fundamental
their theories come from words of the Buddha, they seem
parts; and when the analytical process is brought to its con-
to say that the Buddha was wrong too. To deal with this
clusion, one eventually arrives at irreducible, partless parti-
problem, followers of the Maha¯ya¯na do not reject most of
cles that are the basic stuff of the chair.
the previous canonical texts, perhaps in part because causing
Thus, when a reductive thinker such as a Vaibha¯s:ika
such a schism was considered as heinous as matricide. In-
completes the analysis of a chair, he concludes that a chair
stead, Maha¯ya¯na thinkers sought a method to reconcile their
is actually just many particles. Hence, in ultimate terms, a
innovations with the long established Buddhist community
chair exists as something other than itself: what seems to be
in which they were embedded. They settled on the notion
a chair is not ultimately a chair; instead, it is actually irreduc-
of “skill in means” (upa¯yakau´salya).
ible particles. But, for these reductive thinkers, an irreducible
Strictly speaking, “skill in means” may not be a philo-
entity such as a particle does ultimately exist as itself because
sophical concept, but it certainly functions as a philosophical
it cannot be reduced to anything more fundamental. As such,
method. In its most basic form, it amounts to this: the teach-
that entity has svabha¯va, literally, “own-existence.” To speak
ing must be tailored to the audience. That is, one presents
of a thing’s svabha¯va, therefore, is to speak of what a thing
theories and arguments at a level that the audience is capable
is in and of itself; in other words, it is to speak of its “es-
of understanding, and if the audience cannot understand (or
sence,” the best translation of svabha¯va.
will inevitably reject) the highest level of one’s philosophy,
To move beyond reductive analysis, Na¯ga¯rjuna focuses
one uses a lower level of analysis that will prepare the audi-
on this notion of essence. He accepts that, for an entity to
ence to understand or accept the higher level. In part this
exist ultimately, it must have an essence (svabha¯va), but for
means that arguments must be couched in such a way that
him, to have an essence is not just a matter of being irreduc-
they fit into a hierarchy of levels, and as Maha¯ya¯na thought
ible. Instead, he maintains that the notion of an essence is
develops in India, this attention to levels of analysis becomes
a way of indicating that the entity’s identity is utterly devoid
the central motif of late Maha¯ya¯na thought.
of any dependence on other entities. In short, he understands
H
the notion of essence as independent or nonrelational exis-
ISTORICAL SYNOPSIS. Considered in historical terms, the
tence. Hence, in lieu of reduction, his analysis examines the
two Maha¯ya¯na schools—Madhyamaka and Yoga¯ca¯ra—
ways in which an entity might be dependent on other enti-
develop through the following stages: Na¯ga¯rjuna (c. 150 CE)
ties. If the entity is found to be dependent, then one must
composes the early Madhyamaka texts; Asan˙ga and Vasu-
conclude that it lacks essence (svabha¯va) and is thus not ulti-
bandhu (both c. 350 CE) compose the early Yoga¯ca¯ra texts;
mately real.
Digna¯ga (c. 450 CE) and Dharmak¯ırti (c. 625 CE), with the
help of Bha¯vaviveka (c. 500 CE), integrate a set of theories
For Na¯ga¯rjuna, dependence comes in various forms. For
known as “Buddhist epistemology”into Maha¯ya¯na thought;
example, he begins his most influential work by arguing that
from the seventh century onward, Madhyamaka and
causally produced entities cannot have essences because they
Yoga¯ca¯ra subschools develop in reaction to the developments
depend on their causes. His analysis of causality, however,
of Buddhist epistemology, and later Madhyamaka thinkers
is only part of a larger strategy: namely, the analysis of rela-
such as S´a¯ntaraks:ita and Kamala´s¯ıla (both c. 750 CE) create
tions. Even entities that are not causally produced are suscep-
a synthesis that explicitly employs a hierarchy of schools rep-
tible to this analysis. Perhaps the most radical example is
resenting levels of analysis. The discussion below focuses es-
nirva¯n:a itself, which reductionists such as the Vaibha¯s:ika
pecially on early Madhyamaka and Yoga¯ca¯ra, and it con-
consider to be an ultimately real element that is free of any
cludes with a brief examination of their later subschools.
causal conditioning. Na¯ga¯rjuna, however, maintains that it
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is conditioned in another sense: one cannot give an account
“emptiness” (´su¯nyata¯). Thus, to know an entity in ultimate
of what nirva¯n:a is in itself without referring to its opposite,
terms is to know its emptiness, which is a metaphor for its
the world of suffering that is sam:sa¯ra. In other words,
utter lack of essence. The danger, however, is that one will
nirva¯n:a has no meaning without sam:sa¯ra, just as “long” is
construe this as some kind of absolute nothingness at every
meaningless without “short.” Na¯ga¯rjuna thus concludes that
entity’s core. In that case, Na¯ga¯rjuna would be wrong to say
“nirva¯n:a is not at all different from sam:sa¯ra” (Mu¯lama-
that all things lack essence because they would have an es-
dhyamaka-ka¯rika¯ 25.19).
sence, namely, that absolute nothingness. Responding to the
danger of this type of nihilistic interpretation, Na¯ga¯rjuna
When Na¯ga¯rjuna radically rejects any distinction be-
points out that even emptiness lacks essence and is thus ulti-
tween sam:sa¯ra and nirva¯n:a, he is not espousing some type
mately unreal. Thus, just as a person is empty of really being
of monism. Instead, he is drawing a consequence from a
a person, emptiness is empty of really being emptiness. By
more fundamental point, namely, that sam:sa¯ra and nirva¯n:a
understanding this “emptiness of emptiness” (´su¯nyata¯-
lack essence. That is, in order to draw a distinction between
´su¯nyata¯), one avoids nihilism.
them in ultimate terms, one must do so in terms of their es-
sences—what each is in itself without depending on any-
Na¯ga¯rjuna may avoid nihilism, but many questions re-
thing else. Sam:sa¯ra and nirva¯n:a, however, both lack essence
main concerning the realization of things as they truly are.
because the identity of each is dependent on the other.
Here one should recall that such a realization comes not only
Hence, any attempt to draw any ultimate distinction be-
through Na¯ga¯rjuna’s arguments, but also through their inte-
tween them must fail.
gration into a contemplative practice. But what sort of prac-
tice would it be? What kind of meditative experience would
More important is another conclusion of Na¯ga¯rjuna’s
the arguments help to induce? It should already be clear that
analysis: since only an entity with an essence can be ultimate-
the meditation on things as they truly are—that is, the medi-
ly real, sam:sa¯ra and nirva¯n:a are not ultimately real.
tation on emptiness—cannot be an experience of some abso-
Na¯ga¯rjuna goes on to extend this analysis not just to sam:sa¯ra
lute nothingness or any other negative content. It would also
and nirva¯n:a, but to all things, and the upshot of his critique
seem problematic to hold that the meditation has positive
is that they all lack essence. In other words, to have an es-
content, such as an object. That is, the meditative experience
sence is to have some fixed, nonrelational identity, and no
of emptiness is an experience of any entity’s ultimate reality,
entity can fulfill this requirement. Moreover, since only a
and if that experience is of some object, then one might con-
nonrelational entity—that is, one with an essence—could be
clude that the object experienced was the fixed, ultimate es-
ultimately existent, Na¯ga¯rjuna maintains that no entities
sence of that entity. This would seem to contradict
whatsoever exist ultimately. To know all things as they are
Na¯ga¯rjuna’s notion that all things lack essence. Hence, the
truly or ultimately is therefore to recognize that none exist
meditative experience of emptiness apparently can be neither
ultimately.
of something, nor of nothing.
Here one encounters the second issue that all Maha¯ya¯na
This conundrum of emptiness clearly vexes subsequent
thinkers must face, namely, the need for a new account of
Maha¯ya¯na thinkers, and it leads to many developments in
“seeing things as they truly are.” As with the Vaibha¯s:ika,
Maha¯ya¯na thought. It also points to problems in the third
Na¯ga¯rjuna accepts that suffering can only be stopped by
issue that Na¯ga¯rjuna faces: an account of the conventional.
eliminating ignorance, and that to eliminate ignorance one
As noted above, on Na¯ga¯rjuna’s view, if one seeks the fixed,
must see things as they truly are. For the Vaibha¯s:ika, to see
nonrelational essence that would constitute the ultimate
things as they truly are is to experience what is ultimately
identity of an entity, one fails to find any such essence. And
real, namely, the foundational elements of the universe. In
to exist ultimately, a thing must have such an essence; hence,
doing so, one can eliminate ignorance: the confused belief
one concludes that no entity exists ultimately. But as with
that somewhere among those elements one will find one’s ab-
the Vaibha¯s:ika, Na¯ga¯rjuna maintains that an entity that does
solute, fixed identity or self (a¯tman). For Na¯ga¯rjuna, howev-
not exist ultimately may nevertheless exist conventionally.
er, ignorance is not just a confusion about one’s personal
Hence, even though he denies the ultimate reality of all
identity; instead, it is the deeply ingrained cognitive habit
things, including the Buddhist path, he does not at all mean
that makes beings see all things as if they had some fixed, ab-
to deny that many such things, most especially the Buddhist
solute identity or essence (svabha¯va). Thus, to eliminate ig-
path, are real and valuable in a conventional sense.
norance one must realize that that no entity has any such es-
Concerning the conventional, the Vaibha¯s:ikas are
sence, and this means that one must realize that no entity is
straightforward: it is just a matter of recognizing that words
ultimately real. But if no entity is ultimately real, what does
such as “chair” are convenient fictions that allow us to speak
it mean to see things as they truly are? At the end of the anal-
easily of what is really there, namely, many irreducible parti-
ysis, what is left that one could see?
cles. Thus, conventionally real things are composed of the
To answer this question, Na¯ga¯rjuna employs a meta-
irreducible, ultimately real stuff of the universe. But for
phor that runs throughout Maha¯ya¯na thought. Inasmuch as
Na¯ga¯rjuna, there is no such stuff, nor does one find anything
no entity can have a nonrelational identity, every entity lacks
else that is “really there” in the case of a chair or anything
essence, and Na¯ga¯rjuna speaks of this lack of essence as
else. How then does one make sense of conventional reality?
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To answer this question, Na¯ga¯rjuna must redefine the
the universe, but unlike Na¯ga¯rjuna, his approach creates a
notion of conventionality. For the Vaibha¯s:ika, a convention-
more obvious bridge between non-Maha¯ya¯na and Maha¯ya¯na
al entity depends on the ultimate because it is made from ul-
thought. That is, as with non-Maha¯ya¯na thought, the main
timately real stuff, but for Na¯ga¯rjuna the conventional and
goal is still to refute one’s notion of an ultimately real self
the ultimate define and depend upon each other through
(a¯tman), but Asan˙ga suggests that this goal is best reached
their mutual exclusion, as in other dyads such as “long” and
by critiquing the self’s alleged objects. The intuition here is
“short” or sam:sa¯ra and nirva¯n:a. And since an ultimately real
that the false impression of ultimately real selfhood is rooted
entity has an utterly independent or nonrelational identity,
in one’s sense of subjectivity as a perceiver of objects. Thus,
a conventionally real entity must be its antithesis: its identity
in showing that there are no ultimately real elements that
is utterly dependent or relational. As Na¯ga¯rjuna puts it, “We
could serve as objects, Asan˙ga is just offering a more pro-
say that emptiness is that which is interdependence”
found and effective rejection of any fixed, absolute personal
(Mu¯lamadhyamaka-ka¯rika¯ 8.24). In other words, when one
identity.
sees that all entities fail the test of ultimacy because they are
all empty of any nonrelational identity, one should also real-
Asan˙ga’s strategy requires some means to refute the real-
ize that if they have identities even conventionally, those
ity of any entities that could be construed as objects existing
identities must be rooted in the radical relationality that is
in distinction from the subjectivity that perceives them. For
“interdependence” (prat¯ıtya-samutpa¯da).
the Vaibha¯s:ikas, those objects basically consist of the irreduc-
ible elements that they take to be ultimately real; hence,
In seeing the conventional as interdependence,
Asan˙ga’s critique must demonstrate that all those elements
Na¯ga¯rjuna sets a theme for all subsequent Maha¯ya¯na
are not ultimately real. Buddhist models of consciousness re-
thought, but as with the notion of emptiness, he leaves many
quire that his analysis cover two general types of objects:
questions unanswered. For example, he has not addressed the
mental objects, which are immaterial, and sense objects,
Vaibha¯s:ikas’ basic intuition that the conventional is made up
which, being material, are allegedly composed of irreducible
from ultimate stuff. In other words, the modality of conven-
particles.
tional reality may indeed be interdependence, but does not
such a concept presuppose that there are things standing in
In terms of mental objects, Asan˙ga develops a critique
the relation of interdependence? A relation cannot exist with-
elaborated further by Vasubandhu. As with Na¯ga¯rjuna, the
out relata, so how could it make sense to speak of the relation
critique employs a relational analysis whereby an entity could
that is interdependence if there are not really any entities to
be ultimately existent only if it is utterly free of dependence
be related? These questions, along with the problems of
on other entities. Exploring an area not systematically ad-
knowing emptiness, create fertile ground for the growth of
dressed by Na¯ga¯rjuna, Asan˙ga and Vasubandhu refute the ul-
Maha¯ya¯na thought.
timate reality of mental objects by demonstrating that their
allegedly independent existence is contradicted by the lin-
Early Yoga¯ca¯ra: Asan˙ga and Vasubandhu. Not long
guistic and conceptual relationality that enables them to be
after Na¯ga¯rjuna, Asan˙ga and Vasubandhu develop the other
mental objects in the first place. Their detailed arguments
major strand of Maha¯ya¯na thought, the Yoga¯ca¯ra (literally,
demonstrate that the referent of a word or concept is neces-
“Practice of Yoga”). Also called citta-ma¯tra (“mind only”),
sarily mind-dependent to at least some degree, and being de-
this school emphasizes mind (citta) or consciousness
pendent, that referent cannot be ultimately real.
(vijña¯na) in its responses to the three issues mentioned
above, namely, style of analysis, seeing things as they truly
The critique of sense objects, which thinkers such as the
are, and an account of the conventional.
Vaibha¯s:ika take to be composed of irreducible particles, is
developed especially by Vasubandhu. Here too the continu-
In terms of analysis, Asan˙ga and Vasubandhu largely
ity with non-Maha¯ya¯na thought is striking, for Vasubandhu
follow Na¯ga¯rjuna’s lead. Asan˙ga’s main style of analysis is
chooses to employ a reductive analysis to demonstrate the ul-
also relational, but his focus is different. He begins with the
timate irreality of such particles. But in contrast to reduc-
assumption that the notion of an ultimately real personal
tionists such as the Vaibha¯s:ika, Vasubandhu is willing to re-
identity is rooted in one’s sense of subjectivity. His analysis
duce matter to the point where it no longer exists. In short,
is relational because on his view, the reality of that subjectivi-
he demonstrates that irreducibility is incompatible with ma-
ty is tied to the reality of the objects that it allegedly knows.
terial existence: if material particles were irreducible, then
Hence, in order to follow previous Buddhist thinkers in
they could have no size, but if they have no size, then how
demonstrating that there is no such fixed, ultimately real per-
could an accumulation of them form gross objects such as
sonal identity, he must show that all the objects allegedly per-
jars or chairs? On the other hand, if they do have size, then
ceived by this subjectivity are ultimately unreal. Therefore,
they clearly are not irreducible, since they then must have
the subjectivity must also be ultimately unreal because it can
parts, such as front, back, left, right, top, and bottom. The
truly be a subjectivity only if it perceives objects.
conclusion of this analysis is a philosophical idealism that to-
Focusing on the relation between subject and object in
tally denies the existence of matter. And although a few aca-
this way, Asan˙ga follows Na¯ga¯rjuna in extending the critique
demic interpreters maintain that Vasubandhu does not mean
of essence beyond persons to the fundamental elements of
to refute the reality of matter, such an interpretation ignores
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1211
all subsequent Indian commentators and all Tibetan doxo-
This critique of subject-object duality leads to a rede-
graphers.
finition of emptiness. The “dependent nature” is a way of re-
The critique of mental and physical objects developed
ferring to the causal flow of mind that is “dependent” since
by Asan˙ga and Vasubandhu differs in an important respect
each moment of consciousness is contingent upon its own
from Na¯ga¯rjuna’s approach. For Na¯ga¯rjuna, when one reach-
previous moment, which acts as its cause. The “constructed
es the conclusion of the analysis, one’s “seeing things as they
nature” refers to the objects that appear in the mind such that
truly are” is just seeing emptiness, which is not readily con-
they seem distinct from the subjectivity that apprehends
strued as seeing anything at all; indeed, later Indian Madhya-
them. It is “constructed” in that this dualistic distinction be-
makas will speak of it as the “seeing that is non-seeing.”
tween subject and object is not innate; instead, it is created
Asan˙ga and Vasubandhu, however, see their analysis as end-
by ignorance. In this system, “emptiness” describes the causal
ing in a realization that has a far more affirmative content.
flow of mind in terms of its ultimate mode, the perfect na-
The positive nature of that realization is shown by the way
ture. That is, ultimately the causal flow of consciousness (the
they redefine emptiness. For Na¯ga¯rjuna, emptiness is utter
dependent nature) is empty or devoid of the seeming subject-
lack of essence, and since all things are empty, all things lack
object duality (the constructed nature) that appears in the or-
essence; hence, they are all ultimately unreal. For Asan˙ga and
dinary experience that is the constructed nature. Thus, to see
Vasubandhu, emptiness is the absence of subject-object dual-
“emptiness” or the perfect nature is to see the causal flow of
ity in the mind of the perceiver. Thus, although ultimately
mind as it truly is, namely, utterly devoid of the subject-
real objects do not stand in opposition to some ultimately
object duality that is the constructed nature.
real subject, there remains nevertheless the undeniable fact
A metaphor used in Yoga¯ca¯ra texts is helpful here. Sup-
of consciousness itself.
pose that a magician casts a spell on some stones such that
Asan˙ga and Vasubandhu explain their new notion of
his audience now sees them as elephants. The stones them-
emptiness through the theory of the “three natures”
selves represent the causal flow of mind. Those stones appear
(trisvabha¯va). The usual order of enumeration is: the con-
to the tricked audience as elephants, and this represents the
structed nature (parikalpitasvabha¯va), the dependent nature
constructed nature, namely, the fact that the mind itself (the
(paratrantrasvabha¯va), and the perfect nature (parinis:-
stones) is appearing as something other than the mind (i.e.,
pannasvabha¯va). It is helpful to place the dependent nature
as elephants). The realization of the perfect nature is em-
at the head of this list because the other two—the construct-
bodied by the magician who knows indubitably that he is ac-
ed and the perfect—are actually two different modes of the
tually seeing stones, which are empty of being elephants.
dependent nature. That is, the dependent nature is the causal
By redefining emptiness in this way, Asan˙ga and Vasu-
flow of consciousness itself: it is the sequence of one moment
bandhu respond to a problem in Na¯ga¯rjuna’s thought,
of consciousness produced by its own previous moment and
namely, that he left no clear account of the conventional be-
going on to produce its own subsequent moment. This on-
yond a vague appeal to interdependence. Although they do
going stream of consciousness can appear in two different
not directly quote Na¯ga¯rjuna, Asan˙ga and Vasubandhu seem
modes. For ordinary persons, it appears with a dizzying vari-
disturbed by this vagueness, especially in terms of their con-
ety of sensory and mental objects, and each mental moment
cern for a “basis for affliction and purification” (sam:kle-
except for the deepest sleep is replete with such an object.
´savyavada¯na¯´sraya), that is, an ontological foundation for the
Asan˙ga’s and Vasubandhu’s analysis of mental and sensory
fact that one can be afflicted by ignorance or liberated into
objects, however, demonstrates that none of these objects is
nirva¯n:a. For them, that basis is consciousness itself.
ultimately real. Nevertheless—and this is the key ontological
Turning to the issue of conventional reality, Asan˙ga and
claim—the conclusion that the objects are ultimately unreal
Vasubandhu’s theory of the three natures also enables them
does not adequately account for the fact that those objects
to give a more elaborate account than Na¯ga¯rjuna’s. The con-
are appearing. Instead, one must see that denying the ulti-
ventional for these thinkers consists of the seemingly dualis-
mate, independent reality of those objects is the same as af-
tic experiences that are the constructed nature. These would
firming their conventional, dependent existence within the
include all ordinary perceptions, as when one sees colors such
mind itself. To put it another way, when one sees the color
as red and yellow. Such perceptions are driven by ignorance,
blue, the apparent existence of the blue object as an external,
in that the red and yellow colors seem distinct from the sub-
independent object is false. But the fact that it is appearing
jectivity that perceives them. These perceptions are not
to consciousness is undeniable, and since the Yoga¯ca¯ra analy-
caused by material objects, since matter does not in fact exist.
sis shows that it could not be external and independent of
What, then, could cause such perceptions?
the mind, it must be within the mind itself. Seeing that flow
of mind in that way—namely, as devoid of the apparent sub-
The answer is “foundational consciousness” or a¯laya-
ject-object duality—is to see the perfect nature. Thus all ob-
vijña¯na. Also translated as “storehouse consciousness,” this
jects and all subjects are not distinct, but this is not to deny
form of awareness is entirely unconscious, but within it lie
their reality altogether. Rather, the denial of subject-object
all the “seeds” (b¯ıja) of experience, such as the perceptions
duality still leaves intact the causal flow of mind in which
of a red apple or of yellow corn. When one sees the red apple
all those apparently dualistic experiences are occurring.
or the yellow corn, it is not that one’s perception is caused
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BUDDHISM, SCHOOLS OF: MAHA¯YA¯NA PHILOSOPHICAL SCHOOLS OF BUDDHISM
by some material object. Instead, various circumstances have
plore a central question left unanswered by Asan˙ga and Vasu-
come together to allow the seeds of those perceptions to
bandhu: namely, what is the status of one’s mental content?
ripen. One’s world, in short, is just a projection of mind.
This question may seem abstruse, but it is unavoidable in
Yoga¯ca¯ra thought.
In arguing that the world is a projection of mind, how-
ever, Asan˙ga and Vasubandhu are not proposing some kind
As noted above, on the theory of the three natures, to
of mental monism where everything is reducible to one uni-
see things as they truly are is to see emptiness, and in this
versal mind. Their rejection of monism becomes evident
system this means seeing that the causal flow of mind is ulti-
when one asks: if the world is just a projection of one’s mind,
mately empty of subject-object duality. Hence, when seeing
why is it that a perceptual object (such as an unpleasant
the color red, the color appears to be external to one’s mind,
smell) cannot become something else (the bouquet of a rose)
and it seems that one is “inside” looking out at the world;
merely by the intention of one’s mind to make it so? Part
but these are illusions created by ignorance. In fact, the color
of the answer is the conditioning of each individual’s mind,
and the subjectivity perceiving it are both nothing but occur-
whereby one’s reality is incapable of such radical and imme-
rences in the causal flow of mind itself. By developing a de-
diate alterations. But part of the answer is also the influence
tailed account of perception, Buddhist epistemology uncov-
of an infinite number of other minds. In other words, the
ers an obvious question here that relates to seeing things as
“seeds” that ripen into experiences in one’s own mind have
they truly are, that is, seeing things without the influence of
been created not only by one’s own previous experiences, but
ignorance. Specifically: when one sees the causal flow of
also by the experiences of all the minds of the beings around
mind as empty of subject-object duality, does one still see the
one. This notion of intersubjectivity, which in Yoga¯ca¯ra liter-
color red, for example, but now in some nondualistic way?
ature is tied to the workings of karma, enables the Yoga¯ca¯ra
In other words, if a perception’s duality is produced by igno-
to surpass Na¯ga¯rjuna in their account of the conventional.
rance, does this mean that even its sheer content is also con-
taminated by ignorance?
Later Yoga¯ca¯ra. From the standpoint of traditional
doxography, all Maha¯ya¯na thinkers after Na¯ga¯rjuna, Asan˙ga,
Employing the tools of Buddhist epistemology, some
and Vasubandhu fall into one of two camps: Madhyamaka
later Yoga¯ca¯ra thinkers such as Devendrabuddhi (c. 650 CE)
or Yoga¯ca¯ra. These two schools, however, are retroactively
answer this question by denying that ignorance contaminates
split into several subschools by doxographers in India and
all mental content. In other words, when one is seeing things
Tibet in an attempt to give some structure to the great variety
as they truly are, one is indeed just seeing the mind itself
of debates and disagreements that arise within both Madhya-
empty of subject-object duality, but the perceptual con-
maka and Yoga¯ca¯ra.
tent—such as a color or shape—can still appear in one’s cog-
nition; it is just that one experiences that content as identical
The divergent strands of Madhyamaka and Yoga¯ca¯ra
to the mind. This position develops into the subschool
arise largely in relation to a major development among a
known as “Proponents of True Content” (Satya¯ka¯rava¯da).
group of thinkers that, while not technically forming a
One implication is that, for them, the perceptions of a bud-
“school,” exhibit considerable coherence and continuity.
dha can include the type of content found in the mind of
This new philosophical approach was developed especially by
ordinary persons, with the exception that a buddha’s percep-
the Yoga¯ca¯ra thinkers Digna¯ga (c. 450 CE) and Dharmak¯ırti
tions will be free of subject-object duality.
(c. 625 CE), but Bha¯vaviveka, a Madhyamaka thinker, also
plays a major role. In terms of its overall concern, this new
Other Yoga¯ca¯ra thinkers, such as S´a¯kyabuddhi (c. 675
style of philosophy can be called “Buddhist epistemology,”
CE), take the opposite tack. As “Proponents of False Con-
since its central aim is to give a detailed account of how one
tent” (Al¯ıka¯ka¯rava¯da), they maintain that not just the duality
gains reliable knowledge, and how one justifies one’s claims
of the perception, but even the content itself is contaminated
to knowledge. This epistemic focus arises in part due to in-
by ignorance. Hence, to be free of ignorance and see things
teractions with non-Buddhist thinkers who, at Digna¯ga’s
as they truly are, one must experience the mind itself devoid
time, were well ahead of their Buddhist counterparts in the
not only of duality, but of any perceptual content at all. The
study of such issues. One main topic was the analysis of oral
implications for buddhahood are clear: since a buddha is ut-
arguments, and one way to trump an opponent in debate was
terly free of ignorance and always seeing the world as it truly
simply to point out that his proofs were not well formed.
is, a buddha cannot ever perceive the world that an ordinary
Since formal debates within and between traditions may have
person sees.
been relatively common, Buddhist thinkers needed to come
Later Madhyamaka and levels of analysis. As with
up with their own positions in this regard so as to defend
Yoga¯ca¯ra, Buddhist epistemology also significantly impacts
their arguments against such a tactic.
Madhyamaka thought. After Digna¯ga develops the early
The concern with justification of knowledge, however,
form of Buddhist epistemology, the Madhyamaka thinker
also reflects the ongoing interest of Maha¯ya¯na thinkers in
Bha¯vaviveka applies it to Na¯ga¯rjuna’s arguments. In doing
providing an adequate account of conventional reality. For
so, he critiques the commentator Buddhapa¯lita (c. 500 CE)
example, Buddhist epistemology texts discuss perception in
for failing to employ well-formed proofs or “independent in-
detail, and they thus give Yoga¯ca¯ra thinkers the tools to ex-
ferences” (svatantra¯numa¯na) that follow the rules of Bud-
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BUDDHISM, SCHOOLS OF: MAHA¯YA¯NA PHILOSOPHICAL SCHOOLS OF BUDDHISM
1213
dhist epistemology. Candrak¯ırti (c. 625 CE) later responds
the natural conclusion to an analysis that even Vaibha¯s:ikas
to Bha¯vaviveka, and he does so by claiming that by insisting
and Sautra¯ntikas accept. This technique, which clearly rests
on well-formed arguments Bha¯vaviveka is introducing a sub-
on the notion of “skill in means” discussed above, creates le-
tle form of essentialism into Na¯ga¯rjuna’s critique of essence.
vels of analysis within Dharmak¯ırti’s work, and it enables
him to address multiple audiences with great ease. Later
Candrak¯ırti’s critique addresses a basic principle in
Madhyamaka thinkers, most prominently S´a¯ntaraks:ita and
Buddhist epistemology: in order for a proof to be well
Kamala´s¯ıla (both c. 750
formed, the entity that is being analyzed must be perceptible
CE) employ this method in nearly
all their works, with the exception that their highest level of
to both participants in the debate. For example, to present
analysis is not Yoga¯ca¯ra, but rather Madhyamaka. Their use
a well-formed proof that a chair is not ultimately real, the
of levels of analysis also enables later Indian Madhyamakas
chair itself must be perceptible to the person presenting the
to speak with greater precision and coherence about the rela-
proof and to the person that is the target of the proof. Hence,
tions among various schools of Buddhist thought, and it in-
when Bha¯vaviveka refutes essentialist positions by using well-
spires the Tibetan doxographical enterprise that has encour-
formed proofs, he must maintain that both he and his essen-
aged the study of Maha¯ya¯na thought in terms of schools.
tialist opponent can perceive the entity that they are discuss-
ing. On Candrak¯ırti’s view, however, a Madhyamaka think-
SEE ALSO Abhinavagupta; A¯laya-vijña¯na; Asan˙ga; Buddhist
er should not use this procedure because it would require
Books and Texts; Buddhist Philosophy; Dharmakirti;
him to agree that the entity has some form of independent
Digna¯ga; Ma¯dhyamika; Mahasamghika; Na¯ga¯rjuna; Sakya
existence, and such an admission is anathema to a Madhya-
Pandita (Sa skya Pandita); S´u¯nyam and S´u¯nyata¯; Vasu-
maka.
bandhu.
Although it is not usually expressed in this way, the up-
shot of Candrak¯ırti’s criticism is that a Madhyamaka thinker
BIBLIOGRAPHY
cannot fully inhabit the same perceptual world as the essen-
Anacker, Stefan. Seven Works of Vasubandhu: The Buddhist Psycho-
tialist that he is critiquing. To do so would require that both
logical Doctor. Delhi, 1984. A translation of several major
the Madhyamaka and the opponent see the same thing, and
texts in the Yoga¯ca¯ra tradition.
this would require that the thing in question be somehow
Burton, David F. Emptiness Appraised: A Critical Study of
independent of the minds that are perceiving it. Being inde-
Na¯ga¯rjuna’s Philosophy. Richmond, U.K., 1999. A useful cri-
pendent in that fashion, the thing would be essentially real,
tique of Na¯ga¯rjuna.
albeit in a subtle way. Candrak¯ırti therefore maintains that
Dreyfus, Georges, and Sara L. McClintock, eds. The
the only proper method for a Madhyamaka is to point
Sva¯tantrika-Pra¯san˙gika Distinction: What Difference Does a
out the “unacceptable consequences” (prasan˙ga) that follow
Difference Make? Boston, 2002. Focuses on the debate be-
from the opponent’s position, rather than attempting to
tween the two forms of Madhyamaka thought.
present arguments based upon what both the Madhyamaka
Dunne, John D. Foundations of Dharmak¯ırti’s Philosophy. Boston,
and his opponent can perceive.
2004. A study of the major figure in Buddhist epistemology,
including a discussion of levels of analysis.
Tibetan doxographers coin terms to categorize these two
streams of Madhyamaka thought. Those who follow
Garfield, Jay L., trans. and commentator. The Fundamental
Wisdom of the Middle Way: Na¯ga¯rjuna’s Mu¯lamad-
Bha¯vaviveka in his use of Buddhist epistemology are called
hyamakaka¯rika¯. Oxford, 1995. A complete translation of
Sva¯tantrika, that is, those who use well-formed inferences in
Na¯ga¯rjuna’s main text along with a philosophical commen-
their arguments. And thinkers who follow Candrak¯ırti are
tary.
known to the Tibetans as Pra¯san˙gika, namely, those who
Kapstein, Matthew. Reason’s Traces: Identity and Interpretation in
argue by pointing out unacceptable consequences.
Indian and Tibetan Buddhist Thought. Boston, 2001. In-
For most Tibetan doxographers, Candrak¯ırti’s
cludes a set of essays on the issue of identity along with an
Pra¯san˙gika subschool is the highest form of Madhyamaka,
important piece on the notion of “Buddhist philosophy.”
but historically Bha¯vaviveka’s use of Buddhist epistemology
Nagao, G. M. Ma¯dhyamika and Yoga¯ca¯ra, a Study of Maha¯ya¯na
became the norm for Indian Madhyamaka thinkers. Part of
Philosophies: Collected Papers of G. M. Nagao Edited by L. S.
the reason for the enthusiastic adoption of Buddhist episte-
Kawamura. Albany, N.Y., 1991. Includes an especially useful
mology by later Madhyamakas may well have been their in-
essay on Yoga¯ca¯ra entitled “What Remains in S´u¯nyata¯.”
terest in a strategy first employed systematically by the Bud-
Ruegg, David Seyfort. The Literature of the Madhyamaka School
dhist epistemologist Dharmak¯ırti. Dharmak¯ırti develops
of Philosophy in India. Wiesbaden, Germany, 1981. An ex-
Buddhist epistemology in such a way that he can readily
haustive history of the Madhyamaka school in India, includ-
argue from multiple philosophical perspectives; indeed, large
ing some information on Yoga¯ca¯ra thinkers.
portions of his texts can be accepted equally well by
Williams, Paul, and Anthony Tribe. Buddhist Thought: A Com-
Vaibha¯s:ika, Sautra¯ntika, and Yoga¯ca¯ra thinkers.
plete Introduction to the Indian Tradition. London, 2000. An
Dharmak¯ırti is thus able to establish a common ground for
accessible presentation of Maha¯ya¯na thought structured in
debate and then introduce a wrinkle into his argument that
terms of the four schools.
suddenly points to a uniquely Yoga¯ca¯ra concept as if it were
JOHN D. DUNNE (2005)
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1214
BUDDHISM, SCHOOLS OF: TANTRIC RITUAL SCHOOLS OF BUDDHISM [FIRST EDITION]
BUDDHISM, SCHOOLS OF: TANTRIC RITUAL
gin of Tantrism per se. The first textual evidence of this cur-
SCHOOLS OF BUDDHISM [FIRST EDITION]
rent is found in chapters bearing the title dha¯ran:¯ı (a kind of
[This entry was originally titled “Buddhism, Schools of: Esoteric
mantra) within certain Maha¯ya¯na scriptures. The ninth
Buddhism” in the first edition of the Encyclopedia.]
chapter of the Lan˙ka¯vata¯ra Su¯tra (fourth century CE), for ex-
ample, is devoted to magical formulas of supposedly mean-
Buddhist esotericism is an Indian movement obscure in
ingless sounds, which, when recited for one hundred and
its beginnings. Combining yoga and ritual, it calls itself the
eight times, are claimed to ward off demons. The earliest
Diamond Vehicle (Vajraya¯na)—where diamond means “the
Tantras are those that still give a leading role to S´a¯kyamuni,
unsplittable”—or the Mantra Vehicle (Mantraya¯na)—where
the historical founder of Buddhism, perhaps placing him at
mantra means “magical speech.” The revealed texts of the
the center of a man:d:ala. By comparing the names of the five
tradition are called tantra, in contrast to su¯tra (the generic
Buddhas in the Durgatipari´sodhana Tantra (i.e., Vairocana,
name of the non-Tantric Buddhist scriptures), but both
Durgatipari´sodhana, Ratnaketu, S´a¯kyamuni, and Sam:ku-
these words have the implication “thread” or “continuous
sumita) with those of the five Buddhas of the Maha¯ka-
line.” In the case of the Tantras, the “continuous line” can
run:a¯garbha Man:d:ala, which is derived from the Vairo-
be understood in various ways: the lineage of master-disciple,
cana¯bhisam:bodhi Tantra (i.e., Maha¯vairocana, Dundub-
the continuity of vows and pledges in the practitioner’s
hinirghos:a, Ratnaketu, Amita¯yus, and Samkusumitara¯ja)
stream of consciousness, or the continuity of practice leading
and with the five of the Vajradha¯tu Man:d:ala, derived from
to a religious goal.
the Tattvasam:graha Tantra (i.e., Maha¯vairocana, Aks:obhya,
Much of Tantric literature is ritualistic in nature, mani-
Ratnasambhava, Amita¯bha, and Amoghasiddhi), we can ob-
festing Brahmanic influence by the use of incantations (man-
serve that the name S´a¯kyamuni is still employed in the earli-
tra) and the burnt offering (homa), both of which were em-
est Tantras but is later replaced by the name Amita¯yus, and
ployed for magical purposes as far back as Vedic times.
finally by Amita¯bha, resulting in the standard set of Buddha
Similarly, the notion of the “five winds” found in certain of
names of later times.
the Tantras dates back to some of the Upanis:ads. Many of
the hand gestures and foot stances of Buddhist Tantric prac-
Between the third and the eighth centuries, these cults,
tice are also found in Indian dance. However, as specifically
with their “revealed” scriptures, were transmitted secretly
Buddhist Tantras, such texts are colored both by Buddhist
from master to disciple, but by the eighth and ninth centu-
theories and practices and by the typical terminology of
ries a remarkable change had occurred in the fortunes of
Maha¯ya¯na Buddhism. These texts regularly employ such an-
Buddhist Tantrism. Evidence of the growing influence of the
cient Buddhist formulations as the triad body, speech, and
movement may be seen in the fact that a king called Great
mind, and draw upon such common Maha¯ya¯na notions as
Indrabhu¯ti of Ud:d:iya¯na is said to have been initiated into
the pair “means” (upa¯ya) and “insight” (prajña¯). The Tantras
the Tantric mysteries at about this time. Other important ev-
accept the old Buddhist ontology of three worlds filled with
idence of the growth of the tradition is found in the texts of
deities and demons, and contribute the premise that one can
the period. Whereas the revealed Tantric works of earlier
relate to these forces by ritualistic manipulation of one’s na-
centuries were written in strict anonymity and attributed to
ture (body, speech, and mind), thereby attaining “success”
divine authorship, now historical figures begin to attach their
(siddhi) in such mundane forms as appeasing the deities, or
names to commentarial literature. Buddhaguhya (second
the supermundane success of winning complete enlighten-
half of the eighth century) wrote learned commentaries on
ment (Buddhahood), possibly in a single lifetime. The old
the three Tantras mentioned above. A host of commentaries
Buddhist terminology “son or daughter of the family,” here
also arose on the Guhyasama¯ja Tantra and the
the Buddhist family, was extended to refer to Buddha fami-
S´r¯ı-Cakrasam:vara Tantra cycles by such celebrated writers
lies. Initially, the texts propose a triad of three Buddhas or
as Saraha and the Tantric Na¯ga¯rjuna (author of the Pañ-
Tatha¯gatas: Vairocana, Amita¯bha, and Aks:obhya. Later, Rat-
cakrama). While some Tantric works had been translated in
nasambhava and Amoghasiddhi are added to make up a fam-
Chinese earlier, it was not until the eighth century that Tan-
ily of five, and Vajrasattva to make a family of six. A supreme
trism would take hold in China, owing largely to the efforts
Buddha, referred to variously as Maha¯-Vajradhara, Heruka,
of the monk Vajrabodhi and his disciple Amoghavajra. Their
or A¯dibuddha (“Primordial Buddha”), is also mentioned.
kind of Tantrism was transmitted to the talented Japanese
But the texts do not use the term “Dhya¯ni Buddhas” that
monk Ku¯kai (posthumously called Ko¯bo¯ Daishi, 774–835),
is sometimes found in Western books on the subject.
who introduced to Japan an elaborate cult based on the “two
Tantras,” the Vairocana¯bhisam:bodhi and the Tattvasam:-
INFLUENCE IN TIME AND PLACE. Buddhist Tantrism appears
graha. This cult, a fusion of art, mysterious rituals, colorful
to have originated in eastern India and to have been trans-
costumes, religious music, and handsome calligraphy, would
mitted orally in private circles from around the third century
have a great cultural impact on Japan.
CE. When we speak of the period of the origination of the
tradition, however, we refer only to that era in which Bud-
In this period certain Tantras were also translated into
dhist Tantras arose in syncretism with an already extant lore
Tibetan. Tibet eagerly embraced these cults, and in time
non-Buddhist in character, and not to some hypothetic ori-
would produce native works on the most popular Tantras.
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While a vast number of Tantric texts was translated into Ti-
called the Carya¯giti. Other well-known Tantras include
betan, a lesser amount was preserved in Chinese translation.
the Mañju´sr¯ı-mu¯la-kalpa (a Kriya¯ Tantra), the Sarvadur-
Chinese Buddhism generally disliked the Tantras, partly for
gatipari´sodhana (a Yoga Tantra), and the Mañju´sr¯ı-na¯ma-
their intricate ritualism, but more for the sexual symbolism,
sam:giti, which was commented upon both as a Yoga Tantra
offensive to the Chinese mind, found in Tantras such as the
and as an Anuttarayoga Tantra.
Guhyasama¯ja. In Java, construction of the Borobad:ur monu-
The editor of the Tibetan canon, Bu ston (1290–1364),
ment, begun in the eighth century, shows Tantric influence
arranged the Tantras in their respective four classes according
in its use of man:d:alas at its central stupa. It is also known
to a theory that in order for a Tantra to be a Buddhist one,
that At¯ı´sa, who arrived in Tibet in 1042 and became a tow-
it should be in some Buddhist family, headed by one of the
ering figure in Tibetan Buddhism, had earlier studied for
Buddhas. In the case of the Anuttarayoga Tantras, the Moth-
twelve years in the celebrated Tantric college of S´r¯ıvijaya
er Tantras were classified under one or another of seven Bud-
(now part of Indonesia). Thus it is clear that after the eighth
dhas, in order: “Teacher” (Tib., ston pa, probably referring
century, Buddhist Tantrism was strongly entrenched in east-
to Vajrasattva), Heruka (i.e., Aks:obhya), Vairocana, Vajra-
ern India from Bengal north, had advanced to Nepal and
prabha (i.e., Ratnasambhava), Padmanarte´svara (i.e.,
Tibet, flourished for a time in China, became highly influen-
Amita¯bha), Parama¯´sva (i.e., Amoghasiddhi), and Vajradhara.
tial in Japan, and would establish a great school in the “Gol-
The S´r¯ı-Cakrasam:vara and the Hevajra were included under
den Isles” (Indonesia).
Heruka. The Father Tantras were classified under six Bud-
Tibet became an extraordinary center for Tantrism as
dhas, identical to those used to classify the Mother Tantras
well as the major storehouse of Tantric literature. The Indian
except that the first, “Teacher,” is omitted. The Guhyasama¯ja
guru Na¯ ro pa (956–1040?) was an important link in this de-
Tantra was classified under Aks:obhya and the Yama¯ri (or
velopment. It was Na¯ ro pa who transmitted Buddhist es-
Yama¯ntaka) Tantra under Vairocana. The Mañju´sr¯ı-
otericism to the translator Mar pa, who in turn taught it to
na¯ma-sam:g¯ıti Tantra and the Ka¯lacakra Tantra were not in-
the poet Mi la ras pa. Thereafter, from this lineage arose the
cluded in this classification, presumably because they were
Bka’ brgyud pa school, continuing the Great Seal
classed under A¯dibuddha, “Primordial Buddha.”
(maha¯mudra¯) teachings and the six yoga doctrines that had
In the case of the Yoga Tantras, the basic scripture,
been taught by Na¯ ro pa. In modern times, the Tibetan trag-
called Tattvasam:graha, is itself divided into four sections cor-
edy has resulted in a number of Tibetan monk refugees trans-
responding to four Buddha families. Explanatory Tantras of
planting their Tantric lineages to Europe and the United
the Yoga Tantra class could thus be classed in one of those
States.
four sections or families, or could emphasize either “means”
BUDDHIST TANTRIC LITERATURE. The Tibetan canon classi-
(upa¯ya) or “insight” (prajña¯). For example, the Parama¯dya
fies the Tantras into four groups, the Kriya¯ Tantras, the
is classed chiefly as an “insight” scripture.
Carya¯ Tantras, the Yoga Tantras, and the Anuttarayoga Tan-
tras. The translations of the revealed Tantras were included
The Carya¯ Tantras were classified under three Buddha
under the four headings in a section of the canon called the
families, the Tatha¯gata family (under Vairocana), the Padma
Bka’ ’gyur (Kanjur); the commentaries are grouped in a sec-
family (under Amita¯bha), and the Vajra family (under
tion of exegetical works called the Bstan-’gyur (Tanjur). The
Aks:obhya). The Vairocana¯bhisam:bodhi is classed under the
Sino-Japanese canon does not so group them. In the Tibetan
Tatha¯gata family; the Vajrapa¯n:yabhis:eka is classed under the
canon, the two chief works of the Japanese Tantric school
Vajra family; but the Padma family has no corresponding
(Shingonshu¯), the Vairocana¯bhisam:bodhi and the
text among the Carya¯ Tantras.
Tattvasam:graha, are the principal works of the Carya¯ and
The arrangement of the Kriya¯ Tantras is rather compli-
Yoga Tantras, respectively. The Hevajra Tantra and the
cated. Using the same three families that govern the Carya¯
Guhyasama¯ja Tantra, works well known to Western scholars,
Tantras, the Kriya¯ Tantras make further subdivisions for the
belong to the Anuttarayoga Tantra class, and are respectively
Lord of the Family, the Master, the Mother, Wrathful Dei-
a “Mother” and a “Father” Tantra of this class. The status
ties, Messengers, and Obedient Ones. In addition, the
of the popular Ka¯lacakra Tantra, definitely an Anuttarayoga
Tatha¯gata family is subdivided into Us:n:¯ıs:a, Bodhisattvas,
class text, has been disputed. There is also a host of small
and Gods of the Pure Abode. For example, the
works called sa¯dhana, which set forth methods of evoking a
Suvarn:aprabha¯sottama, which was also quite popular as a
given deity. The Sa¯dhanama¯la¯ is a well-known collection of
Maha¯ya¯na su¯tra, is included under the Mother of the Tan-
such works. Since in the Tantric tradition deities are arrayed
tras family. The Kriya¯ Tantras also include a category
in designs called man:d:alas, there are also treatises devoted to
“Worldly Families” as well as “General” Kriya¯ Tantras, a cat-
man:d:alas and their associated rituals. The Nis:pannayoga¯val¯ı
egory that includes the Suba¯huparipr:ccha¯.
is a work on twenty-six of these man:d:alas. During the last
period of Buddhism in India the popularity of Tantrism gave
Naturally, there was always a considerable degree of ar-
rise to a group of Tantric heroes called maha¯siddhas (“great
bitrariness in such categorizations; in fact, certain Tantras
adepts”), and tales were compiled concerning their superhu-
had a disputed status. The traditions carried to Tibet also
man exploits. Their Tantric songs are collected in a work
classified the four divisions of Tantras according to their re-
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spective deities and according to the preferences of the
(1) the invariant sense (aks:ara¯rtha), or literal meaning; (2)
human performers. When classed in terms of deities, the di-
the shared sense (samasta¯n˙ga¯rtha), or sense of the text that
vision reflects degrees of courtship: laughing for the Kriya¯
is shared either with non-Tantric traditions or with Tantras
Tantras, mutual gazing for the Carya¯ Tantras, holding hands
of the three lower classes; (3) the pregnant sense (garb-
for the Yoga Tantras, and the pair united for the Anuttarayo-
hyartha), by which is meant a meaning that either clarifies
ga Tantras. When arranged according to human performers,
the doctrine of lust (ra¯gadharma), reveals conventional truth
the respective preference for outer ritual or inner sama¯dhi is
(samvr:tisatya), or considers the three gnoses (jña¯natraya;
the determining factor. Kriya¯ Tantras appeal to those with
i.e., Light, Spread of Light, Culmination of Light); and
a preference for ritual over sama¯dhi. In the Carya¯ Tantras,
(4) the ultimate sense (kolika¯rtha), or the one that clarifies
ritual and sama¯dhi are balanced; in the Yoga Tantras sama¯dhi
the Clear Light (prabha¯svara) or reveals the paired union (yu-
prevails over ritual; and in the Anuttarayoga Tantras sama¯dhi
ganaddha).
alone is the requisite practice. An unorthodox explanation
Equally important, the Tantras frequently use language
of these four classes is found in Smr:ti’s commentary on the
that is deliberately obscure. In the Anuttarayoga Tantras this
Vajravida¯ran:a¯-na¯ma-dha¯ran:¯ı (Kriya¯ Tantra, Master of the
kind of arcane language is called sandhya¯bha¯s:a¯, frequently
Family class). This author claims the four classes correspond
rendered “twilight language” or “intentional language.” In
to four kinds of Buddhist followers and the way in which
this highly metaphoric idiom the term “Diamond Body”
they “cleanse with voidness.” For the ´sra¯vakas (i.e.,
(vajraka¯ya) is used to refer to menstrual blood, “Diamond
H¯ınaya¯na monks) external cleansing purifies the body. For
Speech” (vajrava¯k) to refer to semen, and “Diamond Mind”
the pratyekabuddhas (r:s:is, “seers”) inner cleansing purifies
(vajracitta) to refer to scented water. Clearly, Tantric lan-
speech. For the Yoga¯ca¯ras (the Mind Only school) secret
guage does not conform to our expectations of ordinary ex-
cleansing purifies the mind, and for the Ma¯dhyamikas “reali-
pository writing, where the clearer text is considered “better.”
ty cleansing” with a diamondlike sama¯dhi unifies body,
In no other Buddhist tradition do the texts strive deliberately
speech, and mind.
to conceal their meaning. But the Tantras have a synthetic
THE LANGUAGE OF BUDDHIST ESOTERICISM. Opponents of
character that combines such standard, and non-esoteric,
the Tantras have based their condemnations on what they
practices as the contemplation of voidness (´su¯nyata¯) with
read in such works. Since works of the Anuttarayoga Tantra
special secret practices all their own. The most basic meaning
class, the Hevajra and Guhyasama¯ja Tantras in particular, are
of “secret” in the Tantric tradition is that its theories and
still preserved in the original Sanskrit, modern scholars have
practices should be kept secret from those who are not fellow
consulted these for their conclusions about Tantrism and are
initiates, that is, from those who have not obtained initiation
usually unable to consult the Tibetan or Sino-Japanese ver-
(abhis:eka) or taken vows (samvara) and pledges (samaya).
sions of a wide range of Tantras. Some scholars accordingly
When these works explain the term “secret” (usually guhya
have referred to Buddhist Tantrism by names such as the
in Sanskrit), they apply it to certain things that owe their se-
Va¯ma¯ca¯ra (“left-handed path”) or the Sahajaya¯na (“together-
crecy to being inward or hidden, like the secret of female sex-
born path”), but the Tantras themselves do not use such
uality. A list of secret topics in this literature would comprise
terms, and in fact such designations fail to throw light on
states of yoga, the circle of deities, and other experiences that
their contents. It should be recognized that the followers of
are not accessible to ordinary consciousness and cannot be
the Tantric cults, including many Tibetan monks, would
appreciated by the thoroughly mundane mind. Accordingly,
never presume to interpret a Tantra from the language of the
it was never maintained that a person with initiation into a
revealed text alone. These invariably require the assistance of
Tantric cult had thereby experienced such esoteric matters.
a commentary, perhaps one written by their guru. On such
Rather, it continues to be held that someone who had gone
grounds a number of Tantras translated into Tibetan have
through such a ritual establishes a bond with a guru who will
traditionally been considered “off-limits” precisely because
supply the lore of the particular Tantra and guide the disciple
they were not transmitted with their “lineage,” the authorita-
in its practice. Tantric language shares with many other Indi-
tive explanation, or with “permission” (anujña¯) to evoke the
an works a difficulty of interpretation. The compact style of
deity of the Tantra. Commenting on the Guhyagarbha Tan-
Indian philosophical treatises, for example, is the cause for
tra, the Tantric L¯ılavajra observes that the literal interpreta-
much dispute over their meaning. The Tantras compound
tion of Tantric texts is the basis for misunderstanding them
this difficulty by the very nature of their contents, making
and practically admits that some of his contemporaries not
interpretation of the texts all the more difficult.
only misunderstand the texts but also appeal to them in order
TANTRIC PRACTICE AND ANALOGICAL THINKING. Tantric
to justify their own corrupt practices. In the same way, mod-
practice aims at relating man to supramundane forces or dei-
ern authors who are outsiders to the cult assume that the lit-
ties. In so doing, it makes use of two widely disparate systems
eral meaning is the only meaning, and thus wrongly explain
of analogy. One procedure associates man and the divine by
fragments of Tantras available to them.
means of rules applicable to all practitioners. The other pro-
A commentary on the Guhyasama¯ja Tantra by the Tan-
cedure assigns persons to one or another Buddha family ac-
tric Candrak¯ırti sets forth four kinds of explanation of the
cording to the dominant personality traits of the individual
sense of a given passage (cf. Wayman, 1977, pp. 116–117):
practitioner. In terms of the four divisions of the Tantras,
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the first two, the Kriya¯ and Carya¯, make use of the first sys-
night. The individual performer must pass ritually through
tem. The latter two, the Yoga and Anuttarayoga, generally
the six syllables. The situation is comparable to the youth
employ the second. Each approach has its supporters who
Sudhana’s tenure of study under many different teachers in
claim that it provides a way to become a sam:buddha
sequence, as portrayed in the Gan:d:avyu¯ha Su¯tra (part of the
(“complete Buddha”).
Avatam:saka).
A preeminent Tantra of the first kind is the Vairo-
The second analogical system is formulated in the Yoga
cana¯bhisam:bodhi. This Tantra stresses the basic triad Body,
Tantra Tattvasam:graha. It consists of four sections. Persons
Speech, and Mind—the “three mysteries” of the Buddha—
of different predominant vices in their stream of conscious-
and the prescribed practices by which certain attainments
ness are affiliated respectively with these sections, each pre-
may be generated. Here, the human performer affiliates with
sided over by a Buddha. The commentator Buddhaguhya ex-
the Body by means of hand gestures (mudra¯); with the
plains that the fourth of these sections results from a merger
Speech by means of incantations (mantra); and with the
of the Ratna family (as agent) and the Karman family (as the
Mind by means of deep concentration (sama¯dhi), especially
fulfilling action), but for convenience, the Tattvasam:graha
on the man:d:ala. In this Tantra, the transcendental Buddha
usually mentions only Ratnasambhava as the presiding Bud-
is Maha¯vairocana, and the human Buddha is S´a¯kyamuni.
dha here. The correlation of persons with particular Buddha
This correspondence agrees with the division of the bodies
families indicates which of the predominant mind-based
of the Buddha into dharmaka¯ya and ru¯paka¯ya that is found
vices is to be eliminated by the “purification path” of the par-
in early Maha¯ya¯na Buddhism. In the same light, Ku¯kai, the
ticular Buddha family. Each of the four paths in turn requires
founder of the Japanese Shingon school, explicitly identifies
four kinds of mudra¯ (“seal”), but each path emphasizes one
Maha¯vairocana with the dharmaka¯ya. It is noteworthy that
of the four and subordinates the other three. The first path
the practice in the Carya¯ Tantra, in fact the practice based
emphasizes the Great Seal (maha¯mudra¯); the second, the
on the Vairocana¯bhisam:bodhi, has a twofold basis: “yoga with
Symbolic or Linkage Seal (samayamudra¯); the third, the
images” and “yoga without images.” In the former, one con-
Dharma Seal (dharmamudra¯); and the fourth, the Action
templates the inseparability of “self reality” (a¯tmatattva) from
Seal (karmamudra¯). The paths have been expanded by the
“deity reality” (devata¯tattva), and in sequence the performer
addition of four corresponding man:d:alas.
meditatively generates himself into Vairocana with one face
and two hands, making the sama¯patti mudra¯ (“seal of equi-
According to Mkhas grub rje’s Fundamentals of the Bud-
poise”). The process is called the “subjective ground.” The
dhist Tantras the practice of these purificatory paths com-
performer then contemplates the Buddha Vairocana, like
mences with an effort by the practitioner to generate the
himself, in front of himself. This step is termed the “objective
Symbolic Being, the practitioner’s own symbolization of the
ground.”
deity with whom he has established a link or bond. One then
draws in (usually through the crown of the head) the Knowl-
In the “yoga without images” the mind is understood
edge Being (jña¯nasattva), the deity in the absolute sense, who
to have two sides, one mundane-directed (the manas face),
is usually said to emanate “from the sky.” Mkhas grub rje ex-
the other supramundane-directed (the buddhi face). Upon
plains: “The purpose of executing the seals of the Four Seals
reaching the limit of “yoga with images” one perceives as
is to merge and unify the body, speech, mind, and acts of
though before the eyes a configuration of the body of the
the Knowledge Being with the body, speech, mind, and acts
deity on the mundane-directed side of the mind. The practi-
of the Symbolic Being. There would be no foundation for
tioner then follows this with a contemplation in which the
merger if either were present by itself.”
deity body appears as a bright illusion on the supramundane-
directed side of the mind. Through this process one achieves
The Japanese school of Tantra called Shingon is based
the same result as do practitioners of the early Buddhist med-
on the Vairocana scripture (mainly its first chapter) and the
itations on “calming the mind” (´samatha) and “discerning
Tattvasam:graha (mainly its first section, “The Diamond
the real” (vipa´syana¯). This approach is directed to an ulti-
Realm”). Thus, this school ignores the real clash between
mate goal indicated by the term “arising of the Tatha¯gata,”
these two scriptures. Shingon employs two man:d:ala realms,
and chapters bearing this title are found both in the
that of the Vajradha¯tu Man:d:ala (Jpn., Kongo¯kai), an un-
Vairocana¯bhisam:bodhi and in the Maha¯ya¯na scripture collec-
changing “diamond” knowledge realm derived from the
tion called the Avatam:saka Su¯tra. The multiple Buddhas in
Tattvasam:graha, and that of the Maha¯karun:a¯garbha
this tradition of Tantric analogies are on the mental level;
Man:d:ala (Jpn., Taizo¯-kai), the changing realm of becoming
they may also be understood to refer indiscriminately to “all
that makes possible the “arising of the Tatha¯gata.” This latter
Buddhas” rather than to particular Buddha families.
man:d:ala is derived from the Vairocana scripture. In the ter-
minology of Tibetan Tantrism, this theory and practice of
The fasting cult of Avalokite´svara, which uses the man-
becoming a Buddha is classified as Carya¯ Tantra because the
tra “Om: mani padme hu¯m:,” employs a similar system of
scripture from which the Maha¯karun:a¯garbha Man:d:ala de-
analogies. The famous six-syllabled formula is correlated
rives is so classified. This is so because there is no attempt
with six Buddhas, six colors, and six realms of sentient be-
here to relate performers to particular Buddha families ac-
ings. It is also recited during six times of the day and the
cording to dominant fault as is the case in the Yoga Tantras.
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The Yoga Tantra Tattvasam:graha serves here to add a further
of “bliss-void,” and the implication that the initiation takes
dimension of knowledge in the form of commentarial addi-
place in the cakras of the body (those centers ranged along
tions and related practices, so as to preserve consistency be-
the spine but said to exist as well in a subtle body). Treatises
tween the two man:d:ala (Jpn., mandara) cycles.
such as that by Mkhas grub rje distinguish between a
karmamudra¯ (the female partner) and a jña¯namudra¯ (“seal
The Anuttarayoga Tantras continue the procedure of
of knowledge”). The insight-knowledge initiation involves a
the Yoga Tantras, and, in the Father Tantras, allot distinct
sequence of four joys (a¯nanda) associated with the downward
character to the five Buddhas for the purpose of a fivefold
progress of the “melted white element”: descending from the
correspondence with five different kinds of persons. The
forehead to the neck there is joy; descending to the heart
Mother Tantras of this class raise the correspondences to six.
there is “super joy” (parama¯nanda); descending to the navel
The Anuttarayoga Tantras also have a basic division into two
there is the “joy of exhaustion” (virama¯nanda); and upon
stages, a stage of generation (utpattikrama) and a stage of
reaching the sex center there is “together-born joy”
completion or consummation (sam:pannakrama). Indeed, the
(sahaja¯nanda), on which occasion the element is not to be
stage of generation overlaps the Yoga Tantra by way of what
emitted. If we are to assume that the element in question is
it calls the “three sama¯dhis,” named “preliminary praxis,”
indeed semen, how was it able to descend from the forehead?
“triumphant man:d:ala,” and “victory of the rite.” Tsong kha
pa’s Snags rim chen mo (Great treatise on the mantra path)
There is also an Anuttarayoga Tantra explanation of the
elucidates the stage of generation in terms of six consecutive
“four seals,” but it differs from that found in the Yoga Tan-
members, each of which corresponds to one of the three
tras. In the Anuttarayoga Tantra, two separate sequences of
sama¯dhis. These three sama¯dhis can be used as a classification
mudra¯ are employed, one for the stage of generation, the
in Yoga Tantra practice as well. In fact, when generalized,
other for the stage of completion. These are discussed in
the three are the three parts of every Buddhist Tantric ritual:
chapter 36 of the Mother Tantra S´r¯ı-Cakrasam:vara and in
the preliminaries, the main part, and the concluding acts.
Tson˙g kha pa’s commentary to this text, the Sbas don. For
the stage of generation the sequence is as follows:
The second stage of the Anuttarayoga Tantra, the “stage
of completion,” deals with more concrete matters like the
1. Karmamudra¯: one imagines the external prajña¯ woman
centers in the body (cakras) and five mysterious winds (first
in the form of an attractive goddess.
mentioned centuries earlier in the Cha¯ndogya and other
2. Dharmamudra¯: sacred seed syllables such as hu¯m: are
Upanis:ads). This stage comprises a six-membered yoga
imagined in that body.
(s:ad:an˙gayoga), also classified in five steps (pañcakrama). The
3. Samayamudra¯: the radiation from the seed syllables is
five steps are accomplished in members three through six,
drawn back together in the circle of the completed
while the first and second members represent a link with the
man:d:ala.
stage of generation.
4. Maha¯mudra¯: one imagines oneself as having the body
The Anuttarayoga Tantras also contain passages on the
of the principal deity.
“higher initiations,” the practice of which includes elements
The version for the stage of completion reverses the position
often referred to by modern writers as “sexo-yogic.” Briefly
of the samayamudra¯ and the maha¯mudra¯.
speaking, these have to do with worship of the female, and,
Particularly worthy of note is the difference in the de-
perhaps, a rite of sexual union in which the male performer
scription of the prajña¯ woman in the stage of generation and
does not emit semen. Before attempting any explanation of
in the stage of completion. In the former, the practitioner
this topic, it would be well to mention that historically there
approaches the prajña¯ woman only through his imagination,
were lay as well as renunciant Tantrics, just as there were lay
that is, he imagines that she is a goddess with radiating germ
as well as renunciant bodhisattvas in the Maha¯ya¯na tradition.
syllables in her body. He imagines drawing back the radia-
Among the Tibetan sects that practice Tantrism, it is only
tion into his own body as a man:d:ala, and finally imagines
the Dge lugs pa that observes the Vinaya code of monastic
himself as the chief deity. In the stage of completion this
morality. This does not mean, however, that the Dge lugs
woman can confer concrete joy in the four degrees of court-
pa practices a “cleaned-up” Tantrism with the objectionable
ship previously mentioned in correlation with the four classes
passages expurgated from the texts. As we have noted before,
of Tantras (laughing, mutual gazing, holding hands, the two
it is not necessary to read the Tantras in the literal manner
united). But there is also another prajña¯ woman, the one of
without benefit of commentaries, as some modern scholars
the central channel (among the three said to be in the posi-
are wont to do.
tion of the spine). When the texts speak of a prajña¯ consort,
The four initiations (abhis:eka) of the Anuttarayoga Tan-
which one is intended? Na¯ ro pa has some important infor-
tras begin with the “initiations of the flask,” rites taken in
mation about this in his commentary on the Hevajra Tantra.
common with the three lower classes of Tantras. To this is
He cites a verse from the Mañju´sr¯ı-na¯ma-sam:giti (10.14) re-
added a “secret initiation,” an “insight-knowedge initiation,”
ferring to the four mudra¯s, and gives their order in agreement
and an initiation known as the “fourth” (also called aks:ara,
with the stage of completion described above, substituting
denoting “syllable” or “the incessant”). The secret initiation
jña¯namudra¯ for dharmamudra¯. He then makes this revealing
involves a mysterious “red and white element,” an experience
statement:
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: TANTRIC RITUAL SCHOOLS OF BUDDHISM [FIRST EDITION]
1219
The karmamudra¯ [i.e., the external woman] is the caus-
5. Offerings: offerings to the gods; offerings to the guru
al one, being initial, from which there is the together-
born [sahaja] non-transiting joy. While this is indeed
6. Permission and Drawing Together: conferral of permis-
a truth [satya], there are two truths [conventional and
sion on the disciple to invoke the deity; drawing togeth-
ultimate], and [the prajña¯ woman of the karmamudra¯]
er of the deities who are in the man:d:ala
is true in a conventional sense, like a reflection in a mir-
ror, but is not true in the absolute sense. Thus, one of
7. Concluding Acts: release of the magic nail, that is, dis-
keen intelligence should not embrace the karmamudra¯.
missal of the deities along with a burnt offering (homa)
One should cultivate the jña¯namudra¯ by such means as
In order to work, each of these rituals must be accompanied
purifying the personal aggregates [skandhas], elements
by an intense awareness, referred to as sama¯dhi, that could
[dha¯tus], and sense bases [a¯yatanas] into images of dei-
ties, as the ritual of the man:d:ala reveals. By working
also be termed yoga. By “working” is meant that at all times
them with continual friction one ignites the fire of wis-
the performer maintains a connection with the divine, as is
dom [jña¯na]. What is to be attained is the Great Seal
confirmed by the mantra “Samayas tvam” (“You are the
[maha¯mudra¯]. How is it attained? Through that fire
symbol”).
when the ham syllable is burnt [as is stated in the final
verse of chapter 1 of the Hevajra Tantra]. The Great
These rituals are replete with details that would take
Seal is like a dream, a hallucination, and the nature of
much space to set forth properly. A few details can be given
mind. One should embrace this [the Great Seal] until
about one that is especially interesting, the disciple’s entrance
one realizes directly the Symbolic Seal [samayamudra¯],
into the man:d:ala. The first phase is divided into “entrance
which is not a perishing thing. (Vajrapada-
outside of the screen” and “entrance inside of the screen.”
sa¯ra-sam:graha-pañjika¯, Peking Tanjur, Jpn. photo ed.,
While outside the screen, the disciple ties on a red or yellow
vol. 54, p. 248–255.)
blindfold. This is not removed until later in the ceremony,
Na¯ ro pa thus acknowledges that some male Tantrics (pre-
when the initiate receives a superintending deity by throwing
sumably laymen) resort to the concrete woman as both “ini-
a flower into the man:d:ala, after which it will be proper to
tial” (mother) and “together” (wife) in this part of the stage
view the complete man:d:ala. The preceptor tells the disciple
of completion. But he goes on to insist that one of keen fac-
to imagine in his heart a vajra, thereon a sun, and on this
ulty, striving for the high goal, will skip this mudra¯ and go
a black hu¯m: syllable. He is then to imagine in his throat a
directly to the inner prajña¯ consort, the ignited “fire of wis-
lotus, thereon a sun, and on this a red a¯h: syllable; and in his
dom” that brings on the Great Seal. Staying on this Great
head a wheel, thereon a moon, and on this a white om: sylla-
Seal, which introspects mental processes as a hallucination,
ble. He should also imagine that rays from those syllables
one realizes directly the samayamudra¯, the maha¯sukhaka¯ya,
make his body full of light. The preceptor guides the disciple
or “body of great bliss.”
to the east gate of the man:d:ala. Now, in the phase inside the
screen, the disciple recites mantras. He begins with the east
The above remarks should lend a more benign interpre-
gate, reciting to both the deity of the center and the deity
tation to the Tantras than has been the case in the past, when
of the east gate. The east gate deity is addressed in order to
judgments such as “ghastly” were often passed on this litera-
empower oneself; the south gate deity, to confer initiation
ture. The style, of course, is quite unlike that of the older
on oneself; the west gate deity, to turn the wheel of the Dhar-
Buddhist scriptures.
ma for oneself; and the north gate deity, to make the ritual
RITUAL IN THE TANTRAS. The man:d:ala rites of the
acts effective. He also bows at each gate: for the east, he bows
Guhyasama¯ja Tantra cycle may be seen in outline form in
with all the limbs, the diamond palms (i.e., adamantine and
the following sequence:
thus unassailable by demons) advanced; for the south, he
1. Rites of the Site: clearing the site; seizing (contempla-
bows with the forehead, the palms joined at the heart; for
tively) the site; elimination of the obstructing demons
the west, he bows with the mouth, the diamond palms joined
at the top of the head; for the north, he touches the earth
2. Preparatory Acts: pitching the (initial) lines (in the
with the head, the diamond palms having been lowered from
man:d:ala) with chalk; preparing the flask (i.e., placement
the top of the head and placed at the heart. Then at the east
of the flask by the man:d:ala); beseeching the gods; prepa-
gate, the preceptor sets forth the pledge(s), contacting the
ration of the disciple
disciple by taking his hand, or else by touching the disciple
3. The Main Rite, beginning with man:d:ala construction:
on the head with the vajra, and saying, “Today you may
placement of the five colored threads (representing the
enter the family of all the Tatha¯gatas,” in recognition of the
five Buddhas); putting in the colors (in the colored areas
fact that entrance into the man:d:ala makes one their progeny;
of the man:d:ala); invitation of the gods (to take residence
and that having seen the man:d:ala means the deities are re-
in the man:d:ala)
vealed to the initiate.
4. Initiations of the Flask: drawing the disciple into the
The disciple is not to disclose the rituals he has under-
man:d:ala; diadem initiation; diamond initiation; mirror
gone to others who have not entered the man:d:ala. Dire con-
initiation (ater initiation); name initiation; emblem ini-
sequences are threatened for violating the pledge; guarding
tiation (=bell initiation)
it yields magical success. Among the pledges is one requiring
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1220
BUDDHISM, SCHOOLS OF: TANTRIC RITUAL SCHOOLS OF BUDDHISM [FIRST EDITION]
that the initiate avoid the fourteen transgressions, especially
BIBLIOGRAPHY
the first one, disparaging one’s master, and the seventh one,
Bhattacharyya, Benoytosh. The Indian Buddhist Iconography. 2d
revealing the secrets to immature persons (that is, persons
ed., rev. & enl. Calcutta, 1958.
who have not been initiated). Both are transgressions of
Chou, Yi-liang. “Tantrism in China.” Harvard Journal of Asiatic
Dharma. After taking the pledge, the officiant goes through
Studies 8 (March 1945): 241–332.
an imaginative process, the aim of which is to have the gnosis
Eliade, Mircea. “Yoga and Tantrism.” In Yoga: Immortality and
deity (jña¯na-sattva) descend from the sky into the disciple.
Freedom, pp. 200–273. New York, 1958.
It begins with the officiant imagining the disciple in void-
Evans-Wentz, W. Y. Tibetan Yoga and Secret Doctrines. 2d ed.
ness, then generating him into a Buddha from a germ sylla-
London, 1967.
ble, and then going through a sequence of sa¯dhanas (evoca-
First Panchen Lama. The Great Seal of Voidness. Prepared by the
tions) in which he imagines the disciple’s body filled with
Translation Bureau of the Library of Tibetan Works and Ar-
light. The disciple is induced to circumambulate the
chives. Dharamsala, 1976.
man:d:ala carrying a vajra in his right hand and doing a dance.
George, Christopher S., ed. and trans. The Can:d:amaha¯ros:an:a
The second phase is entering, in the sense of viewing, the
Tantra, Chapters 1–8. American Oriental Series, vol. 56.
man:d:ala. Still wearing the blindfold, the disciple is directed
New Haven, 1974. In English and Sanskrit.
to throw a flower onto an area with five pictures representing
Guenther, Herbert V., ed. and trans. The Life and Teachings of
Buddha families. The throwing of the flower constitutes en-
Na¯ropa. Oxford, 1963.
trance into the man:d:ala. The deity on whom the flower then
Guenther, Herbert V., ed. and trans. Yuganaddha: The Tantric
falls is the superintendent deity (adhideva) for the disciple.
View of Life. Chowkhamba Sanskrit Studies, vol. 3. 2d rev.
The preceptor imagines that the Diamond Being is opening
ed. Varanasi, 1969.
the Diamond Eye of the disciple; the disciple performs the
Hakeda, Yoshito S., ed. and trans. Ku¯kai: Major Works. New
same act of imagination and removes the blindfold, reciting
York, 1972. With an account of his life and study of his
the mantra “Om: jña¯nacaksuh: Hu¯m: A¯h: Sva¯ha¯,” where
thought.
jña¯nacaksuh: denotes the eye of knowledge. Then the precep-
Kvaerne, Per. “On the Concepts of Sahaja in Indian Buddhist
tor says, “Now, by virtue of faith, may you see the reality of
Tantric Literature.” Temenos (Helsinki) 11 (1975): 88–135.
this man:d:ala! May you be born in the family of the Buddha,
Kvaerne, Per. An Anthology of Buddhist Tantric Songs. New York,
be empowered by mudra¯ and mantra, be endowed with all
1977.
siddhis (magical success), be the best pledge (samaya)! May
Lessing, Ferdinand D. Yung-ho-kung: An Iconography of the Lama-
you realize the mantras with the sport of the vajra and lotus!”
ist Cathedral in Peking. Stockholm, 1942.
Thus the disciple is given the “initiation of the flower
Lessing, Ferdinand D., and Alex Wayman, eds. and trans. Funda-
wreath,” a process that establishes whether the disciple
mentals of the Buddhist Tantras. Indo-Iranian Monographs,
should receive other initiations. When it is the case of confer-
vol. 8. The Hague, 1968. A translation of Mkhas grub rje’s
ring permission on the disciple to evoke a particular deity,
Rgyud sde spyi’i rnam par bz´ag pa rgyas par b´sad pa.
a different procedure is followed. Such evocations are un-
Snellgrove, David L., ed. and trans. The Hevajra Tantra: A Critical
dertaken after examining dreams and other omens.
Study. 2 vols. London Oriental Series, vol. 6. London, 1959.
The burnt offering is among the concluding acts of the
Tajima, Ryu¯jun. Étude sur le Maha¯vairocana-su¯tra. Paris, 1936.
ritual. There are four kinds of burnt offering, each corre-
Tajima, Ryu¯jun. Les deux grands man:d:alas et la doctrine de
sponding to a different type of magical art: the worldly aims
l’esoterisme Shingon. Paris, 1959.
of appeasing the deities (´sa¯ntika), winning material prosperi-
Tsuda, Shin’ichi. The Sam
˙ varodaya-tantra: Selected Chapters.
ty (paus:t:ika), subduing demons (va´s¯ıkaran:a), and overpow-
Tokyo, 1974.
ering enemies (abhica¯ruka).
Tsuda, Shin’ichi. “A Critical Tantrism.” Memoirs of the Research
Judging from these various indications, one may con-
Department of the To¯yo¯ Bunko¯ 36 (1978): 167–231.
clude that Buddhist esotericism has considerable appeal to
Tucci, Giuseppe. “The Religious Ideas: Vajraya¯na.” In Tibetan
Buddhists who find fulfillment in ritual participation, who
Painted Scrolls, vol. 1, pp. 209–249. Translated by Virginia
prefer a secret life that is religiously motivated, and who be-
Vacca. Rome, 1949.
lieve that by exercising all avenues of one’s being (body,
Wayman, Alex. The Buddhist Tantras: Light on Indo-Tibetan Es-
speech, and mind) one is speeding up the progress to enlight-
otericism. New York, 1973.
enment. The performer must be strong in imagination of im-
Wayman, Alex. “The Ritual in Tantric Buddhism of the Disciple’s
ages and in belief, and resolute in daily service to the presid-
Entrance into the Man:d:ala.” Studia Missionalia 23 (1974):
ing or tutelary deity.
41–57.
Wayman, Alex. Yoga of the Guhyasama¯jatantra: The Arcane Lore
SEE ALSO Avalokite´svara; Buddhism, article on Buddhism
of Forty Verses. Delhi, 1977.
in Tibet; Buddhist Books and Texts; Language, article on
Wayman, Alex. “Reflections on the Theory of Barabud:ur as a
Buddhist Views of Language; Maha¯siddhas; Man:d:alas;
Man:d:ala.” In Barabud:ur: History and Significance of a Bud-
Mantra; Mar pa; Mi la ras pa (Milarepa); Mudra¯; Na¯ ro pa;
dhist Monument, edited by Hiram W. Woodward,
Prajña¯; Sama¯dhi; Shingonshu¯; Upa¯ya; Zhenyan.
pp. 139–172. Berkeley, 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
BUDDHISM, SCHOOLS OF: TANTRIC RITUAL SCHOOLS OF BUDDHISM [FURTHER CONSIDERATIONS]
1221
Wayman, Alex. “The Title and Textual Affiliation of the Guhya-
tion of peculiarly Tantric Buddhist “schools.” The clearest
garbhatantra.” In Daijo¯ Bukkyo¯ kara Mikkyo¯ e [From
example of a particular Buddhist sect or order defining itself
Maha¯ya¯na Buddhism to Tantra: Honorary Volume for Dr.
as esoteric, over and against rival orders, is no doubt the Japa-
Katsumata Shunkyo¯], pp. 1320–1334 (Japanese order),
nese Shingon sect. Whether or not distinctly Tantric schools
pp. 1–15 (English order). Tokyo, 1981.
existed in India and China remains a contested question,
Wayman, Alex, ed. and trans. Chanting the Names of Mañju´sr¯ı:
while in Tibet, because all Buddhist orders transmitted both
The Mañju´sr¯ı-na¯ma-sam
˙ giti (Sanskrit and Tibetan Texts).
Tantric and non-Tantric forms of Buddhism, Tantrism per
Boston, 1985.
se hardly serves to define any particular school. Esotericism
ALEX WAYMAN (1987)
thus may be best regarded as a widely ramified current within
the Maha¯ya¯na, and just what counts as esoteric is in most
respects relative to the particular religious milieu being con-
sidered. The study of esoteric forms of Buddhism has thus
BUDDHISM, SCHOOLS OF: TANTRIC RITUAL
tended to renounce the effort to locate essential characteris-
SCHOOLS OF BUDDHISM [FURTHER
tics that apply to all such traditions and to focus instead on
CONSIDERATIONS]
specific developments in particular places and times. At the
When Alex Wayman’s article, entitled “Buddhism, Schools
same time, genetic connections among differing Buddhist es-
of: Esoteric Buddhism,” appeared in the first edition of The
oteric traditions may be noted—the cult of the cosmic Bud-
Encyclopedia of Religion in 1987, the study of Tantric and es-
dha Vairocana throughout much of Buddhist Asia is a case
oteric forms of Buddhism was just beginning to emerge from
in point—and the rigorous, comparative study of these has
the margins of Buddhist studies in general. Since that time,
yet to be undertaken.
it has come to occupy (or at least to share) center stage in
most special areas of Buddhist studies. Accordingly, a thor-
Despite the popular image of Tantrism as a libertine and
ough overview of the study of Buddhist esotericism as it now
iconoclastic form of religiosity, scholars of Buddhism in
stands is a desideratum, but one that could not be realized
many Asian countries have remarked on the striking relation-
in time for the present publication. The following brief re-
ship between Tantric Buddhism and monarchy, with its at-
marks, together with the additions to the bibliography, must
tendant interest in hierarchies of power, protection of the
in the event serve to offer the reader an orientation to the
realm, and public order. Far from providing a vehicle of ex-
present state of the field.
pression for radical free spirits (though perhaps it has been
sometimes that), Buddhist Tantrism seems more often to
Just what is Tantric Buddhism? Though several defini-
have served the interests of conservative forces within reli-
tions have been proposed, none has so far won universal ac-
gious orders and society at large.
ceptance. Several of the characteristics most frequently men-
tioned—recitation of mantra-like formulae, the practice of
Finally, owing to the strongly erotic component associ-
protective ritual, visualization, the ritual invitation of a di-
ated with some forms of Buddhist Tantrism—primarily the
vinity performed in conformity to the traditional Indian wel-
anuttarayoga traditions of India and Tibet (though eroticized
come of an honored guest—all of these are to be found in
elements of Japanese esotericism have also been noted)—
non-esoteric forms of Buddhism to varying degrees. At the
there has been considerable interest in this aspect of Bud-
same time, some practices that do seem to be exclusively
dhism in relation to issues of sex and gender. While some
Tantric, at least in the Buddhist context—for instance, inter-
have found a sort of proto-feminism in the Buddhist Tan-
nal systems of yoga relying on the subtle physiology, “Tantric
tras, a means to acknowledge and liberate feminine energies
sex,” and the ritual ingestion of forbidden meats and intoxi-
and perhaps real women as well, others have regarded this
cants—cannot serve as the basis for a definition because they
element of Tantrism as primarily a projection of masculine
are absent from many forms of Buddhist Tantrism. The
archetypes of the feminine. Social historical and anthropo-
most plausible definitional feature that has been adduced is
logical research, clarifying the roles and status of women in
perhaps the requirement of abhis:eka, the initiatory consecra-
actual communities adhering to the various forms of esoteric
tion, literally “aspersion,” that is derived from early Indian
Buddhism, will enable scholars to interpret more precisely
coronation rites. Though referred to also in the su¯tra litera-
the discourses pertaining to women in particular Tantric
ture of the Maha¯ya¯na in connection with the Buddha’s con-
texts.
secration of the highest bodhisattvas, the actual performance
of such a rite on behalf of ordinary human aspirants seems
SEE ALSO Avalokite´svara; Maha¯siddhas; Man:d:alas, article on
to be uniquely characteristic of the major Buddhist esoteric
Buddhist Man:d:alas; Mar pa; Mi la ras pa (Milarepa); Na¯ ro
pa; Prajña¯; Sama¯dhi; Shingonshu¯; Upa¯ya.
traditions.
As this suggests, much of what has been considered typi-
BIBLIOGRAPHY
cally Tantric in Buddhism is part and parcel of the ritual rep-
Abe Ryu¯ichi. The Weaving of Mantra: Ku¯kai and the Construction
ertoire of non-Tantric Buddhism, chiefly (but not at all ex-
of Esoteric Buddhist Discourse. New York, 1999. Far reaching
clusively) within the Maha¯ya¯na. Accordingly, some have
examination of the thought of Ku¯kai (774–835), founder of
expressed skepticism regarding the appropriateness of the no-
the Shingon sect of Japanese Buddhism.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1222
BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
Davidson, Ronald M. Indian Esoteric Buddhism: A Social History
Snellgrove, David L. Indo-Tibetan Buddhism: Indian Buddhists
of the Tantric Movement. New York, 2002. A major reassess-
and Their Tibetan Successors. Boston, 1987. Extensive syn-
ment of our understanding of Indian Buddhist Tantrism,
thesis of sources on Tantric Buddhism. Magnificent collec-
elaborated in the light of the social historical context in
tion of articles, including contributions to the study of Bud-
which it developed.
dhist Tantrism in many parts of Asia.
Faure, Bernard. Visions of Power: Imagining Medieval Japanese
Strickmann, Michel. Mantras et mandarins: Le bouddhisme tan-
Buddhism. Translated by Phyllis Brooks. Princeton, 1996.
trique en Chine. Paris, 1996. Groundbreaking work on di-
Study of the imaginal world of Japanese esoteric Buddhism,
verse facets of the Tantric contribution to Chinese and East
as seen through the life and work of Keizan (1264–1325).
Asian religious culture.
Frank, Bernard. Le panthéon bouddhique au Japon: Collections
Tanabe, George J., Jr. Myo¯e the Dreamkeeper: Fantasy and Knowl-
d’Émile Guimet. Paris, 1991. Detailed description of the pan-
edge in Early Kamakura Buddhism. Cambridge, Mass., 1992.
theon of esoteric Buddhism in Japan.
Investigation of the dream-world of the Japanese esoteric
Gellner, David N. Monk, Householder, and Tantric Priest: Newar
master Myo¯e (c. 1173–1232).
Buddhism and its Hierarchy of Ritual. New York and Cam-
Wallace, Vesna. The Inner Ka¯lacakratantra: A Buddhist Tantric
bridge, U.K., 1992. Excellent anthropological study of
View of the Individual. New York, 2001. Study of a major
Newar Buddhism in the Kathmandu Valley, with close at-
Buddhist Tantra’s chapter on the subtle nature of the human
tention to the social role of Tantrism.
body, its development and potentials.
Jessup, Helen I., and Thierry Zéphir. Angkor et dix siècles d’art
White, David Gordon, ed. Tantra in Practice. Princeton, 2000.
Khmer. Paris, 1997. Offers fine examples of Khmer Buddhist
Includes translated selections from a wide variety of Buddhist
Tantric sculpture.
Tantric works.
Kapstein, Matthew T. Reason’s Traces: Identity and Interpretation
MATTHEW T. KAPSTEIN (2005)
in Indian and Tibetan Buddhism. Boston, 2001. Includes
studies of textual evidence for the development of esoteric
Buddhism in India and of rituals for the production of Tan-
tric art.
BUDDHISM, SCHOOLS OF: TIBETAN AND
Lopez, Donald S., Jr. Elaborations on Emptiness: Uses of the Heart
MONGOLIAN BUDDHISM
Su¯tra. Princeton, 1996. Detailed consideration of the Heart
In introducing the “schools” of Tibetan and Mongolian
Su¯tra as a Tantric text.
Buddhism, several different phenomena in the formation of
Malandra, Geri Hockfield. Unfolding a Man:d:ala: The Buddhist
religious traditions must be distinguished. One may speak,
Cave Temples at Ellora. Albany., N.Y., 1993. The early devel-
for instance, of distinct orders or sects (chos lugs, or more spe-
opment of Indian Buddhist Tantrism, as seen through the
cifically rang rkang btsugs pa’i chos brgyud), religious tradi-
sculptural programs of the Ellora caves of western India.
tions that are set apart from others by virtue of their institu-
Na¯ropa. Iniziazione: Ka¯lacakra. Translated by Raniero Gnoli and
tional independence, that is to say, whose unique character
Giacomella Orofino. Milan, Italy, 1994. Annotated transla-
is embodied outwardly in the form of an independent hierar-
tion of an important Indian Buddhist treatise on the initiato-
ry consecration.
chy and administration, independent properties, and an
identifiable membership of some sort. Such corporate reli-
Nihom, Max. Studies in Indian and Indo-Indonesian Tantrism:
gious bodies are of great importance in the Tibetan religious
The Kuñjarakarn:adharmakathana and the Yogatantra. Vien-
na, 1994. Most recent and most thorough among the rare
world, but they must not be confounded with lineages (br-
studies of the surviving textual record of Indonesian
gyud pa), continuous successions of spiritual teachers who
Tantrism.
have transmitted a given body of knowledge over a period
Orzech, Charles D. Politics and Transcendent Wisdom: The Scrip-
of generations but who need not be affiliated with a common
ture for Humane Kings in the Creation of Chinese Buddhism.
order. Lineages may be highly specific, for instance, the line
University Park, Pa., 1998. On Tantric rituals for the protec-
of teachers through which the study of a particular text or
tion of the state in Tang dynasty China.
ritual method has been transmitted, or they may be of broad-
Sharf, Robert H. Coming to Terms with Chinese Buddhism: A Read-
er reach, as is the case when one speaks of the “lineages of
ing of the Treasure Store Treatise. Honolulu, 2002. Includes
practice” (sgrub brgyud), which have conserved significant
a provocative appendix on the conception of esoteric Bud-
bodies of religious tradition, including textual learning, litur-
dhist “schools” in East Asia.
gy, practical disciplines, iconographical knowledge, and so
Shaw, Miranda Eberle. Passionate Enlightenment: Women in Tan-
on. In this latter sense, lineages have often been the basis for
tric Buddhism. Princeton, 1994.
the formation of the distinct orders. Finally, orders and lin-
Skilling, Peter. “The Raksa¯ Literature of the S´ra¯vakaya¯na” Journal
eages must both be differentiated from schools of thought,
of the Pali Text Society 16 (1992). On the protective rites of
grub mtha’ (“philosophical systems,” equivalent to siddha¯nta
early Buddhism.
in Sanskrit). The adherent of a given Tibetan Buddhist order
Slusser, Mary Shepherd. Nepal Mandala: A Cultural Study of the
will, in the course of his career, usually receive instruction
Kathmandu Valley. Princeton, 1982. Magisterial study of the
in (or at least derived from) a number of differing lineages
cultural geography of Kathmandu, with much reference to
and be exposed to several schools of thought. It should be
Buddhist Tantric art and architecture.
noted, however, that the terminology introduced here is not
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
1223
used in Tibetan with perfect regularity. At least one major
roles in the formation of the orders following the scheme of
author, Thu’u bkwan Chos kyi nyi ma (1737–1802), adopts
the “eight lineages of practice.” Mongolian Buddhist orders
the expression grub mtha’ to refer to the major orders and
have generally been derived directly from their Tibetan ante-
lineages of Tibetan Buddhism. Nevertheless, even in this
cedents. Accordingly, this article refers to Buddhism among
case, the term is chosen precisely because Thu’u bkwan’s pri-
the Mongols where appropriate, to indicate the lines of Ti-
mary interest is the doctrinal and philosophical orientation
betan Buddhist transmission to them that were most influen-
of each of the religious traditions he considers.
tial. One must note too that the Tibetan Bon religion, which
in its institutional dimensions must be considered a Buddhist
These apparent complexities of usage had their origins
order, is generally left out of the classificatory schemes men-
in the very beginnings of the Tibetan Buddhist tradition
tioned here, though some writers—Thu’u bkwan is perhaps
under the Tibetan Empire of the seventh to ninth centuries.
the best-known example—have also considered it in this
At that time, there was only one Buddhist order active in
context. As Bon is treated in the present work in a separate
Tibet, that of the Mu¯lasarva¯stiva¯da (Tibetan, gzhi thams cad
article, it will not be discussed here.
yod par smra ba), one of the eighteen orders of early Indian
Buddhism, whose monastic code, or Vinaya, was uniquely
The “Ancient Translation Tradition” (Snga ’gyur rny-
adopted by the Tibetans. At the same time, Tibetan Bud-
ing ma pa) includes all of those lines of teaching that main-
dhists became familiar with several Indian Buddhist schools
tain that their esoteric and Tantric traditions were derived
of thought, though the Madhyamaka, and in particular the
from the texts and instructions transmitted during the time
Yoga¯ca¯ra Madhyamaka of the philosopher S´a¯ntaraks:ita (fl.
of the Tibetan monarchs of the eighth to ninth centuries,
c. 775), appears to have quickly become predominant. In
Khri Srong lde’u btsan (Trhi Songdetsen, 742–c. 797) above
this period too, lineages of instruction in contemplative prac-
all. By the late tenth century such lineages were continued
tice, including some representing Chinese Chan and others
primarily by a lay priesthood that increasingly came to be at-
associated with Tantric esotericism, began to disseminate
tacked by proponents of the “new mantra traditions” (gsang
their teachings among Tibetans.
sngags gsar ma) for adhering to esoteric teachings that, so the
critics declared, had been corrupted. The formation of a dis-
Institutional, lineage-based, and philosophical or doc-
tinctive Rnying ma pa (Nyingmapa) tradition was in some
trinal ways of thinking about religious adherence in Tibet
respects a reaction to such charges and involved both the
were thus from the beginning complementary, and in time
elaboration of historical apologetics and the codification of
they began increasingly to intersect with or to diverge from
the older Tantric transmissions, their special doctrines, and
one another. Hence, the exact classification of the schools of
the rites connected with them.
Tibetan Buddhism has posed something of a problem, not
only for modern researchers but for traditional Tibetan au-
Historically, the Rnying ma pa asserted the preeminence
thorities as well. Thus, for example, Thu’u bkwan (Thuken,
of the Indian Tantric master Padmasambhava, who came to
1737–1802) recognizes eighteen distinct Buddhist traditions
be effectively deified. Other Indian and Tibetan masters of
in Tibet—in this he is no doubt numerologically influenced
the eighth to ninth centuries, notably Vimalamitra and the
by the stereotypical division of early Indian Buddhism into
translator Vairocana, were also claimed as forebearers. The
eighteen orders—but nevertheless he considers only seven of
teaching of these figures was considered to emphasize the or-
these as meriting treatment in depth. By contrast, the re-
ganization of the whole gamut of Buddhist doctrine and
nowned fifteenth-century historian ’Gos lo tsa¯ ba Gzhon nu
practice into nine sequential vehicles (theg pa rim pa dgu),
dpal (Gö Lotsawa) organizes his great work, the Deb ther
of which the last three, comprising the esoteric instruc-
sngon po (Blue annals) on the principle of lineage, of which
tions of the highest Tantras, represented the distinctive heri-
he treats about a dozen as particularly important but discuss-
tage of the Rnying ma pa. The pinnacle of the system was
es many others inter alia. The eclectic master of the nine-
taken to be the abstract and visionary approach to contem-
teenth century, ’Jam mgon kong sprul Blo gros Mtha’ yas
plation known as the Great Perfection (rdzogs chen [dzogc-
(Jamgön Kongtrül, 1813–1899), arranges his encyclopedia
hen]), the authenticity of which was sometimes contested by
of the major lines of teaching, the Gdams ngag mdzod (Trea-
adherents of the newer schools. From the twelfth century on-
sury of instructions), according to the scheme of the “eight
ward, the Rnying ma pa came to rely increasingly on a tradi-
great lineages of practice,” following the enumeration pro-
tion of renewed revelation, mostly of Padmasambhava’s
posed by ’Phreng po gter ston Shes rab ’od zer (Trhengpo
teachings, referred to as “treasure doctrines” (gter chos).
tertön, 1517–1584). Finally, in the system best known in the
Though widely contested, these came to play a major role
West, the Tibetan government of the Dalai Lamas from the
in the formation of Tibetan religious culture generally.
seventeenth century through 1959 recognized four major or-
The Rnying ma pa have always had an important fol-
ders, though in fact several others continued to be active,
lowing among lay Tantric adepts (sngags pa), sometimes or-
even if not granted the status of independent orders by the
ganized in village-based communities. Though identifiable
central Tibetan government.
Rnying ma pa monastic institutions existed during the
THE EIGHT MAJOR “LINEAGES OF PRACTICE.” For present
twelfth century and perhaps earlier, the organization of the
purposes, this article considers the major lineages and their
Rnying ma pa as a distinct monastic order seems largely to
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BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
have emerged during the seventeenth century and reflects in
to emphasize study, so that the Bka’ gdams pa were equally
part the political reforms of Tibetan religious organization
associated with the development of scholasticism at Gsang
under the government of the fifth Dalai Lama (1617–1682).
phu (Sangphu, founded 1071) and other monastic colleges.
At the same time, important lines of Rnying ma pa teaching
In the thirteenth and fourteenth centuries the Bka’ gdams
have been preserved among the non–Rnying ma pa orders,
pa monastery of Snar thang (Narthang) emerged as a promi-
including, for instance, the rites of the Tantric deities
nent scholastic center, renowned in particular for its tradi-
Vajrak¯ıla and Yang dag Heruka among the Sa skya pa
tions of learning in the abhidharma and other fields of Bud-
(Sakyapa), the “exceptionally secret” form of the deity
dhist philosophy.
Hayagr¯ıva (Rta mgrin yang gsang) among the Dge lugs pa
(Gelukpa), and the traditions of the Tibetan Book of the Dead
Owing to At¯ı´sa’s association with the Gu ge kings, who
and many other teachings derived from the treasure doc-
were suspicious of the moral excesses attributed to certain ad-
trines among the Bka’ brgyud pa (Kagyupa).
herents of the Tantras, and owing to certain cautions ex-
pressed in At¯ı´sa’s own writings, the Bka’ gdams pa are some-
Despite its emphasis on the practice of Tantric esoteri-
times regarded as a non-Tantric lineage of Tibetan
cism and though it has relied during much of its history on
Buddhism. At¯ı´sa himself, however, was a Tantric adept and,
familial lineages of lay priests, the Rnying ma pa traditions
despite the concerns expressed by some among his more pu-
have sometimes given rise to masters of the monastic tradi-
ritanical Tibetan disciples, he did teach aspects of Tantrism
tions of Buddhist scholarship who have formulated distinc-
in Tibet. His role in the promotion of the cults of
tive doctrinal syntheses inspired by the special features of the
Avalokite´svara and Ta¯ra¯ was particularly great, and he is
Rnying ma pa teaching. Among the foremost are the lay
widely associated as well with an important tradition of in-
adept Bsnubs Sangs rgyas ye shes (Nup Sangye Yeshe, c.
struction in the Guhyasama¯ja Tantra. Nevertheless, the char-
tenth century), Rong zom Chos kyi bzang po (Rongzom
acteristic emphasis of his teaching was upon the exoteric
Chözang, eleventh century), Klong chen Rab ’byams pa
Maha¯ya¯na doctrine of “emptiness imbued with compassion”
(Longchen Rabjampa, 1308–1363), Lo chen Dharma´sr¯ı
(stong nyid snying rje’i snying po can; Sanskrit, ´sunyata¯
(1654–1717), ’Jigs med gling pa (Jikme Lingpa, 1730–
karun:a¯garbha¯), his insistence on which came to be emulated
1798), and Mi pham rgya mtsho (Mipham Gyatso, b1846–
by all Tibetan Buddhist traditions. His Bka’ gdams pa suc-
1912).
cessors created a remarkable corpus of literature concerning
spiritual exercise, called “training (or purification) of the
The “Tradition of [the Buddha’s] Transmitted Pre-
mind” (blo sbyong), in which such common acts as eating and
cepts and Instructions” (Bka’ gdams pa [Kadampa]) is
drinking, walking, going to sleep, and even breathing serve
traced to the activity of the Bengali master At¯ı´sa (982–1054)
as focal points for the cultivation of spiritual love and a keen
and his leading Tibetan disciples, notably ’Brom ston Rgyal
sense of the relativity of transient things.
ba’i ’byung gnas (Dromtön, 1104–1163). As the first of the
new orders formed beginning in the eleventh century, it had
The Bka’ gdams pa tradition was therefore diverse in its
its immediate antecedents in the late-tenth-century Buddhist
nature, embodying elements of Maha¯ya¯na ethical teaching,
revival in the Gu ge kingdom of western Tibet, spearheaded
Tantrism, and formal Buddhist scholasticism. Its legacy was
by the monk-king of Gu ge, Ye shes ’od (Yeshe-ö), and the
very widespread, and all of the later Tibetan orders, includ-
celebrated translator Rin chen bzang po (Rinchen Zangpo,
ing the post-eleventh-century Rnying ma pa, reflect this to
958–1055). By 1042, when At¯ı´sa accepted the invitation of
a great degree. Nevertheless, it was the Dge lugs pa order,
the former’s successor, Byang chub ’od (Changcup-ö), to
whose foundation was inspired by Rje Tsong kha pa during
proceed to Tibet from the Vikrama´s¯ıla monastery in north-
the fifteenth century, that most self-consciously took up the
eastern India, the renewal of Buddhism had been an ongoing
Bka’ gdams pa mantle, even adopting “new Bka’ gdams pa”
concern in Gu ge for almost a century. After three years in
as a proper designation.
residence there, where he composed his famous treatise on
the Maha¯ya¯na path, the Byang chub lam gyi sgron ma (Lamp
The “Tradition of the Path with Its Fruit” (Lam ’bras
for the path of enlightenment), At¯ı´sa traveled to central
bu dang bcas pa) was derived ultimately from the teachings
Tibet and remained there for the last decade of his life. The
of the Indian maha¯siddha Viru¯pa as introduced into Tibet
Bka’ gdams pa, as a distinctive order embodying his tradition
by ’Brog mi Lo tsa¯ ba S´a¯kya Ye shes (Drokmi, 992–1072)
of teaching, received institutional form after his lay disciple,
on the basis of the instructions of the pan:d:ita Gayadhara.
’Brom ston, founded the monastery of Rwa sgreng (Reting)
This way of esoteric practice was based primarily upon the
in 1057.
Hevajra Tantra, and though it enjoyed a very wide diffusion,
giving rise to a great many lines of transmission, it became
The Bka’ gdams pa were distinguished by a marked con-
from early on a special concern of the Sa skya pa order,
cern for moral rigor in the pursuit of the bodhisattva’s path.
which, with its suborders, has remained the particular guard-
In some branches of the tradition, this resulted in an extreme
ians of the “Path and Fruit.” In its fundamentals, the teach-
emphasis on spiritual cultivation to the exclusion of the pur-
ing of the Path and Fruit emphasizes as foundational an un-
suit of learning. At the same time, At¯ı´sa’s own scholarly pro-
derstanding of the “three visions” (snang gsum): the impure
clivities meant that some of his successors tended by contrast
vision of ordinary beings immersed in sam:sa¯ra, the vision of
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BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
1225
spiritual experience that characterizes the bodhisattva prog-
Red mda’ ba Gzhon nu blo gros (Remdawa, 1349–1412),
ressing on the path, and the pure vision of enlightenment.
Rong ston Shes bya kun gzigs (Rongtön, 1367–1449), Gser
On this basis, one may embark upon the actual practice of
mdog Pan:chen S´a¯kya mchog ldan (Serdok Panchen, 1428–
the Hevajra Tantra, conceived in terms of “three continua”
1507), and Go rams pa Bsod nams seng ge (Gorampa, 1429–
(rgyud gsum): the continuum of the ground, the nature of
1489). Far from representing a unitary school dogma, these
mind as forming a basis for spiritual progress; the continuum
figures show considerable diversity in their approaches to the
of the methodical path of yoga; and the continuum of the
interpretation of Buddhist philosophical perspectives.
result, that is, the attainment of the gnosis of buddhahood.
The “Succession of the Transmitted Precepts of Mar
The founding figure of the Sa skya pa was ’Khon Dkon
pa” (Mar pa bka’ brgyud), most often referred to as Bka’ br-
mchog rgyal po (Khön Könchog Gyalpo, 1034–1102), who
gyud pa, had as its particular domain the teachings of the In-
abandoned his clan’s hereditary Rnying ma pa affiliations to
dian masters Tilopa (c. 988–1069), Na¯ropa (1016–1100),
become a disciple of ’Brog mi and in 1073 established the
and Maitr¯ıpa (1007–1085) as transmitted to Mar pa Chos
temple of Go rum at Sa skya, henceforth the family seat of
kyi blo gros (Marpa, 1002/1012–1097). His tradition
the ’Khon clan. His family line produced, during the genera-
stressed the six doctrines (chos drug) of yogic practice and the
tions that followed, a succession of masters, the “five foreb-
culminating meditations of the great seal (phyag rgya chen po;
earers” (gong ma lnga), of capital importance for the entire
Sanskrit, maha¯mudra¯), whereby the limits of all phenomena
later history of Tibetan Buddhism. Sa chen Kun dga’ snying
of sam:sa¯ra and nirva¯n:a are determined (hence, “sealed”) in
po (Sachen Kunga Nyingpo, 1092–1158), Dkon mchog
the realization of the ultimate nature of mind. The six yogas
rgyal po’s son, did much to impart a distinctive character to
are:
the early Sa skya tradition, that of an aristocratic household
1. Inner Heat (gtum mo), whereby the adept learns to mas-
that patronized the Buddhist religion generally, valued the
ter the subtle physical energies of the body;
refinement of learning, and maintained a special proficiency
2. Body of Apparition (sgyu lus), through which the illu-
in Tantric ritual and yoga. One of ’Brog mi’s chief succes-
sion-like nature of ordinary experience becomes known;
sors, Zhang ston Chos ’bar (Zhangdön Chöbar, 1053–1135)
became Sa chen’s tutor, nurturing his charge to be a preemi-
3. Dream (rmi lam), in which one achieves the ability to
nent exponent of the system of the “Path and Fruit.” Two
consciously explore and to transform the possibilities
of Sa chen’s sons, Bsod nams rtse mo (Sönam Tsemo, 1142–
that are revealed during dreams;
1182) and Grags pa rgyal mtshan (Trakpa Gyaltsen, 1147–
4. Radiant Light (’od gsal), referring to the luminous di-
1216), while following their father in remaining laymen, ex-
mension of the mind;
clusively dedicated themselves to the family’s religious and
ritual tradition. It is in the writings of Grags pa rgyal mtshan
5. Transference (’pho ba), the means to cause one’s con-
that the Path and Fruit was definitively codified. He also was
sciousness to leave the body abruptly at the moment of
tutor to his nephew, Sa skya Pan:d:ita Kun dga’ rgyal mtshan
death and to seek rebirth in a pure realm;
(Sakya Pan:d:ita Kunga Gyaltsen, 1182–1251), a monk who
6. Intermediate State (bar do), which here refers primarily
came to be recognized as one of the leading scholars of his
to the state of consciousness in the course of migration
day. Besides his numerous contributions to many branches
between death and rebirth.
of Tibetan learning, it was under his leadership that the Sa
skya pa emerged as a major monastic order. His famous jour-
The first four enable one to attain enlightenment swiftly dur-
ney in 1246 to meet the ruler of the Mongol Empire, Godan
ing this very lifetime, the last two to achieve it at death.
Khan, came to be seen as the precedent for the Mongols’
The proliferation of lineages adhering to the teachings
adoption of Buddhism, and his nephew, Chos rgyal ’Phags
of Mar pa was extensive, and the many lines of instruction
pa (Chögyal Phakpa, 1235–1280), the last of the five foreb-
that arose among his followers and their successors almost
earers, became the spiritual preceptor of the Mongol ruler of
all created their own distinctive formulations of the Bka’ br-
China, Kublai Khan.
gyud teaching. As Mar pa and his major disciples were lay-
As a monastic order, the Sa skya pa have continued to
men, these were initially transmitted primarily within famil-
emphasize training in refined textual scholarship, balanced
ial lineages. Of these, the line of the Rngog (Ngok) clan
with the practice of the esotericism of the Hevajra Tantra as
enjoyed a particular eminence for their mastery of the esoter-
taught in the Path and Fruit tradition. Of their two leading
ic lore of the man:d:ala, while the Mes specialized in the exe-
suborders, the Ngor pa (Ngorpa), founded by Ngor chen
getical traditions of the Guhyasama¯ja Tantra.
Kun dga’ bzang po (Ngorchen Kunga Zangpo, 1382–1456),
Mar pa’s foremost disciple was the yogin Mi la ras pa
and Tshar pa (Tsarpa), the former has enjoyed an extensive
(Milarepa, 1028/1040–1111/1123), who came to be regard-
following, particularly in far eastern Tibet. The Sa skya pa
ed as Tibet’s greatest poet and as a cultural hero exemplifying
produced a long line of outstanding doctrinal writers, who
the ideal of the Tantric adept. His many students, such as
may be counted among the leading contributors to the devel-
Ras chung pa Rdo rje grags (Rechungpa Dorje Drak, 1084–
opment of Tibetan Buddhist philosophy. Noteworthy are
1161), mostly adhered to his model, but one, Sgam po pa
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BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
Bsod nams rin chen (Gampopa Sonam Rinchen, 1079–
maha¯mudra¯ and Great Perfection approaches to contempla-
1153), was a former physician who had been ordained as a
tion, and Ta’i Si tu Chos kyi ’byung gnas (Situ Chöki
monk in the Bka’ gdams pa order following his young wife’s
Jungne, 1699–1774), editor of the famed Sde dge edition of
tragic passing. It was Sgam po pa who formed the Bka’ br-
the Kanjur and a renowned scholar of linguistics. Mar pa
gyud pa into a monastic order, and by stressing the path of
Bka’ brgyud pa teachings have been widely transmitted
gradual ethical self-cultivation as taught by the Bka’ gdams
among non–Bka’ brgyud pa orders, for instance among the
pa, he created a unique synthesis of that teaching with the
Dge lugs pa, a considerable portion of whose esoteric tradi-
properly Bka’ brgyud pa systems of yoga. Known as the
tions originated in Mar pa’s lineage.
“blending of the two streams” (chu bo gnyis ’dres), this synthe-
The “Succession of the Transmitted Precepts of
sis has remained the normative teaching of all of the Bka’ br-
Shangs” (Shangs pa bka’ brgyud) took its name from the
gyud pa suborders. These are usually referred to as the “four
Shangs Valley, where the early-twelfth-century master
great Bka’ brgyud orders” (bka’ brgyud che bzhi) founded by
Khyung po Rnal ’byor, “the yogin of the Eagle clan,”
Sgam po pa’s immediate disciples, among whom the leading
founded his community. Though there is considerable un-
disciples of Phag mo gru pa Rdo rje rgyal po (Phakmotrupa,
certainty about his precise dates and traditional chronologies
1110–1170) founded eight “lesser” orders (chung brgyad).
generally assign his birth to the year 990, he appears in fact
(The terms great and lesser refer solely to their relative prox-
to have been born half a century or so later. Originally an
imity to Sgam po pa and imply neither a quantitative nor
adherent of the Bon religion, he converted to Buddhism and
a qualitative judgment.) The first Karma pa hierarch, Dus
became at first a follower of the Rnying ma pa tradition. Like
gsum mkhyen pa (Dusum Khyenpa, 1110–1193), is num-
many others of his generation, however, he regarded India
bered among the four “greats,” whereas ’Bri gung Skyob pa
as the source of uniquely authoritative Buddhist teachings
’Jig rten gsum mgon (Drigung Kyopa, 1143–1217) was
and so left Tibet to pursue his path in the Kathmandu Valley
prominent among the founders of the eight “lesser” orders.
of Nepal and in India proper.
Among the eight is also counted Gling rje ras pa Padma rdo
rje (Lingje Repa, 1128–1188), whose disciple Gtsang pa
During his travels in India Khyung po Rnal ’byor is sup-
Rgya ras (Tsangpa Gyare, 1161–1211) founded the ’Brug pa
posed to have met numerous Tantric masters, including
(Drukpa) Bka’ brgyud pa order, which in turn gave rise to
some who were at that time famed throughout the Tibetan
several major suborders of its own. (The ’Brug pa later estab-
Buddhist world. His foremost teachers, however, were two
lished itself as the religion of the state in Bhutan, a position
remarkable women, Niguma and Sukhasiddhi, the first of
it retains in the early twenty-first century.)
whom is referred to in his biography as Na¯ropa’s “lady,” a
term that in this context is usually taken to mean “elder sis-
Some branches of the Bka’ brgyud pa began to “interna-
ter,” though some say that Niguma had been Na¯ropa’s wife.
tionalize” with patronage from the Xixia (or Tangut) King-
From Niguma, Khyung po learned a system of six yogas re-
dom during the twelfth to thirteenth centuries, resulting in
sembling the system taught by Na¯ropa as transmitted by Mar
their competing with the Sa skya pa for Mongol support after
pa but differing primarily in its notable emphasis upon the
the fall of Xixia in 1227. The second and third Karma pa
topics of apparition and dream. The “six doctrines of Nigu-
hierarchs, Karma Pakshi (1204–1283) and Rang byung rdo
ma” (ni gu chos drug), as they are known, continue to be prac-
rje (Rangjung Dorje, 1284–1339), both charismatic teachers
ticed by Tibetan Buddhist adepts in the early twenty-first
and prolific writers, were among those who received imperial
century. Khyung po’s teaching as a whole was analogized to
honors in China, whereas the ’Bri gung pa branch of the Bka’
a tree, with the six doctrines as its roots, the “great seal” for
brgyud pa allied itself with the Mongol dynasty of Iran. Fol-
its truck, the “three means for integrating ordinary experi-
lowing the decline of Mongol power in Tibet during the
ence with the path” as branches, the red and white forms of
mid-fourteenth century, given the loss of patronage this en-
the sky-faring goddess, Khecar¯ı, for flowers, and as the fruit,
tailed for the Sa skya pa, it was the Phag mo gru pa Bka’ br-
the realization that body and mind are deathless and without
gyud pa order that came to dominate Tibetan affairs. The
deviation.
formal institution of Bka’ brgyud pa colleges, emphasizing
Buddhist scholastic study, dates from this time. For the next
The line of Khyung po Rnal ’byor’s disciples—Rmog
two centuries, Bka’ brgyud pa masters made considerable
lcog pa (Mokcokpa), Dbon ston Skyer sgang pa (Öntön
contributions to the ongoing development of Tibetan philos-
Kyergangpa), Gnyan ston (Nyentön), down to Sangs rgyas
ophy, literature, and art. Examples include the seventh and
ston pa (Sangye Tönpa, 1219–1290)—uniquely transmitted
eighth Karma pa hierarchs, Chos grags rgya mtsho (Chodrak
the entire body of these precepts in a strictly secret lineage
Gyatso, 1450/1454–1506) and Mi bskyod rdo rje (Mikyo
until the last mentioned began to disseminate them among
Dorje, 1507–1554), and theorists of the Tantras, Dwags po
practitioners of Tantric yoga. The early secrecy of the lineage
Bkra shis rnam rgyal (Dakpo Tashi Namgyal, 1512–1587)
contributes to considerable historical obscurity, though
and the fourth ’Brug chen hierarch, Padma dkar po (Pema-
hagiographies of Khyung po and his successors do exist.
karpo, 1527–1592). Later luminaries of the Bka’ brgyud tra-
Though there were a small number of properly Shangs pa
ditions include Karma Chags med (Karma Chakme, d.
hermitages at times, the Shangs pa were never established as
1678), who elaborated an original synthesis of the
an independent order and their doctrinal lineage was trans-
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BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
1227
mitted in later times among the Karma Bka’ brgyud, Dge
channel and to be stabilized; “recollection” is the yoga of
lugs pa, Sa skya pa, Jo nang pa, Rnying ma pa, and Zhwa
mind, whereby the incorruptibility of the enlightened mind
lu pa orders. More recently, the Shangs pa teachings have
is attained; and finally, “concentration” is the refinement of
aroused considerable interest among Buddhists in the West
gnosis, whereby the coalescence of bliss and emptiness is
owing to the widespread activity of their leading twentieth-
realized.
century representative, Kalu Rinpoche Rang byung kun
khyab (1905–1989).
During the fourteenth century, two approaches to the
interpretation and practice of the Ka¯lacakra became predom-
Zhi byed and Gcod. The related lineages of Zhi byed
inant. The first was that of Zhwa lu Monastery, which was
(zhije) (“Pacification”) and Gcod (cö) (“Severance”) origi-
given its decisive formulation in the writings of the celebrat-
nated respectively with the enigmatic Indian yogin Pha Dam
ed scholar and editor of the canon, Bu ston Rin chen grub
pa Sangs rgyas (Phadampa Sangye, d. 1117) and his remark-
(Butön Rinchendrub, 1290–1364). Though Bu ston’s back-
able Tibetan successor, the yogin¯ı Ma gcig lab sgron (Machig
ground was in the Bka’ brgyud tradition, Zhwa lu was a clan-
Labdron, c. 1055–1149). Although schools specializing in
based monastery tied to the Lce family, so that it was regard-
Pacification—as exemplified by the lineages of Rma Chos
ed as representing a small but independent order. The second
kyi shes rab (Ma Chöki Sherab, b. 1055), So chung Dge ’dun
major Ka¯lacakra tradition emerged at the monastery of Jo
’bar (Sochung Gendünbar, 1062–1128), and Kam: Ye shes
nang, which in its origins was in essence a Ka¯lacakra hermit-
rgyal mtshan (Kam Yeshe Gyaltsen, d. 1119)—were very
age. Its chief representative was the philosophically contro-
widespread during the twelfth to fourteenth centuries, the
versial master Dol po pa Shes rab rgyal mtshan (Dölpopa,
teaching all but disappeared in later times. Pha Dam pa con-
1292–1361). While these two contemporaries were both
tinued to be revered as a cultural hero, and the verse apho-
widely revered, they arrived at opposing conclusions regard-
risms attributed to him—Ding ri brgya rtsa (Century for the
ing the Ka¯lacakra’s teaching in relation to Buddhist philoso-
people of Ding ri)—is a popular classic of Tibetan gnomic
phy. For Dol po pa, the Tantra supported the controversial
literature. Severance, by contrast, permeated the entire Ti-
view that the definitive doctrine of Maha¯ya¯na Buddhism was
betan Buddhist tradition and is in the early twenty-first cen-
that of buddha-nature, not emptiness, so that the absolute
tury preserved by all orders. Both of these systems of instruc-
could be considered not as empty in itself but only as extrin-
tion seek to bring about realization as it is understood in the
sically empty (gzhan stong) with respect to relative phenome-
“Perfection of Wisdom” (Sanskrit, Prajña¯pa¯ramita¯) su¯tras by
na. In its own nature it was, rather, a plenitude of the quali-
means inspired by esoteric Buddhist practice. This takes par-
ties of the highest enlightenment. But, by contrast, Bu ston
ticularly dramatic form in the traditions of Severance, whose
held that the discourse of buddha-nature was itself a relative
exquisite liturgies involve the adept’s symbolic offering of his
way of speaking of the emptiness that stood as the true heart
or her own body as food for all beings throughout the uni-
of the doctrine. The latter came to be favored in the Dge lugs
verse.
pa order, and it is the “Bu ston tradition” (bu lugs) of the
The “Yoga of Indestructible Reality” (Rdo rje’i rnal
Ka¯lacakra that continues to be transmitted in that order in
’byor) designates the system of yoga associated with the
the early twenty-first century, above all by the fourteenth
Ka¯lacakra Tantra, the “Wheel of Time,” which was transmit-
Dalai Lama (b. 1935). The Jo nang pa order, which was sup-
ted in Tibet initially by Gyi jo Lo tsa¯ ba Zla ba’i ’od zer dur-
pressed for political reasons by the government of the fifth
ing the early eleventh century. A great many other lineages
Dalai Lama during the seventeenth century, continued nev-
specializing in this Tantra also arose, so that it became one
ertheless to thrive in some parts of far eastern Tibet. Its con-
of the dominant esoteric traditions of the early second mil-
troversial teaching of extrinsic emptiness became an impor-
lennium.
tant element in the nineteenth-century eclectic movement in
The Ka¯lacakra proposes in effect a system of universal
Khams. The greatest of the Jo nang pa masters following Dol
knowledge, including astronomical calculation, medical tra-
po pa was Rje btsun Ta¯rana¯tha (1575–1634), a celebrated
dition, and above all mastery of the internal disciplines of
historian and Tantric commentator, whose later incarnation
yoga. Indeed, these three domains—that of the universe
was recognized within the Dge lugs pa order in Mongolia.
without, the body within, and the esoteric realm of yoga—
Known as the Jebtsundampa Hutukhtu, he was regarded as
are treated homologously here, mapped onto one and the
the “Dalai Lama of the Mongols” in pre-Communist society.
same divine man:d:ala. The Ka¯lacakra became the basis for
The “Service and Attainment of the Three Indestruc-
the Tibetan calendrical system among other branches of
tible Realities” (Rdo rje gsum gyi bsnyen sgrub) represents
learning.
what is in the early twenty-first century an extremely rare lin-
As a system of Tantric contemplative practice, the
eage of instruction, focusing upon the internal yoga of the
Ka¯lacakra stresses a system of six yogas (sbyor drug): “with-
subtle energy channels and vital energy and stemming from
drawal” and “absorption” are the yogas of body, whereby the
the teaching of the divine Vajrayogin¯ı, as gathered by the Ti-
purification of the subtle, central channel is achieved;
betan adept O rgyan pa Rin chen dpal (Orgyenpa Rinchen-
“breath-control” and “restraint” are the yogas of speech,
pal, 1230–1309) during his extensive travels in the north-
whereby the vital energies are caused to enter the central
western quarters of the Indian subcontinent. The teaching
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1228
BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
was popularized by O rgyan pa’s successors during the four-
in the Jo nang pa and Zhwa lu pa orders. Nevertheless, he
teenth century, when several commentaries on it were com-
thoroughly rejected the “extrinsic emptiness” doctrine of Dol
posed, but subsequently it seems to have lapsed into obscuri-
po pa, regarding it as an extreme representative of persistent
ty. O rgyan pa also figures prominently as a transmitter of
Tibetan misunderstandings of the Yoga¯ca¯ra philosophy of
several of the major Bka’ brgyud pa lineages, notably the
India, and though accepting the authority of the
’Brug pa and Karma pa traditions.
Pra¯san˙gika-Ma¯dhyamika, he developed his own distinctive
interpretation thereof, which in many respects was not antic-
THE EMERGENCE OF THE DGE LUGS PA ORDER. During the
ipated in the work of Red mda’ ba. In short, though drawing
fourteenth and fifteenth centuries, the religious life of Tibet
on earlier tradition, Tsong kha pa formulated a novel synthe-
was dominated by the Sa skya pa and by the proliferation of
sis of the Indian Buddhist legacy, strongly emphasizing care-
Bka’ brgyud pa suborders, most of which were, like the Sa
ful textual study and the demands of logic.
skya pa, closely associated with important aristocratic house-
holds. The Bka’ gdams pa maintained their prominence,
Tsong kha pa attracted large numbers of talented disci-
whereas several smaller orders, especially the Jo nang pa and
ples, who began at some point to refer to themselves after
the Zhwa lu pa, had achieved considerable renown. Though
the name of the monastery their master had founded in
the other lines of teaching discussed above—Shangs pa, Zhi
1409, Dga’ ldan. This was soon replaced by the near-
byed, and Gcod—were also widely transmitted at this time,
homonym Dge ldan pa (“virtuous”), which in turn gave way
it is less clear that well-defined monastic orders had been
to the synonym Dge lugs pa. Because Tsong kha pa had fol-
formed on their basis. In addition, there were some monaste-
lowed the tradition of Bu ston in adopting a yellow ceremo-
ries—for example, Gnas rnying not far from Rgyal rtse
nial hat, in contrast to the red that was widely favored, his
(modern Gyantse)—which must be considered as represent-
successors became known popularly as “yellow hats” (zhwa
ing unique orders in their own right and as sometimes enjoy-
ser).
ing considerable local influence. A further example along
these lines is offered by the monastery of Bo dong, near the
Tsong kha pa’s followers appear to have shared a strong
Yam ’brog lake, whose great master Phyogs las rnam rgyal
sense of corporate identity, reflected doctrinally in the writ-
(Chokle Namgyal, 1376–1451) created his own vast synthe-
ings of his leading students, including Rgyal tshab rje Dar
sis of Buddhist learning comprising over 130 volumes.
ma rin chen (Gyaltsapje, 1364–1432), Mkhas grub rje Dge
legs dpal bzang (Khedrupje, 1385–1438), and Dge ’dun
The most important development, however, was the
grub pa (Gendün Drupa, 1391–1474), posthumously con-
emergence of an altogether new order, the Dga’ ldan pa
sidered to be the first Dalai Lama. At the same time, a large
(Gandenpa), later best known as Dge lugs pa, the “Virtuous
number of new monastic centers emphasizing adherence to
Ones.” The founder of the Dge lugs pa was the great scholar
the Vinaya and rigorous programs of study based on the sus-
Rje Tsong kha pa Blo bzang grags pa (Je Tsongkhapa, 1357–
tained practice of debate were established to promulgate his
1419), who, however, certainly had no intention to create
teaching. Examples include Se ra (1419) and ’Bras spungs
a new order. He saw himself, rather, as a custodian and recti-
(1416), in the vicinity of Lhasa. The latter, with as many as
fier of received tradition. Born in the far northeastern Tibet-
ten thousand monks, was, prior to 1959, considered to be
an province of Amdo (modern Qinghai), he came to central
the largest monastic community in the world. With the con-
Tibet as a teenager and pursued rigorous studies with all the
version by Bsod nams rgya mtsho (Sonam Gyatso, the third
foremost luminaries of the age, including teachers of the Bka’
Dalai Lama) of the Mongol leader Altan Khan in 1578, the
gdams pa, Sa skya pa, Bka’ brgyud pa, Zhwa lu pa, and Jo
Dge lugs pa order became the predominant Tibetan Bud-
nang pa traditions. His dedication to the Bka’ gdams pa
dhist tradition among the Mongols, a position it continued
teaching of the progressive path of the bodhisattva was such
to enjoy in the early twenty-first century.
that he and his successors often came to be thought of as
“new Bka’ gdams pa” (Bka’ gdams gsar ma), and his treatise
Mongol intervention in Tibetan affairs brought about
Lam rim chen mo (Great progression of the path) is renowned
the consolidation of political power by the fifth Dalai Lama
as a definitive expression of this approach. From his main Sa
in 1642, so that the Dge lugs pa became, from this point on,
skya pa teacher, Red mda’ ba Gzhon nu blo gros (1349–
the effective masters of Tibet. Coming in the wake of the
1412), he acquired a special concern for the interpretation
preceding decades of civil strife, in which warring factions
of the Pra¯san˙gika-Ma¯dhyamika philosophy of the Indian
were generally allied with different orders, the Dalai Lama’s
master Candrak¯ırti (c. 600–650) as well as an orientation to
regime sought to consolidate their control in part by a reor-
Tantrism that emphasized the primacy of the Guhyasama¯ja
ganization of religion. Numerous new Dge lugs pa monaste-
Tantra.
ries were established throughout the country. Some older
centers, particularly those of orders, such as the Karma pa
Moreover, it was in collaboration with Red mda’ ba that
and ’Brug pa Bka’ brgyud pa, that had been allied with the
Tsong kha pa undertook his celebrated reform of the practice
Dge lugs pa’s rivals, were forcibly converted. The Jo nang pa
of the monastic code, or Vinaya. In his Tantric teachings,
were altogether suppressed except for one nunnery within
Tsong kha pa to a great extent continued Bka’ brgyud pa tra-
the Dalai Lama’s domains. (The Bka’ gdams pa by this time
ditions as well as the yoga of the Ka¯lacakra Tantra as taught
had been mostly absorbed into the Dge lugs pa order 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
BUDDHISM, SCHOOLS OF: TIBETAN AND MONGOLIAN BUDDHISM
1229
so no longer had an independent existence.) Despite these
Karma Thinlay (Karma phrin las). The History of the Sixteen Kar-
politically impelled changes and despite the insistence by
mapas of Tibet. Boulder, Colo., 1978. Lives of the hierarchs
some of the more extreme sectarian proponents that only one
of the Karma Bka’ brgyud pa.
order need be recognized, it was generally agreed that some
Khenpo Rinpoche Könchog Gyaltsen, with Katherine Rogers. The
degree of plurality was nevertheless desirable. This came to
Garland of Mahamudra Practices. Ithaca, N.Y., 1986; 2d ed.,
be expressed in the notion that there were but four Tibetan
2002.
Buddhist orders—Rnying ma pa, Sa skya pa, Bka’ brgyud pa,
Lhalungpa, Lobsang, trans. The Life of Milarepa. New York, 1977;
and Dge lugs pa—a conception formalized by the official
reprint, Boulder, Colo., 1984. Translation of Gtsang
ranks and titles conferred by the government upon the hier-
smyon’s influential biography of the great Bka’ brgyud pa
archs of these traditions.
saint.
Lhalungpa, Lobsang, trans. and ed. Maha¯mudra¯: The Quintessence
SEE ALSO Bon; Buddhism, articles on Buddhism in Mongo-
of Mind and Meditation. Boston and London, 1985. Transla-
lia, Buddhism in Tibet; Dge lugs pa; Ma¯dhyamika; Tibetan
tion of an important treatise on the key Bka’ brgyud pa con-
Religions, overview article; Yoga¯ca¯ra.
templative teaching.
Na¯landa¯ Translation Committee. The Life of Marpa the Transla-
BIBLIOGRAPHY
tor. Boulder, Colo., 1982; reprint, 1995. Translation of Gt-
Aziz, Barbara Nimri. “Indian Philosopher as Tibetan Folk Hero.”
sang smyon’s biography of the Bka’ brgyud pa founder.
Central Asiatic Journal 23, nos. 1–2 (1979): 19–37. On Pha
Na¯landa¯ Translation Committee. The Rain of Wisdom. Boulder,
dam pa Sangs rgyas, founder of the Zhi byed lineage, as
Colo., 1980; reprint, 1999. Translation of a noted anthology
known in the folklore of the Ding ri region.
of Bka’ brgyud pa religious poems.
Batchelor, Stephen, ed. The Jewel in the Lotus: A Guide to the Bud-
Orofino, Giacomella. Contributo allo studio dell’insegnamento di
dhist Traditions of Tibet. Boston and London, 1987. Useful
Ma gcig lab sgron. Naples, Italy, 1987. On the teachings attri-
introductory anthology of readings from the major tradi-
buted to Ma gcig lab sgron, founder of the Gcod tradition.
tions.
Chang, Garma Chen Chi. The Hundred Thousand Songs of Milare-
Riggs, Nicole. Like an Illusion: Lives of the Shangpa Kagyu Masters.
pa. 2 vols. New Hyde Park, N.Y., 1962. Translation of a key
Eugene, Ore., 2001. Abridged translation of the hagiogra-
text of the Bka’ brgyud pa tradition.
phies of the Shangs pa bka’ brgyud pa.
Chattopadhyaya, Alaka. Ati´sa and Tibet: Life and Works of
Roerich, George, trans. The Blue Annals. 2d ed. Delhi, 1976.
D¯ıpamkara S´r¯ıjña¯na in Relation to the History and Religion
Translation of ’Gos lo tsa¯ ba’s magisterial record of Tibetan
of Tibet. 2d ed. Delhi, 1981. Study of the life, works, and
Buddhist lineage histories.
legacy of the eleventh-century Bengali master.
Ruegg, David S. “The Jo-nan˙-pas: A School of Buddhist Ontolo-
Dreyfus, Georges. The Sound of Two Hands Clapping. Berkeley,
gists according to the Grub-mtha’ sel-gyi-me-lon.” Journal of
Calif., 2003. Invaluable exploration of Tibetan monastic ed-
the American Oriental Society 83 (1963): 73–91. The Jo nang
ucation in the Dge lugs pa order.
pa philosophy as seen by its Dge lugs pa opponents.
Dudjom Rinpoche, Jigdrel Yeshe Dorje. The Nyingma School of
Ruegg, David S. The Life of Bu ston Rin po che. Rome, 1966.
Tibetan Buddhism: Its Fundamentals and History. Translated
Translation of the biography of the leading representative of
by Gyurme Dorje and Matthew Kapstein. Boston, 1991. A
the Zhwa lu pa order.
leading twentieth-century master’s summation of the tradi-
Sherburne, Richard, trans. A Lamp for the Path and Commentary
tions of his order.
of At¯ı´sa. London, 1983. Translation of At¯ı´sa’s fundamental
Edou, Jérôme. Machig Labdrön and the Foundations of Chöd. Itha-
treatise on the path of the bodhisattva.
ca, N.Y., 1996. Accessible introduction to the teachings of
Smith, E. Gene. Among Tibetan Texts. Boston, 2001. See
the Gcod lineage.
pp. 53–57. Collected studies by the leading authority on the
Kapstein, Matthew. “The Shangs-pa bKa’-brgyud: An Unknown
general history of Tibetan religious literature.
Tradition of Tibetan Buddhism.” In Tibetan Studies in Hon-
Snellgrove, David L. Indo-Tibetan Buddhism: Indian Buddhists
our of Hugh Richardson, edited by Michael Aris and Aung
and Their Tibetan Successors. Boston, 1987. Far-ranging
San Suu Kyi, pp. 136–143. Warminster, U.K., 1979. His-
overview of the history of esoteric Buddhism.
torical introduction to the Shangs pa Bka’ brgyud pa.
Sopa, Geshe Lhundub, Roger Jackson, and John Newman. The
Kapstein, Matthew. “The Illusion of Spiritual Progress.” In Paths
Wheel of Time: The Kalachakra in Context. Madison, Wis.,
to Liberation: The Marga and Its Transformations in Buddhist
1985; reprint, Ithaca, N.Y., 1991. Useful introduction to the
Thought, edited by Robert Buswell and Robert Gimello,
Ka¯lacakra system.
pp. 193–224. Honolulu, 1991. Study of the Shangs pa
founder Khyung po rnal ’byor’s revelations in India.
Stearns, Cyrus. Buddha from Dolpo. Albany, N.Y., 1999. Bio-
graphical study of the leading Jo nang pa master, Dol po pa,
Kapstein, Matthew T. “gDams-ngag: Tibetan Technologies of the
with extracts from his writings.
Self.” In Tibetan Literature: Studies in Genre, edited by José
Ignacio Cabezón and Roger R. Jackson. Ithaca, N.Y., 1996.
Thurman, Robert A. F. Tsong Khapa’s Speech of Gold in the Essence
Introduction to the eight major lineages.
of True Eloquence. Princeton, N.J., 1984. Study and transla-
tion of one of Tsong kha pa’s major philosophical contribu-
Kapstein, Matthew T. The Tibetan Assimilation of Buddhism: Con-
tions.
version, Contestation, and Memory. Oxford, 2000. Includes
studies of the formation of some of the major lineages.
MATTHEW T. KAPSTEIN (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
1230
BUDDHISM, SCHOOLS OF: HIMALAYAN BUDDHISM
BUDDHISM, SCHOOLS OF: HIMALAYAN
At about the same time, the Ngor pa tradition, a subsect
BUDDHISM
of the Sa skya pa school, which had been founded by mem-
The historical Buddha S´a¯kyamuni, born in Lumbin¯ı and
bers of the ’Khon family to whom Sa skya Pan:d:ita belonged,
raised in Kapilavastu, both in present-day Nepal, must have
became influential in Purang. This religious shift was the re-
often set his eyes on the slopes and peaks of the Himalaya,
sult of Purang having become a dependency of Glo bo, an-
the “abode of snow,” which can be seen on clear days from
other Himalayan kingdom (what is now Mustang in north-
either of these places. Some 2,500 years after his birth, the
ern Nepal). Although this dominance of Glo bo over Purang
Himalayan regions from Ladakh in the northwest across to
was short-lived, it shows that the spread of Buddhist schools
Bhutan in the southeast are still suffused with the cultural
in the Himalayan region relied heavily on royal support for
practices of the Buddhist religion—its manifold rites, prac-
the definition and maintenance of their monastic institu-
tices, and doctrines, its symbols and institutions, all reflect-
tions. This was true also in the next period in the history of
ing with great clarity the different waves of the spread of the
the western Himalayas, when the rulers of Ladakh became
Buddha’s teaching to the Himalaya.
the dominant political power and the twin countries of Guge
P
and Purang faded into the background. The most popular
ATRONS AND PRECEPTORS. The region of Kashmir, where
Buddhism was first diffused about 250
Buddhist teacher during that time was Stag tshang ras pa
BCE, on the orders
of King A´soka, later became one of the gateways through
(1574–1651), a religious figure still of great significance for
which monastic and tantric lineages entered Tibet, especially
the Ladakhi people. He was a member of the ’Brug pa sub-
during the so-called second spread (phyi dar), from the end
sect of the Bka’ brgyud pa school, and he was generously sup-
of the tenth century onwards. Particularly instrumental in
ported by the king of Ladakh, from whom he received a
this phase of the introduction of Buddhism into the western
number of estates while acting as his preceptor.
Himalayas were the early kings of Guge Purang (a confedera-
A significant role in the diffusion of Buddhist traditions
tion whose territory included what is today known as La-
in the western Himalayas was also played by another subsect
dakh), who selected a group of young men and sent them
of the Bka’ brgyud pa school, the ’Bri gung pa, whose major
to Kashmir to be trained as “translators” (lo tsa¯ ba). One such
zone of activity was the area around Lake Manasarovar and
link between the Indian and Tibetan cultures was Rin chen
Mount Kailash. The hermitages around the sacred mountain
bzang po (958–1055), later preceptor to King Ye shes ’od
were established by yogins following the example of their
and his family. Due to efforts like his, Western Tibet became
great fellow yogin Mi la ras pa (1028/40–1111/23), and were
a center of Buddhist thought and practice based on a direct
later occupied mainly by followers of the ’Brug pa, founded
knowledge of Indian canonical and philosophical literature.
by Gling ras pa Padma rdo rje (1128–1188), and of the ’Bri
Royal patronage was continued by later kings, one of whom
gung pa, founded by Skyob pa ’Jig rten mgon po (1143–
financed, for example, the Indian journey of Rngog Lo tsa¯
1217). These two schools left the strongest imprint on the
ba Blo ldan Shes rab (1059–1109). Another key figure, for
tradition of Buddhist pilgrimages to Kailash, the “Snow
having established a famous Vinaya ordination lineage in
Mountain Ti se” (gangs ti se), the legends surrounding their
Tibet, was the Kashmiri Maha¯pan:d:ita S´a¯kya´sr¯ıbhadra
representatives being mainly responsible for the drive to ide-
(d. 1225), who was the last head of the Buddhist university
alize and spiritualize this Himalayan region. The ’Bri gung
of Vikrama´s¯ıla in Magadha and one of the teachers of Sa
pa are said to have fostered innumerable numbers of “her-
skya Pan:d:ita Kun dga’ rgyal mtshan (1182–1251).
mits” (ri pa), headed by what may be called a “rector” (rdor
Vikrama´s¯ıla was already seeking out contact with Tibet
’dzin), who supervised their spiritual life at the sacred moun-
and other Himalayan regions during its peak period in the
tain. In the fifteenth century the influence of the ’Bri gung
second half of the tenth century, the most notable example
pa in the Kailash area declined, doubtless under that of the
being in the person of Ati´sa D¯ıpam:kara´sr¯ıjña¯na (982–
Ngor pa tradition. In Ladkah, the ’Bri gung pa had become
1054), another one of its heads to reach Tibet. In his case
influential at the beginning of the thirteenth century, but
it was the family of the early kings of Guge Purang who is-
when the ruling house became patrons of the ’Brug pas they
sued the invitation, the monk-scholar from present-day Ben-
lost their former standing there too, never to recover it.
gal arriving at their royal court in the year 1042. The influ-
A TRANSLATOR’S JOURNEY. The last Buddhist maha¯pan:d:ita
ence of Ati´sa was far-reaching, especially his insistence on the
to reach Tibet during the second spread was the yogin Va-
observance of the monastic rule and a restricted use of the
naratna (1384–1458) of present-day Bengal. He undertook
Tantras. After his death this Buddhist school became known
three journeys to the plateau, where he assumed the role of
as the Bka’ gdams pa, which in turn served as the model for
preceptor of the Phag mo gru family, the rulers of Central
the “New Bka’ gdams pa,” or Dge lugs pa, founded by Tsong
Tibet before the Rin spungs pa took over. Vanaratna pro-
kha pa Blo bzang grags pa (1357–1419). This latter tradition
mulgated tantric transmissions, mainly from the cycles of the
was spread in the western Himalayas by a group of Tsong
Ka¯lacakra Tantra, the Hevajra Tantra, and the
kha pa’s disciples called the “six great diffusers of the teach-
Cakrasam:vara Tantra. Among his Tibetan disciples were two
ings to the borders.” It became prominent from the fifteenth
translators, ’Gos Lo tsa¯ ba Gzhon nu dpal (1392–1481) and
century onward, with monastic lineages being established in
Khrims khang Lo tsa¯ ba Bsod nams rgya mtsho (1424–
Guge and Ladakh.
1482), the former well known as the author of the famous
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: HIMALAYAN BUDDHISM
1231
“Blue Annals,” a comprehensive historiographical work of
ries, the great adept Padmasambhava was the most notable
Tibetan Buddhism written in the years 1476 to 1478.
person to have traveled through the region, where he sub-
dued mountain gods and local spirits on his way to the court
Bsod nams rgya mtsho, also called the “Great Transla-
of the Yarlung kings in Central Tibet. The same route was
tor” (lo chen), had met Vanaratna during the latter’s final
used by S´antaraks:ita, the abbot who introduced the first
journey to Tibet in the years 1453 to 1454 and assisted him
Vinaya lineage into Tibet. Even Srong btsan sgam po, the
on the return trip to Nepal, where Vanaratna had taken up
residence in a Buddhist viha¯ra in Patan. More than ten years
first Buddhist ruler of the Yarlung dynasty, is believed to
later the translator undertook the daring journey to the south
have undertaken a journey from Mang yul Gung thang to
on his own in order to receive further tantric transmissions.
the Kathmandu Valley in order to bring back a statue of
This journey is a late case of a lo tsa¯ ba’s quest for authentic
Padmapa¯n:i Loke´svara to Tibet. This legend accounts for the
Buddhist teaching, showing how the natural barrier of the
importance of the Newar culture in the transmission of Bud-
Himalaya was overcome by these motivated travelers.
dhist religious and artistic traditions to the north, and points
at the same time to the widespread circulation of these kind
The mountain chain was approached in the region of
of narratives centering on Srong btsan sgam po, and their rel-
Chu bar, close to the Gaur¯ı´sankar peak (7,146 m), which
evance to what has been called “the Himalayan experience”
is known to Tibetans as the “glaciers of the Goddess of Long
in the diffusion of Buddhism.
Life” (tshe ring ma’i gangs rnams). This area and its landscape
is suffused, like the Kailash region, with the memory of Mi
The introduction of the Buddha’s teaching to Tibet and
la ras pa, following whose example the translator is said to
neighboring Himalayan regions is a recurring theme within
have appeased the local deities. Two routes could be taken
the cult of the Bodhisattva Avalokite´svara, to whom is credit-
from there onwards to the Nepal Valley. Bsod nams rgya
ed the conversion of uncivilized humans to the new religion.
mtsho chose the one passing through Dolakha¯, a small inde-
Instrumental in this scheme are a group of temples said to
pendent kingdom to the northeast of the valley. Walking on
have been built during the reign of Srong btsan sgam po, and
treacherous paths through narrow gorges, he eventually
located for the most part in or near the southern valleys; these
reached Bhaktapur, the royal center of Nepal, ruled by King
temples were held to be able “to tame the borders and areas
Jaya Yaks:amalla (r. 1424–1482). In the Govicandra
beyond the borders” and thus secure the center, namely the
Maha¯viha¯ra in Patan the spiritual relationship with Vanarat-
Jokhang temple in Lhasa, for Buddhism. The whole process
na was renewed, and the Tibetan disciple obtained special
of “taming” (’dul ba) took on a special character when direct-
tantric transmissions revealed to the Maha¯pan:d:ita. One of
ed toward the Himalayan regions which, according to the
these encounters took place in S´a¯ntipura in the surroundings
Buddhist texts glorifying the deeds of Srong btsan sgam po,
of the Buddhist stupa known today as Svayam:bhu¯na¯th. After
were wild and uncultivated. This notion was counterbal-
a pilgrimage to the different sacred sites of the Nepal Valley,
anced by authors who looked to the remote Himalayan re-
including a triad of celebrated statues of Padmapa¯n:i
gions in the south as a sort of earthly paradise, whose hillsides
Loke´svara located within the cultural boundaries of fif-
provided an ideal location for monasteries, and which was
teenth-century Nepal, Bsod nams rgya mtsho then left his
imbued with all the resources of nature needed for leading
teacher and Newar hosts and once again made his way
a life of Buddhist spirituality.
through the dangerous gorges. Later he merely complained
Both these cultural attitudes of viewing the Himalayan
that he had not been able to collect medicinal plants growing
valleys as regions to be tamed and—especially in times of po-
in the Himalayan valleys in abundance, and compared his
litical turmoil—as sanctuaries to be sought out were cultivat-
difficulties with the ones faced by an earlier Buddhist
traveler.
ed and refined within the Rnying ma pa school, the followers
of the great adept Padmasambhava. One of the most prolific
In later times a second route, passing from Chu bar to
writers in this respect was the “treasure-discoverer” (gter ston)
Listi (to the west of Dolakha¯), was normally taken by Tibet-
Rig ’dzin Rgod ldem (1337–1408), whose texts describe vari-
an priests making the journey to Nepal. Among these we find
ous “hidden valleys” (sbas yul) ranging from the region of
the Sixth Zhva dmar pa Chos kyi dbang phyug (1584–1630)
Mang yul Gung thang in the west to the Chumbi Valley be-
and the Eighth Si tu Chos kyi ’byung gnas (1699–1774).
tween Sikkim and Bhutan in the east. This master acted as
Like Bsod nams rgya mtsho, in whose footsteps they fol-
preceptor to the royal court of Mang yul Gung thang. Indeed
lowed, these hierarchs of the Bka’ brgyud pa school were
the prophecies of Padmasambhava regarding its future rulers
warmly welcomed by Malla rulers, including Jagajjyotirmalla
show that the idea of saving this royal branch of the Yarlung
(r. 1614–1637) and Jagajjayamalla (r. 1722–1736).
dynasty was a theme of central importance in the hidden-
“THE HIMALAYAN EXPERIENCE.” A widely used cultural cor-
valley literature. These kind of texts state explicitly that sanc-
ridor through which monastic and tantric lineages of the
tuaries in the Himalayan valleys are to be searched for during
Buddhist religion entered the Tibetan plateau was Mang yul
times when foreign armies threaten the security of Tibet.
Gung thang, a kingdom in southwest Tibet located to the
They can thus be understood as a reaction of the traumatized
north of the Nepal Valley. During the time of the so-called
Rnying ma pas to the invasion by the Mongols in the thir-
earlier spread (snga dar) from the seventh to the ninth centu-
teenth century and to their subsequent political dominion.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1232
BUDDHISM, SCHOOLS OF: HIMALAYAN BUDDHISM
The supremacy of the Dge lugs pa school in Central
gling pa (1450–1521). It was Zhabs drung Ngag dbang rnam
Tibet four hundred years later, achieved with the help of
rgyal (b. 1595) who founded a central government and es-
their Mongol patrons, resulted once more in an increased
tablished the borders of the “Land of the Thunder-Dragon”
production of this kind of literature and a more intense
(’brug yul). A member of the Rgya family from Rva lung,
search for sacred abodes in the Himalayan borderlands. Dur-
from which family Rgyal ba’i dbang po (1428–1476), the
ing this period, in the seventeenth century, the border-
second ’Brug chen hierarch of the ’Brug pa school, issued,
taming temple in Mang yul Gung thang functioned as one
he was forced to flee to the southern Himalaya upon claim-
starting point for expeditions of Rnying ma pa treasure-
ing to be the incarnation of the fourth ’Brug chen Padma
discoverers to the south. The diffusion of Buddhist institu-
dkar po (1527–1592). The teaching tradition of the ’Brug
tions and rites in such neighboring valleys as Glang ’phrang
pa school had already been introduced earlier to Bhutan, one
and Yol mo, located in present-day Nepal, must be seen as
of its representatives before the unification of the country
an outcome of these kinds of practices.
being Kun dga’ legs pa (1455–1529), the famous “Madman
from Bhutan” (’brug smyon). Later on the country was ruled
BUDDHIST MONARCHIES. The country of Sikkim, now part
by a nominal head of state, an incarnate lama, while the secu-
of the confederation of Indian states, was known to Rig ’dzin
lar administration was entrusted to a regent; these persons
Rgod ldem under the name “Rice Land” (’bras mo ljongs).
were known respectively as the Zhabs drung Rin po che and
One of the monasteries that he founded, ruins of which still
the Sde srid.
can be seen today, was within its borders. The greatest propa-
gator of Buddhism in Sikkim appeared later: Lha btsun Nam
The fourth regent, Bstan ’dzin rab rgyas (1638–1696)
mkha’ ’jigs med (1587–1650), another treasure-discoverer of
was one key figure in the early phase of the ’Brug pa state,
the Rnying ma pa school and follower of the Great Perfec-
which lasted more than two hundred years before being re-
tion doctrine. In the year 1641 he, together with Kah: thog
placed in 1907 by a modern monarchy. It was this regent
Rig ’dzin chen po and Mnga’ bdag Sems dpa’ chen po, in-
who created a religious edifice at the famous cliff-side medi-
stalled the first Buddhist king in Sikkim. The names of the
tation cave of the great adept Padmasambhava at Stag tshang
latter two masters allude to the earlier spread of further Rny-
to the north of the Paro Valley (the site had earlier been in
ing ma pa lineages in the country, namely to the Kah: thog
the hands of the Kah: thog pa), and he was also responsible
pa of Eastern Tibet and to the Mnga’ bdag pa, who followed
for popularizing such religious practices as the display of
in the tradition of the treasure-discoverer Zhig po gling pa
massive appliqué hangings draped from monastery courtyard
(1524–1583) from Central Tibet. The epitome of the hid-
walls and the seasonal dance festivals dedicated to Padma-
den valley transformed into a Buddhist kingdom was Brag
sambhava. The forty-ninth regent, ’Jigs med rnam rgyal
dkar bkra shis ldings, a sacred site surrounded in the style
(1825–1881), is generally remembered for being the father
of a man:d:ala by four miraculous caves in the four cardinal
of O rgyan dbang phyug (1862–1926), the founder of the
directions; these places continue to be pilgrimage destina-
modern monarchy. The latter’s rise to political power was
tions for all Sikkimese Buddhists.
largely due to the encouragement shown and the rituals con-
ferred upon him by his teacher Byang chub brtson ’grus
During the rule of the next dharmara¯ja or chos rgyal, a
(1817–1856). This lama from Central Tibet had traveled
strong connection was established with the teachers of Smin
widely in Kashmir, Western Tibet, and Nepal, and he had
grol gling, an influential Rnying ma pa monastery in Central
conceived a special crown for his disciple: a magical battle
Tibet, and this led to the foundation of Padma yang rtse, a
helmet, which later became a symbol of royalty. Imbued with
monastery which later supervised all the Rnying ma pa insti-
the essence of two forms of the great protector Maha¯kala, it
tutions in Sikkim. ’Jigs med dpa’ bo (b. 1682), the second
was a conscious allusion to the role played by the raven-
incarnation of Lha btsun Nam mkha’ ’jigs med, received his
headed Maha¯kala in the first unification of Bhutan by Zhabs
spiritual training under Rig ’dzin Gter bdag gling pa (1646–
drung Ngag dbang rnam rgyal.
1714), the hierarch of Smin grol gling, and following an invi-
tation to Sikkim became the preceptor of the Sikkimese king.
CRAFTSMEN AND ARTISTS. The legends concerning the en-
His activities at the beginning of the eighteenth century co-
lightened activity of the bodhisattva Avalokite´svara as the
incided with the suppression of the Rnying ma pa school in
spiritual protector of the Himalayan region and the Buddhist
Central Tibet due to the Dzungar invasions and an edict of
king as his incarnation formed the ideological basis for mon-
the Manchu ruler Yung chen. In the year 1718 Rje btsun Mi
archies like Sikkim and Bhutan from the very beginning. It
’gyur dpal sgron (1699–1769), the daughter of Rig ’dzin
is known, for example, that the first ruler of Sikkim held the
Gter bdag gling pa, escaped the Dzungar armies and traveled
teaching transmission of the “Hundred Thousand Proclama-
to Sikkim; there she was welcomed by the king and by ’Jigs
tions of the Man:i [Mantra]” (man:i bka’ ’bum), a heteroge-
med dpa’ bo. The “Rice Land,” too, thus offered refuge in
neous collection of teachings ascribed to Srong btsan sgam
troubled times to the followers of Padmasambhava.
po, and that in the seventeenth century prints of this collec-
tion were executed in the newly founded state of Bhutan.
Parts of northern Bhutan, the modern Buddhist monar-
chy bordering on Assam, were regarded as hidden sanctuaries
This particular version can be traced back to an earlier
as well, as can be seen from the writings of Rig ’dzin Padma
edition, which is the oldest xylograph of this work after its
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: HIMALAYAN BUDDHISM
1233
dissemination in the form of manuscripts for a period of
Rnying ma pa school. Once they achieve the status of holy
about four hundred years. It was in Mang yul Gung thang
women, they can thus become the legitimating source of
that a first block print of the collection had been produced,
male incarnate lineages; this can be seen, for example, in the
and the person responsible for this and other large-scale
cases of Rig ’dzin Padma gling pa, Rig ’dzin Bstan gnyis gling
printing projects in that region was a monk of the Bo dong
pa, and Rig ’dzin Jigs med gling pa (1730–1798), all of
pa school by the name of “The Incomparable” (mnyam med)
whom are regarded as reincarnations of female disciples of
Chos dbang rgyal mtshan (1484–1549). An expert in the
Padmasambhava (of the princesses Padma gsal, Nu ’byin sa
field of Buddhist art and craftsmanship, he oversaw the first
le, and Ye shes mtsho rgyal respectively).
carved edition of the teachings associated with Srong btsan
sgam po at the royal court of Mang yul Gung thang upon
Although the number of female reincarnations has been
the death of his teacher Btsun pa Chos legs (1437–1521),
relatively small, a few cases are still remembered among Hi-
another influential member of the Bo dong pa community.
malayan Buddhists. The most well-known one is the so-
The workshop of Chos dbang rgyal mtshan produced further
called Rdo rje phag mo incarnation of Bsam sdings monas-
xylographs of writings of the ’Brug pa and ’Ba’ ra ba Bka’
tery near the lake Yar brog mtsho in Central Tibet. This di-
brgyud pa schools, and also carved on wood blocks the oldest
vine lady is viewed as an emanation of Ta¯ra¯, who for
edition of the Theg mchog mdzod (a classic of the Great Per-
protective purposes assumed the appearance of a menacing
fection doctrine) and of the bKa’ gdams glegs bam (a collec-
animal, the “Diamond Sow” (rdo rje phag mo). The first
tion of texts comprising hagiographical material and the eso-
member of this lineage was the youngest daughter of King
teric teachings of the Bka’ gdams pa school). Chos dbang
Lha dbang rgyal mtshan (1401–1464) from Mang yul Gung
rgyal mtshan’s legacy to the monastic institutions of the Bo
thang, who later became the spiritual partner of Bo dong Pan:
dong pa was a printed edition of a “stages of the path” (lam
chen Phyogs las rnam rgyal. In 1440 this princess, named
rim) manual by Bo dong Pan: chen Phyogs las rnam rgyal
Chos kyi sgron me, founded the monastery of Bsam sdings,
(1375–1451), the founder of the school. This project, which
a convent of the Bo dong pa school, with the support of the
occupied sixteen carvers for a period of over six months, was
local ruler of Sna dkar rtse. The ruling family of this princi-
completed in Btsum, a hidden valley located in present-day
pality also cared for the next incarnation, the “Noble One”
Nepal. Chos dbang rgyal mtshan became involved in the
(rje btsun ma) Kun dga’ bzang mo (b. 1459). The translator
popularization of this cultural phenomenon by virtue of
Bsod nams rgya mtsho met her in Sna dkar rtse not long after
being a disciple of such treasure-discoverers of the Rnying
his return from Nepal. In the following years this female in-
ma pa school as Rig ’dzin Mchog ldan mgon po (1497–
carnation is known to have actively promoted teaching tradi-
1531) and Rig ’dzin bstan gnyis gling pa (1480–1553), both
tions of the Bo dong Pan: chen across the Himalayan region.
of whose collected writings he executed as block prints. This
Her role as a charismatic religious teacher was accepted by
increased production of xylograph editions of Buddhist clas-
the great Buddhist masters of her time, including the second
sics in southwestern Tibet, including the famous biography
’Brug chen Rgyal ba’i dbang po and Lha btsun Kun dga’
and spiritual songs of the great yogin Mi la ras pa, greatly
Chos kyi rgya mtsho (1432–1505), the teacher of Kun dga’
enhanced the spread of these different literary traditions in
legs pa, the Madman from Bhutan. The lineage of the Rdo
the Himalayan valleys. It is possible to identify the individual
rje phag mo incarnation continues down to the present time,
carvers of such block print editions along with the artists who
with its twelfth member still residing at its place of origin.
beautifully depicted the deities on their front and back pages.
Another female incarnate lineage is that of the Gung ru
One main seat of the Bo dong pa school was located in
mkha’ ’gro ma from Eastern Tibet, which is known from lit-
Porong, a nomadic region in the northern part of Mang yul
erary sources but has not survived as a living institution. The
Gung thang ruled by a local whose ancient capital was a place
reason for this may be sought in unflattering political proph-
called “Big Tent” (sbra chen). In the 1960s, after the end of
ecies that Gung ru mkha’ ’gro ma (also known as Lha rtse
the rule of this family, the Porong area underwent dramatic
dpon mo) uttered with regard to the newly founded govern-
change, but today the community has reorganized itself, its
ment of the fifth Dalai Bla ma Ngag dbang blo bzang rgya
main monastery has been rebuilt, and the old block xylo-
mtsho (1617–1682); as a result, the Dalai Bla ma expressed
graph of Bo dong Pan: chen has been reprinted.
doubts about her spiritual authority, as stated in his autobi-
FEMALE INCARNATIONS. Incarnate religious teachers have
ography. The divine lady was nevertheless credited with all
played an important role in the Himalaya, as hierarchs of
signs of authenticity by Rong po Skal ldan rgya mtsho
Buddhist schools, as preceptors to royal families, or as “repre-
(1607–1677), a great master from Amdo. These events
sentatives” (tshab) of the great adept Padmasambhava in
should not be interpreted as signs of misogynous behavior
troubled times. In contrast to the great number of male “re-
on the part of the religious and political head of seventeenth-
incarnations” (sprul sku), the principle of female incarnate
century Tibet (he spoke without bitterness of the fourth in-
lineages seems to have been not very widely accepted. As
carnation of the Bsam sdings rDo rje phag mo). In any case,
d:a¯kin¯ıs, or “sky-goers” (mkha’ ’gro ma), women are neverthe-
they are suggestive of an atmosphere of religious tolerance
less held in high esteem, both as symbols of divinity and as
prevailing in Eastern Tibet (Khams and Amdo), the border
religious practitioners, especially among followers of the
regions of Lho kha and the Himalayan valleys in the south.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1234
BUDDHISM, SCHOOLS OF: HIMALAYAN BUDDHISM
PILGRIMAGES AND STUPAS. Schools of Himalayan Bud-
pleted there by the ’Bri gung pa school—a sign of the contin-
dhism developed following the spread of the Buddha’s teach-
uing definition and maintenance of Himalayan Buddhism
ing to the mountainous region, and reflected the monastic
in the place where its founder was born.
lineages and tantric transmissions associated with places like
Kashmir, Magadha, and Nepal. This process of religious
SEE ALSO Buddhism, overview article.
transmission was completed by the fifteenth century, after
which a reversed movement can be observed, with the now
BIBLIOGRAPHY
Aris, Michael. The Raven Crown: The Origins of Buddhist Monar-
established religious traditions crossing back over the cultural
chy in Bhutan. London, 1994. The Himalayan kingdom of
boundaries to the south. One can trace this transition in the
Bhutan and the hereditary monarchy of O rgyan dbang
journeys of individual Buddhist travelers and in the practice
phyug are presented as one of the few kingships to have re-
of large-scale pilgrimages to sacred sites located in the Hima-
emerged in the twentieth century. The narrative is based on
layan valleys. A conspicuous example of the latter is the mi-
the Bhutanese chronicles.
gration of the Sherpa people from Eastern Tibet to the land
Buffetrille, Katia, and Hildegard Diemberger, eds. Territory and
south of Mount Everest in the sixteenth century, their search
Identity in Tibet and the Himalayas. Leiden, 2002. The arti-
for a hidden valley leading to a permanent resettlement after
cles explain notions of territory and identity in Tibetan and
they were displaced from their home country.
Tibeto-Burman communities using a fundamentally empiri-
cal method. Two essays deal with the nomadic principality
Sherpa Buddhism is characterized, like most local Bud-
of Porong.
dhist cultures in the Himalaya, by foundings of temples and
Cadonna, Alfredo, and Ester Bianchi, eds. Facets of Tibetan Reli-
monasteries, the last major ones being under the inspiration
gious Tradition and Contacts with Neighbouring Cultural
of Ngag dbang bstan ’dzin nor bu (1867–1940), the great
Areas. Florence, 2002. Results of the latest research in the
abbot of Rdza rong phu. Both this monastery, located on the
field of Tibetan religious traditions at the Venetian institute
northern side of the Everest massif, and the well-known
Venezia e l’Oriente. One contribution investigates the theme
Steng po che monastery (founded in the years 1915 to 1919)
of female reincarnations and the case of the Gung ru mkha’
follow the teaching tradition of Smin grol gling. The rituals
’gro ma.
of this Rnying ma pa monastery in Central Tibet are kept
Ehrhard, Franz-Karl. Early Buddhist Block Prints from Mang-yul
alive in the Sherpa country through village festivals and the
Gung-thang. Lumbin¯ı, Nepal, 2000. Monograph surveying
construction of stupas, which latter are recognized by the
the history of a number of sixteenth-century xylographs pro-
people as the containers of relics and as commemorative
duced by a local school of calligraphy and printing. One of
monuments.
the literary sources is the biography of the monk-artist Chos
dbang rgyal mtshan.
Buddhist stupas like the ones of Svayam:bhu¯na¯th and
Ehrhard, Franz-Karl. Life and Travels of Lo-chen bSod-nams rgya-
Bodhna¯th in the Kathmandu Valley of Nepal have been pop-
mtsho. Lumbin¯ı, Nepal, 2002. Assessment of the biographi-
ular destinations of pilgrims for centuries. In the course of
cal tradition of a fifteenth-century translator mainly active in
time, the upkeep of these religious shrines came into the
Lho kha on the basis of a work written by the Fourth Zhva
hands of Tibetan priests. This led in turn to the construction
dmar pa. A list of the translations of Maha¯pan:d:ita Vanaratna
of administrative buildings near the pilgrimage sites; in the
and his interpreters is included.
case of Svayam:bhu¯na¯th and Bodhna¯th, these buildings date
Gutschow, Niels, Axel Michaels, Charles Ramble, and Ernst
from the eighteenth century. The exodus of the Tibetan peo-
Steinkellner, eds. Sacred Landscape of the Himalaya: Proceed-
ple from their homeland after the revolt in Lhasa in 1959
ings of an International Conference at Heidelberg. Vienna,
2003. Contributions cover the entire range of the Himalaya,
was one main reason for the subsequent increased construc-
from Ladakh to Bhutan, reconstructing the historical topog-
tion of monasteries near the stupas. In these places one can
raphy of the predominantly Buddhist northern region. Con-
witness a revival of the cultural and religious traditions of Hi-
tains maps of Mang yul Gung thang as a destination for Bud-
malayan Buddhism. This holds true as well for regions like
dhist pilgrims.
Ladakh, Sikkim, and Bhutan, where the Tibetan diaspora
Gyatso, Janet. Apparitions of the Self: The Secret Autobiographies of
has found refuge and is able to maintain its religious and cul-
a Tibetan Visionary. Princeton, 1998. Examines autobio-
tural identity.
graphical writing in Tibet from a comparative perspective.
This literary genre is frequently met with in the study of Hi-
Pilgrimages to sacred sites associated with the life of the
malayan Buddhism. The book concludes with a study of the
historical Buddha S´a¯kyamuni have a long tradition in India,
figure of the d:a¯kin¯ı in these kind of texts.
and this cultural practice was also taken up by Himalayan
Huber, Toni, ed. Sacred Spaces and Powerful Places in Tibetan Cul-
Buddhists. One interesting example is the pilgrimage to a
ture: A Collection of Essays. Dharamsala, India, 1999. Collec-
spurious Ku´sinagara (the place of Buddha’s parinirva¯n:a) in
tion of essays on narrative, social identity and territory, ritual
Assam, as advocated by followers of the ’Brug pa school in
spaces and places, and hidden lands and holy domains. Two
the sixteenth century. The archaeological site of Lumbin¯ı,
of the essays deal with the search for Himalayan sacred terri-
the birthplace of S´a¯kyamuni Buddha, was discovered only in
tories.
1896; modern pilgrimages to this spot are a quite recent phe-
Klimburg-Salter, Deborah E. Tabo: A Lamp for the Kingdom: Early
nomenon. A stupa of impressive height has just been com-
Indo-Tibetan Buddhist Art in the Western Himalaya. Milan,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: CHINESE BUDDHISM
1235
Italy, 1997. Documentation of the royal monastery of Tabo,
usage privileges individual founders and doctrinal content
founded by King Ye shes ’od of Guge Purang, and still the
over social features and religious praxis, and it implies a his-
largest monastery in the western part of the country. Includes
torical model that is of limited application to the exegetical
a historical introduction to Western Tibet by Luciano
schools and individual monastic communities of Chinese
Petech.
Buddhism, and is at best unwieldy when used for other types
McKay, Alex, ed. Pilgrimage in Tibet. Richmond, U.K., 1998.
of Buddhist schools.
Conference papers dealing with pilgrimage as a core element
of religious practice in the Tibetan cultural world. Three arti-
Japanese scholarship and the Japanese denominational
cles cover Mount Kailash; one describes the opening of the
model have had a significant and often unrecognized influ-
hidden valley ’Bras mo ljongs.
ence on Western-language interpretations of Chinese Bud-
Ortner, Sherry B. High Religion: A Cultural and Political History
dhism since the late nineteenth century. Japanese scholars
of Sherpa Buddhism. Princeton, 1989. The founding of Sher-
such as Nanjo¯ Bun’yu¯ (1849–1927) and Takakusu Junjiro¯
pa monasteries is analyzed as a “cultural scheme” by combin-
(1866–1945) worked as students and research assistants with
ing social and historical modes of analysis. The book draws
major scholars such as Max Müller (1823–1900) and Sylvain
no comparisons with other local cultures in the Himalaya.
Lévi (1863–1935), respectively, during the formative years
Smith, E. Gene. Among Tibetan Texts: History and Literature of the
of European Buddhist studies and religious studies. Adopt-
Himalayan Plateau. Boston, 2001. These famous essays cover
ing their mentors’ perspective on the importance of the Bud-
Buddhist texts representing all lineages, histories, and bio-
dha as founder and of doctrine as his primary contribution,
graphical and literary arts—among them studies on the dia-
these Japanese authors and their later colleagues described
ries of the Eighth Si tu and on secular arts and sciences as
Chinese Buddhism in terms of the founders, doctrines, and
presented by Bo dong Pan: chen.
characteristic practices of the separate denominational enti-
Vitali, Roberto. The Kingdoms of Gu.ge Pu.hrang according to
ties that had crystallized in Japan during the Tokugawa peri-
mNga’.ris rgyal-rabs by Gu.ge mKhan.chen Ngag.dbang
od (1600–1868), when the Japanese government had im-
grags.pa. Dharamsala, India, 1996. Translation of the “Royal
posed a fixed administrative structure on the religion there.
Genealogy of Western Tibet,” written by one of Tsong kha
Although this was an understandable projection of early Jap-
pa’s disciples. Part 2 provides details on the diffusion of the
anese Buddhology, it is important to remember that nothing
different Buddhist schools in Guge Purang.
like a Japanese “school,” as an integrated denominational or-
FRANZ-KARL EHRHARD (2005)
ganization with prescribed doctrines and practices and clear-
ly defined institutional assets, priestly specialists, and lay
membership, ever existed in Chinese Buddhism.
BUDDHISM, SCHOOLS OF: CHINESE
There are also profound differences between the
BUDDHISM
“schools” of Chinese Buddhism and those of the parent Indi-
Chinese Buddhism is typically described in terms of schools,
an tradition, where the various nika¯yas (e.g., Dharmagup-
a word used variously to refer to lineages of exegetical inter-
taka, Sarva¯stiva¯da) functioned as ordination lineages and
pretation, styles of devotional or cultivational practice, or
only secondarily as exponents of particular doctrinal stances.
combinations of both. The earliest schools to emerge, from
It is somewhat more appropriate to use the philosophical
the fifth century onward, were exegetical lineages devoted to
identifiers Ma¯dhyamika, Yoga¯ca¯ra, and so on to identify
the interpretation of individual scriptures or groups of scrip-
pan-Asian styles of interpretation, although there were no in-
tures. Early examples include traditions based on Chinese
stitutional links between Indian and Chinese adherents of
translations of Ma¯dhyamika or Yoga¯ca¯ra treatises, as well as
such philosophical “schools,” and participants in these philo-
on individual scriptures such as the Nirva¯n:a Su¯tra. A tenden-
sophical traditions in the two cultures worked from very dif-
cy to greater conceptual inclusiveness culminated in the de-
ferent sets of texts.
velopment of the systematic schools, often referred to as Sui-
In contrast, ordination lineage was rarely if ever used as
Tang schools because of the timing of their emergence dur-
a sectarian identifier in China. Only a few different sets of
ing those dynasties (sixth to eighth centuries); primary
Vinaya regulations were ever in use there, and from at least
examples are the Tiantai and Huayan (Flower Garland) tra-
the seventh century on all Chinese Buddhist monks and
ditions. At about the same time or slightly later there also
nuns were ordained under the same set of monastic regula-
developed identifiable modes of practice or modal traditions,
tions translated from those of the Indian Dharmaguptaka or-
so named because of the centrality of different forms of reli-
dination lineage. In addition, as far as we can tell, virtually
gious praxis to their identities; this refers to Pure Land devo-
all Chinese Buddhists, even those who specialized in the
tionalism, Chan (Zen) meditation and dialogue practices,
study of treatises labeled H¯ınaya¯nist in the East Asian tradi-
and esoteric Buddhist ritual endeavor.
tion (such as the widely read Abhidharmako´sa of the
TERMINOLOGY. The English term school evokes the philo-
Sautra¯ntika-Sarva¯stiva¯da authority Vasubandhu, for exam-
sophical traditions of ancient Greece, in which individual
ple), identified themselves with the Maha¯ya¯na. In addition,
teachers guided small assemblies of (predominately male)
the number of foreign missionaries who identified strongly
students in different styles of intellectual discourse. This
with the non-Maha¯ya¯na was extremely small. Thus, using
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1236
BUDDHISM, SCHOOLS OF: CHINESE BUDDHISM
the terminology commonly applied to Indian Buddhism, all
´su¯nyata¯ or “emptiness,” and three Ma¯dhyamika texts that
Chinese Buddhists belong to a single “school”—not a partic-
came to be known collectively as San lun or Three Treatises.
ularly helpful usage.
Kuma¯raj¯ıva’s translation of the Commentary on the Great
Perfection of Wisdom (Da zhidu lun, popularly called Da lun,
Finally, the rhetoric of sect, which is used in the litera-
*Maha¯prajña¯pa¯ramitopade´sa), although completed in 405,
tures of sociology and religious studies to refer either to non-
was largely ignored until the second half of the sixth century,
mainstream movements that challenge the status quo or to
highly organized entities that prescribe totalistic programs of
when its study was taken up by scholars in the San lun tradi-
religious involvement for their members, is entirely inappro-
tion. The three other major texts studied in fifth-century
priate for the description of Chinese Buddhism prior to the
south China were the Nirva¯n:a Su¯tra (Niepan jing), translated
emergence of the White Lotus Teaching and other popular
by Dharmaks:ema in 421 and revised slightly by southern
movements of the fourteenth century and after.
scholars shortly thereafter; the Treatise on the Essence of the
Abhidharma (Za apitan xin lun, popularly referred to as
EXEGETICAL LINEAGES. During the first four centuries of the
Pitan, *Sam:yukta¯bhidharmahr:daya-[´sa¯stra]), translated by
common era, there was a gradually increasing number of
Sam:ghavarman around 435; and the Su¯tra of the Lion’s Roar
Buddhist adherents and communities in China, but nothing
of Queen S´r¯ıma¯la¯ (Shengman jing, S´r¯ıma¯la¯dev¯ısim:-
that achieved the continuity or impact to be recognized as
hana¯da-su¯tra), translated by Gun:abhadra in 436.
a distinctive school. This is true even of the highly esteemed
Huiyuan (334–416), whose community on Mount Lu repre-
In the north, dynastic wars in the 420s and 430s and
sented the ideal of early monastic life but did not continue
a persecution of Buddhism in the 440s made continued
to function as a coherent group after the master’s death.
scholarly activity difficult. When lecturing on the scriptures
Thus, even though Huiyuan is famous for having led a group
and commentarial writing resumed in the last decades of the
of 123 clergy and laypeople in meditative devotions to the
fifth century, monks there focused primarily on texts that
Buddha Amita¯bha of the Pure Land, this was but one event
had been ignored in the south or which had only recently
within a broader fabric of activities. Although important as
been translated. The most prominent exception was the
a historical precedent to the later Pure Land tradition, which
Nirva¯n:a Su¯tra, which was the subject of massive commen-
dogmatically claims him as a founding “patriarch,” this can-
tarial attention both in the north and at the court of Liang
not be considered the beginning of a Chinese Pure Land
Emperor Wu (r. 501–549) in southern China. Texts studied
“school.”
in the north but largely ignored in the south include the
Given the foundation of those first four centuries, the
Flower Garland Su¯tra (Huayan jing, Avatam:saka) translated
early fifth-century output of the great translator and exegete
by Buddhabhadra in 420; the Su¯tra on the Bodhisattva Stages
Kuma¯raj¯ıva (d. 409) provided Chinese Buddhists with the
(Pusadichi jing, Bodhisattvabhu¯mi Su¯tra), translated by
textual resources for the sophisticated understanding of their
Dharmaks:ema in 418; and the Four-Part Disciplinary Code
chosen tradition. In addition, Kuma¯raj¯ıva attracted a num-
(Sifen lü), the Vinaya recension deriving from the Dharmag-
ber of gifted monks, who studied with him and assisted with
uptaka ordination lineage and translated by Buddhaya´sas
the editing and explanation of the newly translated texts.
and Zhu Fonian in 405 or 408. Of the texts appearing for
Many of his texts thus became the foci of significant exegeti-
the first time in translation in the first half of the sixth centu-
cal activity, with his own students writing widely read inter-
ry, the one that attracted the greatest attention in north
pretive essays and commentaries. Such lineages of study con-
China was the Commentary on the Su¯tra of the Ten Stages
stitute the earliest hints of sectarian differentiation in
(Shidi jing lun, commonly called Di lun), translated by Bod-
Chinese Buddhism.
hiruci and others in 511. Learned monks in south China in
the second half of the sixth century were similarly attracted
As Stanley Weinstein (1987) has observed, of the ten
by the Compendium of the Maha¯ya¯na (She dasheng lun,
texts most commonly studied in south China during the fifth
Maha¯ya¯nasam:graha, commonly called She lun) and the Trea-
century, seven had been translated by Kuma¯raj¯ıva. Four of
sury of the Abhidharma (Apidamo jushe shi lun,
these were su¯tras: the Lotus of the Wondrous Dharma (Miaofa
Abhidharmako´sa), both translated by Parama¯rtha in 563.
lianhua jing, Saddharmapun:d:ar¯ıka-su¯tra); Teaching of
Vimalak¯ırti (Weimojie jing, Vimalak¯ırtinirde´sa-su¯tra); Perfec-
The exegetical lineages devoted to each of these texts (or
tion of Wisdom (in two versions: Bore jing, Prajña¯pa¯-
sets of texts, in the case of the San lun) constituted “schools”
ramita¯-su¯tra); and Ten Stages [of the Bodhisattva] (Shizhu
only in the most minimal sense. In the first place, although
jing, Da´sabhu¯mika-su¯tra). In addition, Kuma¯raj¯ıva pro-
individual monks were known as specialists in particular
duced a recension of the Vinaya known in Chinese as the
scriptures, most seem to have worked on multiple texts of
Ten-Recitation Vinaya (Shisong lü), which derived from that
various types. Second, although the lineage of study of any
of his own Sarva¯stiva¯da ordination lineage. He also translated
text might be traceable from one generation to the next, even
scholastic discourses, including an exposition of Buddhist
when a student’s interpretation borrowed heavily from his
analytical philosophy called Treatise on the Perfection of Truth
teachers such connections were overwhelmed by the fluctua-
(Chengshi lun, Satyasiddhi-´sa¯stra), which later came to be
tions in popularity of different scriptures over the decades.
viewed as anomalous because of its simplistic explanation of
Third, monks often studied with multiple teachers, so that
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BUDDHISM, SCHOOLS OF: CHINESE BUDDHISM
1237
exegetical lineages often “cross-pollinated” each other.
“Tiantai school.” Later, Tiantai flourished to the extent of
Fourth, far from attempting to keep scriptural traditions dis-
becoming effectively synonymous with all “teaching”
tinct and independent, the interpretations of individual
monasteries (roughly 5 percent of all major public institu-
scriptures were played against each other, with the under-
tions) from the Song dynasty (960–1279) onward.
standing of one scripture used as a guide for the analysis of
totally different texts, and the understanding of Buddhism
Zhiyi’s innovation was to combine (1) a set of interpre-
as a whole applied to the line-by-line interpretation of specif-
tative schema intended to govern all Buddhist doctrine (as
ic scriptures.
available in the East Asian subcontinent at the time); (2) a
similarly comprehensive system of meditation practice; and
Weinstein concludes that for fifth- and sixth-century
(3) a specific institutional center and teaching lineage. One
China there were five principle exegetical traditions based on
of the core elements of his teachings was the philosophy of
Indian treatise literature: Chengshi lun, Di lun, San lun (in-
emptiness (´su¯nyata¯) derived from Na¯ga¯rjuna’s writings, par-
cluding study of the Commentary on the Great Perfection of
ticularly the Mu¯la-madhyamaka-ka¯rika¯, represented in Chi-
Wisdom), Pitan (Abhidharma), and She lun. To this we
nese as the Zhong lun (Treatise on the Middle), one of the San
might add the exegetical traditions based on su¯tra and
lun or “three treatises,” and the Commentary on the Great
Vinaya literature—Lü (Vinaya), Nirva¯n:a, and Huayan—the
Perfection of Wisdom, also attributed to Na¯ga¯rjuna but more
result being the set most often referred to as “schools” in
likely a compilation by the translator Kuma¯raj¯ıva. This was
modern writings.
combined with a multifaceted use of the Lotus Su¯tra, both
The term sometimes used in contemporaneous Chinese
for its doctrinal implications and as inspiration for repen-
writings to describe these traditions of monkish learning,
tance ritual and meditation practice. From this scripture
zong (which in Chinese originally referred to a clan temple,
Zhiyi adopted the position that the various teachings of the
or the clan’s primal ancestor or ancestral deity, and by exten-
Buddha were directed at sentient beings at different levels of
sion the clan as a whole), referred not to any kind of sectarian
spiritual capacity, using “skillful means” (upa¯ya, fangbian) to
identity but to the “underlying theme” or “essential doc-
adapt his message to the listener. Given this theoretical basis,
trine” of the text in question. Indeed, at the very end of the
and drawing extensively on the work of earlier Chinese com-
sixth century several “[study] group leaders” (zhongzhu) spe-
mentators, Zhiyi outlined the “five times”—five separate pe-
cializing in particular texts were accorded formal recognition
riods of the Buddha’s teaching career—as well as different
by the Sui dynasty (589–618) government, with Emperor
types of doctrine and methods of teaching used by the Bud-
Wen (r. 581–605) assigning eminent monks residence at dif-
dha in different contexts. Although the details of this formu-
ferent major temples in Chang’an as leaders of the Di lun,
lation cannot be included here, its implications were im-
Vinaya, Da lun (i.e., Da zhidu lun), and Niepan study
mense: Zhiyi provided a comprehensive explanation for the
groups, respectively. Based in part on this precedent, the
sometimes jarring differences between Buddhist scriptures,
teachings of all these exegetical traditions were transmitted
claiming that each different doctrinal message was intended
to Japan before or during the Nara period (710–784), where
to lead diverse congregations of followers upward to the sin-
their use as sectarian labels became institutionalized within
gle goal of buddhahood. In generating this schema Zhiyi
Japanese Buddhism. However, as Abé Ryu¯ichi has shown,
built on earlier interpretations to signal the importance of
even the study groups of Nara Buddhism were very small as-
such widely used texts as the Flower Garland, Perfection of
semblies with overlapping memberships and entirely without
Wisdom, Vimalak¯ırti, and Nirva¯n:a su¯tras, even while accord-
administrative authority or institutional identity, so that the
ing his favored Lotus Su¯tra pride of place as the very pinnacle
rhetoric of “school” is problematic in this case as well.
of the Buddha’s teachings. Zhiyi was similarly inclusive and
systematic in the realm of meditation practice, defining four
SYSTEMATIC SCHOOLS. A qualitative change in the nature of
categories of sama¯dhi that covered virtually all possible ap-
Chinese Buddhist schools occurred through the efforts of
proaches: constantly seated, constantly walking, mixed seat-
Tiantai Zhiyi (538–597). Zhiyi’s wide-ranging discussion of
ed and walking, and neither seated nor walking. Indeed, his
a number of major Chinese scriptures, integrated interpreta-
concrete prescriptions for so many different types of medita-
tion of Buddhism from the perspective of the very popular
tion practice became the standard set of guidelines for all
Lotus Su¯tra, and intimate connections with the founders of
Chinese Buddhists for the next several centuries.
the Sui dynasty led to the establishment of one of the most
influential and long-lasting schools of East Asian Buddhism.
In terms of lineage identity, Zhiyi considered himself to
The tradition he established came to be known as the Tiantai
represent, not one of multiple sectarian units within Bud-
school, based on the name of the mountain in southeastern
dhism, but the most profound teachings of Buddhism itself,
China (Zhejiang province) chosen as his major center; it also
as transmitted from S´a¯kyamuni through the Indian
flourished in Korea (as the Ch’o˘nt’ae school) and Japan (as
Ma¯dhyamika philosopher Na¯ga¯rjuna (fl. 2nd c. CE) to his
the Tendai school). Although the Tiantai school fell out of
own Chinese teachers and then himself. Zhiyi’s fifth-
favor during the early years of the Tang dynasty (618–906),
generation successor, Zhanran, was the first to use the term
it was “revived” by Zhiyi’s fifth-generation successor Zhan-
“Tiantai school” (Tiantai zong), defending its superiority
ran, who was in fact the first to refer to his tradition as
over other emergent schools of his day, and here the word
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1238
BUDDHISM, SCHOOLS OF: CHINESE BUDDHISM
zong takes on a new connotation of the essential teaching of
cause of his knowledge of the “western regions” and prodi-
Buddhism as transmitted through a specific lineage from the
gious output as a translator. Fazang, for his part, was recog-
Buddha S´a¯kyamuni. The sense of transmission from one
nized as a precocious young monk and actively promoted by
“golden-mouthed” master to another in this system was no-
Empress Wu.
tably abstract, and it was only with the development of the
Second, although the Tiantai, Faxiang, and Huayan sys-
Chan school (see below) that a much more concrete and
tems all had their distinctive emphases, each possessed a cer-
straightforward succession of patriarchs emerged. Later de-
tain capaciousness that allowed for participation in different
velopments in Chinese Tiantai include the emergence of
ways. The primary example of this is Zhiyi, whose encyclo-
“home-mountain” and “off-mountain” factions in the Song
pedic attentions to the grand variety of Buddhist doctrine
dynasty, with monks based either on Mount Tiantai or else-
and meditation practice seemed to make a place for everyone
where generating different interpretations of Zhiyi’s teach-
and every approach. With his mastery of the latest trends in
ings. Korean scholar-monks in the eleventh and twelfth cen-
Indian Yoga¯ca¯ra, Xuanzang (and Ci’en) felt empowered to
turies combined Zhiyi’s various formulations into a neatly
generate a comprehensive interpretation of Buddhist doc-
organized doctrinal system, and this system came to be wide-
trine, which specified different alternatives available for those
ly accepted in medieval Japan and later Chinese Buddhism.
at different stages on the spiritual path. For his part, Fazang’s
Inspired by Zhiyi’s example, Chinese representatives of
presentations of abstract tenets proved highly attractive to
the Yoga¯ca¯ra and Huayan (Flower Garland) traditions
Chinese Buddhists at the time and in subsequent genera-
sought to attract imperial support through similarly compre-
tions, allowing both highly intellectual philosophical re-
hensive interpretations of Buddhist doctrine. The great pil-
sponses and strongly visionary approaches to meditation
grim and translator Xuanzang (600?–664) and his disciple
practice.
Ci’en (Dasheng Ji, often referred to, probably inaccurately,
Third, the capacious quality just described was made
as Kuiji; 632–682) introduced a substantial body of new
possible in each case by magisterial control of a given body
texts as the basis of the so-called Faxiang school, while Fa-
of Buddhist scripture. The Lotus and Flower Garland su¯tras
zang (643–712) built upon a tradition of scholarly and inspi-
were arguably the most popular large scriptures in China
rational writing based on the Huayan or Flower Garland
during the preceding several centuries, and the various texts
Su¯tra to attract the support of Empress Wu (r. 690–705).
of the Yoga¯ca¯ra made it one of the most important modes
The Faxiang (a widely used label in modern times, although
of intellectual interpretation. Although Zhiyi was not direct-
it actually derives from the Japanese name Hosso¯) and Huay-
ly involved with the enterprise of translation, and Fazang
an (Jpn. Kegon) schools were extremely important in Nara-
only to a limited degree, the connection of all three men with
period Japan, and they remained important in different ways
the imperially sponsored domain of Buddhist scriptural pro-
on the continent as well. Yoga¯ca¯ra was recognized for its doc-
duction should not be overlooked.
trinal innovations regarding the nature of human conscious-
ness and phenomenal reality, even though its specific posi-
Thus each of the systematic Sui-Tang schools represent-
tions never achieved widespread currency (in part through
ed a comprehensive doctrinal system, complete with a lin-
their philosophical complexity and in part through their con-
eage-based justification of its transmission from the Buddha,
trast with Chinese preferences for more inclusive, even un-
and a characteristic set of positions regarding spiritual culti-
iversalistic, doctrines). The Huayan school was similarly rec-
vation. We should remember, though, that the elite monks
ognized for its elaboration of the mutual interpenetration of
identified with these systematic schools were but a tiny frac-
all phenomena (often using lists of mind-numbingly abstruse
tion of the Chinese monastic community.
distinctions), but unlike Chinese Yoga¯ca¯ra it had a continu-
MODAL TRADITIONS. In the seventh and eighth centuries,
ing legacy of visionary meditation and ritual practice that was
three modes of religious practice emerged that were to be-
accessible to accomplished scholars and ordinary people
come enduring features of Chinese Buddhism: Pure Land
alike.
devotionalism, Chan (better known by the Japanese pronun-
ciation “Zen”) meditation, and esoteric Buddhist (mijiao) vi-
The systematic schools that appeared in the sixth to
sualization ritual. While very different from each other in
eighth centuries had enduring presences throughout the bal-
terms of soteriological goals, devotional procedures, and ritu-
ance of Chinese (and, indeed, East Asian) Buddhist history.
al styles, these three modal traditions all (1) emphasized se-
What sets these schools apart from the earlier exegetical lin-
lected approaches to religious practice rather than attempting
eages, as well as from other contemporaneous movements,
to be theoretically comprehensive; (2) allowed for great prac-
was their particular combination of imperial support, reli-
tical variation and participation by a wide range of individu-
gious breadth, and position within the textual tradition. In
als, from ordinary laypeople to sophisticated monks; and (3)
the first place, the founders of these schools all received
had much more limited, and sometimes even antagonistic,
unique levels of attention from the imperial rulers of their
relationships with Buddhist scriptural traditions.
day. Zhiyi, for example, received special attention from the
Sui dynasts as part of their campaign to conquer south
The Chinese Pure Land tradition is based on a set of
China, while Xuanzang merited extraordinary acclaim be-
translated scriptures describing the Buddha Amita¯bha
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BUDDHISM, SCHOOLS OF: CHINESE BUDDHISM
1239
(“Infinite Light,” also given as Amita¯yus, “Infinite Lifespan”)
curred most notably on Mount Wutai in Shanxi, from which
and his paradise, the “pure land” (jingtu) or “land of bliss”
the melodic recitation of Amita¯bha’s name was transmitted
(reflecting the Sanskrit sukha¯vat¯ı). Through his aeons of reli-
to Japan by the famous pilgrim Ennin (794–864) and others.
gious cultivation as the Bodhisattva Dharma¯kara, Amita¯bha
Since the Pure Land represented a paradise that could be
created a realm totally unlike the ordinary world-systems of
reached after death, this practice became a key ingredient of
Buddhist cosmology, including their heavens, in making it
deathbed observances, and there soon developed stories de-
easy for those reborn there to achieve enlightenment.
picting devoted individuals who had achieved rebirth in
Amita¯bha promised that those who were “mindful” (nian,
Amita¯bha’s land of bliss. Since there was no clear-cut distinc-
“remember, think,” from the Sanskrit anusmr:ti) of him for
tion between meditative and recitative nianfo, ordained and
a mere ten moments of thought were guaranteed rebirth in
lay Buddhists of widely different social and educational back-
his Pure Land. This was initially understood as an easy form
grounds could all take part in the practice.
of meditative visualization, in which one was aided by the
graphic concreteness of the Buddha’s image. As mentioned
The word Chan transcribes the Sanskrit dhya¯na, mean-
above, this type of visualization was practiced at one time at
ing “concentration meditation.” Chan has its roots in the
Huiyuan’s community on Mount Lu.
meditation traditions of fifth-century Kashmir, but it first
emerged as a discernable religious movement in the sixth and
During the sixth and seventh centuries, at Xuanzhongsi
early seventh centuries as a north China group of ascetic
in north China (Shanxi province), there appeared a succes-
practitioners who recognized the south Indian monk Bod-
sion of monks who transformed the understanding of Pure
hidharma (d. circa 530) as their progenitor. Then, after
Land practice, expanding it from the original visualization
three-quarters of a century of incubation at various locations
meditation just described to include ever greater emphasis on
in central China, in 701 the movement emerged on the na-
the oral recitation of the Buddha Amita¯bha’s name. Tanluan
tional scene at the court of Empress Wu. Many of the basic
(c. 488–c. 554) emphasized that Pure Land practice was an
doctrines now associated with Chan were formulated in the
easy path suitable for people living in a corrupt world, while
early years of the eighth century, and the most famous of the
Daochuo (562–645) argued that this practice was particular-
school’s masters were active in central and south China in
ly appropriate for the final period of the Buddhist teachings
the late eighth and ninth centuries. It was not until after the
(mofa; Jpn. mappo¯), since it would result in a face-to-face
fall of the Tang, however, in the Min regime of the far south-
meeting with Amita¯bha at death. Since he also held that it
east (in what is now Fujian province), that the most distinc-
was impossible to know when one achieved the requisite ten
tive features of the school—chiefly, its devotion to spontane-
moments of pure sincerity in performing the nianfo (literally,
ous repartée between masters and students, known as
“mindfulness of the Buddha,” almost always indicating
“encounter dialogue”—became public. Then, with the
Amita¯bha), Daochuo also directed his followers to perform
founding of the Song dynasty in 960, Chan became one of
as many oral repetitions as possible. Although Shandao
the dominant voices of Chinese Buddhism, its teachers mo-
(613–682) recommended the combined practice of su¯tra rec-
nopolizing the position of abbot in nine-tenths of the largest
itation, visualization of Amita¯bha, and worshiping Buddha
monasteries throughout the country and its genealogically
images, his primary emphases were that Pure Land practice
based style of self-understanding becoming the default mode
was intended precisely for the ignorant and sinful, rather
of religious discourse.
than the spiritually gifted or advanced, and that it consisted
primarily of oral recitation. He also provided detailed in-
The key to understanding Chinese Chan is its lineage
structions for how nianfo retreats were to be undertaken, ei-
schema, which proved to be far more compelling than the
ther as ordinary religious practice aimed at liberation or as
Tiantai school’s abstract and discontinuous list of sages in-
deathbed observations aimed at ensuring immediate rebirth.
troduced above. Based in part on Indian notions of master-
student succession, Chan held that the true teaching of Bud-
Although these and other Chinese Pure Land masters
dhism was passed down from the Buddha S´a¯kyamuni
were accomplished scholars, their commentaries and treatises
through a succession of Indian patriarchs to Bodhidharma,
argued that devotion to Amita¯bha could substitute for, rather
and then by a succession of Chinese patriarchs to the teachers
than encompass and incorporate, other forms of Buddhist re-
of the present day. Since the doctrinal elaborations of the
ligiosity. Shandao in particular also promoted this style of de-
scriptures were unable to capture the true essence of this
votionalism by the widespread distribution of painted images
teaching, Chan rejected the textual tradition that had been
of Pure Land scenes and the sponsorship of sculpted images
so important in Chinese Buddhism for all previous schools,
of Amita¯bha and his attendant bodhisattvas. Nor were these
defining itself instead as a “separate transmission outside the
the only Tang-dynasty proponents of Pure Land Buddhism.
scriptures” (jiaowai bie zhuan; Jpn. kyo¯ge betsuden). This ge-
Meditation on Amita¯bha was included within Zhiyi’s “con-
nealogical model is also the key to understanding Chan reli-
stantly walking” sama¯dhi, which thus became the most wide-
gious praxis, which was undertaken largely according to two
ly practiced of the four categories in his system, and the in-
different models. In the Caodong (Jpn. So¯to¯) tradition, one
creasing popularity of the recitation of Amita¯bha’s name led
was to nourish the buddha-mind within one (i.e., one’s bud-
to the development of musical styles of recitation. This oc-
dha-nature, or the quality of originary or fundamental en-
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1240
BUDDHISM, SCHOOLS OF: CHINESE BUDDHISM
lightenment in all sentient beings) to illuminate with its full
last two decades of the tenth century), and even its two sepa-
potential, unhampered by the illusions of ordinary existence,
rate initiation lineages seem not to have been transmitted
a process known sometimes as “silent illumination” (mozhao;
after the ninth century. Where Chan effectively benefited
Jpn. mokusho¯). In the Linji (Jpn. Rinzai) tradition one was
from the collapse of the translation enterprise, as an incipient
to demonstrate the active functioning of that buddha-mind
systematic school (which it became in Japan, through the
in spontaneous interaction between enlightened master and
creative efforts of Ku¯kai) esoteric Buddhism floundered in
aspiring student or, in later years, to interrogate famous ex-
China.
amples of such interaction in one’s meditation practice. The
LATER DEVELOPMENTS. From the Song dynasty (960–1279)
type of spontaneous and often nonverbal interaction depict-
onward new subschools emerged in Chinese Buddhism, and
ed in Chan texts is known as “encounter dialogue,” and the
some of the major schools took on each other’s characteris-
contemplation of pithy examples of encounter dialogue is
tics. First, various “houses” and other sublineages developed
known as “viewing the critical phrase” (kanhua; Jpn. kanna)
with Chan, which retained its dominance in monastic insti-
Chan (often referred to, using the Japanese pronunciation,
tutions throughout the country. Second, Pure Land Bud-
as ko¯an Zen), where the “critical phrase” is the climactic line
dhism began to describe itself by means of a lineage succes-
of an anecdote that can only be understood by transcending
sion, a style of presentation adopted from Chan. Third, the
ordinary thinking.
Tiantai school witnessed competition between “home-
As an ideology of self-cultivation by religious profes-
mountain” (shanjia) and “off-mountain” (shanwai) factions,
sionals, Chan (unlike Pure Land) always remained centered
identified by their residence on Mount Tiantai or elsewhere
within monastic institutions. Nevertheless, it attracted sub-
and characterized by different understandings of Zhiyi’s
stantial literati interest, and its unique style of repartée was
teachings. Fourth, Tibetan Buddhism flourished for a time
celebrated in diverse contexts of art and poetry, so that the
during the Yuan dynasty (1206–1368) and again during the
image of the iconoclastic Chan master entered the shared
Qing (1644–1911), especially at court, though anti-Mongol
repertoire of Chinese culture. Its genealogical model and
sentiments limited its more widespread dissemination. Fifth,
iconoclastic tropes placed it in contrast with traditional
there were numerous vectors of religious activity in Chinese
forms of Buddhism, and Chan was able to flourish in part
Buddhism not normally considered discrete sectarian entities
because it filled a vacuum left by the collapse of the state-
but which might usefully be considered in the same context;
supported translation enterprise after the end of the eighth
a primary example is the diffuse but extremely popular cult
century.
devoted to the salvific Bodhisattva Avalokite´svara (known as
Guanyin, Guanshiyin, Guanzizai, and other names in Chi-
Esoteric Buddhism (mijiao) was introduced to China by
nese). Even granting these features, however, the sectarian la-
three foreign missionaries in the eighth century:
bels that emerged during the Tang dynasty have remained
S´ubha¯karasim:ha (637–735), who arrived in Chang’an in
in widespread use throughout the rest of Chinese history.
716; Vajrabodhi (671–741), who arrived in Guangzhou
(Canton) in 720; and Amoghavajra (705–774), who became
SEE ALSO Bodhidharma; Buddhism, article on Buddhism in
a disciple of Vajrabodhi’s at age fifteen in China, traveled to
China; Fazang; Huayan; Kuiji; Kuma¯raj¯ıva; Ma¯dhyamika;
India after his master’s death, and returned to China in 746.
Tiantai; Yoga¯ca¯ra; Zhiyi.
Whereas magic-like techniques of recitation, visualization,
and ritual had long been known from Indian sources, it was
BIBLIOGRAPHY
only from this period onward that there was introduced a
The most important source for the understanding of Chinese
comprehensive system of these techniques organized by the
Buddhist schools is Stanley Weinstein’s masterful article on
spatial metaphor of the man:d:ala (literally “circle,” here refer-
the subject in the first Encyclopedia of Religion (New York,
ring to concentric configurations of buddhas, bodhisattvas,
1987), vol. 2, pp. 482–487, which also provides useful refer-
and other deities). Promising both speedy achievement of en-
ences to Chinese and Japanese secondary works. For back-
lightenment and the empowerment for ritual action by the
ground information on the systematic schools and other top-
most profound and awesome forces of the universe, esoteric
ics, readers should also consult Weinstein’s Buddhism under
Buddhism overwhelmed the imaginations of eighth-century
the T’ang (Cambridge, U.K., 1987). Although outdated,
Kenneth K. S. Ch’en’s Buddhism in China: A Historical Sur-
Chinese and received lavish support from the imperial court.
vey (Princeton, N.J., 1964) contains a wealth of generally re-
Although the texts and ritual procedures introduced by
liable information. For an example of the early Japanese pre-
these three masters, with the assistance of their gifted Chi-
sentation of East Asian Buddhist schools, see Takakusu
nese disciple Yixing (683–727), made a massive contribution
Junjiro¯, The Essentials of Buddhist Philosophy, edited by
Wing-tsit Chan and Charles A. Moore (Honolulu, 1947; re-
to the ritual vocabulary of Chinese Buddhism that permeat-
print, New Delhi, 1975). The best guide to interpreting Chi-
ed the entire tradition, esoteric Buddhism gained only a lim-
nese exegetical lineages may be found in Ryu¯ichi Abé’s The
ited acceptance in China as a distinct and separate school.
Weaving of Mantra: Ku¯kai and the Construction of Esoteric
Its advocates never produced intellectually substantial doctri-
Buddhist Discourse (New York, 1999). For Song-dynasty
nal statements, either of Indian or native Chinese origin (al-
Buddhism, see the articles in Peter N. Gregory and Daniel
though there was a brief flurry of new texts introduced in the
A. Getz, Jr., eds., Buddhism in the Sung (Honolulu, 1999).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: JAPANESE BUDDHISM
1241
For issues in later Chinese Buddhism, see Yü Chün-fang, The
gious system” in which Shinto¯, Confucianism, and Bud-
Renewal of Buddhism in China: Chu-hung and the Late Ming
dhism would maintain a proper balance under the divine
Synthesis (New York, 1981, and Marsha Smith Weidner, ed.,
authority of the emperor as the “son of Heaven.” Sho¯toku’s
Latter Days of the Law: Images of Chinese Buddhism, 850–
religious policies, his indifference to the doctrinal and eccle-
1850 (Lawrence, Kans., and Honolulu, 1994).
siastical divisions of Buddhism, his dependence on the un-
JOHN R. MCRAE (2005)
iversalistic soteriology of the Lotus Su¯tra, and his emphasis
on the path of the lay devotee significantly influenced the
later development of Japanese Buddhism.
BUDDHISM IN THE NARA PERIOD. During the Nara period
BUDDHISM, SCHOOLS OF: JAPANESE
(710–784) the Ritsuryo¯ state, based upon the principle of the
BUDDHISM
mutual dependence of imperial law (o¯bo¯) and Buddhist law
Prior to its official introduction into the court in 552 CE,
(buppo¯), recognized Buddhism as a state religion and incor-
Buddhism had been brought to Japan by Chinese and Kore-
porated it into the bureaucratic system of the central govern-
an immigrants and was presumably practiced widely among
ment. Under these conditions Buddhism enjoyed royal
their descendants. According to the Nihongi, an envoy of the
favor, and temples and monks became wealthy. However,
king of Paekche presented Buddhist statues, su¯tras, and other
the state’s sponsorship of Buddhism was not entirely altruis-
artifacts to the Japanese court in 552 (other sources give
tic. Throughout the Nara period the government was con-
538). The official introduction of Buddhism exacerbated the
cerned with the political power held by the Buddhists. The
antagonism that had been developing between the interna-
state promoted Buddhism as a religion that could civilize, so-
tionalist Soga clan, which supported the court’s recognition
lidify, and protect the nation. Monks were encouraged to en-
of Buddhism, and the more parochial clans, which consid-
gage in the academic study of Buddhist texts, probably in the
ered the Buddha a banshin (foreign deity). To avoid further
hope that they would settle in the government-controlled
dissension, the court entrusted the administration of Bud-
temples. These temples were presumably subordinate to the
dhism to the Soga clan. The Buddhism promulgated by the
state and functioned as an intrinsic part of the state bureau-
Soga was primarily magical. However, aristocrats and court
cracy: priests were expected to perform rites and ceremonies
nobles were initially attracted to Buddhism as an intrinsic
to ensure the peace and order of the state, and monks and
part of the highly advanced continental (i.e., Chinese and
nuns were ordained under the state authority and thus were
Korean) culture and civilization, which also encompassed
considered bureaucrats. The Ritsuryo¯ government prohibit-
Confucianism, Daoism, medicine, astronomy, and various
ed monks from concerning themselves with the needs and
technological skills. As it developed on the continent, Bud-
activities of the masses. However, those who were not grant-
dhism was not exclusively a religion, for it was also associated
ed official status as monks became associated with folk Bud-
with a new, esoteric culture that included colorful paintings,
dhist activities. Movements of ubasoku (Skt., upa¯saka; lay-
statues, buildings, dance, and music.
men), hijiri (holy men), and yamabushi (mountain ascetics)
emerged spontaneously, integrating indigenous Shinto¯, Bud-
Although Japanese understanding of Buddhism was su-
dhist, and other religious and cultural elements. At the center
perficial and fragmented in the early stages of assimilation,
of these movements were unordained magician-priests who
it gained religious depth through the course of history. The
lived in mountainous regions and who had acquired,
rise of Japanese Buddhism and the growth of schools or sects
through ascetic practices, shamanistic techniques and the art
were closely related to and influenced by the structure of the
of healing. Later, these groups were to inspire powerful pop-
state bureaucracy, which was itself in the initial stages of de-
ular movements and would influence the development of
velopment. Yo¯mei (r. 585–587) was the first emperor offi-
Japanese Buddhism.
cially to accept Buddhism, but it was his son, the prince re-
gent Sho¯toku (574–622), who was responsible for creating
Prior to the Nara period Buddhism had remained non-
Japan’s first great age of Buddhism. Although the sources
sectarian. However, as the study of texts and commentaries
provide very little precise information about his activities,
on the su¯tras became more intense and sophisticated, groups
Sho¯toku is said to have been a great patron of Buddhism. In
of scholar-monks organized themselves into schools or sects.
addition to building many Buddhist temples and sending
Here, the term sect (shu¯) does not refer to an organized school
students and monks to study in China, he wrote commen-
but, rather, to a philosophical position based on the various
taries on three texts—the Saddharmapun:d:ar¯ıka (Lotus
su¯tras. Differences between the sects were based solely on the
Su¯tra), the Vimalak¯ırti Su¯tra, and the S´¯rimala Su¯tra—and
particular text chosen as the focus of study: the ecclesiastical,
is supposed to have promulgated the famous “Seventeen-
doctrinal, or religious orientations of the individual sects
Article Constitution” based on Buddhist and Confucian
were not mutually exclusive. Often, these sects were housed
ideas. Later, Sho¯toku was worshiped as the incarnation of the
in a single temple and, under the restrictions imposed by the
bodhisattva Avalokite´svara. His promotion of Buddhism fell
Ritsuryo¯ government, they remained dependent on both the
strictly within the bounds of the existing religio-political
state and each other.
framework of Japanese sacral kingship: he upheld the imperi-
Of the six most noteworthy sects of Nara Buddhism,
al throne as the central authority and envisioned a “multireli-
two were affiliated with the H¯ınaya¯na tradition and four
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1242
BUDDHISM, SCHOOLS OF: JAPANESE BUDDHISM
with the Maha¯ya¯na tradition. In the first category were the
viduals who were considered de facto “founders” of sectarian
Kusha, based on Vasubandhu’s Abhidharmako´sa (Jpn., Ku-
lineages. They also tended to be centered in the mountains,
sharon; Treasury of Higher Law), and the Jo¯jitsu, based on
that is, at a symbolic distance from political authority, and
Harivarman’s Satyasiddhi (Jpn., Jo¯jitsuron; Completion of
had their own systems of ordination. The two most impor-
truth). The Maha¯ya¯na-affiliated sects included Sanron
tant schools of this period were Tendai and Shingon (Chin.,
(Chin., San-lun), based on the Ma¯dhyamika S´a¯stra (Jpn.,
Zhenyan). Both stressed the importance of learning, medita-
Chu¯ron; Treatise on the middle way) and on the
tion, and esoteric cults and mysteries. Most significantly,
Dva¯da´sadva¯ra (Jpn., Ju¯nimon; Treatise on twelve gates),
however, both schools attempted to establish a united center
both of which were written by Na¯ga¯rju¯na, as well as on the
for Buddhism that would encompass all sects and unite Bud-
S´ata´sa¯stra (Jpn., Hyakuron; One hundred verse treatise),
dhism and the state.
written by A¯ryadeva; the Hosso¯ sect (Skt., Yoga¯ca¯ra), princi-
pally based on the Vijñaptima¯trata¯siddhi (Jpn., Jo¯yushikiron;
Tendaishu. The founder of this sect, Saicho¯ (767–822,
Completion of mere ideation) by Dharmapa¯la; the Kegon
also known by his posthumous title, Dengyo¯ daishi), was a
sect, based on the Avatam:saka Su¯tra (Jpn., Kegongyo¯; Flower
descendant of Chinese immigrants. In his youth, Saicho¯ was
Garland Su¯tra); and the Ritsu sect (Vinaya), based on the so-
trained in the Hosso¯, Kegon, and Sanron traditions; at the
called Southern Mountain tradition of Chinese Vinaya
age of nineteen he was ordained at To¯daiji in Nara. Thereaf-
studies, represented chiefly by the work of Daoxuan (596–
ter, he withdrew from the capital city and opened a hermit-
667). In the early years of the Nara, the most prominent and
age on Mount Hiei. Here, he began to study the writings of
prestigious of these sects was the Hosso¯, which was transmit-
Zhiyi, the systemaizer of Chinese Tiantai. During his travels
ted by Do¯sho¯, a Japanese monk who had studied in China.
in China, Saicho¯ received the bodhisattva ordination (bosat-
The prestige of the Hosso¯ gradually waned, to be replaced
sukai) from Daosui, was initiated into mantra practices
by the Kegon sect under the leadership of Roben. The Ritsu
(mikkyo¯) by Shunxiao, studied Zen (Chin., Chan) medita-
sect provided the codes and external formalities of monastic
tion under Xiaoran, and trained in the Chinese Vinaya tradi-
discipline. The remaining three sects represented, for the
tions. Upon his return to Japan, Saicho¯ established a Tendai
most part, academic and political alternatives to the more
school that synthesized these four traditions within the
powerful temples.
framework of the Lotus Su¯tra. Saicho¯ adhered to the
TEien-tEai doctrine that recognized universal salvation, that
SCHOOLS OF THE HEIAN: TENDAI AND SHINGON. The gov-
is, the existence of the absolute nature of Buddhahood in all
ernment’s decision to move the capital from Nara to Kyoto
beings, and stressed the meaning and value of the phenome-
was motivated in part by the need to regain the power held
nal world. These teachings stood in opposition to the stan-
by the large, wealthy Buddhist temples. Toward the end of
dard philosophical position of the Nara schools, best repre-
the Nara period, the effort to integrate Buddhism and tem-
sented by the Hosso¯ doctrine that claimed that buddhahood
poral politics resulted in the accumulation of wealth and the
was accessible only to the religious elite.
acquisition of large tracts of private land by the Buddhist
temples and the involvement in state politics by the more
Saicho¯’s ecumenical approach won the approval of the
ambitious monks. This trend culminated in the so-called
court. With the death of his patron, Emperor Kammu, and
Do¯kyo¯ incident, which was, in effect, an attempt to make
the rise of Ku¯kai and the Shingon sect, Saicho¯’s influence at
the religious authority of Buddhism supreme. Under the
court diminished. One of his dreams—that the court ap-
sponsorship of Empress Ko¯ken (later, Sho¯toku), Do¯kyo¯, a
prove the establishment of an independent center for Tendai
monk in the Hosso¯ sect, was promoted rapidly through the
ordination—was granted only after Saicho¯’s death. The Ten-
ranks of the state bureaucracy. In 766 Do¯kyo¯ was appointed
dai sect continued to exercise a profound influence on Japa-
“king of the Law” (ho¯-o¯), and several years later he attempted
nese Buddhist life for centuries after the death of its founder.
to usurp the throne, an action that was quickly crushed by
Under Ennin (794–864), a disciple of Saicho¯, the full flower-
the court aristocracy. The government responded to this af-
ing of Tendai Esotericism (Taimitsu) took place. Ennin was
fair by once again affirming Buddhism’s subordination to the
also responsible for the transmission of the Nembutsu cult
state and enforcing traditional Buddhist discipline.
(i.e., the practice of invoking the name of Amida Buddha)
Throughout the Heian period (794–1185), Buddhism con-
from China. Enchin (814–891), another prominent Tendai
tinued to be promoted as the religion that would ensure the
monk, also propagated the Taimitsu tradition and was re-
safety of the state (chingo kokka). The sects that arose in the
sponsible for the formation of the so-called Jimon subsect of
Heian, however, were considerably different from the six
Tendai, a group that vied for ecclesiastical power with
Nara sects. Like their predecessors, the Heian sects depended
Ennin’s Sanmon subsect. Additionally, many of the most
on teachings recently brought back from China as a source
prominent Buddhist figures of the Kamakura period studied
of their religious authority. But rather than relying on Japa-
at the Tendai monastic center on Mount Hiei, including
nese and Chinese commentaries, as had their Nara counter-
Ho¯nen of the Pure Land sect, Shinran of True Pure Land,
parts, Heian-period monks began to focus their study on the
Eisai of Rinzai, Do¯gen of So¯to¯ Zen, and Nichiren, whose
actual su¯tras, allegedly the words of the Buddha himself. In
school bears his name. Through them the Tendai legacy was
addition, the schools of the Heian were established by indi-
firmly, if subtly, maintained in Japanese Buddhism.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: JAPANESE BUDDHISM
1243
Shingonshu¯. Ku¯kai (774–835, also known by his post-
al community, the schools of the Kamakura attempted to es-
humous title, Ko¯bo¯ daishi), the founder of the Shingon
tablish specifically religious societies. The earlier schools had
school, was originally a student of Confucianism and hoped
never seriously questioned the soteriological dualism that di-
to enter government service. According to various legends,
vided the path of monks from that of the laity, nor had they
he experienced a compelling desire to leave the capital and
developed an independent community governed by norma-
live in the mountains, where, it is said, he trained with sha-
tive principles other than the precepts. In spite of its other-
manistic Buddhist priests. He was inspired by the
worldly beliefs, Buddhism, as practiced in Nara and Heian
Maha¯vairocana Su¯tra (Jpn., Dainichikyo¯; Su¯tra of the great
Japan, was a religion grounded firmly in this world. The
sun buddha), which eventually led him to the tradition of
founders of the new schools in the Kamakura period had all
Esoteric Buddhism (Vajraya¯na). Between 804 and 806 he
studied at the Tendai center on Mount Hiei but had become
traveled in China, where he studied under Huiguo, the direct
dissatisfied with the emphasis on ceremonies and dogma, the
disciple of the Tantric master Amoghavajra. On his return
perceived corruption of monastic life, and the rigid transmis-
to Japan he began to promote Shingon (i.e., Tantric) doc-
sion of ecclesiastical office. In their stead, these religious lead-
trine. At this time he wrote the Ju¯ju¯shinron (Ten stages of
ers stressed personal religious experience, simple piety, spiri-
religious consciousness), in which he systematized the doc-
tual exercise, intuition, and charisma. In many respects the
trines of Esoteric Buddhism and critically appraised the exist-
practices and doctrines of the new schools reflect the eschato-
ing Buddhist teachings and literature. Under the patronage
logical atmosphere that had emerged toward the end of the
of Emperor Saga, Ku¯kai established a monastic center of
Heian, when the country had experienced a series of crises,
Mount Ko¯ya and was appointed abbot of To¯ji (Eastern Tem-
including famine, epidemics, war, and a deadlock of econo-
ple) in Kyoto, which was granted the title Kyo¯o¯ Gokokuji
my and politics. This sense of apocalypse found its expres-
(Temple for the Protection of the Nation). In return for
sion in the widespread belief in mappo¯, the notion that Bud-
these favors, Ku¯kai performed various rites for the court and
dhism and society as a whole had entered an era of
aristocracy.
irreversible decline, and in the resultant popularity of the cult
According to the Shingon teachings, all the doctrines of
of Amida, which offered a religious path expressly intended
S´a¯kyamuni, the historical, manifested Buddha, are temporal
to provide for beings living during mappo¯. In one way or an-
and relative. Absolute truth is personified in the figure of
other, these popular beliefs were incorporated into the most
Maha¯vairocana (Jpn., Dainichi), the Great Sun Buddha,
representative schools of the Kamakura period—Jo¯doshu¯
through the “three secrets”—the body, speech, and
(Pure Land school), Jo¯do Shinshu¯ (True Prue Land school),
thought—of the Buddha. To become a Buddha—that is, to
Nichirenshu¯, and the Rinzai and So¯to¯ schools of Zen.
bring one’s own activities of body, speech, and thought into
Jo¯doshu¯. Prior to Ho¯nen (1133–1212), the founder of
accord with those of Maha¯vairocana—one depends on
the Jo¯do sect, most Buddhist schools incorporated the belief
mudra¯s (devotional gestures), dha¯ran:¯ı (mystical verse), and
in the Pure Land and the practice of Nembutsu as adjuncts
yoga (concentration). The Shingon school developed a sys-
to their other practices. It was only with Ho¯nen, however,
tem rich in symbolism and ritual, employing man:d:alas and
that absolute faith in Amida (Skt., Amita¯bha) Buddha be-
icons to meet the needs of people on all levels of society. Like
came a criterion for sectarian affiliation. Like many of his
the Tendai sect, Shingon produced many outstanding
contemporaries, Ho¯nen had become disillusioned with his
monks in subsequent generations.
early training in the Nara and Tendai schools. He turned to
the charismatic teachings of such masters as Eiku, who pro-
Owing to the support of the court and aristocracy, the
moted the belief in mappo¯ and the efficacy of the cult of
Esoteric Buddhism of Tendai (Taimitsu) and Shingon (also
Amida. Under their tutelage, Ho¯nen came to realize the im-
called To¯mitsu; “Eastern Esotericism,” after its chief monas-
possibility of attaining salvation and sanctification through
tery, To¯ji) prospered. While each school had its own princi-
the practice of precepts, meditation, and knowledge. Instead,
ple of organization and its own doctrinal position, both
Ho¯nen held that one must seek the path to salvation in the
sought the official authorization and support of the court.
Pure Land and the saving grace of Amida. In this, Ho¯nen
Therefore, as the power of the state declined, Tendai and
was much influenced by Genshin’s Ojoyoshu (The essentials
Shingon evolved into religions associated solely with the
of rebirth, tenth century), a work that provides the theoreti-
elite, for whom they offered various magico-religious rites.
cal basis for faith in the Pure Land. However, in his own
BUDDHIST SCHOOLS IN THE KAMAKURA PERIOD. The de-
work Senchaku hongan nembutsushu (Collection of passages
cline of the Ritsuryo¯ system and the rise of military feudalism
on the original vow in which Nembutsu is chosen above all),
brought many changes to the organization and practice of
Ho¯nen clearly departs from earlier forms of the cult of
Buddhism, although the basic ideology of the Ritsuryo¯ per-
Amida. Here, Ho¯nen claims that one’s salvation depends ex-
sisted until the O
¯ nin War (1467–1477). It has been argued
clusively on one’s “choice” (i.e., one’s willingness) to place
that the new Buddhist schools that emerged in the Kamakura
absolute faith in the salvific power of Amida Buddha. The
period (1185–1333) transformed Buddhism in Japan into
community Ho¯nen established in the capital city was struc-
Japanese Buddhism. Unlike the schools of the Nara and
tured on the notions of egalitarianism and faith and, thus,
Heian, which identified the religious sphere with the nation-
was able to transcend the social distinctions of kinship 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
1244
BUDDHISM, SCHOOLS OF: JAPANESE BUDDHISM
class. Such organizing principles made Ho¯nen’s school a par-
Nichiren incorporated many of their key notions and prac-
adigm for the later development of Buddhism.
tices. With Shingon he shared the use of the man:d:ala and
the concept of sokushin jo¯butsu (“becoming a Buddha in this
Jo¯do Shinshu¯. Little is known of the formative influ-
very body”), and with Pure Land he shared the practice of
ences in the life of Shinran (1173–1263), the founder of the
chanting (in this case, the title of the Lotus Su¯tra) and the
Jo¯do Shin school, except that he entered the Tendai monas-
concept of the salvation of women and people whose natures
tery on Mount Hiei at the age of eight. When he was twenty-
are evil. Although Nichiren promoted the doctrine of univer-
nine, Shinran met Ho¯nen, with whom he studied for six
sal salvation, his school developed into the most exclusivist
years. Shinran’s notion of Amida Buddha’s salvific power
and often militant group in Japanese religious history. Sever-
went far beyond that of his master. In holding that one’s
al modern Japanese movements trace their inspiration to
faith in Amida must be absolute, Shinran denied the efficacy
Nichiren.
of relying on one’s own capacity to bring about redemption.
His teachings went to the extreme of claiming that the recita-
Zen Buddhism. In the Nara and Heian periods, Zen
tion of the Nembutsu was an expression of gratitude to
(Chin., Chan) meditation was a spiritual and mental disci-
Amida rather than a cause of one’s salvation. Shinran further
pline practiced in conjunction with other disciplines by all
stated that it is not man who “chooses” to have faith in
Buddhist sects. It was not until the Kamakura period, when
Amida, but that it is Amida’s Original Vow that “chooses”
the Linji (Jpn., Rinzai) and Caodong (Jpn., So¯to¯) schools of
all beings to be saved. Therefore, even those who lead lives
Chan were brought from Song-dynasty China, that Zen
of crime and sin are saved.
emerged as a distinct movement.
Shinran’s teachings represent a radical departure from
Rinzaishu¯. The establishment of Rinzai Zen in Japan
traditional Buddhist doctrine. He reduced the Three Trea-
is associated with Eisai (1141–1215). Discouraged by the
sures (i.e., Buddha, Dharma, and Sangha) to one (i.e.,
corruption of Buddhism in the late Heian, Eisai was initially
Amida’s Original Vow) and rejected the accepted methods
concerned with the restoration of the Tendai tradition. He
of spiritual exercises and meditation as paths to enlighten-
traveled to China, first in 1168 and again between 1187 and
ment. He was critical of the government’s persecution of
1191, hoping to study the true Tendai tradition. In China,
Ho¯nen and argued that the secular authority of the state was
Eisai was introduced to the Linji school of Chinese Chan.
subordinate to the eternal law of the Dharma. In the reli-
At that time Chan was noted for its purist approach—its em-
gious communities that surrounded Shinran, distinctions be-
phasis on a transmission that stood outside the classical Bud-
tween the clergy and laity were eliminated; Shinran himself
dhist scriptures and what is termed the “direct pointing to
was married and had children. Although Shinran never for-
the mind and perceiving one’s own nature.” In addition, the
mally established an independent sect, his daughter began to
Chan monks in Song China refused to pay obeisance to the
build a True Pure Land sectarian organization. This was the
secular authorities. Eisai, however, was more conciliatory.
first time in the history of Buddhism in Japan that the conti-
He studied the practices, ceremonies, and texts of other
nuity of a school was based on heredity.
schools and willingly paid obeisance to the Kamakura re-
gime, which in return favored him with its patronage. Eisai
Nichirenshu¯. Nichiren (1222–1282), eponymous
strongly believed that one of the central tasks of Buddhism
founder of the sect, is perhaps one of the most charismatic
was to protect the nation and that Zen was a state religion.
and prophetic personalities in Japanese history. In the time
Far from approaching the common people, Eisai’s form of
he spent on Mount Hiei between 1242 and 1253, Nichiren
Zen was elitist. Rinzai was established by Eisai’s followers as
came to believe that the Saddharmapun:d:arika Su¯tra (Lotus
an independent school, and while it remained an elitist
Su¯tra) contained the ultimate and complete teaching of the
group throughout the Kamakura period, its contributions to
Buddha. In many respects, Nichiren’s thought is based on
the cultural life of Japan were significant.
Tendai doctrine: he upheld the notion of ichinen sanzen (all
three thousand spheres of reality are embraced in a single
So¯to¯shu¯. Do¯gen (1200–1253), the transmitter of the
moment of consciousness) and advocated universal salvation,
Caodong school of Chinese Chan to Japan, entered the Ten-
urging the nation to return to the teachings of the Lotus
dai monastery on Mount Hiei when he was thirteen years
Su¯tra. However, Nichiren was also a reformer. Rather than
old. His intense search for the certainty of attaining buddha-
accept the traditional concept of the transmission of the
hood drove him from Mount Hiei, first to a Pure Land
Lotus Su¯tra through ecclesiastical offices, Nichiren argued
teacher and later to Myo¯zen, a disciple of Eisai. Finally, in
that it was transmitted through “spiritual succession.” Thus,
1223, Do¯gen traveled to China, where he attained enlighten-
he saw himself as the successor to the transmission that began
ment under the guidance of Rujing, a Chan master of the
with S´a¯kyamuni and passed to Zhiyi and Saicho¯. He also
Caodong school. In 1227 Do¯gen returned to Japan and
identified himself as the incarnation of Vi´sis:t:aca¯ritra (Jpn.,
began to expound So¯to¯ doctrine, eventually establishing an
Jo¯gyo¯), the bodhisattva to whom the Buddha is said to have
independent sect. As a student of the Caodong sect, Do¯gen
entrusted the Lotus Su¯tra. Other of his reforms included the
emphasized the gradual attainment of enlightenment
attempt to discredit the established Buddhist sects, in partic-
through the practice of zazen (sitting in meditation), a medi-
ular, Pure Land and Zen. At the same time, however,
tative discipline that entailed sitting without any thought 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
BUDDHISM, SCHOOLS OF: JAPANESE BUDDHISM
1245
any effort to achieve enlightenment. Do¯gen’s notion of zazen
nonexistent State Shinto¯ as a “nonreligious” national cult.
(also called shikantaza) stood in marked contrast to Eisai’s
The loss of government patronage and the decline in pres-
use of the ko¯an as a means to attaining sudden enlight-
tige, power, and security experienced by institutionalized
enment.
sects of Buddhism forced them to cooperate with the govern-
ment. The various sects worked within the structure of the
In spite of his adherence to Caodong tradition, Do¯gen
imperial regime by performing ancestral and life-cycle ritu-
is known for his independence and self-reliance. He was con-
als. However, the absence of government favor also brought
vinced that the truth of Buddhism is applicable to every-
about a spiritual awakening within Buddhism. Buddhist in-
one—regardless of sex, intelligence, or social status—and
tellectuals attempted to integrate Buddhist thought and tra-
that enlightenment could be attained even in secular life.
dition into the newly acquired Western culture and technol-
This doctrine is best expressed in Do¯gen’s dictum that all be-
ogy. Throughout the Meiji and into the Sho¯wa period
ings are the buddha-nature. Do¯gen also rejected the theory
(1912–), popular Buddhism continued to thrive. Such
of mappo¯ popular among other Kamakura Buddhists. He
movements as Kokuchu¯kai (Nation’s Pillar Society), led by
held that the “perfect law” of the Buddha was always present
the ex-Nichiren priest Tanaka Chigaku, gained popularity in
and could be attained by a true practitioner at any time.
the nationalist fervor of the 1890s. Another folk movement
Do¯gen’s emphasis on faith in the Buddha represents yet an-
to grow out of Nichiren was the Honmon Butsuryu¯ko¯ (Asso-
other departure from traditional Zen teachings that stress
ciation to Exalt the Buddha), founded by the former monk
self-realization. Because he claimed that the Zen practitioner
O
¯ ji Nissen and concerned primarily with faith healing. The
must have faith not only in the Buddha but also in scriptures
increased popularity of new religions and lay Buddhist asso-
and one’s masters, Do¯gen’s school is often characterized as
ciations such as So¯ka Gakkai, Reiyu¯kai, and Rissho¯ Ko¯seikai
sacerdotal and authoritarian. However, after his death,
continues in post–World War II Japan.
Do¯gen’s school was institutionalized and grew to be one of
the most politically and socially powerful movements in later
SEE ALSO Amita¯bha; Amoghavajra; Buddhism, article on
periods.
Buddhism in Japan; Do¯gen; Enchin; Ennin; Genshin; Hi-
B
jiri; Ho¯nen; Huayan; Japanese Religions, overview article;
UDDHISM IN THE MODERN ERA. As a result of the O
¯ nin
Jo¯do Shinshu¯; Jo¯doshu¯; Ma¯dhyamika; Mappo¯; New Reli-
War and the Sengoku period (a period of incessant wars
gious Movements, article on New Religious Movements in
among feudal lords), the political system was destined to un-
Japan; Nianfo; Nichiren; Nichirenshu¯; Saicho¯; Shingonshu¯;
dergo formal changes. Oda Nobunaga (1534–1582), Toyo-
Shinran; Sho¯toku Taishi; Tendaishu¯; Tiantai; Yoga¯ca¯ra;
tomi Hideyoshi (1536–1598), and Tokugawa Ieyasu (1542–
Zen; Zhenyan; Zhiyi.
1616), the three men who unified the nation, rejected the
Ritsuryo¯ system’s principle of the mutual dependence of im-
BIBLIOGRAPHY
perial and Buddhist law. The Tokugawa regime (1600–
Anesaki Masaharu. History of Japanese Religion (1935). Reprint,
1868) instead adopted neo-Confucianism as the guiding
Tokyo and Rutland, Vt., 1963.
principle of the nation, manipulating Buddhist institutions
to strengthen its systems and policies. It maintained strict
Ienaga Saburo¯, Akamatsu Toshihide, and Tamamura Taijo¯, eds.
Nihon bukkyo¯shi. Kyoto, 1972.
control over the development, organization, and activities of
religious sects. The Tokugawa government continued to rec-
Kitagawa, Joseph M. Religion in Japanese History. New York,
ognize and support all the Buddhist schools including those
1966.
that the Muromachi government had deemed official reli-
Saunders, E. Dale. Buddhism in Japan. Philadelphia, 1964.
gions. However, many of its policies toward Buddhism were
Takakusu Junjiro¯. The Essentials of Buddhist Philosophy. Edited by
stimulated by its persecutions of Christianity and its adop-
Wing-tsit Chan and Charles A. Moore. Honolulu, 1947.
tion of Confucianism as the state ideology. New sects and
Tsuji Zennosuke. Nihon bukkyo¯shi. 10 vols. Tokyo, 1944–1955.
doctrinal developments were prohibited, forcing new move-
ments, such as folk Nembutsu to go underground or suffer
New Sources
suppression. Existing schools forfeited their autonomy, and
Goodwin, Janet R. Alms and Vagabonds: Buddhist Temples and
temples, monks, and nuns were institutionalized and routin-
Popular Patronage in Medieval Japan. Honolulu, 1994.
ized within the political structure. In many temples and local
Jaffe, Richard M. Neither Monk nor Layman: Clerical Marriage in
temple schools, particularly those associated with Zen,
Modern Japanese Buddhism. Honolulu, 1999.
monks studied and taught the Confucian classics.
Ketelaar, James Edmund. Of Heretics and Martyrs in Meiji Japan:
Buddhism and Its Persecution. Princeton, 1990.
Along with political and economic modernizations, the
Meiji restoration of 1868 brought significant changes to reli-
Payne, Richard K., ed. Re-visioning “Kamakura” Buddhism. Hono-
gious institutions. The Meiji government (1868–1912),
lulu, 1998.
which attempted to restore the actual rule of the emperor in
Pilgrim, Richard B. Buddhism and the Arts of Japan. New York,
a modern context, rejected some aspects of the religious poli-
1998.
cies of the feudal Tokugawa. It rejected the religious institu-
Ruch, Barbara, ed. Engendering Faith: Women and Buddhism in
tion of Buddhism as a state religion and devised the hitherto
Premodern Japan. Ann Arbor, Mich., 2002.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1246
BUDDHISM, SCHOOLS OF: EAST ASIAN BUDDHISM
Stone, Jacqueline. Original Enlightenment and the Transformation
In these texts, Gyo¯nen generally uses shu¯ (Chin. zong,
of Medieval Japanese Buddhism. Honolulu, 1999.
Kor. chong) to refer to a school, but Mark Blum notes that
M
he also refers to them as ryu¯ (“stream”) and ke (“house”)
ICHIO ARAKI (1987)
Revised Bibliography
(2002). Although shu¯ is commonly used among premodern
East Asian authors, other Chinese terms, often associated
with particular schools or groups of schools, can be found:
the Chinese character bu, “group” or “division,” is generally
BUDDHISM, SCHOOLS OF: EAST ASIAN
used to refer to the schools of H¯ınaya¯na Buddhism, whereas
BUDDHISM
multiple words including zong appear in premodern East
The Japanese monk Gyo¯nen (1240–1321 CE) is well-known
Asian sources to indicate the Maha¯ya¯na schools that have
for his detailed work describing the origins of Buddhist
predominated in the region. “Gate,” “house,” and “moun-
schools and their transmission from India to East Asia. Be-
tain,” for example, are common designations for Chinese
cause Gyo¯nen’s understanding of these schools is clearly de-
Chan, Korean Son, and Japanese Zen.
fined and is representative, in key respects, of other premod-
DEFINING “FULL-FLEDGED” CHINESE
BUDDHIST
ern East Asian sources, it will serve as a useful starting point
SCHOOLS. These semantic problems have been compound-
from which to develop an understanding of the category
ed, moreover, not only because these individual words can
“school” in the context of East Asian Buddhism. It will also
have multiple meanings, but also because there is a lack of
serve as a basis for examining basic questions and relation-
standardization in translation and usage in modern scholarly
ships modern scholars face when trying to understand the de-
works. Even a cursory reading of the academic literature re-
velopment and transmission of these schools. Gyo¯nen’s defi-
veals scholars generally do not distinguish carefully among
nition of “school” is also useful because modern Japanese
a number of terms used to translate zong and these other
Buddhist scholarship—a dominant intellectual force in the
terms, including “school,” “sect,” “lineage,” and “tradition,”
study of East Asian Buddhism—developed out of the sectari-
among others. Leo Pruden, for example, translates the term
an tradition and institutions of scholar-monks like Gyo¯nen,
shu¯, appearing in the title of Gyo¯nen’s Hasshu¯ ko¯yo¯, as “tradi-
and a number of Japanese universities are affiliated with
tion” (1994), whereas Mark Blum opts instead for “school”
modern Buddhist schools. His work also draws attention to
(2002). This ambiguity leads Blum to leave shu¯ untranslated
relationships among East Asian schools of Buddhism, as well
in some sections of his work, The Origins and Development
as to their collective relationship to Indian Buddhist schools,
of Pure Land Buddhism: A Study and Translation of Gyo¯nen’s
particularly their perceived fidelity to a “pure” or “original”
Jo¯do Ho¯mon Genrusho¯, whereas John McRae adopts “school”
Indian Buddhism.
in Seeing through Zen: Encounter, Transformation, and Gene-
TRANSMISSION OF BUDDHIST SCHOOLS IN THE “THREE
alogy in Chinese Chan Buddhism precisely because its ambigu-
LANDS.” Among Gyo¯nen’s collected works are general his-
ity fits his interpretive framework.
torical overviews of Buddhist schools and their lineages, in-
cluding the Sangoku buppo¯ denzu¯ engi (Transmission of Bud-
In his description of Chinese schools of Buddhism in
dhism in the Three Lands) and the Hasshu¯ ko¯yo¯ (Essentials
the first edition of The Encyclopedia of Religion, Stanley
of the Eight Schools). The former describes the transmission
Weinstein seeks to clarify some of these ambiguities by dis-
of Buddhist schools in the “three lands,” or sangoku, of India,
tinguishing among three principal meanings of zong in pre-
China, and Japan, and the latter details the eight “schools,”
modern Chinese Buddhist sources: a doctrine, the teaching
or shu¯, of Japanese Buddhism. In these and other general
of a text, and a school. He writes that the tendency of schol-
works, Gyo¯nen understands “school” to be a lineage of mas-
ars to automatically translate zong as “school” has produced
ters and disciples united by their study of particular texts and
“persistent misconceptions about what actually constitutes a
doctrines. As such, both works contain detailed lists recount-
school in Chinese Buddhism” (p. 257).
ing these texts and doctrines, and describing the central fig-
As a doctrine, zong appears in statements such as “the
ures from individual schools who have interpreted, lectured
doctrine of emptiness,” or in the panjiao systems devised by
on, and propagated them.
Chinese Buddhists to rank the large number of sometimes
In the Sangoku buppo¯ denzu¯ engi, Gyo¯nen identifies
contradictory doctrines they received from South Asia. The
thirteen principal schools of Chinese Buddhism, including
second meaning of zong, the teaching of a text, is tied to the
the Tiantai, Sanlun, and Chan, and traces their “uninter-
work of Kuma¯raj¯ıva (344–413 CE), a central figure in
rupted transmission” through the “three lands,” beginning
the translation of Buddhist texts from Sanskrit into Chinese.
with founding Indian figures and patriarchs such as
The translations of Kumarajiiva and later scholar-monks
S´a¯kyamuni Buddha and Na¯ga¯rjuna, continuing through a
from the fifth and sixth centuries led to the development in
line of Indian and Chinese masters, and eventually ending
China of “exegetical traditions” focusing on particular texts
with Japanese teachers. Of these thirteen Chinese schools, he
such as the Dilun, Shelun, and Dalun, whose members stud-
classifies eight as the traditional schools of Japanese Bud-
ied, lectured on, and commented on these works. Weinstein
dhism, which developed in Japan’s Nara (710–794 CE) and
notes that monks of these traditions specialized in the inter-
Heian periods (794–1185 CE).
pretation of a particular text, and thus explicated its zong,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHISM, SCHOOLS OF: EAST ASIAN BUDDHISM
1247
which he describes as the “essential doctrine” or “underlying
tics because they often reflect sectarian commitments and
theme.”
polemical agendas, and are thus likely to present idealized ac-
counts of particular schools, as well as the Buddhist commu-
From among these exegetical traditions, Weinstein
nity more generally. In response to these perceived deficien-
claims that only the Sanlun of Jizang (549–623 CE), which
cies, Schopen has turned to the study of epigraphic data, and
studies the Dalun and other texts, approaches what he de-
has produced results that challenge widely accepted images
fines as a “full-fledged school”: “a tradition that traces its ori-
of monastic behavior. He asserts, for example, that this evi-
gin back to a founder, usually designated ‘first patriarch,’
dence proves that Buddhist monks and nuns in India held
who is believed to have provided the basic spiritual insights
money, transferred merit, and engaged in other activities that
that were then transmitted through an unbroken line of suc-
contravene the rules of monastic conduct or that do not ac-
cessors or ‘dharma heirs’” (p. 260). Because Jizang’s line
cord with basic tenets of Buddhism.
ended only two generations after his death, however, Wein-
stein argues that it is only with the emergence of the Tiantai,
Although Schopen’s work centers on South Asia, other
Huayan, and Chan in the second half of the Tang dynasty
studies of East Asian schools of Buddhism reveal a similar
(618–907 CE) that such schools could be found.
disjuncture between idealized accounts of monastic behavior
and actual practices. This body of scholarship covers a broad
From among this group, Chan, for example, describes
range of topics, including Bernard Faure’s research on Bud-
itself as an unbroken lineage of dharma heirs that can be
dhism and sexuality, as well as Brian Victoria’s work on the
traced from the figure of Bodhidharma—considered to be
connection between Zen and war. In Zen at War, Victoria
the twenty-eighth Indian patriarch and first figure to teach
argues that Zen Buddhist institutions and intellectuals
Chan in China—back to S´a¯kyamuni Buddha. From the fig-
helped create the ideological justification for the Japanese
ure of Bodhidharma, moreover, Chan genealogical charts
military’s aggression on the East Asian continent from the
trace the development of these schools forward in time
early to mid-1900s. He asserts that D.T. Suzuki and other
through a series of Chinese dharma heirs, whose lines were
such figures forged a close connection between the principles
eventually transmitted to Korea and Japan. During Japan’s
of Zen and the “warrior spirit,” or bushido¯, and that these
Kamakura period (1185–1333 CE), Gyo¯nen’s contempo-
ideas were incorporated into the military’s rhetoric portray-
raries Eisai (1145–1215 CE) and Do¯gen (1200–1253 CE)
ing its aggression as a “just war” meant to liberate East Asians
traveled to China where they received certificates attesting
from Western colonial domination, and unite them as
their enlightenment and authorizing them to propagate the
“Asian brethren” within the Greater East Asian Co-
Linji (J. Rinzai) and Caodong (J. So¯to) Chan lineages. After
prosperity Sphere. In Pruning the Bodhi Tree: The Storm over
returning to Japan, they transmitted these teachings to disci-
Critical Buddhism (1997), Hakamaya Noriaki and Matsu-
ples who thus continued the tradition as an uninterrupted
moto Shiro¯ make a similar argument of a close connection
lineage of Japanese dharma heirs.
among Zen, Japanese nationalism, and the military, and also
But even if the definition of school is restricted as Wein-
assert that So¯to¯ Zen institutions and leaders have contributed
stein suggests, he and other scholars point out that the inde-
to social discrimination in Japan against the burakumin, Ko-
pendent identities of Chan and these other schools were
reans, and women, among other minority groups.
often after the fact creations of the disciples of their purport-
THE “CLASSICAL PARADIGM” OF BUDDHIST STUDIES.
ed founders, sometimes a number of generations removed
Other studies seek to reveal the processes by which common-
from the “first patriarch.” Thus, although they may be de-
ly accepted images of Buddhist schools have been shaped by
scribed as discrete lineages by later members, and often ac-
the assumptions, methods, and frames of reference of tradi-
cepted as such by scholar-monks like Gyo¯nen, these schools
tional Buddhist studies, often described as its “classical para-
were not necessarily seen in this way during the lifetime of
digm.” Frank Reynolds states that this paradigm generally
the founder and possibly not even for generations thereafter.
adopts “a positivistic view of historical methods and histori-
Despite these and other issues taken up below, critics claim
cal facts” (1999, p. 462), and, like Gyo¯nen, takes lineages,
that modern scholars have often accepted the descriptions of
doctrines, and texts, which are often abstracted from their
these schools in the work of Gyo¯nen and other premodern
historical and social contexts, to be the central defining ele-
sources at face value, and have thus understood them to be
ments of Buddhist schools. Reynolds adds that this approach
self-contained entities that have been “transmitted without
focuses on “origins,” and thus privileges Sanskrit and Pali
interruption” and that can be clearly distinguished from the
texts, as well as Indian schools and doctrines, as the chief ar-
doctrines and practices of other schools of Buddhism, other
biters for judging the legitimacy of non-Indian texts and
religious traditions, and society at large.
forms of Buddhism, including those of East Asia. Much like
“TEXTUALITY OVERRIDES ACTUALITY.” Gregory Schopen
Gyo¯nen’s focus on “lands” in the sangoku paradigm, more-
asserts that the tendency to confuse such accounts in pre-
over, modern scholars often rely on “nation” as a key frame
modern sources like those of Gyo¯nen for actual conditions
of reference for understanding the transmission and develop-
and practices has led to a situation in which “textuality over-
ment of these schools, and are thus concerned with distin-
rides actuality” (p. 7). Schopen claims that texts serve as un-
guishing among “national” varieties of East Asian Buddhism,
reliable witnesses to the actual behavior of Buddhist monas-
or with judging the legitimacy of East Asian Buddhist
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1248
BUDDHISM, SCHOOLS OF: EAST ASIAN BUDDHISM
schools, texts, and doctrines as a group based on their per-
spectrum of Japanese cultural areas, including the works of
ceived fidelity to Indian “originals.”
National Learning (J. kokugaku), the Kyoto school of philos-
ophy, and Zen and other schools of Buddhism.
Robert Buswell asserts that the institutional history of
North American Buddhist studies, an outgrowth of “area
A number of such studies also question how the institu-
studies,” and other factors have contributed to the former
tional affiliations and agendas of Japanese Buddhist scholars,
tendency, and that this focus on the distinctiveness of mod-
as well as the requirements for progressing within their schol-
ern, national varieties of East Asian Buddhism inhibits a ful-
arly communities, have delimited the range of acceptable
ler understanding of premodern East Asian Buddhist schools
topics and interpretive methods. T. Griffith Foulk writes
and their members. By viewing these schools anachronistical-
that whereas Western scholars of Japanese Buddhism are
ly through the lens of the modern notion of nation, observers
deeply indebted to the research, guidance, and methods of
may fail to recognize the complex of factors through which
their Japanese counterparts or mentors, there is a growing
premodern East Asian Buddhists would have “imagined”
awareness that the latter’s scholarship often reflects the inter-
their individual identities, identities which Buswell notes
ests of sectarian institutions that developed out of those of
were connected simultaneously to both translocal Sino-
Gyo¯nen and other such premodern monk-scholars, and
Indian Buddhist “macroculture” and to local relationships
which he describes as normative traditions. These observers
and commitments. He claims that these tendencies have also
claim that such interests have led scholars to focus on the his-
reinforced what have been historically uncertain geographic
tory of particular Japanese Buddhist schools and lineages, as
borders and precluded academic “cross-fertilization,” thereby
well as on the thought and lives and of their central figures,
preventing observers from viewing the development of these
and thereby limited the breadth of scholarly inquiry by iso-
East Asian schools as part of broader processes of intercultur-
lating scholars of Buddhism from other academic disciplines.
al interaction. Buswell adds that this “national” approach has
The influence of these theories and methods extends, more-
become so thoroughly ingrained in the academic training of
over, to the study of Chinese and Korean Buddhist schools.
Buddhist studies that it has rarely been questioned, and
In the case of the former, for example, McRae, Sharf, and
scholars thus “continue to hypostatize into inviolate tradi-
others point out that understanding of Chan and other Chi-
tions complex religious phenomena that involved multiva-
nese Buddhist schools has been deeply influenced by these
lent levels of cultural interaction and symbiosis and intricate
Japanese methods and attitudes.
series of personal identities” (p. 73).
KOREAN BUDDHIST IDENTITY AND “CULTURAL SELF-
N
SUFFICIENCY.” To overcome the limits of these received
IHONJINRON AND JAPANESE SECTARIAN SCHOLARSHIP.
The structure of the sangoku paradigm also draws attention
methods, and to thereby bring the study of Buddhism into
to the relations among the schools of these East Asian na-
a broader-based discourse in the humanities, a number of
tions, particularly the differential treatment accorded Chi-
scholars have applied the methods and theories of outside
nese Buddhist schools relative to those of the Korean penin-
disciplines such as archaeology, anthropology, cultural
sula. Whereas Gyo¯nen ascribes a central position to China
studies, and literary criticism. These efforts include studies
as the bridge between Japanese and Indian Buddhism, he
that investigate the interests and processes by which these
does not describe Korean schools of Buddhism in any detail.
premodern narratives have been created and transmitted, and
Although he does note that Buddhism was transmitted to
identify the ideological and other functions they have played
Japan from the Korean peninsula in the sixth century
in the process of inventing schools as part of tradition.
CE, and
that it was propagated by Sho¯toku Taishi (574–622 CE)
One such example is Buswell’s study, “Imagining ‘Kore-
whose Buddhist tutors were peninsular monks, these schools
an Buddhism’: The Invention of a National Religious Tradi-
were not seen to be of sufficient value to be included in the
tion,” which offers an alternative angle of vision for under-
sangoku paradigm. And, whereas Blum makes a reasoned ar-
standing the development of Korean Buddhist tradition by
gument that Gyo¯nen’s omission in this regard was linguis-
incorporating a number of these methods and theories, in-
tic—that is, Chinese, but not Korean, was a sacred, canonical
cluding Benedict Anderson’s “imagined communities.” In so
language of Buddhism—rather than racial, this omission is
doing, he reveals the limits of the traditional paradigm’s
complicated by the history of modern relations that exists be-
focus on “nation” by showing the complexity of Buddhist
tween Japan and its East Asian neighbors, particularly the
identity, particularly, the ways in which premodern Buddhist
events described by Victoria.
monastics of the Korean peninsula imagined themselves as
actors within a number of translocal and local relationships
Some critics contend that common images of these “na-
and commitments.
tional” East Asian Buddhist schools have been shaped in fun-
damental ways by Japan’s racial attitudes and theories and
Buswell claims that for much of the history of Bud-
by the intellectual paradigms and social structures of Japa-
dhism on the Korean peninsula, it would have been “patently
nese Buddhist scholarship. This body of work examines, for
absurd” for monastics to view themselves in national terms
example, the ways in which the notion of a unified and un-
as there was “no independent sense of a ‘Korean’ national
changing Japanese “essence,” often referred to as nihonjinron
tradition of Buddhism distinct from the broader Sino-Indian
(“discourse on Japaneseness”), informs studies in a broad
tradition during the premodern era” (p. 85). Rather, 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
BUDDHISM, SCHOOLS OF: EAST ASIAN BUDDHISM
1249
identities would have been defined by sectarian commit-
generous patron of Buddhism, who later was linked to im-
ments, ordination lineages, functional positions (disciples of
portant Japanese Buddhist figures such as Ku¯kai (774–835
A, teachers of B, or as proselytists, doctrinal specialists, medi-
CE), Saicho
¯ (767–822 CE), and Shinran (1173–1263 CE),
tators, and so on), or local tribal or clan membership. Just
and was identified as the “first patriarch” or central figure in
as important, however, is that these monastics would also
a number of Japanese Buddhist schools. These accounts re-
have imagined themselves to be participants in a pan-Asian
late that his keen intellectual interest and understanding of
Buddhist “macroculture.” Buswell notes that these groups
Buddhist doctrine, honed under the instruction of continen-
tried to integrate peninsular Buddhism into this macrocul-
tal tutors, led to lectures at court on the S´r¯ıma¯la¯dev¯ı Su¯tra
ture by forging connections to India’s King A´soka, the Drag-
and the Lotus Su¯tra. These lectures are thought to constitute
on King, and other translocal Buddhist models and authoriz-
the basis for the composition of the Sho¯mangyo¯-gisho and the
ing mechanisms.
Hokke-gisho, two of the three commentaries attributed to
him.
At the same time, however, these monastics actively
sought to create a sense of their own “cultural self-
As Sho¯toku’s image evolved and religious authority ex-
sufficiency” by “inventing” legitimate local practices, figures,
panded, his human ties to continental teachers were down-
and texts, including the Vajrasama¯dhi-su¯tra. Buswell asserts
played, whereas his synchronic ties to translocal Buddhist
that the narrative describing the discovery of this text by a
figures increased. Over time, Sho¯toku came to be seen as
Silla envoy in the palace of the Dragon King was meant to
the reincarnation of a number of central Buddhist figures
establish the self-sufficiency and legitimacy of peninsular
such as S´a¯kyamuni Buddha, Queen S´r¯ıma¯la¯, Avalokite´svara,
Buddhism relative to China by proving it was no longer in
and the Chinese Tiantai monk Huisi (515–577 CE). Among
need of a constant influx of their texts and teachers. The
these previous births, Sho¯toku’s former life as Queen
Vajrasama¯dhi-su¯tra also became a basic text in the develop-
S´r¯ıma¯la¯ of India naturally authorized him to compose the
ment of Chinese Chan, and thus offers an important exam-
Sho¯mangyo¯-gisho as it was an exegesis on the very text that
ple of reversing the established direction of the flow of reli-
she had proclaimed in Ayodhya¯ through the eloquence
gious and cultural products from China eastward.
granted her by the Buddha himself.
JAPANESE “CULTURAL SELF-SUFFICIENCY.” Even in Japan
The Japanese historian Tsuda So¯kichi argues that the
where governmental authorities have often exerted greater
compilers of these early Japanese texts sought to remake Ya-
control over Buddhist schools compared to China and
mato, or early Japan, in the image of China as described in
Korea, the identities of individual monastics have not always
its dynastic histories, and that accounts of Sho¯toku’s lectures
been clearly defined along either strict national or sectarian
were fabricated as part of this greater effort. Tsuda believes
lines. Although state control created greater institutional sep-
that Sho¯toku’s lectures, as well as other aspects of his Bud-
aration and sectarian awareness—evident in the harsh and
dhist identity, were modeled on those given by Emperor Wu
sometimes violent sectarian debates of Gyo¯nen’s Kamakura
of the Liang dynasty (r. 502–549 CE) and other Chinese sov-
period—Buswell’s approach is still instructive. Gyo¯nen, for
ereigns. Although Sho¯toku’s authorship of the Sangyo¯-gisho
example, is known primarily for his affiliation with the
is contested by Tsuda and a small number of other modern
Kegon and Vinaya schools, but also “imagined” himself as
Japanese scholars, it has been seen by most observers as a cru-
a Brahma¯, or Buddhist “striver,” associated with teachers
cial event in Japanese Buddhist history that served to create
from the Pure Land and other schools. And much like the
the “cultural self-sufficiency” of local Japanese schools and
identities of premodern Korean monks described by Buswell,
traditions. Regardless of the authenticity of their attribution
Gyo¯nen defined himself in both translocal and local terms.
to Sho¯toku, they were accepted as genuine and were studied
According to Blum, Gyo¯nen saw himself recording the trans-
and transmitted by Gyo¯nen and other eminent Japanese
mission of transhistorical Buddhist truth embedded in “ho-
Buddhist figures. Although Sho¯toku’s Buddhist teachers
mogeneous time,” but that manifested in particular times
from the Korean peninsula were not written out of the his-
and places—which Blum describes as the “particularity of
torical record, there was a gradual diminution in their influ-
the Japanese experience” (2002, p. 90). Within this “particu-
ence on his development as a Buddhist practitioner and exe-
larity,” Gyo¯nen imagined his identity in terms of his sectari-
gete. Over time, a body of myths emerged that portrayed
an commitments to the Kegon school and position at To¯daiji
Sho¯toku in an equal, and sometimes superior, position to his
temple, as well as in functional terms—particularly as a com-
teachers.
mentator on the Sangyo¯-gisho, a collection of three Buddhist
commentaries attributed to Japan’s Sho¯toku Taishi.
Two of the three commentaries begin with a declaration
stating that the text is the work of King Jo¯gu¯ (Sho¯toku Ta-
This process described by Buswell of establishing and
ishi) “of the Great Land of Yamato,” and that it was not com-
bolstering local “cultural self-sufficiency” is evident in the
posed by anyone from across the sea. In 772 CE, a group of
valorization and transmission of these commentaries, and in
Buddhist monks accompanied a diplomatic mission to Tang
the evolution of the figure of Sho¯toku as father of Japanese
China, where they presented copies of the Sho¯mangyo¯-gisho
Buddhism and Buddhist exegete. Sho¯toku is depicted in ac-
and Hokke-gisho to their Chinese hosts as proof of Sho¯toku’s
counts from the eighth century as a devout practitioner and
profound understanding of Buddhist doctrine and the high
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1250
BUDDHISM, SCHOOLS OF: EAST ASIAN BUDDHISM
standard of the traditions they represented. Based on this
teachings in light of these efforts. Lusthaus contends that
copy of the Sho¯mangyo¯-gisho, moreover, the Tang dynasty
Chinese Buddhists of the Tang dynasty deliberately attempt-
monk Mingkong (dates unknown) composed the Shengman-
ed to separate Chinese Buddhism from Indian interpreta-
jing shuyi sichao, which was later copied and brought back
tions and methodologies. He identifies the choice by the
to Japan by the Tendai school’s Ennin (794–864 CE) and
Chinese of Parama¯rtha’s (499–569 CE) sixth-century transla-
cited as proof of the value of the Sho¯mangyo¯-gisho and Shoo-
tions of Buddhist texts from Sanskrit into Chinese over those
toku’s greatness as a Buddhist exegete. In a postscript to a
of Xuanzang’s (600–664 CE) in the following century as a key
copy of Mingkong’s commentary presented by the Japanese
moment in Chinese Buddhist history, a moment in which
monk Eizon (1201–1290 CE) to Ho¯ryu¯ji in March 1256, he
“East Asian Buddhism returned with deliberateness and pas-
wrote that the text was by “an eminent monk from the Great
sion to its own earlier misconceptions instead of returning
[Land of] Tang” and that it added prestige to the “sublime
to the trajectory of Indian Buddhism from which it believed
text” of Japan’s Sho¯toku Taishi.
it had been spawned” (p. 35). As such, Chinese Buddhism
T
paid little attention to Indian Buddhist philosophers and lo-
HE “ENCOUNTER PARADIGM.” Sharf asserts that Chinese
Buddhism has often been viewed by modern scholars
gicians, and turned instead to a “Chinese hierarchical system
through the lens of the “encounter paradigm,” in which its
and a crypto-Taoist dialectical reasoning” (p. 38).
schools, texts, and doctrines have been understood as the
This debate over the possible deviation of East Asian
product of a protracted “encounter” between “Indian Bud-
schools from “original” or “pure” Buddhism represents a
dhism” and “Chinese civilization.” He traces the formaliza-
basic division in the field over how to view the processes of
tion of this paradigm to the work of Arthur Wright, whose
the transmission and assimilation of Buddhism in local con-
study, Buddhism in Chinese History, divides this process into
ditions. Whereas the Critical Buddhists and others focus on
four distinctive periods: preparation, domestication, inde-
the perceived deviation or degeneration of Buddhism as it
pendent growth, and appropriation. Although subsequent
has been transmitted over time and space, others contend
scholarship has argued over the details, Sharf contends that
that such attempts to reconstruct “original” Indian Bud-
this view still prevails, and cites the influential work of Rich-
dhism face not only insurmountable hermeneutical obstacles
ard Robinson, which compares the Chinese Sanlun school
but also replicate the very “essentialization” that they decry.
of Jizang to its Indian “original” and finds the former to be,
Peter Gregory responds to the arguments of Hakamaya and
in some ways, “wanting” (p. 288, n. 15). Sharf believes that
Matsumoto in his essay, “Is Critical Buddhism Really Criti-
this paradigm, with its emphasis on “domestication and
cal,” by invoking the logic of Buddhist tenets, writing, “Only
transformation,” has often led scholars to compare Chinese
when we acknowledge that Buddhism lacks any defining,
Buddhism to an imagined sense of “original” Indian Bud-
unalterable essence (an a¯tman, so to speak) and is itself the
dhism, and thus to question whether the Chinese “got it
product of a complex set of interdependent and ever-
right” (pp. 7–11). This attitude has led in turn to suspicions
changing conditions (prat¯ıtyasamutpa¯da), will we have a
of Chinese “apocryphal” texts, like the influential Awakening
proper framework for understanding the process of its histor-
of Maha¯ya¯na Faith, and the consequent devaluation of the
ical and cultural transformation and recognizing our own lo-
schools and doctrines of East Asian Buddhism that devel-
cation in that stream we would call the ‘tradition’” (1997,
oped in reliance on them.
p. 297).
These attitudes are evident in the arguments of the Japa-
Gregory and others argue that determining “true Bud-
nese scholars Hakamaya Noriaki and Matsumoto Shiro¯, the
dhism” is a normative, theological issue, and scholars should
central figures of “Critical Buddhism,” who harshly criticize
not simply ignore or dismiss the beliefs of East Asian Bud-
a group of related Buddhist doctrines, including Buddha na-
dhist figures, like Gyo¯nen, who were convinced of the au-
ture, tatha¯gatagarbha, and original enlightenment. These
thenticity of the teachings and texts they engaged and trans-
doctrines have been particularly popular in East Asian
mitted. In a similar way, Sharf writes that his study is “an
schools and have served as central topics in a number of Chi-
argument for treating Chinese Buddhism as the legitimate,
nese Buddhist texts, including the Awakening of Maha¯ya¯na
if misunderstood scion of sinitic culture. Whatever else it
Faith. In his article, “The Doctrine of Tatha¯gata-garhba Is
may be, Buddhism is the product of Buddhists, and the Bud-
Not Buddhist,” Matsumoto rejects these doctrines because,
dhists in the case at hand were Chinese” (p. 2). He argues
he claims, they posit an essential, underlying substratum to
that instead of trying to establish fixed or normative defini-
reality, which contravenes basic Buddhist tenets such as de-
tions of basic categories of Buddhism, scholars are better
pendent origination, emptiness, and no-self.
served by trying to understand their shifting and often hazy
In “Critical Buddhism and Returning to the Sources,”
borders as well as their “rhetorical deployments.” Sharf sug-
Dan Lusthaus states that this intellectual movement was an
gests that the Chinese schools of Buddhism detailed by
inevitable development that emerged, in part, because Japa-
Gyo¯nen are better understood as “organizational categories
nese scholars of Buddhism like Hakamaya and Matsumoto
applied after the fact by medieval Buddhist historians and
have begun paying greater attention to Tibetan and Sanskrit
bibliographers” (p. 7). And the term “Buddhism,” he writes,
materials, and reevaluating East Asian Buddhist schools and
functions as a “placeholder,” and pure Buddhism is “an ana-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION
1251
lytic abstraction posited by Buddhist polemicists, apologists,
Bodhi Tree: The Storm over Critical Buddhism, edited by
reformers, and now scholars” (p. 16).
Jamie Hubbard and Paul L. Swanson, pp. 165–173. Hono-
lulu, 1997.
SEE ALSO Buddhism, overview article and articles on Bud-
McRae, John. Seeing through Zen: Encounter, Transformation, and
dhism in China, Buddhism in Japan, and Buddhism in
Genealogy in Chinese Chan Buddhism. Berkeley, Calif., 2003.
Korea; Buddhist Meditation, article on East Asian Buddhist
Meditation.
Muller, Charles A. The Su¯tra of Perfect Enlightenment: Korean
Buddhism’s Guide to Meditation. Albany, N.Y., 1999.
BIBLIOGRAPHY
Pruden, Leo M., trans. The Essentials of the Eight Traditions.
Abe, Ryu¯ichi. Weaving of Mantra: Ku¯kai and the Construction of
Berkeley, Calif., 1994.
Esoteric Buddhist Discourse. New York, 1999.
Reynolds, Frank. “Coming of Age: Buddhist Studies in the Unit-
Blum, Mark L. The Origins and Development of Pure Land Bud-
ed States from 1972 to 1997.” In Journal of the International
dhism: A Study and Translation of Gyo¯nen’s Jo¯do Ho¯mon
Association of Buddhist Studies 2, no. 22 (1999): 457–483.
Genrusho¯. Oxford, 2002.
Robinson, Richard. Early Ma¯dhyamika in India and China. Madi-
Buswell, Robert E. Jr. The Formation of Ch’an Ideology in China
son, Wis., 1967.
and Korea: The Vajrasama¯dhi-Su¯tra, a Buddhist Apocryphon.
Schopen, Gregory. Bones, Stones, and Buddhist Monks: Collected
Princeton, N.J., 1989.
Papers on the Archaeology, Epigraphy, and Texts of Monastic
Buswell, Robert E. Jr. Chinese Buddhist Apocrypha. Honolulu,
Buddhism in India. Honolulu, 1997.
1990.
Schopen, Gregory. “The Maha¯ya¯na and the Middle Period in In-
Buswell, Robert E. Jr. “Imagining ‘Korean Buddhism’: The In-
dian Buddhism: Through a Chinese Looking-glass.” The
vention of a National Religious Tradition.” In Nationalism
Eastern Buddhist 32, no. 2 (2001): 6–12.
and the Construction of Korean Identity, edited by Hyung Il
Sharf, Robert H. “The Zen of Japanese Nationalism.” In Curators
Pai and Timothy R. Tangherlini, pp. 73–107. Berkeley,
of the Buddha: The Study of Buddhism under Colonialism.
Calif., 1998.
Chicago, 1995.
Ch’en, Kenneth K. S. The Chinese Transformation of Buddhism.
Sharf, Robert H. Coming to Terms with Chinese Buddhism: A Read-
Princeton, N.J., 1973.
ing of the Treasure Store Treatise. Honolulu, 2002.
Faure, Bernard. Chan Insights and Oversights: An Epistemological
Stone, Jacqueline. “Some Reflections on Critical Buddhism.” Jap-
Critique of the Chan Tradition. Princeton, N.J., 1993.
anese Journal of Religious Studies 26, nos. 1-2 (1999): 159–
Faure, Bernard. The Red Thread: Buddhist Approaches to Sexuality.
188.
Princeton, N.J., 1998.
Tsuda So¯kichi. Nihon koten no kenkyu¯. Tokyo, 1950.
Faure, Bernard. The Power of Denial: Buddhism, Purity, and Gen-
Victoria, Brian. Zen at War. New York, 1997.
der. Princeton, N.J., 2003.
Wright, Arthur F. Buddhism in Chinese History. Stanford, Calif.,
Foulk, T. Griffith. “Issues in the Field of East Asian Buddhist
1959.
Studies: An Extended Review of Sudden and Gradual: Ap-
proaches to Enlightenment in Chinese Thought, ed. Peter N.
MARK DENNIS (2005)
Gregory.” In Journal of the International Association of Bud-
dhist Studies 16, no. 1 (1993): 93–114.
Gregory, Peter. “Is Critical Buddhism Really Critical?” In Pruning
BUDDHIST BOOKS AND TEXTS
the Bodhi Tree: The Storm over Critical Buddhism, edited by
This entry consists of the following articles:
Jamie Hubbard and Paul Swanson, pp. 286–297. Honolulu,
CANON AND CANONIZATION
1997.
CANON AND CANONIZATION—VINAYA
Hakamaya, Noriaki. “Thoughts on the Ideological Background of
RITUAL USES OF BOOKS
Social Discrimination,” translated by Jamie Hubbard. In
TRANSLATION
Pruning the Bodhi Tree: The Storm over Critical Buddhism,
EXEGESIS AND HERMENEUTICS
edited by Jamie Hubbard and Paul Swanson, pp. 339–355.
Honolulu, 1997.
BUDDHIST BOOKS AND TEXTS: CANON AND
King, Sallie B. “The Doctrine of Buddha-Nature Is Impeccably
CANONIZATION
Buddhist.” In Pruning the Bodhi Tree: The Storm over Critical
The canonical literature of Buddhism has a number of char-
Buddhism, edited by Jamie Hubbard and Paul L. Swanson,
acteristics that make it unique among the religious scriptures
pp. 174–192. Honolulu, 1997.
of the world. First, the literature is not contained within a
Lancaster, Lewis, and C. S. Yu, eds. Introduction of Buddhism to
single canon: various regional, linguistic, and sectarian divi-
Korea: New Cultural Patterns. Berkeley, Calif., 1989.
sions have brought about the compilation of a number of
Lancaster, Lewis, and C. S. Yu, eds. Assimilation of Buddhism in
separate canons. The scriptural collections that can be identi-
Korea: Religious Maturity and Innovation in the Silla Dynasty.
fied by language (e.g., Chinese, Tibetan, and Pali) vary from
Berkeley, Calif., 1991.
one another in significant ways, with few texts that found
Matsumoto Shiro¯. “The Doctrine of Tatha¯gata-garhba Is Not
across all traditions. In addition to the multiplicity of canons,
Buddhist,” translated by Jamie Hubbard. In Pruning the
the various versions are marked by their sizes. Each canon
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1252
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION
contains a large number of texts, some of which are of great
identified by the preamble, “Thus have I heard.” The hearer
length. The Chinese canon alone covers nearly 100,000
referred to in this case was the disciple Ananda. Tradition
pages in its printed form, whereas Buddhist sacred texts
holds that he was asked to give the first recitation of the re-
might be more adequately described as libraries, for these col-
membered teachings at an assembly known as the First
lections bear little resemblance to the single volumes that
Council of arhats immediately following the parinirva¯n:a, or
make up the canons of the religions of western Asia.
death of the Buddha. In addition to these types of teachings,
later to be codified as the su¯tra literature, there was a second
The function of these canons within the different tradi-
division that related to the rules of conduct (Vinaya) for
tions indicates that they were not just used for reading and
those who lived by monastic rule.
study. The process of preservation of hundreds of texts re-
quired sizable resources that could only be secured by large
Eventually the canon was expanded to include a third
groups of cooperating believers or by the governments. For
category called abhidharma, a special exegetic literature that
many Buddhists, the canons were seen a source of merit mak-
organized the teachings found in the su¯tras into numerical
ing through donations for the process of printing, copying,
categories. These lists were originally referred to as matrka
and housing the texts. In most areas a few texts were then
(mother). It may be that the list of the topics taught by the
selected for use in ritual. The chanting of these chosen works
Buddha was one way of guarding against the later introduc-
was another way to acquire merit and was also a spiritual
tion of items that did not belong to the earlier versions of
practice performed as part of the central activities of the pub-
the texts. Given this tripartite division, the Buddhists re-
lic halls of monasteries. Monastics studied the content of the
ferred to the canon as a whole as the Tripit:aka (Three bas-
texts and taught both lay and ordained followers by using
kets).
passages from the books as a structural element of the dis-
While the division of the texts into three types is the
courses.
most common way of referring to the Buddhist canon struc-
INTRODUCTION. While it is possible to witness the wide-
ture, there were alternate groupings, such as the twelve textu-
spread uses of the Buddhist canons, the more difficult matter
al genres: su¯tra, geya, vyakarana, gatha, udana, nidana, itivrt-
is the way in which such a massive amount of information
taka, ja¯taka, vaipulya, Adbutadharma, avadana, and upadesa.
was assembled and codified. The sophistication of the con-
In some cases these groupings were used as part of the titles
tent indicates that the canons were produced as part of an
of texts. It is no longer possible, however, to have a complete
intensive training and study environment. The complexity
definition for how each of these types was differentiated from
of the content has led scholars to conclude that only a small
others.
percentage of Buddhists ever read and assimilated the whole
As Buddhism grew, it developed a number of sectarian
of the intellectual and religious issues within the canons.
groups, recognized in the histories as the “Eighteen Schools.”
These texts are often seen as “elite” documents that cannot
These schools contended with one another for support and
be used to adequately describe the “popular” practices and
argued over which texts were canonical. Because most of
beliefs of the majority of Buddhists. However, it is impossi-
these groups have disappeared as distinct communities, leav-
ble to describe the practices of beliefs of Buddhists without
ing behind no full description of lists of accepted texts, it is
taking into account the importance they placed on the ca-
also not possible to have a full inventory of the variety of
nonic collections as objects of veneration. Over the centuries
Buddhist canons in India.
the communities have copied and preserved the texts as an
integral part of their heritage and have put forward enormous
WRITING IT DOWN. It was some centuries before the canon
efforts in the construction, writing, printing, and digitizing
was preserved in written form. In the Therava¯da tradition of
of their canons—indications of the canons’ importance in a
South and Southeast Asia, it is alleged that the canon was
variety of popular as well as elite arenas.
kept in its oral form until 29 BCE, when the Fourth Council
was held in Sri Lanka under the aegis of King Vattagamani.
In order to study the history of the Buddhist canons and
At the council—similar to the story of the First Council—a
to interpret the actions of those who contributed to that
single monk was called to recite the entire teaching of the
story, it is necessary to have a picture of the ways in which
Buddha; in this case it was a monk called Mahendra, who
the appearance and preservation of the canons occurred in
had been sent to Sri Lanka by King A´soka (r. c. 270–230
the different cultural spheres of Asia. For example, Bud-
BCE). King Vattagamani had five hundred scribes and reciters
dhism in India was diversified by its expansion into regions
set to commit the canon to written form. (Whereas this is
far separated from one another. Because there was never any
the traditional view, it should be noted that it was not until
proscription against the use of local languages for transmit-
the fifth century CE that the final list of texts for the
ting the discourses of the Buddha, the identification of the
Therava¯da canon could be agreed upon, and even then the
list of texts to be included in a canon remained unfixed. In
material to be included in the Khuddaka Nikaya remained
the beginning the texts were preserved orally and were recited
unsettled.)
for the followers by monks called bhanakas. These recitations
were probably of two types. The first was the recitation of
The Pali language canon of the Therava¯da tradition has
the dharma—the remembered words of the Buddha—
been preserved and maintained in areas such as Burma, Sri
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION
1253
Lanka, Thailand, and Cambodia. These areas faithfully pre-
on the premise that “whatever is well-spoken is the word of
served the Indic form and did not attempt to put the texts
the Buddha” (A. iv 164; Sn 450, 454), Maha¯ya¯na communi-
into vernacular translations. Instead, the Pali was rendered
ties began to produce new works they called su¯tra, to which
in local script for the representation of the sounds. A similar
they affixed the preamble, “Thus have I heard,” indicating
pattern was followed in Korea and Japan, where the Chinese-
that these texts, like their counterparts in the Eighteen
character version was accepted as the standard; translations
Schools, were originally spoken by the Buddha. The
into Korean and Japanese language formats have only taken
Maha¯ya¯na texts severely attacked the other schools and called
place in modern times. The maintenance of the Pali and Chi-
them the “Lesser Vehicle” (H¯ınaya¯na), thereby claiming that
nese as international canonic languages is tied to the history
they understood only a portion of the higher teaching.
of literacy in Asia, where Indian and Chinese sources were
often the first examples of written texts.
The Maha¯ya¯na, along with the other schools, added to
the canon commentaries on the su¯tras called ´sastra, vyakhya,
The Pali canon has been preserved in several forms. In
and tika. Such commentaries kept the canon open and made
Burma the so-called Fifth Council was held in 1871 under
it possible for the incorporation of later teachings over the
the patronage of King Mindon Min. During that council,
centuries.
the canon was reedited by comparison of text variants and
at the end of the process was engraved on 729 stones that
In modern times the extant Sanskrit manuscripts are few
have been placed in a monastery near Mandalay. A Sixth
in number compared to other Buddhist canonical collec-
Council was opened in Rangoon in 1954, and the canon was
tions. Some palm-leaf manuscripts still survive in India, sev-
chanted by an assembly of twenty-five hundred monks. After
eral from the ninth-century Pala dynasty. The Nepalese
two years the council was concluded, and a printed version
manuscripts exist in greater number than those in India;
of the Pali canon, approved by the gathering, appeared in
through the centuries an active scribal tradition continued
Burmese script.
to ensure the preservation of materials. The Nepalese copies
date mostly from the eighteenth or nineteenth centuries and
While Therava¯da Buddhists have held that Pali is the
show all the marks of many scribes, including a large number
official canonical language, they have been willing to tran-
of errors that have accumulated. Some Sanskrit documents
scribe the canon into various local scripts, reproducing the
are kept in Tibet, and the Potala Palace in Lhasa still houses
Pali sounds without translating. In Cambodia the royal court
thousands of palm leaves in its archives.
ordered that the Khmer edition of the canon be published;
work on it began in 1929 and was completed in 1969. In
TRANSLATION. As Buddhism began to spread outside of the
this case the Cambodians broke with the older tradition and
Indian cultural sphere, canonical texts were carried along in
not only put the Pali into Khmer script but added a vernacu-
both written form and in the memories of the missionary
lar translation that paralleled it. In Europe a major effort,
monks. Because there was no restriction regarding the lan-
mounted under the direction of the Pali Text Society, sought
guage to be used for the texts, many were eventually translat-
to preserve and translate the Pali canon. The preparation of
ed. The most important development in this regard took
a modern critical edition began in 1882; by the early twenty-
place in China, where the task of translating was indeed a
first century eighty-nine volumes had been edited and print-
formidable one. The Sanskrit and other Indic texts presented
ed in roman transliteration. While this version had no offi-
the Chinese with a complex grammatical configuration of
cial support from the sangha (Sanskrit, sam:gha; the Buddhist
nouns in three numbers and three genders, verbs in three
religious community)—as did the Burmese and the Khmer
persons and numbers, and the designations for such inflec-
editions—it is a major contribution to the study of the Pali
tions as present, imperfect, imperative, and optative. This
canon.
was difficult for the Chinese, who had to render these texts
into their own language using characters rather than a sylla-
The Thai Buddhists have also been active in the work
bary, with a written language that lacked inflections for case,
of editing and preserving the canon. In the eighteenth centu-
number, tense, mood, or voice, and where the relationship
ry King Ra¯ma I (1737–1809 CE) convened a council of sever-
between characters—by position, stress, or particles—
al hundred monks to restore the canon that was destroyed
established the nature of syntax. Notwithstanding these
when the Burmese pillaged the capital at Ayutthaya. The
problems, for over a thousand years the Chinese continued
Thai Buddhists then prepared a palm-leaf edition and pres-
translating the canon, in the process preserving hundreds of
ented it to King Ra¯ma in 1788. His grandson, Ra¯ma III
texts that have disappeared in other areas. Ironically some of
(1788–1851 CE), had several additional copies of the leaves
these Chinese versions of the texts (a number of which were
made. Much later their descendant King Chulalongkorn
translated as early as the second century CE) may be closer
Ra¯ma V (1868–1910) set in motion the project of having
in content to the ur-text than the extant Sanskrit manu-
the canon printed in Thai script, an activity completed in
scripts of India and Nepal, which date from a late period in
1893.
Buddhist history. The translated canons played a major role
MAHA¯YA¯NA TEXTS. The emergence of the Maha¯ya¯na tradi-
in the promulgation of Buddhism. From Sanskrit came the
tion around the beginning of the common era brought about
Chinese as well as a major portion of the Tibetan canon, and
a burst of creative literary energy within Buddhism. Based
from the Chinese came the Manchu and Tangut canons. 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
1254
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION
Tibetan would in turn be used as the source for the Mongo-
The nature of the stones at Fang Shan changed when
lian canon.
the Khitan people established their reign over the area. In
1042 CE the court of the Liao dynasty (916–1125) took over
The preservation of the Chinese canon followed a differ-
the stone engraving process, and until 1110 it was a royal
ent course than that of India or Southeast Asia. Whereas the
project. Few stones from laypeople were permitted in the
Buddhist canon was one of the first collections to use the new
caves. As the Liao dynasty lost power to the growing might
technology of printing in China in the tenth century, the rest
of the Jurchen, people who called their dynasty Jin picked
of the Buddhist world maintained the palm or birch-bark
up the project that had come to a halt because of the political
manuscript formats until modern printed versions were com-
upheavals. For fifty years (1132–1182 CE) new stones were
pleted and published. (At first the Chinese also made manu-
produced as part of the Jin dynasty’s support of Buddhism.
scripts using manufactured surfaces of silk or paper with
Because the project was under the control of officials, all
strips pasted together to form long scrolls.)
stones were of standard size, and the sequence of the canonic
Canonic lists were established by the fourth century in
list was followed in making new stones. Not much is men-
China, largely through the compilation of catalogs of the
tioned about these stones in the histories outside of that par-
holdings of various monastic libraries. In one sense the Chi-
ticular region. In 1957 the Chinese Buddhist Association un-
nese canonic list was started as a library shelf list. Biographies
dertook the task of removing all stones from the caves to
of eminent Chinese monks, travelogues, histories, and apolo-
make rubbings of them and publish a full catalog. In the pro-
getic literature were also included in these. As the canon—
cess they found that the Jin stones had been buried under-
now literally a library—continued to grow, the problem of
neath the pagoda in a nearby monastery rather than in the
recopying the whole collection became severe and expensive.
caves cut from the stone cliff on the mountain.
Unlike the Pali canon (which, although large, was still of a
The importance of the Fang Shan stones to the study
size that could be copied with support from devoted laity),
of Chinese Buddhist canon is twofold: as the source for a
the Chinese canon, with its more than five thousand scrolls,
study of the ancient manuscripts and as an example of the
was too massive to be copied without great effort.
practices followed by the community of believers in those
The Fang Shan stones. One of the early attempts to
centuries. In many cases these stones are the oldest dated tex-
preserve the growing number of translations in Chinese was
tual witness for Chinese manuscript study of the canon. Al-
the project of having the texts inscribed on stone. The largest
though the Fang Shan stones contain a large number of texts,
assemblage of these engraved stones is in the caves of the
it is not a complete set of the Chinese Buddhist canon. The
Fang Shan district, which houses over fifteen thousand
canon was not produced in its entirety until the Song dynas-
milled stone slabs, incised on both sides with the Buddhist
ty (960–1279 CE) undertook the revolutionary project of
texts.
using the new technology of printing. In the year 972 a com-
mission was given by the court to carve the entire canon onto
The Fang Shan stones were produced in two distinct
wooden printing blocks in the city of Cheng du (in Sichuan),
fashions over a six-century period. The first stones, from the
the wood carving center for China. This work went forward
Sui (581–618 CE) and Tang (618–907 CE) dynasties, were
until 983, during which time 130,000 blocks were carved,
prepared as donations from lay groups. There was some at-
containing the material of more than 5,000 rolls of manu-
tempt to fashion a sequential group of texts in the order
scripts, each one 15 pages in length.
found in ancient library catalogs. However, the donors often
chose to reproduce multiple copies of popular texts rather
DISTRIBUTING THE CANON. When the printed edition of the
than follow a set order. Initially begun by a local monk
Chinese canon was made available, it became the standard
named Jing-wan—just before the founding of the Tang
for official manuscript copying centers. This ensured a more
dynasty—the project continued until the last days of the Jin
fixed canon because identical xylographic copies could be
dynasty (1115–1234).
made and distributed throughout China. The making of
manuscripts continued, but now they had a printed version
Because many of the Fang Shan stones carry inscriptions
for reference. It would be some centuries before the Chinese
regarding the donors and the dates, it has been possible to
began to think of printing as a way of making hundreds of
reconstruct the process by which the carvings were accom-
copies for wide distribution rather than as a special copy that
plished. Hundreds of believers from that region formed asso-
stood as a standard for the older method of manual repro-
ciations to raise money for the carving of single or multiple
duction.
blocks each year. On Buddha’s birthday celebration the laity
gathered at the site and carried the stones up the mountain-
One set of the prints made from the Northern Song
side, placing them in caves for safekeeping. The first type of
blocks was sent to Korea. The court saw the printed technol-
stones, some weighing hundreds of pounds, are dated 631
ogy as a sign of national development and recognized it as
to 863 CE, the largest extant collection of manuscripts from
a powerful tool for merit-making. The king initiated a proj-
the Tang dynasty. The rituals and the support given to the
ect for the Buddhist canon that transferred the tracings of
Fang Shan stones is a striking example of how important the
the outlines of the Chinese volumes onto wooden blocks.
Buddhist canon was for ordinary groups of people.
The stated purpose of this project was to secure help 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
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION
1255
good fortune for the nation. This first Koryo˘ dynasty (Kore-
received royal support from the Ming court (1368–1644)
an dynasty, 918–1392 CE) xylograph collection, constructed
and the Qing dynasty (1644–1911).
during the period 1010 to 1030 CE, remained in use and con-
1. Chong ning edition (eleventh to twelfth centuries):
tinued to expand as new texts arrived from China until the
Dong-chan Monastery in Fu-zhou.
invasion of the Mongols in the thirteenth century. The occu-
pying troops saw the wooden plates as a potential powerful
2. Pi-lu edition (twelfth century): Kai-yuan Monastery in
talisman for the Koreans and burned the Hungwang Monas-
Fu-zhou.
tery where the plates were stored. During this difficult peri-
3. Sixi edition (1126–1132 CE): Yuan-jue chueh Monas-
od, the court was exiled to the island of Kanghwa, and al-
tery in Hu-zhou. This is the so-called Song edition.
though his kingdom faced the rule of Mongols, King Kojong
4. Zi-fu edition (1237–1252 CE): from Hu-zhou; thought
(r. 1213–1259) ordered that a second set of blocks be made.
to be a copy of the Sixi edition.
He saw the act of preparing wooden blocks for the Buddhist
5. Ji-sha edition (thirteenth to fourteenth centuries): pre-
canon as a defensive measure against the invaders.
pared in Ping-jiang chiang-fu in Jiangsu. A copy of the
The work of creating the second set of Koryo˘ printing
major portions of this edition was discovered in Shanxi
blocks took place from 1236 to 1251 CE under the direction
province in 1929 and was published in facsimile in 1932
of Sugi, an ordained monk and scholar. Fortunately Sugi did
in Shanghai using the Yong-lo edition to supply the
not content himself with merely reproducing a facsimile of
missing portions.
the first set of blocks. He wrote an account of the process,
6. Pu-ning edition (thirteenth century): Pu-ning Monas-
titled Koryo-kuk sinjo taejang kyogjon pyollok, and had it in-
tery in Hang-zhou. This is the so-called Yuan edition.
cluded in the set of plates. His descriptions indicate that he
There are a handful of volumes from a fourteenth-
used a number of sources to check the readings of the North-
century Yuan version discovered in Yunnan in 1979.
ern Song edition and made many editorial changes. At the
7. Hong-wu edition (1368–1398
conclusion of the second set, more than eighty-one thousand
CE): the first version of
the canon done in Southern Ming in Nanjing. The
blocks had been carved with the new Sugi edition.
blocks were destroyed in 1408.
The new Sugi edition relied heavily on another national
8. Yong-lo edition (completed 1419 CE):): the second ver-
project of the Khitan people of the Liao dynasty. The Khitan
sion prepared in Nanjing, usually referred to as the
canon has long been a mystery because so little of it has been
Southern Ming edition.
preserved for study. But when twelve rolls from this version
were discovered in Shanxi province and removed to Beijing
9. Yong-lo edition (fifteenth century; supplement in 1584
in the 1980s, scholars had material with which to judge the
CE): prepared in Beijing and called the Northern Ming
readings and the approach used by the Khitan redactors.
edition.
These two versions of the blocks provide proof that the
10. Wu-lin edition (fifteenth century): portions recoved in
scholars of China and Korea were not merely scribal copiers;
1982 of this Hang-zhou edition.
they felt free to make corrections and to pick alternate read-
11. Wan-li edition (sixteenth century): recovered in 1983.
ings when the text witness appeared to be in error.
This is a recarving of number 8 above.
A second canon was produced outside Chinese borders
12. Jia-xing/Jing-shan edition (sixteenth to eighteenth cen-
by the Jurchen people, who were for a time in a confedera-
tury): notable for its format of sewn volumes rather than
tion with the Khitan. When the Jurchen defeated the Liao
folded ones.
dynasty of the Khitans, they followed the practice of having
13. Qing edition (1733–1738 CE): a court project, often re-
a xylograph set made for the Buddhist canon. Fortunately a
ferred to as the Dragon edition.
sizable portion of rubbings from this set were found in Sh-
aanxi province and were published in a facsimile edition in
14. Pin-jia edition (1909–1914 CE): a movable type edition
Beijing. It appears this version was made in the same way as
done in Shanghai. Based on the Shukusatsu edition of
the first Koryo˘ by transferring traced characters to the new
Japan, this version is sometimes called the Hardoon
blocks.
canon because of the support of the Hardoon family.
P
Whereas a large part of the Chinese Buddhist canon was
RESERVING THE CANON. Preserving the largest Buddhist
canon was not left to the royal courts alone. As with the Fang
translated, it in turn was also rendered into other language
Shan rock-cut canon, private resources were also used with
forms. For example, among the Tangut people and the Hsih-
printing. Local monasteries began producing sets of blocks
sia Kingdom, the ruler Yuan Hao started the process of mov-
that could be used to make large numbers of prints for distri-
ing the Chinese over to the Tangut script in the eleventh cen-
bution, and new xylograph copies are still being discovered.
tury. By the twelfth century the Chinese technology of
From the remaining prints scholars now have a better idea
printing blocks was used to make reproductions of the
of the enormity of the task undertaken to preserve and dis-
Tangut version.
seminate the canon. The private editions are usually identi-
When the Mongols took control of the central govern-
fied by the location of the blocks. In some cases, the blocks
ment of China, they turned attention away from the 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
1256
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION
canon and supported efforts to make the scripture available
THE CANON IN JAPANESE. Japanese versions of the Chinese
to non-Chinese. Because of their support of the Tibetan
canon have come to play an important role in Buddhist
form of Buddhism, they paid attention to the preservation
scholarship. By the early twenty-first century most scholars
and dissemination of the Tibetan translation of the Sanskrit
used printed editions from Japan made from movable metal
and Chinese texts rather than relying solely on the Chinese
type. Prior to the modern versions, however, woodblock edi-
canon.
tions were also made in Japan, which reportedly received a
copy of the rubbings from the North Song edition in the
THE TIBETAN CANON. The Tibetans had several problems
eleventh century. However, the Japanese did not immediate-
to overcome in the construction of a canon in their own lan-
ly produce their own woodblocks. It was not until the monk
guage. When Buddhism was introduced, no written form of
Tenkai made the first set of blocks in the seventeenth century
the language could be easily used for the work of translation.
that the Japanese obtained their own local print edition.
In the seventh century King Sron bstan sgam po (d. 649 CE)
set in motion the creation of a Tibetan alphabet. Tradition
In 1681 Tetsugen produced a second set of blocks based
says that the work of translation began by the eighth century
on the Ming editions. In the nineteenth century the “Tokyo
with help of such Indian masters as S´a¯ntaraks:ita (c. 725–
canon” was printed (1800–1885), and punctuation was in-
790) and Padmasambhava. Studies show, however, that it
troduced. The second Koryo˘ edition was the basis for this
was not until the thirteenth century that the translations
Tokyo version. A “Kyoto canon” appeared between 1902
were collected together and classified into a set that could be
and 1905 based on the Koryo˘ prints as well as some of the
called a canon. The monastery at Snar than undertook this
Ming readings from the Tetsugen edition. A critically edited
task and made the first catalog, dividing the texts into the
version of the Chinese Buddhist canon printed from 1922
Bka’ ‘gyur (Kanjur), which included all of the su¯tras (the
to 1933 is known as the “Taisho canon.” This edition is used
words attributed to the Buddha), and the Bstan ‘gyur (Tan-
by most scholars when making footnote references to the
jur), or commentaries. The Yuan court undertook to make
Chinese canon. The basic text of the Taisho canon is from
a printing block set for the Tibetan translations. In 1410 in
the Tokyo canon, which in turn copied the Koryo˘ edition.
Beijing the Bka’ ‘gyur was put on blocks shaped in the long,
THE CANON IN THE COMPUTER AGE. In addition to these
narrow format used by the Tibetans, which copied the style
“received” versions of the canons, there are still occasionally
of the palm-leaf manuscripts of India. A second set of blocks,
some important archaeological finds, especially in regions of
added as a supplement to the earlier ones, was produced in
Central Asia. The discoveries of documents in cave 17 at
the seventeenth century. In the latter part of the same centu-
Dunhuang, the cache of birch-bark manuscripts found in the
ry another carving was done, followed in 1724 by a set of
stupa at Gilgit, and the texts written on wood in the ruins
Bstan ‘gyur blocks.
of the Tarim Basin have all contributed to knowledge of the
The set of rubbings taken from the blocks made during
way in which the Buddhist canon spread throughout Asia.
the reign of the Kangxi emperor and from the 1724 set are
The translation of the canons is an ongoing process. The
known collectively as the “Beijing edition.” In the eighteenth
twentieth century saw an increase in the efforts to have ver-
century blocks were carved in areas occupied by Tibetan-
nacular versions available in printed form. Continued inter-
speaking peoples. Sets were made at Snar than, Co ne, and
est in the Buddhist scripture is indicated by the 1969 Cam-
Sde dge. Of these the Sde dge (Derge) is the favorite among
bodian translation of the Pali canon, the two modern Korean
scholars because of its careful editing. The last major editing
translations of the Chinese into the hangul script in both
task, commissioned by the thirteenth Dalai Lama, resulted
North Korea and South Korea, and the translation of much
in the production of the “Lhasa edition” of the Bka’ ‘gyur
of the Chinese into a form of classical Japanese. Active trans-
in 1931. This later edition is a comparison of the Sde dge
lation projects have involved the English language. The Pali
and Snar than editions.
Text Society completed a major portion of the Pali canon
into English, along with critical editions and aids, such as
The translation of the Tibetan into Mongolian was
dictionaries and studies, and with funding from the Yehan
started in the Yuan dynasty by imperial command. Lidgam
Numata Foundation, a translation bureau has been estab-
Khan (1604–1634) supported this project, resulting in the
lished for the purpose of translating the Chinese canon into
translation of the Bstan ‘gyur in 113 volumes. These volumes
English (plans call for the translation and publication of 139
containing the Mongolian language version were written in
texts in the first phase of the project).
gold and silver ink. The Kangxi emperor decided to have the
translation revised and edited and engraved on printing
Buddhist communities that wish to move the canon
blocks. The first rubbings of the Mongolian blocks were
from printed form to computerized versions have taken ad-
made in 1720, and because red ink was used, the 108 vol-
vantage of the digital age. In the late 1980s Mahidol Univer-
umes of the printed set became known as the “Imperial Red
sity began the process of digitizing the Thai edition complet-
edition.” The complex story of how the ruling court of
ed in the nineteenth century—the first full canon to appear
China used the Buddhist canon for political and religious
in the new technology. Other groups followed the strategy,
purposes is further indication that the canon had many func-
producing full digital versions of the Burmese “Sixth Coun-
tions in societies.
cil” edition, the Singhalese edition, and the Pali Text Society
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION
1257
edition. The work of digitizing the Chinese Buddhist canon
thority for the masters, who did not claim to be dependent
was more difficult, however; it required software develop-
on the texts; rather, they acquired their understanding from
ment for the input of the ancient characters. The first com-
meditation. The use of the older canon indicated that what
plete digital version, the Koryo˘ canon, is based on the print-
the masters had experienced was in no way distant from the
ing blocks at Haein Monastery, followed by the input of the
insights of the Buddha himself.
Japanese “Taisho” edition, the first internet-accessible form
Later in the Chan movement the growing influence and
of the Chinese canon. In the early twenty-first century work
popularity of certain great teachers, such as Mazu, helped
began on the Tibetan canon as well with the intention of cre-
create a situation in which the texts central to the school
ating a database that contains many of the extant Sanskrit
came from the records of these Chinese masters. They no
texts. The acceptance of the computer as a method for dis-
longer felt the need to claim Indian origin for the teachings;
semination has been universal among the major Buddhist
it was now seen as coming directly from the Chinese culture
communities, and the willingness to expend funds for the
and the Buddhist community. Instead of the “apocryphal”
creation of these databases indicates the esteem and value
text of the past, the Chinese volumes were prized beyond all
that the canon still possesses.
others and were seen as originating within the Chinese envi-
THE FUTURE OF THE CANON. From this survey of the histo-
ronment.
ry of the Buddhist canon it should be clear that, long before
One can see that the use of the canon was multifaceted.
such activities were prevalent in the West, the Buddhists
At a time when the Chan school was distancing itself from
were editing, translating, and printing their scriptures. Be-
the Chinese Buddhist canon, the large monasteries in China
cause the canons remained open for such a long period (in
continued to make hundreds of thousands of printing
a sense, the Chinese canon is still open), the size and nature
blocks. The canon could thus be revered as an object and
of the collections of texts were unique among the religions
used for merit-making, whereas in other cases it served as a
of the world. No one group has ever controlled the develop-
source of authority for the teachings of the Chinese masters.
ment of the canons or exercised dominion over the decision
about the inventory of texts to be included. In China espe-
CONCLUSION. Buddhist texts offer the scholarly world excel-
cially the canon was lengthened because of a willingness to
lent examples of material that can be used to study the ways
accept a great variety of texts into it. Scholars of popular reli-
a text can change and be reformatted over time. A major
gions point out that the texts most often used in East Asia
problem for the editor or translator of a Buddhist text is that
are mainly written and compiled in China. These texts pur-
of making decisions based on a multiplicity of versions,
port to be translations from Sanskrit, when in fact they origi-
sometimes in several languages and dating from different pe-
nate from East Asia. Because the texts are supposedly from
riods. The usual object of the editor is to achieve a reading
India, they have been described in ancient Chinese catalogs
that is as close as possible to the ur-text. However, this search
as “spurious” or in modern times as “apocryphal.”
is nearly impossible because the texts have been in a fluid
state for centuries, and the received versions may have come
In some cases the East Asian texts have been readily as-
from a stemma that includes multiple contending versions.
similated into the canonic lists, but in others they have been
Indeed some of the su¯tras are compilations of set formulas
rejected. It is understandable that the Chinese religious heri-
that can be put together in any number of arrangements, al-
tage would find an avenue of expression in new texts. The
tering from one time or place to another. Thus the collating
canonic listing was important for such works because the
of various codices from a number of stemmas does not lead
preservation of texts required the copy centers and the distri-
to an autograph from which all witnesses have emerged.
bution network of the monasteries and government agencies.
Whereas the East Asian texts deserve closer study, it is also
If one could reconstruct the edition in such a fashion
the case that the canonic texts from Indic sources were con-
as to remove all the conflations, additions, and expansions
tinually cited by commentators and teachers over the centu-
of the doctrine, the resulting text would lose much of its
ries. These citations have yet to be fully documented, but
value. Buddhist texts exhibit the changing modes of the tra-
they are important for the study of the canon because they
dition. Just as literary criticism focuses on the reader as much
will provide an insight into what texts were read by the schol-
as it does on the author’s intent, so too does Buddhist canon-
ar-monks in their writings and oral teachings.
ic literature represent the changes made by readers who left
behind small traces of their contributions to the modern text.
As the Chinese Buddhist monastics achieved a degree
of assurance about their understanding of the teachings, by
The modern interest in canon is based primarily on Eu-
the Tang dynasty they were less fixed on the translations
ropean and North American literature. The Buddhist canon
from India. A shift occurred, and monastics moved away
offers another pattern for exploration. It is a canon that has
from reliance on the older canonic texts—although they did
shifted and changed over time, a canon that has included
not fully reject them. Among the Chan schools, new litera-
contemporary work—even when it masquerades as the work
ture appeared as the teachings of great masters, whose in-
of another time and place, a canon with texts that expand
sights were taken to be the equal of any Indian exegete.
and contract and translations that preserve one or another
Much of this literature used the translated canon as the au-
version as well as the possibility of adding new texts 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
1258
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION—VINAYA
future. Thus the potential has existed and often been realized
ihrer Ubersetzung fur die Sanskritpilologie, vol. 1. Uppsala,
for the addition of whole new sets of texts in the canon of
1957.
Buddhism—such as the later Tantric tradition, the
LEWIS R. LANCASTER (1987 AND 2005)
Maha¯ya¯na writings, a variety of commentarial approaches,
versions of texts appearing in new translations, and finally,
an acceptance of East Asian texts as equal if not superior to
the Indian ones.
BUDDHIST BOOKS AND TEXTS: CANON AND
Because the Buddhist canons represent the written part
CANONIZATION—VINAYA
of a religion that teaches the constant availability of the in-
The earliest Buddhist literature is divided into the doctrinal
sights of enlightenment and holds that the teaching of its
teachings, the dharma, and the rules for ethical behavior, the
founder, S´a¯kyamuni, need not be the only expression of the
Vinaya. The Vinaya is divided into the Su¯travibhan˙ga, case
highest teaching, it is not surprising to find canons of large
studies of each individual rule, and the Skandhaka, essays on
size. The Buddhist canons provide a valid source for the
important topics, for example ordination, monastic clothing,
study of the religion. The hundreds of texts represent all le-
medicine, adjudication of disputes, the conduct of commu-
vels of the ideas and concepts. Even though maintained by
nity meetings, and so on. The Vinaya rules are collected in
the “elite” monastic community, the canons are filled with
a separate list called the Pra¯timoks:a, and there is a summary
expressions of “popular” practices over the centuries. The
of the Skandhaka called the Karmava¯cana¯. Taken together,
Chinese canon’s inclusion of works created in East Asia is an
the Vinaya literature outlines the core Buddhist ethical
example of the complexity of the sources and the history of
teachings, ordination procedures, and community ritual
the world’s largest scriptural collection.
guidelines. While the ethical and social behavior models have
been consistent, the expression and structure of the Vinaya
SEE ALSO Councils, article on Buddhist Councils.
literature have been reformulated, expanded and interpreted.
The pressures of rapid growth and social involvement
BIBLIOGRAPHY
brought about changes in Vinaya literature. These changes
Buswell, Robert. Chinese Buddhist Apocrypha. Honolulu, 1990.
mark significant differences in Buddhist intellectual and so-
Collins, Steven. “On the Very Idea of the Pali Canon.” Journal
cial history in different cultures, times, and places.
of the Pali Text Society 15 (1990): 89–126.
From its beginning and through its history the Vinaya
Davidson, Ronald. Indian Esoteric Buddhism: Social History of the
rules and the entire corpus of literature have been established
Tantric Movement. New York, 2002.
in response to monks’ and nuns’ encounters with the or-
Goodrich, L. Carrington. “Earliest Printed Editions of the
dained and the lay communities. The four fundamental rules
Tripit:aka.” Visva Bharati Quarterly 19 (Winter 1953–1954):
(pa¯ra¯jika) of the Buddhist monastic code prohibit engaging
215–220.
in sexual activity, killing living beings, stealing, and lying
Jong, J. W. D. “Notes a propose des colophons du Kanjur.” Zen-
(given in this order in the texts). The details of these prohibi-
tralasiatische Studien 6 (1972): 505–559.
tions in the Vinaya literature show that they were actively
Kychanov, Evgeniy I. “From the History of the Tangut Transla-
discussed and applied; the four transgressions are demon-
tion of the Buddhist Canon.” In Tibetan and Buddhist
strated in a broad spectrum of case studies used to establish
Studies Commemorating the 200th Anniversary of the Birth of
moral and legal precedents. The Vinaya literature covers a
Alexander Csoma de Körös, edited by Louis Ligeti, vol. 1,
wide range of possible violations of each rule, classifies trans-
pp. 377–387. Bibliotheca Orientalis Hungarica, vol. 28. Bu-
gressions according to severity, and designates specific penal-
dapest, 1984.
ties for each type of violation.
Lancaster, Lewis R. “Editing of Buddhist Texts.” In Buddhist
Thought and Asian Civilization, edited by Leslie Kawamura
The detailed nature of Buddhist ethical and legal codes
and Leslie Scott, pp. 145–151. Emeryville, Calif., 1977.
is made clear in the descriptions of the first major transgres-
Lancaster, Lewis R. “Buddhist Literature: Its Canons, Scribes, and
sion in the Vinaya, the prohibition of sexual activity for or-
Editors.” In The Critical Study of Sacred Texts, edited by
dained monks and nuns. Along with the prohibitions against
Wendy Doniger O’Flaherty, pp. 215–229. Berkeley Bud-
taking life, stealing, and lying, the attention given to sexuali-
dhist Studies Series, vol. 2. Berkeley, Calif., 1978.
ty shows that preserving the integrity of the celibate commu-
Mitra, Rajendralala. TheSanskrit Buddhist Literature of Nepal. Cal-
nity was a top priority. Eighteen Vinaya rules of varying im-
cutta, 1971.
portance are concerned with sexuality, and intentional sexual
Poceski, Mario. “Attitudes toward Canonicity and Religious Au-
relations is the first in the list of the most serious offenses,
thority in Tang Chan.” In American Academy of Religion Ab-
resulting in expulsion from the community. The related rules
stracts. Atlanta, 2002.
for monks and nuns prohibit sexual activity with men,
Ray, A. K., ed. Sacred Texts of Buddhism: A Catalogue of Works
women, hermaphrodites, eunuchs, any living being, and the
Held in the Australian National University Library. Canberra,
dead and dying and whether intoxicated or sober. All varie-
1981.
ties of intentional sexual activity are described and prohibited
Simonsson, Nils. Indo-Tibetische Studien: Die Methoden der tibe-
for monks and nuns and are grounds for expulsion from the
tischen Uversetzer, untersucht im Hinblick auf die Bedeutung
community. The Pali Vinaya goes on to prohibit sexual rela-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION—VINAYA
1259
tions while “awake, asleep, intoxicated, mad, drunk, [or
Su¯travibhan˙ga. The separate list of rules, the Pra¯timoks:a, is,
with] dead . . . and decomposed partners” (Horner, 1938–
however, not included in any early version of the Vinaya
1952, vol. 1, p. 49). Sexual relations are prohibited whether
Pit:aka.
one is sleeping, awake, a novice monk or nun, or in any way
The Vinaya rules are attributed to the historical Bud-
compliant. All further varieties of sexual activity are explicitly
dha, who is said to have made the rules as his group of fol-
described and prohibited, including incest, masturbation, or
lowers grew. The gradual development of the lists of Vinaya
activity with any artificial device. Verbal allusions to sex acts
rules shows that Buddhist monastic law was not conceived
and related abusive language are prohibited. In contrast to
of as a predetermined or revealed moral agenda given in total
these descriptions of violations and penalties and in a dem-
to the ordained community. The rules were rather practical
onstration of the extensive nature of this legal literature, the
measures designed gradually to preserve what were thought
Vinaya does not hold female or male victims of sex abuse
to be mental and physical conditions appropriate to the prac-
guilty of any violation, nor are such victims to be penalized.
tice of Buddhism. The historical Buddha made rules for the
The penalties for each kind of transgression are included, be-
community as the occasions presented themselves, and it is
ginning with dismissal from the community for intentional
likely that rules were collected and added after the Buddha’s
acts and confinement to quarters, suspension of privileges,
lifetime. The variations in size of the extant Vinaya collec-
and restrictions on interaction with the community for lesser
tions show the dynamism of the community and the tension
violations.
between preservation of the inherited rules and the need to
The Vinaya literature is rich with descriptions of all va-
adapt to unprecedented new conditions.
rieties of each kind of transgression, their contexts, and their
The original list of rules formulated in the Buddha’s life-
penalties. The rules against taking life include detailed case
time for his original community expanded as the Buddhist
studies and legal precedents. The Vinaya literature prohibits
monastic community grew and spread to different places.
intentionally killing any living being and specifies that
Soon different Vinayas were collected and regarded as au-
human life is of greater value than animal life. Inciting any-
thoritative scripture. As far as is known, these were collected
one to injure any living being is a violation, and there are
and transmitted orally. Fragments of written Vinaya docu-
strict prohibitions against the slaughter of any living being
ments dating to the first century BCE survive in several lan-
on behalf of a monk or a nun. Intentional and unintentional
guages, but the first complete written Vinaya is in Pali lan-
activities that result in death are presented in detail, and pen-
guage, dating to the fifth century CE. From text fragments
alties are assigned according to the severity of the transgres-
and inscriptions, it is known that after the third century BCE
sion. Other rules prohibit physical violence motivated by
at least six collections of Vinaya rules were produced in dif-
anger or displeasure, and threats of violence are classified as
ferent cultural contexts. These Vinaya collections are gener-
violations.
ally associated with geographic regions and sect affiliation.
For monks and nuns, taking anything not given is ex-
They are the Sarva¯stiva¯din, Dharmaguptaka, Mah¯ı´sa¯saka,
plained as stealing. Lying, especially about one’s spiritual at-
Mu¯lasarva¯stiva¯din (the largest Vinaya), Pali, and Maha¯-
tainment or status, is particularly weighty for ordained
sam:ghika. Of these the Vinayas of the Sarva¯stiva¯din, Dhar-
monks and nuns. Infractions even remotely related to all four
maguptaka, Mah¯ı´sa¯saka, and Maha¯sam:ghika exist in Chi-
cardinal rules are illustrated in anecdotes and case studies,
nese translations, the Pali Vinaya in its language of composi-
and the penalties for each type of transgression are specified.
tion, and the Vinaya of the Mu¯lasarva¯stiva¯din in Chinese
This literature is a rich source of Buddhist canonical law, and
and Tibetan translations.
in addition to monastic rules, it served as a guideline for lay
The literal meaning of the word Pra¯timoks:a is a rule or
law in many cultures.
rules that lead one to liberation. The Pra¯timoks:a is the core
In addition to the four cardinal rules, six other commu-
of the Su¯travibhan˙ga, which contains the explanatory stories
nity rules were included in an early list of ten. Monks and
or contexts for each rule. The rules are divided into eight sec-
nuns were not to take alcoholic beverages, they were not to
tions, expulsion (pa¯ra¯jika)—four; community meeting
take meals after midday, and they were not to engage in
(san˙gha¯disesa)—thirteen; undetermined (aniyata)—two; for-
dancing, music, or such entertainment. They were not to use
feiture (nih:sargika)—thirty; expiation (pa¯tayantika)—
ornamental jewelry or perfumes, they were not to sleep in
ninety-two; confession (pratide´san¯ıya)—four; and civility
luxurious bedding, and they were prohibited from handling
(´saiks:a)—seventy-five; adjudication (adhikaran:a´samatha)—
gold and silver.
seven, adding up to a total, in the Pali version, of 227 rules.
THE RULES. The Pali Vinaya, the oldest extant Vinaya, con-
Eighty-four more rules dealing with sexual propriety and
tains 227 rules for monks and 311 for nuns. The core list
community behavior are added for nuns.
of rules is called the Pa¯timokkha (Pra¯timoks:a), and the list
SKANDHAKA. The second part of the Vinaya is the Skand-
is memorized and recited by Buddhist monks during their
haka. This section, like the rules (Su¯travibhan˙ga) section, has
monthly meetings into the early twenty-first century. Most
an abbreviated summary called the Karmava¯cana¯, which, like
scholars agree that this list of rules was compiled before the
the Pra¯timoks:a list of rules, is not included in the Pali Vinaya.
canonical versions with the stories and commentaries in the
The Skandhaka section of the Vinaya is largely concerned
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1260
BUDDHIST BOOKS AND TEXTS: CANON AND CANONIZATION—VINAYA
with community issues, giving descriptions of rituals, proce-
formation, and information on medical procedures. It goes
dures, monastic life, and materials. Instead of setting out
on to detail information about monks’ and nuns’ robes, the
rules and penalties, this section of the Vinaya deals with ordi-
acceptable material for making monastic clothing, and the
nation procedures, monastic authority, community ritual
rituals for acquiring and distributing new robes. Again,
observances, clothing styles, cosmetic styles, healthcare, adju-
the Skandhaka provides much information about ancient
dication of disputes, and so on.
India’s commodities economy. Here there are descriptions
of the use of linen, cotton, silk, wool, hemp and canvas.
There are two sections in the Skandhaka, the Main Sec-
tion (Maha¯vagga) and the Lesser Section (Cullavagga). The
The Skandhaka continues with sections about the
entire Skandhaka is set in the context of stories from the life
Campa¯ and Ko´sa¯mb¯ı communities and general descriptions
and teachings of the Buddha, first including major compo-
of community interaction with the Buddhist legal system.
nents of monastic life in the Main Section and minor points
Violations of Buddhist monastic rules, for example, the case
in the Lesser Section. The Main Section begins with a brief
of quarreling among the Ko´sa¯mb¯ıs, are judged and sentences
account of the Buddha’s enlightenment experience, the theo-
specified. These two sections mark the end of the Main Sec-
ry of the twelve links of causal interdependent origination,
tion of the Skandhaka. The remainder of the Skandhaka is
the eightfold path, the four noble truths and the theory of
the Lesser Section and it is packed with applications of Bud-
the nonexistence of the self. The first major section is on or-
dhists rules. The basic rules are stated in the texts, always
dination. The Buddha’s original procedure is described, then
with the Buddha present or on his authority, and the rules
the specifics of the evolution of the ceremony and the re-
used are summarized at the end of each section. These long
quirements for ordination are set out. These descriptions of
case histories describe the interface of the Buddhist world-
receiving monastic robes, having one’s head shaved, and tak-
view with everyday human life. The extensive deliberations
ing vows are preserved in all versions of the Vinaya.
in the Lesser Section show monks and nuns confronting and
The next two sections of the Skandhaka deal with feed-
coping with basic human needs and shortcomings in accord
ing, housing, and occupying thousands of Buddhist monks
with Buddhist guidelines.
and nuns during the Indian monsoon season. The Vinaya re-
LATER VINAYA LITERATURE. The Pali Vinaya and other
cords that monks and nuns used to wander from place to
Vinaya collections are preserved in the Buddhist canonical
place even through the rainy season. Farmers began to com-
collections and are regarded as sacred and inviolable. Howev-
plain about crops destroyed by Buddhists wandering in the
er, as described here, the canonical collections were them-
monsoon, undernourished and weaker monks and nuns
selves products of processes of disputation and retrospective
began to develop illnesses, and travel became difficult. The
compilation. A good example of this process is the controver-
Buddha and monastic authorities therefore instructed the
sy between the Sthavira and Maha¯sam:ghika sects, which like-
communities to set up shelters and temporary residences for
ly produced slightly different versions of the Vinaya rules.
the duration of the monsoon season. With so many monks
Similarly the processes that produced and caused the revi-
and nuns living together, the community was soon faced
sions of the ancient collections continued, and the Vinaya
with the problems of retreat conduct and an effective method
was recast in later cultural and religious contexts.
to propagate the teachings during the monsoon retreat time.
There are good examples, particularly in Sri Lanka,
These sections of the Vinaya literature contain a rich
India, and China, of the ongoing process of preserving the
collection of sociological, economic, and anthropological
ancient rules and community rituals and at the same time
data. Mundane matters under the heading of “Leather Acces-
building new text collections around them. In twelfth-
sories” describe health and hygiene problems in ancient
century Sri Lanka, the Vinaya literary canon was recanonized
India, and the descriptions of the commodities in common
in the Katika¯vata (Regulations of the order) literature, which
use give information about the regional economy, including
addressed new conditions and concerns of the monastic com-
the use of wooden products, palm, bamboo, wool, gold, sil-
munity. In India in about the seventh-century, after the end
ver, gems, bronze, glass, tin, lead, and copper. Ethical and
of the Gupta dynasty, the scholar Gun:aprabha composed the
community definition issues follow in the section prohibit-
Vinaya Su¯tra and commentary, based on the ancient Skand-
ing the slaughter of cattle and animals and the problems that
haka literature. These texts were commented on extensively
arise from use of their skins. Monks and nuns are not to kill
in India and became core documents for later Tibetan Bud-
animals, in particular cattle, which in addition to being living
dhists, who produced a large corpus of Tibetan commen-
beings were considered sacred by many of the Buddhists’ In-
taries on Gun:aprabha’s Indian texts. Similarly in China the
dian brethren.
Vinaya was recast in Chan monasteries to accommodate Chi-
The section on medicine contains allowances to treat ill-
nese Confucian traditions in the Chanyuan Qinggui (Rules
ness and provide hospice care. The foundations of Indian
for purity in Chan monasteries). These and other composi-
medicine were located in Buddhist monasteries, and these are
tions are careful to preserve inherited canonical rules and reg-
evident here, for example, in the descriptions of acceptable
ulations, but they include innovations designed for each re-
medicines and their administration. The Skandhaka includes
spective environment. The Vinaya canonical literature is
medical diagnostic information, food warnings, hygiene in-
thus preserved and at the same time carefully recast.
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BUDDHIST BOOKS AND TEXTS: RITUAL USES OF BOOKS
1261
In addition to these well-known and widely circulated
ence in the world. In many Buddhist communities, the mate-
compositions, major Buddhist monasteries composed manu-
rial presence of texts has been viewed as a crucial aspect of
als that addressed their communities’ special concerns, set-
their nature and function. Buddhist texts are powerful, and
ting out ritual schedules and etiquette for their local commu-
their power is thought to reside not only in their message,
nities. The ancient Vinaya rules were again preserved and
but also (and sometimes especially) in the physical embodi-
rituals observed; ordination, monthly meetings, recitation of
ment of that message.
rules, and ethical parameters were kept intact. In sum,
T
though definitely preserved intact, canonization of the
HE BUDDHA’S TEXTUAL BODY. The texts that are con-
ceived of as having the greatest potential power and ritual ef-
Vinaya literature was not a procedure that set up lists of rules
ficacy are those that contain the word of the Buddha (budd-
to be mechanically and literally followed in all circumstances.
havacana), primarily su¯tras or excerpts therefrom. Whereas
Canonization was rather a dynamic creative process that
the profundity of the Buddha’s teachings provides one rea-
functioned to meet the needs of a growing and changing
son for the reverence accorded to such works, their ritual
community and did not preclude later addition and reformu-
functions rely perhaps more heavily on the notion that they
lation.
are embodiments of the Buddha himself, relics of his physical
SEE ALSO Law and Religion, article on Law and Religion in
presence in which are invested the miraculous powers that
Buddhism; Monasticism, article on Buddhist Monasticism.
he possessed. The origins of this notion remain unclear, but,
following the work of Gregory Schopen (1975), most schol-
BIBLIOGRAPHY
ars have agreed that many ritual practices involving texts
Frauwallner, Erich. The Earliest Vinaya and the Beginnings of Bud-
were developed by analogy with (and possibly in tension
dhist Literature. Rome, 1956. Translated by L. Petech. A use-
with) practices involving the bodily relics of the Buddha.
ful early study of the history of the different versions of the
Passages equating the Buddha with his teachings are not un-
Vinaya.
common in Buddhist literature; among the most often cited
Hirakawa, Akira, trans. and ed. Monastic Discipline for the Bud-
is the Buddha’s statement that “one who sees the dhamma,
dhist Nuns: An English Translation of the Chinese text of the
Vakkali, sees me; one who sees me, sees the dhamma” (Sa-
Maha¯sa¯n˙ghika Bhiks:un:¯ı Vinaya. Patna, India, 1982. A good
myutta Nika¯ya III, 120). Whereas this passage has often been
example of the Vinaya literature in translation.
read as deemphasizing the importance of the Buddha’s physi-
Horner, Isaline B. The Book of the Discipline (Vinayapit:aka). 6
cal presence in favor of the teachings, it also offers precedent
vols. London, 1938–1952. A translation of the Pali Vinaya.
for the identification of the Buddha’s body with the body of
Kabilsingh, Chatsumarn. A Comparative Study of Bhikkhun¯ı
the teachings. Buddhist texts preserve not only the Buddha’s
Pa¯t:imokkha. Va¯ra¯n:as¯ı, India, 1984.
wisdom, but also his powerful physical presence.
Lamotte, Étienne. History of Indian Buddhism: From the Origins
Numerous Maha¯ya¯na su¯tras make the equation explicit:
to the S´aka Era. Translated by Sarah Webb-Boin. Louvain
the teachings of the Buddha (especially the su¯tras in ques-
and Paris, 1988. A dated but useful reference for Vinaya lit-
tion) are his dharma body (dharmaka¯ya) made present
erature.
through recitation or inscription and worthy of the highest
Prebish, Charles S. Buddhist Monastic Discipline: The Sanskrit
veneration. According to such su¯tras, reading, writing, recit-
Pra¯timoks:a Su¯tras of the Maha¯sa¯n˙ghikas and
ing, and worshiping them generates even greater merit than
Mu¯lasarva¯stiva¯dins. University Park, Pa., 1975.
worshiping the bodily relics of the Buddha. Schopen and
Ratnapa¯la, Nandase¯na. The Katika¯vatas: Laws of the Buddhist
others see in such passages an attempt to establish the superi-
Order of Ceylon from the Twelfth Century to the Eighteenth
ority of this “cult of the book” to the worship of physical rel-
Century. Munich, 1971.
ics. Moreover, as Schopen points out, bodily relics are (at
Thera, Ña¯n:amoli, trans. The Pa¯t:imokkha: 227 Fundamental Rules
least theoretically) limited in number, and are housed in spe-
of a Bhikkhu. Bangkok, 1966.
cific shrines; they resist replication and transportation,
Wijayaratna, Mohan. Buddhist Monastic Life: According to the
whereas dharma relics can be reproduced endlessly and en-
Texts of the Therava¯da Tradition. Translated by Claude
shrined anywhere. As the Buddhist tradition spread to new
Grangier and Steven Collins. Cambridge, U.K., 1990.
communities, this portability ensured that the Buddha could
Yifa. The Origins of Buddhist Monastic Codes in China: An Anno-
be made physically present anywhere.
tated Translation and Study of the Chanyuan Qinggui. Hono-
lulu, Hawaii, 2002.
Several practices involving texts stem from the notion
that the Buddha is embodied in the teachings. Throughout
PAUL K. NIETUPSKI (2005)
the Buddhist world, texts are enshrined, like the physical re-
mains of the Buddha, in stupas (reliquary structures) and in
images of the Buddha, objects of veneration that are vivified
BUDDHIST BOOKS AND TEXTS: RITUAL USES
and rendered powerful in part by the texts and other varieties
OF BOOKS
of relics that they contain. Whereas complete texts have often
A written text can be a vehicle for the conveyance of mean-
been interred, particular verses or formulae have been fa-
ing, but it is always also a material object with a physical pres-
vored to serve this function in particular times and places,
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1262
BUDDHIST BOOKS AND TEXTS: RITUAL USES OF BOOKS
such as the well-known verse on interdependent origination
ommend the production and worship of texts. One story in
(prat¯ıtyasamutpa¯daga¯tha¯), which encapsulates the Buddha’s
the Paññasaja¯taka (an “apocryphal” Thai collection of stories
teaching on arising and cessation. Small clay tablets and min-
of the Buddha’s previous lives), for instance, tells of a previ-
iature stupas stamped with this verse have been found in
ous life in which the Buddha was a wise man who lived dur-
great number interred in stupas across Central, South, East,
ing the life of a former Buddha; because he wrote down and
and Southeast Asia. Images inscribed with the verse are also
encouraged others to write down the teachings of that Bud-
ubiquitous. As Daniel Boucher’s study indicates, from
dha, he received plentiful worldly gifts from the deities, as
roughly the seventh to the thirteenth centuries, the
well as a prediction from the former Buddha that he would
prat¯ıtyasamutpa¯daga¯tha¯ was perhaps the dharma relic par ex-
himself become the Buddha Gautama.
cellence. It made the Buddha physically present—not
through its meaning so much as through its material embod-
These textual affirmations of the material rewards and
iment of the dharma. A relic, whether of the Buddha’s body
great merit to be gained from the production of texts were
or his speech, is not an inert object, but the potent presence
clearly taken to heart in Buddhist communities. Among the
of the Buddha himself. Together with other textual relics, the
manuscripts found at Dunhuang, for instance, numerous
tablets marked with this verse suggest a conception of Bud-
dedicatory colophons are preserved that specify the personal
dha-speech (and perhaps language in general) as having an
motivations of the Buddhists who copied, or sponsored the
active, transformative presence in the world that is connected
copying of, Buddhist texts. These motivations are commonly
with—but by no means subordinate to—its capacity to con-
related to death and rebirth; copying a su¯tra could generate
vey meaning.
the merit necessary to ensure that a recently deceased loved
one would gain a good rebirth, or to mitigate against wrong-
The textual embodiment of the Buddha is not exclusive-
doings committed by oneself. Other motivations are attested
ly a Maha¯ya¯na phenomenon, although perhaps the phenom-
as well, and almost all manuscripts include the dedication of
enon is most fully elaborated in that context. Some
merit to all beings. Similar dedications of merit are found in
Therava¯da systematizations of the bodies of the Buddha in-
manuscripts throughout the Buddhist world.
clude the dharma body; some classifications of relics include
dharma relics together with bodily relics, associative relics
The production of Buddhist texts could generate not
(objects he used, his footprints, or the bodhi tree), and relics
only merit, but also political authority, as is especially evident
by convention (images of the Buddha or of the places and
in the periodic editing and reproduction of the Pali canon.
things associated with him). It seems that Therava¯da com-
As Stanley Tambiah has demonstrated, revising and “purify-
munities have placed greater emphasis on other varieties of
ing” the canon established a ruler as a protector of the dhar-
relics than on dharma relics, but this conclusion may be re-
ma—a role with significant political as well as religious capi-
flective of different emphases in scholarship on the
tal. The Fifth Buddhist Council, held in 1871 in Burma,
Therava¯da as much as different emphases within Therava¯din
provides a striking example: the canon, revised under the di-
practice. Texts play a crucial role in the rituals through which
rection of King Mindon, was inscribed not only on palm
images and other objects are imbued with the presence of the
leaves, but also on 729 marble slabs—an undertaking that
Buddha. In the Thai ceremony for consecrating Buddha im-
established the king’s authority as well as the text of the
ages, for instance, the image is vivified through “hearing” the
Tipit:aka.
recitation of the life story and core teachings of the Buddha.
Whereas producing a Buddhist text in any form would
In such rituals, the creation and transfer of power is achieved
be meritorious, manuscript remains suggest that the material
in no small part by the recitation of texts.
qualities of the text were of great significance in Buddhist
TEXT PRODUCTION AS RITUAL PRACTICE. Perhaps the most
communities. Formats vary according to cultural context
fundamental ritual practice associated with texts is text pro-
and the function of the text. Texts produced primarily for
duction itself, for this practice ensures the preservation and
the merit gained thereby reflect their status as objects of de-
further use of a text—no small matter, especially in a manu-
votion: some are richly illustrated, or written in gold on
script culture, where access to texts is by no means assured.
beautifully dyed papers. One Japanese manuscript of the
It would appear, however, that the impetus for having texts
Lotus Su¯tra, for instance, enshrines each character of the text
copied (or printed) in many Buddhist communities was not
in a small stupa, whereas another is embroidered in silk
only preservation and dissemination of the teachings; the act
thread of different colors. Manuscripts are often enclosed in
of production is also an end in and of itself, for it is claimed
elaborately carved and painted manuscript covers, su¯tra
to be a potent practice for generating merit. Such claims are
cases, or cloth wrappings. Texts inscribed in stone (including
sometimes made in the very texts to be copied. Several
not only the Burmese Pali canon described above, but also
Maha¯ya¯na su¯tras, such as the Prajñapa¯ramita¯ (Perfection of
most of the Chinese canon, carved between the seventh and
Wisdom) su¯tras, the Saddharmapun:d:ar¯ıkasu¯tra (Lotus
the twelfth centuries and stored in caves at Fang Shan) prom-
Su¯tra), and the Suvarn:a(pra)bha¯sottamasu¯tra (Su¯tra of Golden
ise to preserve the dharma beyond its predicted decline in the
Light), explicitly and strongly encourage their own reproduc-
world. Texts meant to function in ritual contexts were pro-
tion. Whereas Therava¯da writings tend to be less overt and
duced in more practical formats, such as booklets containing
self-referential in this regard, stories exist that similarly rec-
what appear to be collections of liturgical texts found at
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BUDDHIST BOOKS AND TEXTS: RITUAL USES OF BOOKS
1263
Dunhuang. Whereas manuscripts would frequently be pro-
might be understood as something like an oral prayer wheel:
duced by professional scribes paid by donors, there also exist
a large number of monks are given different sections of the
numerous texts inscribed personally by the devotee. A few
canon, and each recites his portion simultaneously. Oral reci-
extant manuscripts are written in ink mixed with the blood
tation makes the transformative power of the text present in
of the writer, forging a bodily connection with the powerful
the world, like the flapping of a prayer flag in the wind.
physical text, and thus with the Buddha.
TEXTS AS AGENTS OF TRANSFORMATION. As is evident in the
Since the more frequently a text was produced, the
different technologies of text production, Buddhist texts are
greater was the merit obtained. Thus, various technologies
not only instruments of communication, but also agents of
of text production developed, the most central of which is
transformation; as manifestations of the Buddha, they have
block printing. The earliest dated printed text (868
the capacity to radically transform the lives of devotees who
CE),
found at Dunhuang, is the Diamond Su¯tra (Vajracchedika),
interact with them in prescribed ways. In the ritual practices
a text that explicitly exhorts its readers to reproduce it (its
through which devotees access this power, the meaning-
colophon indicates that copies were intended for free distri-
bearing aspects of a text—while surely related to its transfor-
bution). Indeed, it is likely that Buddhist practices of pro-
mative capacity—recede, whereas the material qualities of
ducing texts for merit were a central impetus in the develop-
language—whether oral or written—come to the fore. The
ment of print technology in China. Several Maha¯ya¯na su¯tras,
language of Buddhist texts becomes a tangible, fully present
including the Diamond Su¯tra, are not only found in written
force that can change the conditions of persons and their en-
form at Dunhuang, but are also depicted in wall murals—
vironments.
most not primarily as narratives, but as icons, in which the
Rituals that provide access to the power of texts involve
Buddha, preaching the su¯tra, gazes directly at the viewer.
oral performance and/or the manipulation of written texts.
Such representations again suggest a conception of su¯tras as
In Therava¯din communities, one of the principal rituals em-
physical embodiments of the speech of the Buddha—and
ployed is the chanting of paritta, collections of Pali su¯tras and
this physical embodiment takes precedence over the denota-
other texts thought to have particularly potent protective
tive content of the su¯tras in their depiction. The su¯tras are
powers or the capacity to render circumstances auspicious.
icons of the Buddha that, in the case of the paintings, literally
These texts may be chanted by devotees or by monks in a
make his body manifest.
formal ceremony that can last up to several days. The cere-
monies are held to provide protection from hardship and
Other practices that similarly aim to make a text “pres-
malignant forces, and to promote beneficial conditions for
ent” can also be understood as technologies of text produc-
specific ventures—from weddings to business deals.
tion. The Tibetan prayer wheel, for instance, contains paper
on which a mantra is written thousands of times. With each
In more formal ceremonies, the potency of the chanted
turning of the wheel, every one of the written mantras is
texts is rendered materially accessible through substances that
made manifest, thereby generating tremendous merit for the
are themselves imbued with power through the recitation. A
practitioner. Some contemporary practitioners have adapted
thread that connects all who are present during the chanting
this practice to digital technology, saving numerous copies
is later broken into pieces and distributed to devotees, who
of a mantra to a computer hard drive that spins hundreds
then wear the strands on their wrists or arms. Devotees wet
of thousands of times per hour. Prayer flags function similar-
their faces and heads with—and drink water blessed
ly, the efficacy of the words written upon them being re-
through—the ceremony. The Pali texts are comprehensible
leased with each breeze.
only to a few laypeople and to some monks, but the protec-
tive and beneficial power of chanting them or hearing them
Such examples suggest a way to understand yet another
chanted depends not on comprehension, but on texts’ mate-
mode of text production: recitation. Both in Therava¯da and
rialization and on the ability of devotees to interact with the
in Maha¯ya¯na textual traditions, exhortations to recite or hear
texts in material ways.
Buddhist literature are ubiquitous, often eclipsing exhorta-
tions to write. In manuscript cultures, especially—cultures
The relationship between meaning and transformative
in which access to the written text was often extremely limit-
agency is most tenuous in practices involving mantra and
ed—most Buddhists were likely to encounter the text in the
dha¯rah:¯ı. These strings of Sanskrit (or Pali) syllables are em-
context of recitation. Whereas recitation seldom leaves mate-
ployed in a wide variety of practices, from chanting to turn-
rial traces for historians, some su¯tras describe the effects of
ing prayer wheels to meditation, but also recited at key points
recitation on audiences and their worlds in distinctly physical
within numerous ceremonies that are not primarily focused
terms. The oral/aural text is represented as a potent substance
on the texts—such as rites for the dying or the consecration
that enters and transforms its listeners and their environ-
of images in order to bless or empower a person or object.
ments. It is clear in such descriptions that preaching the su¯tra
Many of these formulae are given in su¯tras, bestowed by par-
indeed makes it manifest in the world in a manner strongly
ticular deities with the promise of protection, benefit, or
reminiscent of other, more obviously material, practices of
awakening for the devotee who employs them. Some explic-
text production. Take, for instance, the Tibetan practice of
itly invoke a celestial being, but most barely gesture towards
reciting the entire canon with great rapidity, a practice that
meaning. Instead, the power of the formulae resides in their
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1264
BUDDHIST BOOKS AND TEXTS: RITUAL USES OF BOOKS
materialization in sound or writing. Indeed, the elusiveness
the texts themselves claim. Finally, given the conception of
of meaning in these formulae is a crucial component of their
Buddhist texts as the embodiment of the Buddha and his
transformative capacity, whether they are used for worldly
power, the production of scholarly commentaries and trans-
ends or as meditative aids. Beyond conceptualization, formu-
lations cannot be neatly separated from more overtly devo-
lae evoke a mysterious power to transform the mundane
tional or apotropaic practices. The sophisticated theories and
world or to lead the meditator beyond concepts.
uses of language developed by thinkers across the Buddhist
world emerged from contexts in which texts were material-
Those Maha¯ya¯na su¯tras that proclaim their own trans-
izations of tremendous, transformative power.
formative agency might be said to function in an analogous
manner: the content of such texts is fundamentally con-
SEE ALSO Buddha; Buddhism, overview article.
cerned with articulating repeatedly the power of the form of
the text itself when it is made manifest through writing or
BIBLIOGRAPHY
recitation. Rather than locating their potency in a conceptu-
Abe, Ryu¯ichi. The Weaving of Mantra: Ku¯kai and the Construction
ally graspable core revelation, these Maha¯ya¯na su¯tras draw at-
of Esoteric Buddhist Discourse. New York, 1999. Examines
tention to their own materiality, instructing their audiences
Ku¯kai’s conception of language in relation to ritual practices
on how to interact with them in physical, material, and ritu-
involving sûtra, mantra, and dha¯ran:¯ı.
alized ways. The literal interpretation of these instructions
Bentor, Yael. “On the Indian Origins of the Tibetan Practice of
is indicated by traces of sandalwood powder and other ritual
Depositing Relics and Dha¯ran:¯ıs in Stupas and Images.” Jour-
nal of the American Oriental Society 115, no. 2 (1995):
substances found on wooden manuscript covers from North-
248–261.
ern India and Central Asia dating from the ninth century
Bodhi, Bikkhu. The Connected Discourses of the Buddha: A New
and later; several of the su¯tras specifically encourage the dev-
Translation of the Saa¯yutta Nika¯ya. Somerville, Mass., 2000.
otee to offer such substances. And, as enjoined by the texts
Boucher, Daniel. “The Prat¯ıtyasamutpa¯daga¯tha¯ and Its Role in
themselves, such texts were (and are) widely recited for the
the Medieval Cult of the Relics.” Journal of the International
benefit and protection of individuals, communities, nations,
Association of Buddhist Studies 14, no. 1 (1991): 1–27.
and the world.
Cabezón, José Ignacio, and Roger R. Jackson. Tibetan Literature:
The amuletic function of texts perhaps best epitomizes
Studies in Genre. Ithaca, N.Y., 1996. See especially the essays
the material manifestation of transformative agency. Tiny
in the sections on “Canonical Texts” and “Ritual.”
scrolls enclosed in ornaments, miniature texts, or amulets
Campany, Robert F. “Notes on the Devotional Uses and Symbol-
stamped with potent words are carried on the body of the
ic Functions of Su¯tra Texts as Depicted in Early Chinese
devotee. Such textual objects—relics of the Buddha—both
Buddhist Miracle Tales and Hagiographies.” Journal of the
International Association of Buddhist Studies 14, no. 1 (1991):
remind the practitioner of Buddhist teachings and offer
28–69. A survey of miracle tales about su¯tras.
wearable, tangible protection and benefit in daily life. The
Jaini, Padmanabh S., trans. “Akkharalikhitajâtaka.” In Apocryphal
Southeast Asian practice of tattooing yantra (powerful dia-
Birth-Stories (Panññasa-ja¯taka), vol. 2, 198–209. London,
grams in which mantras and Buddhist verses figure promi-
1986.
nently) on the body to protect against weapons and malevo-
Klimburg-Salter, Deborah. “The Gilgit Manuscript Covers and
lent forces, or to generate good will in others, provides a
the ‘Cult of the Book.’” In South Asian Archaeology, 1987:
striking instance of making the power of language physically
Proceedings of the Ninth International Conference of the Associ-
manifest; the human body itself becomes the powerful mate-
ation of South Asian Archaeologists in Western Europe, edited
rial text. Like manuscripts written in blood, tattoos forge a
by Maurizio Taddei, pp. 815–830. Rome, 1990. Examines
strong physical connection between the body of the devotee
evidence in material culture for the “cult of the book.”
and the textual body of the Buddha.
Pal, Pratapaditya and Julia Meech-Pekarik. Buddhist Book Illumi-
nations. New York, 1988. An art-historical study of illustrat-
THE RITUAL CONTEXT OF TEXTUAL PRACTICES. Rituals in-
ed Buddhist manuscripts.
volving texts have in turn engendered further practices of text
Schopen, Gregory. “The Phrase ’sa pt:hiv¯ıpradeúaú caityabhu¯to
production. Throughout the Buddhist world, anthologies of
bhavet’ in the Vajracchedika¯: Notes on the Cult of the Book
texts or parts of texts employed in particular rituals—such
in Maha¯ya¯na.” Indo-Iranian Journal 17 (1975): 147–181.
as paritta ceremonies—have been produced. These antholo-
The germinal study of the “cult of the book.”
gies are not merely functional; they are venerated bodies of
Silva, Lily de. “Paritta: A Historical and Religious Study of the
literature in their own right. In China and Japan, the wor-
Buddhist Ceremony for Peace and Prosperity in Sri Lanka.”
ship of Maha¯ya¯na su¯tras gave rise to a popular genre of sec-
In Spolia Zeylanica, vol. 36, part 1. Colombo, Sri Lanka,
ondary literature: miracle tales about the sûtras. These stories
1981.
describe the miraculous intercession of the texts (and the ce-
Skilling, Peter. “The Raks:a¯ Literature of the Úra¯vakaya¯na.” Jour-
lestial buddhas, bodhisattvas, and deities brought to life in
nal of the Pali Text Society 16 (1992): 109–182. Surveys va-
their pages) in the lives of their devotees, as well as the dire
rieties of Buddhist literature used for protective and benefi-
consequences of treating the su¯tras with disrespect. They
cial purposes.
model appropriate ritual behavior with regard to the su¯tras,
Tambiah, Stanley J. World Conqueror and World Renouncer: A
and serve as testimonials to the transformative powers that
Study of Buddhism and Polity in Thailand against a Historical
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST BOOKS AND TEXTS: TRANSLATION
1265
Background. Cambridge, U.K., 1976. Includes consideration
the Buddha. Does the phrase “in own language” refer to the
of historical and modern revisions of the Pali canon and
language of the preaching monk, or to the language of the
Buddhist practice by rulers of Therava¯din states.
Buddha himself? The passage admits multiple interpreta-
Tambiah, Stanley J. The Buddhist Saints of the Forest and the Cult
tions (not all of which have been summarized here). Thus,
of Amulets: A Study in Charisma, Hagiography, Sectarianism,
whereas many interpreters see here the Buddha’s stamp of
and Millennial Buddhism. Cambridge, U.K., 1984. On con-
approval for translation practices, others, including the high-
ceptions of relics and the materialization of power, see 195–
ly influential fifth century commentator Buddhaghosa—
207; on the consecration of Buddha images and amulets, see
thought to be responsible for the translation of Therava¯din
243–257.
commentarial literature from Sinhalese into Pali—view “in
Tannenbaum, Nicola. “Tattoos: Invulnerability and Power in
own language” as referring to the Buddha’s own language.
Shan Cosmology.” American Ethnologist 14, no. 4 (1987):
According to Buddhaghosa, that language was Pali.
693–711.
Teiser, Stephen. The Scripture on the Ten Kings and the Making
The different historical interpretations of this putatively
of Purgatory in Medieval Chinese Buddhism. Honolulu, 1994.
normative passage mirror the multiple approaches to and
A case study of Dunhuang manuscripts in relation to form,
conceptions of translation taken in different times and
content, ritual function and text production.
places. The preservation of the Therava¯din tipit:aka in Pali,
Wu, Hung. “What Is Bianxiang? On the Relationship between
as compared to the translation of the tripit:aka into Chinese
Dunhuang Art and Dunhuang Literature.” Harvard Journal
and Tibetan, for instance, would appear to demarcate one
of Asiatic Studies 52, no.1 (1992): 111–192. An art-historical
of the most significant distinctions among Buddhist concep-
analysis of the representations of su¯tras at Dunhuang.
tions of translation. If one looks beyond general preferences
NATALIE GUMMER (2005)
regarding canonical language, however, the situation be-
comes considerably more complicated: Therava¯din Buddhist
communities have translated numerous texts into local lan-
guages, and have produced bilingual versions of canonical
BUDDHIST BOOKS AND TEXTS:
TRANSLATION
texts in which Pali is interspersed with local languages. Con-
versely, certain texts or parts of texts (like mantra and
Translation practices have been central to the ongoing rein-
dha¯ran:¯ı) have been preserved in Buddhist Sanskrit by the
terpretation and transformation of the Buddhist tradition.
same communities that chose, for the most part, to translate
Translation ensures both continuity—through the transmis-
the canon. Buddhist conceptions of translation are reflected
sion of the vast sacred literature of the tradition—and
not simply in the question of whether to translate, but
change, as different ways of interpreting Buddhist thought
what—and how, and why—to translate.
and practice are opened up or closed off in the process of
translation. As an interpretive practice, translation depends
The practices of premodern Buddhist translators clearly
upon and illuminates historical conceptions of Buddhist lit-
indicate that the answers to these questions were multiple.
erature and of the process of translation itself, neither of
One stands a better chance of understanding the multiplicity
which necessarily coincide with contemporary English con-
of Buddhist conceptions of translation if one begins with the
ceptions. The translation of Buddhist literature reveals the
premise that the practice of translation in the vast majority
different ways in which various Buddhist communities have
of premodern Buddhist communities was a religious prac-
located and recreated the value and power of their textual tra-
tice. Much of Buddhist literature is thought to embody not
ditions in light of their individual cultural and historical con-
only meaning, but also tremendous efficacy and transforma-
texts.
tive power—the power to heal, bring prosperity, or even en-
A frequently cited passage in the Pali canon (Vinaya
lighten audiences. The production of translations is thus
2.139) both prescribes and exemplifies the complex and cru-
closely related to other religious—and even devotional—
cial role that translation has played in the transmission of the
practices. Situating the questions of whether, how, and why
Buddhist tradition. In this passage, two monks of the
Buddhists translated their sacred literature within this con-
Bra¯hman: class report to the Buddha that the teachings are
text of religious practice illuminates possible motivations and
being disseminated by monks of widely varying backgrounds
explanations that might otherwise remain obscure.
saka¯ya niruttiya¯, “in own language,” and suggest to him that
TECHNIQUES OF TRANSLATION. Whereas the conceptions of
his words be rendered in chandaso (usually interpreted to
translation that inform Buddhist translation practices are
mean “Sanskrit meter”). No, he replies to them, they should
only rarely examined explicitly by translators, the techniques
be disseminated “in own language.” Numerous interpreters,
used in translation can shed considerable light on diverse an-
ancient and modern, have viewed this passage as clearly de-
swers not only to the question of how to translate, but also
fining the normative stance on the question of whether or
to the question of why. The approach taken by a translator
not to translate texts, but they have not agreed on just what
or community of translators is not arbitrary; it is shaped by
stance is being prescribed.
the conception of Buddhist literature and its translation that
How one interprets this passage determines and is deter-
is held by the translator. On the other hand, interpreting
mined by one’s opinion on whether to translate the word of
techniques of translation with the aim of understanding 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
1266
BUDDHIST BOOKS AND TEXTS: TRANSLATION
ceptions of translation is by no means straightforward. For
LANGUAGE CHOICE. The translation of Buddhist literature
instance, the late-eighth-century Tibetan king Khri Srong-
is not simply a matter of rendering texts from one vernacular
lde’u-bstan (742–c. 800 CE) is credited with normalizing pre-
into another. Many of the languages in which Buddhist liter-
viously idiosyncratic translation practices, prescribing meth-
ature is preserved are literary languages distinct from those
ods for rendering Sanskrit syntax and dictating precise one-
spoken by people who produced and used Buddhist litera-
to-one correspondences between Sanskrit and Tibetan terms.
ture. These literary languages have their own complex histo-
The result is a highly artificial style, a kind of “transla-
ries of transformation and codification. Thus, “Buddhist
tionese,” that had been adopted by Tibetan translators to
Sanskrit” describes a literary language (or, better, a range of
such an extent that some modern scholars of Buddhism have
language use) closely related to, but not identical with, classi-
thought that Tibetan translations could be used to produce
cal Sanskrit in the normative sense. Indeed, some scholars
“back-translations,” reconstructions of Sanskrit texts that are
maintain that the form of Sanskrit in which some Buddhist
no longer extant.
literature is preserved is itself a kind of translation, an amal-
gam of prakritic literary languages and Sanskrit, where the
One can attempt to derive from this translation tech-
former is thought to be the original language of composition.
nique, employed in all editions of the Tibetan canon, the
Other scholars counter that Buddhists chose to compose and
conception of translation that informs it. Any such attempt
preserve texts in these “hybrid” literary forms. Likewise, the
is itself, however, a kind of back-translation: an interpretive
Pali in which Therava¯dan canonical texts are preserved was
reconstruction that is necessarily flawed even though poten-
never a vernacular language; whatever its progenitors might
tially illuminating. Does the deep concern for establishing
have been, it has distinct features that indicate its deliberate
equivalence between the two languages indicate that, despite
construction as a literary language.
the practice of translation, the power of the text was still
thought to reside in the Sanskrit forms of the language, or
As noted above, Tibetan translations employ a highly
artificial form of “translationese” that would be abstruse for
does it suggest an extreme skepticism regarding a translator’s
the uninitiated reader. It is difficult to make generalizations
ability to correctly grasp and render the meaning and trans-
about the language of the Chinese translations, which varies
formative power of a text? Techniques of translation can in-
considerably in terms of its conformity with the norms of lit-
deed suggest the concerns and conceptions of the translator-
erary Chinese, itself a form of language very distinct from
(s), but the techniques themselves are open to interpretation.
vernaculars. It is safe to say, however, that even the most col-
In contrast to the regularization of translation tech-
loquially inflected translations became, in the course of a few
niques in Tibet, Chinese translations exhibit a wide range of
hundred years, distant from vernacular usage (as, for in-
approaches. Early Chinese translators, such as An Shigao
stance, the language of Shakespeare is for most contemporary
(second century CE), tended to borrow Daoist vocabulary for
English speakers).
the rendering of Buddhist ideas. Many texts were produced
Buddhist Sanskrit, Pali, Tibetan, and Chinese all func-
by translation teams, in which different members assumed
tioned not only as literary languages, but also as translocal
specific roles in the interpretive and editorial processes under
languages—languages in which Buddhist literature was pre-
the leadership of an illustrious translator. Particular transla-
served and studied by communities whose spoken language
tors cultivated distinctive techniques. Some, such as the
was different. Thus Pali functioned as a translocal language
monk Hsüan-tsang (602–664 CE), actively preserved the for-
in South and Southeast Asia, Sanskrit in South and Central
eign flavor of a text through literal renderings. Others, most
Asia, Chinese in East Asia and parts of Southeast Asia, and
famously Kuma¯raj¯ıva (344–413 CE), attempted to convey
Tibetan in the Himalayas and in Mongolian communities.
the core significance of a text through free translations in
In this respect, these languages are distinct from local lan-
elegant literary Chinese. Foreignness and familiarity both
guages that, whether literary or vernacular, did not function
breed their own kinds of power, and these different tech-
beyond the borders of their linguistic communities. Note,
niques of translation can be interpreted as indicators of
however, that “local” and “translocal” are shifting categories.
where different translators located the power of the religious
When Tibetan translations were made of Sanskrit Buddhist
texts they were translating.
texts, they were rendered in a local literary language; when
Mongolian Buddhists chose to use the Tibetan Buddhist
Moreover, several different translations of the “same”
canon, Tibetan was being used as a translocal language.
text are frequently preserved side-by-side in the Chinese
canon, a practice which itself invites interpretation. Perhaps
In addition to the distinctions between literary and ver-
Chinese Buddhist scholars conceived of different translations
nacular and between local and translocal, a third distinction,
as illuminating different aspects or functions of a given text,
between languages from which and languages into which
or simply as representing part of a textual history worthy of
translations were made, is relevant to an examination of Bud-
preservation. This multiplicity provides an important con-
dhist translation practices. Sanskrit, Pali, Tibetan, and Chi-
trast to the Tibetan practice of attempting to determine a
nese all functioned as sources for translations into local lan-
single definitive translation, one that suggests a strikingly dif-
guages. Sogdians, for instance, chose to translate Buddhist
ferent conception of Buddhist literature and its translation.
texts from the Chinese, whether due to access or to presumed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST BOOKS AND TEXTS: TRANSLATION
1267
authority. Once again, however, these categories are flexible
intercultural moment, which embodies the paradox of trans-
and overlapping. Sinhalese commentaries on the tipit:aka
lation—the simultaneous sameness and difference of the
were translated into Pali, in part to make them accessible to
translated text from the original—is both a central factor in
a translocal audience.
and a powerful metaphor for processes of acculturation. Par-
ticularly in a tradition with so strong a textual orientation
Like the techniques of translation employed in different
as Buddhism, translators’ interpretations of key texts can
times and places, language choice admits various interpreta-
have profound effects on the development of the tradition
tions. The preservation of the canon in a foreign language
in its new locales. Central concepts and practices are shaped
does not suggest that translation did not take place. For ex-
by the terminology employed to describe them; the influence
ample, the entire Tibetan canon was translated into Mongo-
of a particular text is dependent upon the poetic and rhetori-
lian in the first half of the seventeenth century, but the Tibet-
cal devices through which its message is rendered. Transla-
an version came to be preferred for liturgical purposes.
Preserving canonical texts in a translocal language like Pali
tion closes certain avenues of interpretation and develop-
can be understood in terms of the reverence for and power
ment, while opening up others that may not have been fully
invested in what was thought to be the language of the Bud-
present in the original. These dynamics can be seen not only
dha, but it can also be understood as an element in the con-
in textual translation practices, but also in broader processes
struction of a shared translocal culture, or as an attempt to
of adaptation, such as the “translation” of an Indic ritual em-
restrict access to canonical texts to a powerful monastic elite.
ploying cow dung as a sacred substance into a different cul-
The translation of a massive corpus of texts into Chinese or
tural context where the substance is viewed as unclean excre-
Tibetan might be interpreted as a sign of the populist nature
ment.
of the Buddhist movement in a particular time and place,
The choice to preserve a text in a translocal language,
but, since the variety of language employed in the translation
rather than translating it, by no means suggests a refusal of
is, in most cases, far from the vernacular, the charge of elitism
acculturating processes, although a desire to maintain the
might just as easily be applied. Regardless, it is safe to say that
original purity of the teachings might be part of the motiva-
in the vast majority of Buddhist communities both local and
tion. Instead, preserving a body of religious literature in a
translocal languages were employed, the choice between one
translocal language forges particular ties to the context of ori-
or the other in the case of a given text being dictated by a
gin. The acculturation of the tradition to a particular locale
complex and fluctuating conjunction of social, literary, and
occurs through the production of new literature—in the
soteriological factors.
translocal as well as in the local language—rather than
Take, for instance, the Thai ceremony for imbuing life
through rendering a preexistent literary corpus in the local
in a Buddha image, in which monks chant the biography of
language. The preexistent literature itself can take on a some-
the Buddha to the image in Pali. Translations of the text in
what esoteric (and potentially powerful) quality as a result
local languages exist and are used in preaching, but only the
of its incomprehensibility to the vast majority of practition-
Pali version is deemed to have the potency to enliven an
ers. Preserving a canon in a translocal language also provides
image. A similar linguistic “division of labor” might well in-
the conditions for the maintenance of a clerical elite, as well
form language choice in Khotanese Buddhism. While manu-
as for the creation of a translocal community connected by
script evidence suggests that Sanskrit sutras were produced
the bonds of religious language and practice. The
in Khotan, Khotanese translations or summaries of the same
Therava¯dan Buddhist world, for all the highly distinctive
texts are also attested. One possible explanation might be de-
local variations it encompasses, shares deep relationships
rived from the Thai case: perhaps Sanskrit texts served a dif-
born in part from the shared preservation of Pali Buddhist
ferent function from translated texts. Another explanation,
literature and ritual and the maintenance of a monastic elite
provided by Jan Nattier (1990), suggests that, through the
educated in that language.
influence of Chinese Buddhist textual practices, a shift in
This is not to suggest that contexts where translation
language choice towards a preference for the vernacular took
into local languages was preferred were lacking in translocal
place in Central Asia after the sixth century, prior to which
relationships, esotericism, or institutional elites, but rather
only Buddhist Sanskrit texts were produced. Both the func-
that such factors of acculturation were generated by means
tional and the temporal explanation have merit, and are not
other than the preservation of religious literature in a translo-
mutually exclusive options.
cal language. In China, translations themselves, with their
TRANSLATION AND ACCULTURATION. The complex choices
distinctive locutions, became powerful markers of the con-
regarding language use outlined above—whether, what, and
text of origin and of the legitimation it imparted to texts. In-
how to translate—have profound implications for under-
deed, the names of illustrious translators alone could lend the
standing the acculturation of Buddhism in particular places
stamp of authority; the Chinese canon ascribes to
and times. Translation is a crucial moment in the life of a
Kuma¯raj¯ıva more texts than he could possibly have translat-
text; a translator (or team of translators) functions as both
ed. By adopting the style and phrasings characteristic of a
reader and author, shaping the text through the interpretive
translation in the composition of a new work, and attribut-
process of translation for all its future readers. This complex
ing it to a respected translator, one could create the legitimiz-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1268
BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
ing aura of Indic origin, thereby introducing new literature
Buswell, Robert E., Jr., ed. Chinese Buddhist Apocrypha. Honolulu,
into a corpus whose boundaries were defined by the ostensi-
1990.
ble origin of texts. Indigenous “transcreations” of this sort
Gómez, Luis O. The Land of Bliss: The Paradise of the Buddha of
occur in the Chinese canon; literature that was later excised
Measureless Light. Honolulu, 1996. Includes separate English
from the canon due to its questionable authenticity has been
translations of Sanskrit and Chinese versions of two su¯tras,
preserved among the manuscripts found at Dunhuang.
as well as a discussion of their differences.
Transcreations were produced in other Buddhist communi-
Harrison, Paul. “A Brief History of the Tibetan Bka’ ’Gyur.” In
ties, as well, although the legitimating strategies employed
Tibetan Literature: Studies in Genre, edited by Jose’ Ignacio
vary. Translations established new genres of literature that
Cabezón and Roger R. Jackson, pp. 70–94. Ithaca, N.Y.,
could subsequently be employed in the creation and legiti-
1995.
mation of indigenous compositions, enabling Buddhist liter-
Mair, Victor. “Buddhism and the Rise of the Written Vernacular
ature to address more directly the pressing questions of par-
in East Asia: The Making of National Languages.” Journal
ticular cultural and historical communities. In this way,
of Asian Studies 53 (3): 707–751.
translations have provided not only a means of preservation,
Mizuno, Kogen. Buddhist Su¯tras: Origin, Development, Transmis-
but also a pretext for innovation within the tradition.
sion. Tokyo, 1982. One of the most accessible historical
CONCLUSION. The conceptions of translation that underlie
treatments of the transmission and translation of su¯tras in
the practices outlined above are multiple, and clearly do not
China (although unfortunately lacking citations).
always coincide with the concept invoked by the English
Nattier, Jan. “Church Language and Vernacular Language in
term. “Translation” tends to be used narrowly, such that
Central Asian Buddhism.” Numen 37 (1990): 195–219.
only a text that attempts to render “faithfully” the meaning
Pollock, Sheldon. “The Sanskrit Cosmopolis, 300–1300: Trans-
of another in a different language is usually deemed to be a
culturation, Vernacularization, and the Question of Ideolo-
translation. This contemporary conception of translation has
gy.” In Ideology and Status of Sanskrit: Contributions to the
generally guided scholarly studies of Buddhist translation
History of the Sanskrit Language, edited by Jan E. M. Hou-
practices. Did premodern Buddhist translators conceive of
ben, pp. 197–247. Leiden, 1996.
translation in such a manner, or were some Buddhist concep-
Pollock, Sheldon, ed. Literary Cultures in History: Reconstructions
tions of translation more fluid? For instance, two Sanskrit
from South Asia. Berkeley, Calif., 2003. The essays by Shel-
terms for translation, anuva¯da and vivaran:a, both refer to ex-
don Pollock, Steven Collins, Charles Hallisey, and Matthew
egetical as well as translation practices; how clear is the dis-
Kapstein, in particular, examine questions of language choice
tinction between what English designates as two separate
relevant to the transmission of Buddhist literature.
practices? Might some Buddhist translators have conceived
Ruegg, David Seyfort. “On Translating the Buddhist Canon.” In
of processes of summarization, excerption and anthologizing
Studies in Indo-Asian Art and Culture 3, edited by P. Ratnam,
as processes of “translation”? Both because these questions
pp. 243–261. New Delhi, 1973.
depend on conceptions of textuality more broadly, and be-
NATALIE GUMMER (2005)
cause they have so seldom been asked, no clear answers are
yet possible.
It is clear, however, that translation is an interpretive
practice. Any translation will privilege the aspects of a text
BUDDHIST BOOKS AND TEXTS: EXEGESIS
that the translator perceives to be of central importance.
AND HERMENEUTICS
Much of Buddhist literature is conceived of as not only con-
In the Buddhist tradition the practice and theory of scriptur-
veying meaning, but also possessing transformative potential.
al interpretation faced conflicting sources and concepts of
The translation of such texts in Buddhist communities, then,
authority, a voluminous canon of relatively late compilation,
involves rendering those qualities of a text that a particular
and a complex history of interpretations that may be de-
translator or tradition of translation deems to be powerful.
scribed as “hermeneutic pluralism.” Furthermore, for some
In this sense, translation practices have played and continue
Buddhist traditions an emphasis on dharma (the eternal
to play a central role in the ongoing transmission and trans-
truths discovered by the Buddha) rather than on buddhava-
formation of the Buddhist tradition, not only in making
cana (the literal content of his message) reduces the signifi-
texts accessible to different cultural and linguistic communi-
cance of textual and historical constraints as part of a method
ties, but also in recreating the interpretive possibilities for
of interpretation.
Buddhist thought and practice.
According to tradition, the Buddha was not the sole
preacher of dharma. Even during the Buddha’s life his disci-
BIBLIOGRAPHY
ples acted as missionaries, and their words were considered
No general study of Buddhist translation practices has yet been
published in English. Most available case studies tend to
part of the “original” message of Buddhism. The texts affirm
focus on the technical aspects of translation, and have there-
that at the Buddha’s own behest the disciples began each ser-
fore been omitted from the following list. While several of
mon with the words “Evam: maya¯ ´srutam ekasmin samaye”
the works listed are not specifically focused on translation,
(“Thus have I heard on one occasion”). This formula pre-
all address issues central to its study.
sumably served as a guarantee of authenticity, or rather, 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
BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
1269
faithfulness to the teaching of the Master. Yet, the same in-
The canon. Most Buddhists came to accept the theoret-
troductory formula came to be used indistinctly for sermons
ical division of scripture into three sections, metaphorically
attributed to the Master, to his disciples, or to mythical sages
called “baskets” (pit:aka)—Su¯tra (Pali, Sutta); Vinaya; and
and deities.
Abhidharma (Pali, Abhidhamma)—hence the name
It was also believed that there had also been previous
tripit:aka (Pali, tipit:aka), or “three baskets.” But in practice
buddhas, who had their own disciples, all of whom could
the corpus of authoritative Buddhist texts is not always divid-
have preached the dharma. These “Buddhists” from the
ed into these three categories. This division is in itself of sec-
mythical past could speak to human beings. Their words, as
ondary importance for the history of Buddhist exegesis,
well as the “inspired speech” (pratibha¯n:a) of ancient and
whereas the variety of canons that seem to have existed in
contemporary r:s:is, gods, and spirits, could be regarded as
ancient India, and their flexibility, are important factors in
dharma, and thus be prefaced by the famous formula.
the development of Buddhist attitudes toward canonical au-
thority and interpretation.
Even traditions that believe that the canon was redacted
and closed during the First Council at Ra¯jagr:ha, shortly after
The earliest system of this type was the classification of
the Buddha’s death (c. 483 BCE), concede that not all Bud-
Buddhist teachings (and texts) into two main divisions: dhar-
dhist elders were present at that gathering, and that at least
ma (instruction on doctrine and meditation) and Vinaya
one group of “five hundred monks” insisted on keeping their
(monastic rules and discipline). This early classification of
own version of the teachings as they remembered them. All
genres probably was followed closely in time by the introduc-
available evidence indicates that most of the canons were
tion of a third type of sacred text—the ma¯tr:ka¯, or numerical
never closed. The Therava¯da school, proud of its conserva-
list.
tism in scriptural matters, was still debating the content of
its canon at least as late as the fifth century CE. Even today
Also ancient, and obviously precanonical, is a system of
there is no complete agreement among Therava¯dins regard-
“genres” (an˙ga). The Therava¯da tradition distinguishes nine
ing the Khuddaka Nika¯ya section of their canon. Thus, it is
such genres, whereas the Sanskrit tradition counts twelve
not always possible to distinguish clearly between canonical,
(su¯tra, geya, vya¯karan:a, ga¯tha¯, uda¯na, nida¯na, ityukta, ja¯taka,
postcanonical, and paracanonical Buddhist literature.
vaipulya, adbhutadharma, avada¯na, and upade´sa). Although
All schools believe that at least some texts have been lost,
some of these terms are well known as words for literary
truncated, or altered, and that a number of false or late texts
genres or forms of canonical literature, the exact meaning of
have been incorporated into the canons of various schools.
the items in these lists is not always transparent. The list
Even if occasionally these statements are used to bolster the
clearly shows, however, an early interest in analyzing scrip-
position of one school over another, they probably represent
ture by literary forms, themes, and, presumably, speaker and
an accurate description of the general state of things by the
audience.
time the first scriptural collections were formally constituted.
By the time Buddhists began compiling their “canons,”
It is not difficult to see the impact that such a perception,
several forms of exegesis had developed within the body of
combined with the mythology of revelation outlined above,
literature transmitted as sacred scripture. Beyond the implicit
would have on the tradition’s view of the meaning of the
exegetical work of the redactors, which is more obvious in
scriptures and on the principles that should guide their inter-
Buddhist scripture than it is in the Judeo-Christian Bible,
pretation.
important sections of the canons are composed of exegetical
BUDDHIST EXEGESIS: METHODS OF INTERPRETATION. The
material. Some works considered to derive directly from the
Buddhist canons were the result of a long process of compila-
Master’s mouth are, in structure and reference, major acts of
tion and redaction that we can no longer reconstruct. For
interpretation or statements on the nature of interpretation.
many centuries the task of interpretation was complicated by
Such, for instance, are the Maha¯padesa Suttanta, on forms
a shifting definition of canonicity. The first steps in under-
of appealing to authority; the Ka¯la¯ma Sutta, a critique of au-
standing scriptural traditions—identifying the limits and
thority and an affirmation of the hermeneutical value of
forms of scripture—were slow and hesitant.
meditation; the Alagaddu¯pama Sutta, on the instrumental
It took roughly three centuries before the oral texts of
value of doctrine; and the Pratisaran:a Su¯tra, on the criteria
specialized schools of reciters (bha¯n:akas) were brought to-
of interpretation. These texts reflect an early concern with
gether into collections (pit:akas). Another century went by
the problems of transmission and interpretation. Other texts
before the first canons were committed to writing (an early
included in the tripit:akas are frankly exegetical in character
Therava¯da canon was written down under King
(although they may be of more recent vintage); these include
Vat:t:aga¯man:¯ı of Sri Lanka, c. 32 BCE). Even then the canons
two commentaries (the Niddesas) incorporated into the Sutta
were not closed; some of the extant collections (i.e., the Ti-
Pit:aka of the Therava¯dins, two works of theoretical herme-
betan and Chinese “canons”), were not compiled until more
neutics included in the Sutta sections of the Burmese
than a millennium had passed since the life of the founder,
tipit:aka, the Su¯travibhan˙ga section of the Vinaya Pit:aka (an
and they have remained open to the introduction of new lit-
exegesis of the pra¯timoks:a), and of course the totality of the
erature until recent times.
Abhidharma Pit:aka.
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BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
The abhidharma as exegesis. The abhidharma played
harma literature had created great works of synthesis on the
a central role in the development of the practice and theory
Indian Peninsula. The most famous and influential of these
of exegesis in all schools of Indian Buddhism. The herme-
was the Maha¯vibha¯s:a¯ (c. 150–200 CE), a work of collective
neutical strategy of the abhidharma was itself derived from
scholarship that attempted to make sense of the complex ab-
a practice attested frequently by the su¯tras: dogmatic lists
hidharma literature of the Sarva¯stiva¯dins, in particular the
known as “matrices” (ma¯tr:ka¯). These may appear to be mere
Jña¯naprastha¯na of Ka¯tya¯yan¯ıputra (or Ka¯tya¯yana; c. first cen-
catechistic or numerical lists; but more than topical indices
tury CE). Although it resulted in an equally abstruse work of
or lists defining the limits of canonicity they are digests or
doctrinal systematics, the Maha¯vibha¯s:a¯ became an important
exegetical guides. Some, evidently the oldest, are preserved
source for doctrinal and interpretive categories, even for
in the Su¯tra Pit:aka (e.g., San˙g¯ıti Suttanta, Da´sottara Su¯tra),
those who criticized it—especially the Maha¯ya¯na.
and were the object of commentaries (e.g., Maha¯kaus:t:hila’s
Maha¯ya¯na exegetical literature. In addition to playing
San˙g¯ıtiparya¯ya).
the more obvious roles of criticism, reform, and systematic
The role of ma¯tr:ka¯s as early canons of orthodoxy and
construction, the Maha¯ya¯na su¯tras fulfilled an exegetical role
interpretation is revealed by a legend, according to which the
as well. It is common for a Maha¯ya¯na su¯tra to attempt a rede-
Buddha’s disciple S´a¯riputra composed the San˙g¯ıti Suttanta
finition or reinterpretation of a classical formula from
in order to prevent a division in the Buddhist order similar
pre-Maha¯ya¯na literature. The Vajracchedika¯-prajña¯pa¯ramita¯,
to the one he had seen in the Jain community. The basic list,
for instance, presents the Maha¯ya¯na reinterpretation of the
however, is not only a model for a definition of orthodoxy,
“Parable of the Raft.” The same text, in fact, the entire body
it is also a pattern for exegetical coherence. The ma¯tr:ka¯s pro-
of prajña¯pa¯ramita¯ literature, is devoted to what amounts to
vide the structure for abhidharmic exegesis; each text must
an all-out criticism of pre-Maha¯ya¯na abhidharma. The tradi-
fit one or more of the categories contained in a traditional
tional order established by orthodox exegesis is deconstruct-
“matrix” or sets thereof. The “matrices” provided a simple
ed in a search for the “ultimate meaning” behind the words
logic of classification; all items of doctrine can be understood
of the older doctrines. The Lan˙ka¯vata¯ra Su¯tra and the
by opposites (the dukas of Pali abhidhamma: anything is a
Tatha¯gataguhya Su¯tra—to quote another example—radically
or not a) or by contraries (the t:¯ıka¯: x is a, or x is b, or x is
change the meaning of a classical passage by identifying truth
neither a nor b). Some of the earliest works of abhidharma,
with “holy silence.” The earlier, canonical passage stated that
organized on this model (for instance, the Pali
“from the night of his enlightenment to the night of his
Dhammasan˙gan¯ı), purport to reveal the underlying logic and
parinirva¯n:a. . .every word uttered by the Buddha was true.”
structure of the suttas.
The two Maha¯ya¯na su¯tras changed the phrase to read “from
the night of his enlightenment, to the night of his nirva¯n:a,
Non-Maha¯ya¯na exegetical literature. The abhidharma
the Blessed One did not utter a single word.”
can be understood as a series of attempts at an exegesis of the
whole body of Buddhist teachings (texts and practices).
These new departures, however, are not wholly the cre-
Some books, therefore, tried to preserve an explicit connec-
ation of Maha¯ya¯na, for some of them are found in the litera-
tion with the su¯tras. But the abhidharma was more a work
ture of the Maha¯sa¯m:ghikas, one of the early nika¯ya schools.
of philosophical hermeneutics than of exegesis. Accordingly,
Some members of this school or community held that bud-
a different genre of literature was developed to carry out the
dhas never pronounce a single word, yet living beings hear
difficult task of preserving, recovering, or eliciting the mean-
them preach. It was also claimed by some Maha¯sa¯m:ghikas
ing of individual texts.
that the Buddha can preach all things with a single word.
Two of the earliest Buddhist works of conscious exegesis
Another form of continuity within innovation occurs in
have been incorporated into the canon in the Sutta Pit:aka.
Maha¯ya¯na texts that follow the pattern of the abhidharma
These are the Maha¯niddesa and the Cullaniddesa, commen-
ma¯tr:ka¯s as a way of redefining or expanding on earlier doc-
taries on the fourth and fifth books of the Suttanipa¯ta. They
trine. Some of these su¯tras may be rightly called “abhidhar-
date from approximately the third century CE. However, two
mic” Maha¯ya¯na su¯tras. Such are, for instance, the
other works of early but uncertain date occupy a much more
Dharmasan:g¯ıti and the Aks:ayamatinirde´sa.
important position in the development of Buddhist exegeti-
Some texts make explicit pronouncements on the prin-
cal theories: the Nettippakaran:a and the Pet:akopadesa, both
ciples of interpretation or evaluation of Buddhist scripture
attributed to a (Maha¯) Kacca¯yana (of uncertain date). These
in general. For instance, the Lan˙ka¯vata¯ra Su¯tra’s statement
works may have been composed in South India or Sri Lanka.
on the silence of the Buddha is extended to mean that all
The Nettippakaran:a formulates the principles of interpreta-
words of the Buddha have only a provisional value. They are
tion (netti) common to both works on the basis of twelve
pronounced only in response to the needs of living beings
techniques classified under the headings of “interpretation as
who cannot penetrate directly into the mystery of the
to sense” (byañjana) and “interpretation as to meaning”
Tatha¯gata’s silence. The Maha¯ya¯na-maha¯parinirva¯n:a Su¯tra
(attha).
offers a model for a hierarchy in scriptural study and under-
Earlier, at the beginning of the Common Era, the com-
standing. At the first level, one becomes “learned” in scrip-
pilation of canonical collections and the explosion of abhid-
tural study by studying all of the twelve genres (an˙ga) of
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BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
1271
scripture. Subsequently, one may study only one an˙ga—the
The beginnings of the Maha¯ya¯na commentarial litera-
vaipulya (here equivalent to Maha¯ya¯na) su¯tras. Then one
ture seem to be coterminous with the development of inde-
may study only the most subtle passages of the vaipulya sec-
pendent philosophical or dogmatic treatises (´sa¯stras). But the
tion. But one may also study only one stanza of two lines
exact dates of these events cannot be fixed with any certainty
from these su¯tras and still be learned. Last, one becomes
because an exact chronology depends in part on establishing
learned in scripture by understanding “that the Buddha
the authorship of what may be the earliest major work in the
never taught anything.” The last of these is clearly, by impli-
genre, the commentary on the Pañcavim:´satisa¯hasrika¯-
cation, the most “learned.”
prajña¯pa¯ramita¯ Su¯tra (Perfection of wisdom in twenty-five
Other statements with obvious implications for the in-
thousand lines), traditionally attributed to Na¯ga¯rjuna, whose
terpretation of texts are those dealing with the relative value
dates are equally uncertain. This work, the Maha¯praj-
of various transmissions. Perhaps the best known of these
ña¯pa¯ramita¯-upade´sa S´a¯stra (preserved only in Chinese trans-
formulations are those of the Saddharmapun:d:ar¯ıka Su¯tra
lation under the title Ta-chih-tu lun), set the tone for Chi-
(Lotus Su¯tra), which asserts that the Buddha has been in
nese exegesis, and defined some of the most important issues
nirva¯n:a eternally and denies that the Buddha ever “entered
of Buddhist exegetical and hermeneutical theory for East
nirva¯n:a,” as claimed by earlier scriptural tradition. The Lotus
Asia.
also reduces the meaning of the human lives of the Buddha
The genres of commentary and treatise flourished in
to a mere teaching device, developing the theory of “skillful
India beginning (approximately) in the fourth century of the
means” (upa¯ya) as an explanation for the competing claims
Common Era with Asan˙ga and Vasubandhu. Although the
of its own brand of Maha¯ya¯na and those of non-Maha¯ya¯na
tendency was to force the text into established scholastic
Buddhists. Other texts establish criteria for authenticity that
molds, or to use it as a pretext for the formulation of inde-
open doors to the new creative efforts of the Maha¯ya¯na. The
pendent philosophical dogmatics, commentators sometimes
Adhya¯´sayasam:codana Su¯tra, for example, establishes the well-
showed unusual sensitivity to the forms and structures of the
known principle that “whatever has been well said has been
text (e.g., Kamala´s¯ıla’s commentary on the Avikalpaprave´sa).
said by the Buddha.” Such statements are evident signs of
There was also room for the development of independent
a break with tradition and became seeds for further, perhaps
criteria and exegetical guides. A valuable example of this type
dangerously limitless, innovation.
of work is Vasubandhu’s extensive treatise on the mechanics
S´a¯stras and commentaries. In India the methodology
of the commentary, Vya¯khyayukti (preserved only in Tibetan
used in the composition of technical treatises (´sa¯stras) was
translation).
modeled on the commentarial tradition of Indian linguistics,
heavily influenced by Patañjali’s Maha¯bha¯s:ya. But the disci-
Exegetical categories. Outside of India the exegetical
plines of poetics and logic also played an important role
issue perhaps became more critical as communities lost some
in the creation of standards for the composition of com-
of the sense of continuity with the authoritative tradition of
mentaries.
the land of origins. The need for exegetical and hermeneuti-
cal principles was especially acute in China. An exegetical
As Indian technical literature evolved through commen-
schema attributed to an early scholar of Chinese Buddhism,
taries, continuity was preserved by reference to a common
Dao’an (312–385), was based on three categories that sup-
“root” text, which could be a scriptural text (su¯tra) or the
posedly reflected accurately the structure of all su¯tras: the set-
conscious work of an individual (´sa¯stra). A certain latitude
ting (nida¯na), the doctrinal and narrative core, and the trans-
for variation was allowed in the commentaries of each school
mission (par¯ında¯na). This basic schema was widely used in
of thought, but the root text was authoritative. That is, the
China (where it was known as the san-fen k’e-ching and was
commentary had to be verbally faithful to the root text and
adopted by Zhiyi (538–597) in his classical analysis of the
had to recognize its authoritative status. But the ´sa¯stras
Lotus Su¯tra, the Miaofa lianhua jing su. The schema is not
themselves required commentaries, and some of the ´sa¯stras
attested in India until later, as, for example, in Bandhuprab-
that became the object of commentaries acquired quasi-
ha’s (sixth century CE) Buddhabhu¯mi S´a¯stra, a commentary
canonical status almost equivalent to that of the su¯tras.
on the Buddhabhu¯mi Su¯tra. In practice, each of the three
The system of authoritative texts followed by authorita-
parts was itself subdivided to account for obvious and impor-
tive commentaries also produced a plethora of subcom-
tant elements of style, narrative development, and so forth,
mentaries. The hierarchy was not always well-defined and
but also to signal those passages considered core or defining
the terminology not always consistent, but it was normally
statements. The text was expected to satisfy the traditional
assumed that a su¯tra would be the object of a commentary
requirements for a definition of the audience (in the nida¯na
called a bha¯s:ya, or a more detailed gloss known as vya¯khya¯
section) and for a positive assessment of the value of the faith
or t:¯ıka¯. The root text of a ´sa¯stra, on the other hand, was often
and practice inspired by it (usually in the transmission sec-
a versified treatise written in ka¯rika¯s or mnemonic verses
tion). Other schemas, some evidently inspired by a similar
(functionally parallel to the Hindu su¯tras or prose apho-
conception, developed one or more of the three parts. For
risms), and explicated in a bha¯s:ya or vr:tti (sometimes by the
instance, the sixfold division of the introductory formula of
author of the root text).
the su¯tras (evam: maya¯ ´srutam. . .) according to the manner
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BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
proposed in the Maha¯prajña¯pa¯ramita¯-upade´sa S´a¯stra was ex-
third item summarizes the problems of Buddhist philosophi-
tremely popular among East Asian exegetes. This led to mul-
cal hermeneutics: what are the relative positions and mean-
tiple variations in the division of the text of the su¯tras, such
ings of conventional language, its Buddhist critique, and “the
as Shandao’s (613–682) threefold introduction and Zhiyi’s
silence of the sages”?
five parts of the introduction.
A better perception of the tone underlying the discus-
The most fruitful and innovative, though perhaps less
sion of these issues can be derived from representative tradi-
rigorous, strategies were those that tried to discover meta-
tional responses to the problems:
physical meanings in the structure of texts. Such was Zhiyi’s
1. The Buddhist dharma is not dependent on the historical
“twofold approach”—by way of the deep structure and by
event of S´a¯kyamuni’s enlightenment, ministry, and
way of the surface structure (pen-chi erh men) —to a text.
nirva¯n:a. Whether a Tatha¯gata arises in the world or not,
This doctrine was part of a more complex exegetical plan,
the basic teachings of Buddhism—impermanence, suf-
the four exegetical methods of the Tiantai tradition (T’ien-
fering, no-self, and liberation—remain facts of exis-
t’ai ta-ssu-shih), which brings us closer to broader hermeneu-
tence. Although the tradition initiated by S´a¯kyamuni is
tical issues. According to this doctrine, any scriptural passage
a necessary aid to enlightenment, it is (in the metaphor
can be treated from four perspectives: (1) the passage as ex-
of the Lan˙ka¯vata¯ra Su¯tra) only a finger pointing at the
pression of a particular relationship between the audience
moon. The moon is always there, waiting to be seen
and the Buddha (the circumstances determining the inten-
(whether there is a finger to point at it or not); the finger
tion); (2) the passage as embodying one of four methods of
is not the moon. Nevertheless, some Buddhists, the
teaching; (3) classification of the passage into one of the cate-
Therava¯dins, for instance, would insist on the historical
gories of absolute or relative statement; and (4) the introspec-
significance of S´a¯kyamuni’s life and ministry, and on
tive readings of the passage (guanxin). In this methodological
the close connection between exact literal meaning of
schema one can see in outline some of the salient features of
doctrinal statements and effective practice.
Maha¯ya¯na hermeneutics: contextual meaning, levels of
meaning, and meditation as a tool of understanding.
2. The diversity of teachings is not due to confusion or
B
weakness in the transmission. On the contrary, it is
UDDHIST HERMENEUTICS: THEORIES OF INTERPRETATION
proof of S´a¯kyamuni’s wisdom and compassion, of his
AND CANONICITY. In traditional terms the fundamental
questions of Buddhist hermeneutics can be classified into
ability to adapt to the needs, capacities, and dispositions
three broad categories:
of living beings. According to the Maha¯praj-
ña¯pa¯ramita¯-upade´sa S´a¯stra, his teachings were of four
1. If enlightenment (bodhi) is at least theoretically open to
types, according to their definite purport (siddha¯nta):
all (or most) sentient beings, what is the role of sacred
worldly (laukika), or surface meaning; therapeutic
words and authoritative texts? How does one distin-
(pra¯tipaks:ika), or meaning intended as an antidote to
guish the exegesis of sacred texts from the actual trans-
mental afflictions and passion; personal (pra¯tipauru-
mission or realization of the dharma?
s:ika), or meaning intended for particular individuals;
and absolute (pa¯rama¯rthika), or ultimate meaning. This
2. Since the Buddha preached in so many different ways,
second point is further complicated by the Maha¯ya¯na
adapting his language, style, and even doctrine to the
belief in multiple buddhas and in the timeless
spiritual disposition and maturity of his audience, did
sam:bhogaka¯ya (“body of bliss”) of the buddhas, which
he have a plurality of messages or did he have a single
eternally preaches in the heavens, and beyond, and is
truth to offer? If the latter, what was it, and, if the for-
seen and heard in the visions of bodhisattvas and sages.
mer, how is one to choose among his many teachings?
Other Buddhists, however, (the Therava¯dins, for in-
3. If Buddhism rejects conventional concepts of substance,
stance) emphasize canonical integrity, rejecting both the
self, possession, property, and referentiality, so funda-
doctrine of multiple meanings and the doctrine of mul-
mental to our conception of the world, is there a “higher
tiple buddhas. The Maha¯sa¯m:ghikas seem to have want-
language” that can be used to describe accurately reality
ed to forestall exegetical pluralism and protect the integ-
as seen from the point of view of enlightenment?
rity of scripture by claiming that all su¯tras have only one
explicit meaning.
From a modern perspective, one could characterize these
three problems as defining the main subfields of Buddhist
3. The above attitudes toward the sacred word are insepa-
hermeneutics: the first statement addresses issues of Buddhist
rable from Buddhist views on levels of meaning, whatev-
soteriology—the conflict between the ascetic-contemplative
er the historical or causal connections between these
ideal and the institutional realities of Buddhism, between
three problems may have been. The creation of abhid-
orthopraxy and orthodoxy. The second problem is that of
harmic technical language was the first step in separat-
Buddhist exegetical hermeneutics. Awareness of the late date
ing two orders of truth and expression. Speculation
and the diversity of “canonical” sources generates a “herme-
about the nature of the path and the state of perfect free-
neutical pluralism” that compounds the problem of deter-
dom of buddhas further contributed to a theory of levels
mining the meaning of diversity and unity in tradition. The
of meaning, since a progression in spiritual insight was
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BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
1273
taken to imply an increased capacity to penetrate behind
Which is the dharma with which they must conform? The
the words of the doctrine.
dharma of conditioned arising” (paras. 122–124).
The Maha¯ya¯na insists that the higher sphere is only em-
The principle implies, of course, that whatever agrees
bodied in the silence of the a¯ryas. The highest stage in the
with su¯tra, Vinaya, and dharma (i.e., conditioned arising)
path, and, therefore, the highest order of meaning, can only
carries authority for the Buddhist. If applied to texts this
be expressed in apophatic statements such as “appeasing all
could mean that any new creation that is perceived as a con-
discursive thinking” (sarvaprapañcopa´sama) and “cutting out
tinuation of the tradition (secundum evangelium, as it were)
all doctrines and practices” (sarvava¯dacaryoccheda). Still, all
could have canonical authority. Indeed, the Maha¯ya¯na used
traditions, including the Maha¯ya¯na, develop a language of
it in just this way to justify the development and expansion
the sacred (whether or not it is directly inspired by abhidhar-
of earlier teachings. Therava¯dins, on the other hand, would
mic path theories), for it is necessary to explain holy silence
understand the broad definitions of the Nettippakaran:a as
in order to lead living beings to it. Thus, the culmination of
references to the letter of the canon, not to its spirit. Ulti-
this sort of speculation comes with the recognition that lan-
mately, then, the issue remained one of setting the limits of
guage, with all its limitations, is an important vehicle for sal-
the interpretability of scriptural tradition.
vation: language is upa¯ya (e.g., in the Ma¯dhyamika treatises,
What then is buddhavacana? The Nettippakaran:a pas-
the Lan˙ka¯vata¯ra, and the Tantras).
sage epitomizes the Buddhist tendency to use philosophical
Criteria of authenticity. Early concepts of orthodoxy
rather than historical arguments for authority. But the three
were based on doctrines of confirmation or inspiration, rath-
tests do not form a complete system of criteria for textual au-
er than on a literal definition of “the word of Buddha” (budd-
thenticity. In the canonical versions they seem to refer to
havacana). A disciple could preach, then receive the Bud-
statements of doctrine and appeals to authority, not to texts.
dha’s approval, or the authority of his words could be
Most certainly if they were meant to constitute a system for
implicit in the Buddha’s request or inspiration. Although it
establishing canonical authenticity their value would be lim-
may seem difficult to have maintained this fiction when the
ited, if not totally inexistent, for as tests of canonical authori-
Buddha was no longer living among his followers, Buddhists
ty the first (and original) two criteria would be tautological.
did not always see things this way. Since the dharma is, after
One must accept that the teaching on the “four appeals to
all, the Buddha’s true body, and since it exists whether or not
authority” was originally a method for determining ortho-
there is a human Buddha to preach it, one could assume that
doxy, not a criterion of authenticity. Still, since Buddhist no-
the preaching of dharma would continue after his death. This
tions of the “word of Buddha” were elastic, the principle
justification formed part of the context for the proliferation
must have been ambiguous. That is to say, the circularity of
of texts and the elasticity of concepts of canonical authentici-
the argument that “a genuine su¯tra is one that agrees with
ty. It may also explain in part why the abhidharma and, later,
the su¯tra” may not be so obvious in the context of Buddhist
the commentarial literature achieved such a prominent role
notions of canonicity—at least in the early stages in the for-
in the development of Buddhist doctrine.
mation of the corpus of scriptures.
Such flexibility does not mean, however, that no at-
Some Buddhists, the Maha¯ya¯nists in particular, came to
tempt was made to establish criteria or rules for determining
consider “agreement with the su¯tras,” rather than “inclusion
the genuineness of any particular statement of doctrine. The
in the Su¯tra Pit:aka,” the ultimate test of authority. Thus, in
Maha¯padesa Suttanta of the D¯ıgha Nika¯ya (and its parallel
China a distinction is made between, on the one hand,
in the An˙guttara Nika¯ya and in the A¯gamas) recognizes four
pseudepigrapha, or “spurious su¯tras” (weijing) that are never-
possible ways of appealing to or arguing on the basis of au-
theless “canonical” (that is, in agreement with the spirit of
thority: one may appeal to the authority of the Buddha, a
the dharma and therefore to be accepted in the canon) and,
community of monks, several elders, or a single elder. The
on the other, those su¯tras that are “false” (that is, in conflict
validity of these appeals and their potential sources of author-
with established Buddhist teaching) and therefore to be ex-
ity, however, must be confirmed by comparing the doctrinal
cluded from the canon. Both types of su¯tra are not “genuine”
statements attributed to these persons against the “su¯tra” and
only when contrasted to the “original” su¯tras composed in
the “Vinaya.”
India (which were themselves obviously much later than the
time of the Buddha). Thus, given the history of the canon
The Sanskrit recensions of the Maha¯pade´sa Su¯tra add
and the broad definition of “authoritative su¯tra” current
a third criterion: statements of doctrine must conform “to
among all Buddhists, it must have been difficult to find any
the reality or nature of things” (dharmata¯). The same expan-
good reason for excluding a text only on historical grounds—
sion is found in Pali literature in the Nettippakaran:a, where
to say nothing of establishing those grounds.
the principles are actually applied to the analysis and evalua-
tion of particular texts, and the three criteria are summarized
Interpretation. Three major sets of principles become
in very suggestive language: “Which is the su¯tra with whose
central to the latter development of Buddhist hermeneutics.
approach [phrases and words] must agree? The four noble
These are the “four reliances” or strategies for understanding
truths. Which is the Vinaya in which they must be seen? The
a text; the “four types of intentional and metaphoric lan-
Vinaya restraining covetousness, aversion, and delusion.
guage;” and the “four modes of reasoning.” Since the last of
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these three doctrines falls more under the rubric of philoso-
in combating unhealthy actions or states of mind), and meta-
phy, we shall omit it from this discussion.
phorical intention (where the meaning is not the literal
meaning, and often is paradoxical in character; e.g., referring
Authority and interpretation. The problem of establish-
to a virtue as a vice).
ing criteria of interpretation cannot be completely separated
from that of the hierarchy of authority. The interaction of
The concept of intentional speech brings to mind the
both spheres of hermeneutics is seen clearly in the doctrine
third of the four points of reliance and the third principle
of the four “points of reliance” (pratisaran:a). This doctrine
of Tiantai exegesis. The common problem in these doctrines
is found in several Maha¯ya¯na versions, the most popular of
is best expressed by the classical theory of the two levels of
which is the Pratisaran:a Su¯tra, a text no longer preserved in
meaning: the implicit or interpretable meaning (neya¯rtha)
the original Sanskrit except in quotations. According to this
and the explicit or self-evident meaning (n¯ıta¯rtha). This is
text there are four criteria of interpretation: (1) relying on
perhaps the most important doctrine of Buddhist hermeneu-
the nature of things (dharma), not on the opinion of a per-
tics. Under this doctrine, passages or complete texts can be
son; (2) relying on the meaning or purport (artha) of a text,
taken at face value as statements of the “ultimate” teaching
not its letter; (3) relying on those passages that explicitly ex-
of the Buddha or they can be understood as teachings
press the higher doctrine (n¯ıta¯rtha), not on those that do not
preached in response to provisional or individual needs, and
express it explicitly; and (4) understanding by intuitive real-
hiding the core teacher under the textual surface, which then
ization (jña¯na), not by conceptual thought (vijña¯na).
requires interpretation or clarification. If a passage is consid-
ered to be of the first type, then it is in no need of further
Some of these principles are restatements of the Bud-
elucidation. Its meaning (artha) has already been brought
dhist tendency to emphasize personal realization as the ulti-
out (n¯ıta) by the text itself. If a passage belongs to the second
mate source of understanding. But this tendency is not with-
group, then the higher meaning can be found only through
out significant implications for a theory of shared or
interpretation. It must be brought out (neya) from under-
communicable meaning. A su¯tra now lost in the original
neath the surface meaning, so to speak.
Sanskrit but preserved in Chinese and Tibetan translations,
the Adhya¯´sayasam:codana Su¯tra, says, “whatever is well spo-
Only the Maha¯sa¯m:ghikas seem to have rejected this dis-
ken [subha¯s:ita], has been spoken by the Buddha.” This is per-
tinction, claiming that all words of the Buddha mean what
haps the most extreme formulation of the Maha¯ya¯na’s view
they literally mean, and therefore need no interpretation.
of the historical roots of its traditions. The system, neverthe-
But this extreme position was rejected by other schools, in-
less, is not totally open, for implicit in it are the earlier no-
cluding the more conservative Sthaviras (Therava¯dins,
tions of the meaningfulness and appropriateness of the words
Sarva¯stiva¯dins, etc.).
of the Buddha (and by extension, of scripture). Conversely,
This hermeneutical schema is closely related to the doc-
then, “whatever is spoken by the Buddha has been well spo-
trine of the two levels of truth, the relative or conventional
ken” (as stated, for instance, by King A´soka in his Bha¯bra¯
sam:vr:tti and the absolute or ultimate parama¯rtha, arguably
Rock Edict). Therefore, all passages of scripture must be
first developed in the Ma¯dhyamika school. But the funda-
meaningful—as well as agreeing with the dharma and lead-
mental distinction in the case of implicit and explicit mean-
ing to liberation. But it is not always apparent that scripture
ing is between modes of intention and meaning, rather than
meets these standards. It is not evident that scripture speaks
between levels of reality. The point at issue is not whether
with one voice. The interpreter must therefore explain the
the words of the text are the ultimate truth (they are not),
hidden meanings that reveal the underlying unity of inten-
but whether or not they point directly and unambiguously
tion in scripture, whatever may be the grounds for its authen-
to it.
ticity.
Upa¯ya. Also central to Maha¯ya¯na understanding of the
Types of intention. In his major works, Asan˙ga mentions
religious text is the concept that all forms of discourse are ul-
several methods of understanding that can be applied to
timately sam:vr:tti-satya (or at best a lower level of
scripture. Among these, the four types of explicit intention
parama¯rtha). This is based on both a radical critique of lan-
and the four types of implicit intention suggest the outlines
guage (as in the Ma¯dhyamika doctrine of “emptiness”) and
of a hermeneutical theory. Implicit or contextual meanings
a revaluation of language as a means to an end. In the case
(abhipra¯ya) appear to be alternatives for decoding a pas-
of religious language, the end is liberation—the ultimate
sage—words intending an analogy, words intending another
purpose and the ultimate meaning of all religious discourse.
time frame, words intending a shift in referent, and words
On the lips of the enlightened speaker, language becomes a
intended only for a specific individual. The four types of hid-
“skillful means” (upa¯ya), pointing at or eliciting (udbha¯vana¯)
den intention (abhisam:dhi) show another aspect of the pro-
realization of the goal. The doctrine finds mythological ex-
cess of decoding the sacred text: introductory hidden inten-
pression when it is stated that the Buddha’s preaching always
tion (where the meaning is relevant only for the beginner),
conforms to the aspirations and maturity of his audience and
metaphysical hidden intention (where the meaning is a state-
that his pronouncements are instruments to guide sentient
ment on the nature of reality), therapeutic hidden intention
beings, not propositions expressing absolute truth. The reli-
(where the meaning is realized by following the instructions
gious text is upa¯ya in at least three ways: it is a compassionate
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BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
1275
concession to the diversity, aspirations, and faculties of sen-
first type of meaning is shared by those on the path and those
tient beings; it is an instrument to be used in attaining the
who have not entered it. The second type is shared by the
goal; and it is the expression of the liberating techniques of
Maha¯ya¯na and the Tantra (specifically those in the “initial”
the Buddha.
or utpatti stage). The third type is open only to those in the
first three stages of the fivefold higher path. The last level of
Hermeneutics in the Tantras. Tantric hermeneutics
meaning is open only to those who have advanced to the
presupposes Maha¯ya¯na hermeneutics. Among other
fourth and fifth stages.
Maha¯ya¯na principles, it accepts the four reliances and
Asan˙ga’s eight types of intention. Of course, Tantric theories
This schema is a subtle application of the basic principle
of interpretation also retain the fundamental distinction be-
of the explicit and the interpretable meanings. One must
tween implicit and explicit meaning. However, the intention
note, however, that in Tantric exegesis a single text or passage
is now clearly determined by the context of Esoteric prac-
can be both n¯ıta and neya, depending on the receptor of the
tices. Thus we find again the close connection between inter-
message. This entails not only a complex hermeneutics, but
pretation and religious practice that characterizes much of
also the possibility that the so-called direct meaning (n¯ıta)
Buddhist hermeneutics and that is also evident in scholastic
of one level requires interpretation (i.e., is neya¯rtha) for those
speculations on the path (as in the abhidharma); but here
who are at another level of the path.
orthopraxy becomes central to textual interpretation. Here
too, the traditions consider that the “root” text (mu¯latantra)
Progressive revelation. The Tantric hermeneutical
requires an explanation (a¯khya¯natantra), but as each text and
schema manifests, even more transparently than earlier theo-
school has specific practical contexts it is never assumed that
ries, one of the basic assumptions of Buddhist views of mean-
a given hermeneutical scheme can be applied to all texts.
ing: meanings (and “truths”) are a function of the audience
as much as, or more than, a function of the intention of the
The Tantric Candrak¯ırti (c. 650 CE) explains in his
author. If this principle is extended into the cosmic or histor-
Prad¯ıpoddyotana¯ the basic principles of his school’s herme-
ical dimension, then new hermeneutical concepts can be de-
neutical system as applied to the Guhyasama¯ja Tantra. He
rived from the doctrine that the Buddha can preach simulta-
explains this “root” text by means of seven analytic proce-
neously to various assemblies of celestial bodhisattvas, adapt
dures called “ornaments” or “preparations” (saptaalam:ka¯ra).
his teaching to the needs and faculties of diverse living be-
All seven are used directly or indirectly to bring out the
ings, or preach only one message (in words or silence) yet be
meaning of the text in interpretation or practice, but only
understood in different ways. This doctrine, applied to the
two sets appear to bear directly on the issue of interpretation,
historical reality of the conflict of authorities, transmissions,
being at the same time exegetical topics, hermeneutical tools,
and interpretations, provides reasons, albeit ex post facto, for
and levels of meaning. These are the six alternative interpre-
choosing and justifying any particular version of the many
tations of the meaning of words in a passage (s:at:kot:ikam:
“teachings of the Buddha.”
vya¯khya¯nam; Tib., mtha’ drug or rgyas bshad mtha’ rnam pa
drug), and the “fourfold explanation” (caturvidham
The turnings of the wheel. In context, statements about
a¯khya¯nam; Tib., tshul bzhi or bshad pa rnam pa bzhi).
relative teaching and ultimate teaching are more sectarian
and polemical in spirit than their mere abstract formulations
The six alternatives (with slight alterations to the order
suggest. When a text states that all teachings of the Buddha
of the original) are: (1) standard terms used in a literal sense
are only skillful means or empty sounds there is always a con-
(yatha¯ruta); (2) nonstandard or nonnatural terms (aruta or
flicting claim to the ultimate validity of the text’s own inter-
na yatha¯ruta; i.e. esoteric jargon); (3) implicit meaning re-
pretation of the “one true teaching” underlying the “provi-
quiring interpretation (neya¯rtha); (4) explicit or evident
sional teachings.” This is evident in all the classical
meaning (n¯ıta¯rtha); (5) intentional or metaphoric lan-
statements—the Lotus Su¯tra, the Lan˙ka¯vata¯ra Su¯tra, the
guage (sam:dhya¯ya bha¯s:itam, sam:dhya¯ bha¯s:a¯); and (6) non-
Sam:dhinirmocana Su¯tra, and others. In some of these texts
intentional language (no sam:dhya¯). Western scholars are not
we see attempts to formulate a historical argument in favor
in agreement as to the hermeneutical function of this “orna-
of doctrinal claims. The Buddha, the argument goes,
ment,” but the Tibetan tradition considers the six alterna-
preached in two (or three) major periods that divide his min-
tives an integral part of the interpretation theory unique to
istry as to location, audience, and depth of the teaching.
Tantra.
These major divisions in the Buddha’s ministry are called
The “fourfold explanation,” on the other hand, is gener-
“turnings of the wheel of dharma.” According to the most
ally accepted as a hermeneutical schema. In this case
widely accepted doctrine (as presented in the
Candrak¯ırti makes an explicit connection between levels of
Sam:dhinirmocana Su¯tra), there were three “turnings”: the
meaning and the stages of spiritual growth (particularly ac-
Buddha first preached the H¯ınaya¯na teachings in Deer Park
cording to the schema of utpattikrama and sampannakrama,
in Banaras. Then he preached the doctrine of “emptiness”
the latter being divided into five stages or pañcakrama). The
(i.e., the Ma¯dhyamika teachings) at Vulture Peak in
four explanations are: (1) literal, surface, or natural meaning
Ra¯jagr:ha. Last, he preached, in the same place but when his
(aks:ara¯rtha); (2) shared meaning (samasta¯n˙gam); (3) hidden
disciples were more mature, the doctrine of “mind-only”
(garbh¯ı) meaning; and (4) ultimate (kolikam) meaning. The
(i.e., the Yoga¯ca¯ra doctrines).
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There is, of course, a Ma¯dhyamika version of this story
nonical prophecies on the decline of the dharma, and indi-
in which the third turning is in fact that of emptiness and
rectly from changing historical circumstances themselves.
the second the “idealistic” doctrine of the Sam:dhinirmocana
Su¯tra. There is also a late Tantric version that adds a fourth
Zen demythologization. A different form of adapta-
turning: the revelation of Mantraya¯na at Dha¯nyakat:aka.
tion, responding nevertheless occasionally to the issue of the
Nevertheless, the scriptural weight of the Sam:dhinirmocana
“decay” of dharma, was the Chan (Zen) emphasis on a “re-
was such that the scholastics could not ignore its clear state-
turn” to orthopraxy. Here the general four principles of the
ment. Thus, Tsong kha pa (1357–1419), in his Legs bshad
Adhya¯´sayasam:codana are used in their most extreme forms.
snying po, goes through the most subtle arguments to show
Partially inspired by Chinese interpretations of the
that the su¯tra’s ordering of the turnings does not imply a
Ma¯dhyamika critique of language, partially moved by Daoist
privileged position for the doctrine of mind-only.
rhetoric, this was a movement that emphasized “ultimate
meaning,” “direct experience,” and “freedom from words” to
The formulation of pseudohistorical apologetics and
the point of appearing—if not becoming—iconoclastic. One
hermeneutical strategies became popular in China. The Indi-
can understand the movement as a process of adaptation of
an schema of the Three Turnings was adopted in the schools
foreign ideas by demythologization (or, arguably, re-
of Sanlun and Faxiang, while others developed autonomous
mythologization), assisted by the deconstructive tendencies
systems: Huayan and Niepan (The Teachings of the Five Pe-
built into Buddhist hermeneutical doctrines.
riods) and Tiantai (The Eight Teachings in Five Periods).
The last of these, a synthesis created by the Tiantai monk
The basic object of meditation, the gong’an (Jpn., ko¯an),
Zhanran (711–782), divided and interpreted the scriptures
stands for the sacred utterance of enlightened beings, an
according to the four types of doctrine used in the Buddha’s
upa¯ya, a finger pointing at the moon, and the embodiment
preaching (huafa: the doctrines of the tripit:aka, the common
of different aspects of the putatively single realization com-
doctrines, the special doctrines, and the perfect or complete
mon to all buddhas. This is, after all, a tradition that claims
doctrine) and his four teaching styles (huayi: direct, gradual,
“a transmission outside the scriptures, not relying on words.”
secret, and indeterminate or variable). These eight forms of
Nevertheless, the Chan (Zen) tradition continues, in its ko¯an
teaching were used in different proportions and combina-
collections, the Buddhist predilection for the classification
tions during five periods (wushi) in the Buddha’s ministry:
and collection of words “well spoken.” Furthermore, these
the Buddha¯vatam:saka cycle, the Deer Park cycle, the Vaipu-
collections, like the ancient su¯tras, require commentaries,
lya cycle, the Prajña¯pa¯ramita¯ cycle, and the cycle of the Lotus
and in them Chan also revives, albeit in a new form, the ten-
and Nirva¯n:a su¯tras.
dency to develop numerical frames of reference. The Jen-t’ien
yen-mu (compiled by Zhizhao, 1188 CE) contains a number
This is traditionally taken to imply that a given passage
of classificatory systems that can be understood as either
or statement can have multiple levels of meaning. But the
guides to meditation or hermeneutical grids to interpret the
function of these “classifications of the teachings” (jiaopan)
student’s progress in practice. Many of these “matrices” re-
was apologetic as well as hermeneutic. The method served
main in use today. For instance, the elusive teachings of Linji
as much to establish the preeminence of a particular school
Yixuan (d. 867 CE) are presented in formulas such as “Linji’s
as to make sense of the diversity of teachings.
Three Phrases,” extrapolated from his Linji lu (Recorded say-
The ages of the dharma. A parallel development, based
ings). Modern Zen masters still study the “Eighteen Ques-
on Indian scriptures but characteristic of East Asian Bud-
tions of Fenyang” (Fengyang shih-pa wen), a terse guide to
dhism, is the doctrine of the “Latter Age of the Dharma”
the various ways one can “handle” (treat, investigate, and an-
(Chin., mofa; Jpn., mappo¯). The use of this doctrine as a her-
swer) a ko¯an, devised by the Song dynasty master Fenyang
meneutical device consists in proposing that changes in his-
Shanzhao (947–1024). Also central to modern-day practice,
torical circumstances require a different interpretation of the
and outlined in the Jen-t’ien yen-mu, are the “Five Ranks”
tradition or a new definition of orthopraxy. This doctrine de-
(wuwei) of Dongshan (910–990) and Caoshan (840–901).
veloped in China during the turbulent sixth century CE,
One can see in these schemas a certain parallel to the tech-
which culminated in the persecutions of 574 and 578 and
niques of abhidharma.
led many Buddhists to believe they were living in the last
However, Zen also preserves the opposite Buddhist ten-
days of the Buddhist dharma.
dency, best represented by the teachings of the Japanese mas-
Daochuo (562–645), for instance, believed that the
ter Do¯gen Kigen (1200–1253). Do¯gen echoes a particularly
“difficult” practices that were at the heart of traditional Bud-
novel interpretation of the doctrine of “whatever is well spo-
dhist ascetic and contemplative discipline had become mean-
ken” in his writings on su¯tra (Sho¯bo¯genzo¯; “Okyo¯” and
ingless in the “Latter Age.” He therefore proposed that the
“Do¯toku”): all things are su¯tras, in all things is manifested
scriptures prophesying this age justified a new dispensation
the enlightenment of the buddhas of all times. This vision,
that would only require the “easier” practices of Pure Land
inspired by the Buddha¯vatam:saka Su¯tra, also raises the ques-
devotion. Matching Indian prophecies on the future of the
tion of how this “su¯tra,” which is found in all things, can be
Buddhist religion with his historical circumstances, he felt he
opened, read, and understood. The Zen tradition of Do¯gen
could derive the authority for doctrinal change from the ca-
has tended to find the answer in silent meditation.
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BUDDHIST BOOKS AND TEXTS: EXEGESIS AND HERMENEUTICS
1277
Do¯gen also summarizes much of what is characteristic
dhism” doctrine (Hihan Bukkyo¯). Developed by a small
of the Zen view on interpreting the tradition in a few terse
group of Japanese scholars in the last decades of the twentieth
lines in his Gakudo¯yo¯shinshu¯: reliance on scripture only leads
century, the movement appeared at times to hide an apolo-
to confusion, to projecting one’s own preferences on the text.
getic favoring a philosophical and scholastic reading of the
The only way to correct understanding is by divesting oneself
tradition based on Madhyamaka principles. The movement
of the self.
has remained primarily an intellectual curiosity. Some West-
ern scholars, on the other hand, have made a few faint incur-
Other approaches to Zen practice are not necessarily as
sions into a postmodern reading of Buddhist thought; but,
distant as they seem from Dogen’s deceptively simple recom-
again, without persuading most of their colleagues, and cer-
mendation. Traditional Chinese and Japanese classifications
tainly with, so far, a very limited impact, or no influence, on
and methods of “handling” or “studying” ko¯an were system-
their Asian colleagues. It is too early to predict in which di-
atized by Hakuin Ekaku (1686–1768) and his disciples. The
rection living Buddhist interpretive practices will move in
resulting system of ko¯ans (five levels of miscellaneous ko¯ans,
the near future.
plus the five goi ko¯ans, and the Ten Precepts) has all the
marks of Buddhist catechistic instincts; Hakuin himself, in
SEE ALSO Buddhism, Schools of, article on Maha¯ya¯na
his essay “Goi ko¯ketsu” in the Keiso¯ dokuzui, established
Philosophical Schools of Buddhism; Buddhist Philosophy;
exact correlations between some of these stages and Indian
Hermeneutics; Language, article on Buddhist Views of Lan-
scholastic categories. Still, the system also emphasizes the
guage; Treasure Tradition.
quest for meaning in practice and a gradual detachment from
doctrinal conceptions, as well as from meditation experi-
BIBLIOGRAPHY
ences. The crowning piece of the system, the last ko¯an (mat-
Bharati, Agehananda. “Intentional Language in the Tantras.”
sugo no ro¯kan) asks the disciple to reflect on the meaning of
Journal of the American Oriental Society 81 (1961): 261–270.
“completing” a system of ko¯ans—that is, what should be the
Interpretation of the meaning of sam:dhya¯ bha¯s:a¯.
last question, once the adept has answered all questions?
Bond, George D. “Word of the Buddha”: The Tipit:aka and its In-
Hermeneutics and apologetics. All Buddhists tend,
terpretation in Therava¯da Buddhism. Colombo, Sri Lanka,
even today, to claim a certain immunity from history, partly
1982. This is a survey of Therava¯da theories of exegesis,
based primarily, but not exclusively on the Nettippakaran:a.
justified by the emphasis on the presence of dharma in all
things and all times, by the plurality of buddhas, and by the
Buddhada¯sa. “Everyday Language and Dhamma Language.” In
obvious diversity and plasticity of the tradition. When first
Toward the Truth, edited by Donald K. Swearer, pp. 56–86.
faced with historical criticism, coming from non-Buddhists
Philadelphia, 1971. A modern Therava¯da view on levels of
language.
such as Tominaga Nakamoto (1715–1746) in his Shutsujo¯
ko¯go (1745), some Japanese Buddhists (e.g., Murakami
Cabezón, José I. “The Concepts of Truth and Meaning in the
Sensho¯ [1851–1929] in Bukkyo¯ to¯itsu ron) readily admitted
Buddhist Scriptures.” Journal of the International Association
that the Maha¯ya¯na scriptures could not be the ipsissima verba
of Buddhist Studies 4 (1981): 7–23. Deals mostly with
of the Master. They based the orthodoxy of their tradition
Maha¯ya¯na views of levels of truth and meaning.
on concepts outlined above: the unity of the spirit, consisten-
Chappell, David W. “Introduction to the E T’ien-t’ai ssu-chiao-i’.”
cy in the goal, and the development of “skillful means.”
Eastern Buddhist, new series 9 (1976): 72–86. Although this
Some, for instance, Maeda Eun (1855–1930), also appealed
paper is a survey of the content and history of a Tiantai scho-
to the doctrine that all teachings are implicit in the one, orig-
lastic manual, much of the discussion centers on the nature
of Tiantai hermeneutical schemata.
inal, and ineffable teaching. The concept of levels of meaning
is also used to preserve some form of religious discourse while
Doherty, Gerald. “Form is Emptiness: Reading the Diamond
claiming that the ultimate is beyond language and history.
Sutra.” Eastern Buddhist, n. s. 16 (1983): 114–123. A bold
Maha¯ya¯na Buddhists continue to appeal to these principles,
analysis of this famous su¯tra from the point of view of decon-
relying fundamentally on the ancient apologetic and her-
structive theory.
meneutic strategies outlined in this article. The Therava¯da
Gregory, Peter N. “Chinese Buddhist Hermeneutics: The Case of
tradition, on the other hand, tends to build its hermeneutics
Hua-yen.” Journal of the American Academy of Religion 51
on the reaffirmation of its conviction that its canon contains
(1983): 231–249. On the philosophical presuppositions of
the words of the Buddha.
Huayan hermeneutics.
Ishizu Teruji. “Communication of Religious Inwardness and a
Buddhist hermeneutics and Western thought. At
Hermeneutic Interpretation of Buddhist Dogma.” In Reli-
present, Buddhists in Asia tend to argue for their interpreta-
gious Studies in Japan, edited by the Nihon Shukyo Gakkai,
tions of traditional doctrines and texts using one or another
pp. 3–21. Tokyo, 1959. This paper is a good example of an
of the above strategies. Attempts to develop or adapt more
extreme ahistorical view on the meaning of Buddhist doc-
contemporary notions of hermeneutic theory or practice are
trines.
generally rare. An interesting exception to this generalization
Lamotte, Étienne. Sam:dhinirmocana Su¯tra: L’explication des
is the adoption of positivistic notions of textual integrity and
mystéres. Louvain, Belgium, 1935. Translation of one of the
authenticity in a movement known as the “critical Bud-
most important sources for the doctrine of the Three Turn-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1278
BUDDHIST ETHICS
ings and the distinction of explicit and implicit meanings.
rality as well as styles of moral reasoning that have emerged
Lamotte also translated the first and most important half of
in Buddhist traditions. Moral reflection has taken various
the Maha¯prajña¯pa¯ramita¯-upade´sa-´sa¯stra as Le traité de la
forms in Buddhist civilizations, beginning with Buddhism’s
grande vertu de sagesse, 5 vols. (Louvain, Belgium, 1944–
origins in South Asia two and a half millennia ago to its grad-
1980). This work is attributed to a Maha¯ya¯nist Na¯ga¯rjuna,
ual spread across most of Asia through very diverse cultural
who was evidently trained in the Sarva¯stiva¯da tradition. La-
contexts. While several patterns in moral thinking broadly
motte also has two studies on questions in Buddhist herme-
shared by most or all forms of Buddhism may be suggested
neutics: “La critique d’authenticité dans le bouddhisme,” in
Indian antiqua, edited by F. D. K. Bosch, pp. 213–222 (Lei-
at the outset, deeper investigation must attend to particular
den, 1947); and “La critique d’interprétation dans le boudd-
expressions of Buddhist ethics in their historical and contex-
hisme,” Annuaire de l’institut de philologie et d’histoire orien-
tual diversity.
tales et slaves, vol. 9: Mélanges Henri Grégoire, pp. 341–361
ENDURING PATTERNS ACROSS BUDDHIST TRADITIONS.
(Brussels, 1949).
From one perspective, Buddhist moral theorists are con-
Lopez, Donald S., Jr. Elaborations on Emptiness: Uses of the Heart
cerned with actions (karma), which are deemed to determine
Su¯tra. Princeton, 1996.
one’s future experiences in this and future lives in the round
Lopez, Donald S., Jr., ed. Buddhist Hermeneutics. Honolulu,
of rebirths (sam:sa¯ra). Actions that are prompted by virtuous
1988.
and discerning intentions yield beneficial results both in this
MacQueen, Graeme. “Inspired Speech in Early Maha¯ya¯na Bud-
life and in the next. Conversely, actions that are rooted in
dhism.” Religion 11 (1981): 303–319; 12 (1982): 49–65. An
exploration of the importance of pratibha¯n:a for Maha¯ya¯na
bad states of mind—in particular, greed, hatred, and delu-
notions of canonical authenticity.
sion—are harmful to self and others and thus result in unfor-
Ña¯n:amoli, Bhikkhu, trans. The Guide. London, 1962. A transla-
tunate rebirths for those who commit them. This concern
tion of Kacca¯yana’s Nettippakaran:a, the classical Therava¯da
with action and its consequences is reflected in a list of basic
manual of exegesis. The attribution of this work to
norms known as the “five precepts” (´s¯ıla), to which Bud-
Kacca¯yana, the Buddha’s disciple, has been questioned by
dhists often commit formally in religious ceremonies; these
modern scholarship.
prohibit taking life, theft, sexual misconduct, false speech,
Pye, Michael, and Robert Morgan, eds. The Cardinal Meaning:
and the consumption of intoxicants. More positively, Bud-
Essays in Comparative Hermeneutics; Buddhism and Christian-
dhists have looked for moral guidance to the noble eightfold
ity. The Hague, 1973.
path, which, in addition to describing key elements of wis-
Ray, Reginald. “Buddhism: Sacred Text Written and Realized.”
dom and contemplation crucial for the soteriological path,
In The Holy Book in Comparative Perspective, edited by Fred-
also articulates a positive description of ideal moral conduct
erick M. Denny and Rodney L. Taylor, pp. 148–180. Co-
in terms of right action, right speech, and right livelihood.
lumbia, S.C., 1985
Such descriptions enjoin truthfulness and nonviolence as de-
Schoening, J. D. “Sutra Commentaries in Tibetan Translation.”
fining “right” practice.
In Tibetan Literature: Studies in Genre, edited by José I. Ca-
bezón and Roger R. Jackson, pp. 118ff. Ithaca, N.Y., 1996.
The emphasis on actions, however, should not obscure
Steinkellner, Ernst. “Remarks on Tantristic Hermeneutics.” In
the intensive interest Buddhist thinkers have taken in the vir-
Proceedings of the Csoma de Kofrös Memorial Symposium, ed-
tues and dispositions that produce them. Since Buddhists lo-
ited by Louis Ligeti, pp. 445–458. Budapest, 1978. Outline
cate moral culpability in intention and volition rather than
of some aspects of Candrak¯ırti’s exegetical and hermeneuti-
solely in the action itself, the operations of moral choice are
cal theory.
central to ethical reflection. Buddhism offers a close analysis
Thurman, Robert A. F. “Buddhist Hermeneutics.” Journal of the
of mind, investigating the emotions, dispositions, and ten-
American Academy of Religion 46 (1978): 19–39. This is an
dencies that drive our action and shape the world. Early Bud-
outline of the principles of Buddhist hermeneutics based on
dhism produced a very sophisticated moral psychology called
the Legs bhsad snying po, a work translated by Thurman as
abhidharma, which articulated an analysis of the constituents
Tsong Khapa’s Speech of Gold in the Essence of True Eloquence
of the mind and their relationships that are crucial for the
(Princeton, 1984).
development of virtuous dispositions. This moral psycholo-
Wayman, Alex. “Concerning Sam:dha¯-bha¯s:a¯/sam:dhibha¯s:a¯/
gy, as well as other discourses on the mind, assert that the
samdhya¯ bha¯s:a¯.” In Mélanges d’indianisme à la mémoire de
key to developing moral character is to replace negative and
Louis Renou, pp. 789–796. Paris, 1968. Summarizes much
of the debate on this technical term. Wayman’s own thesis
harmful mental states and emotions with positive and other-
was developed further in “Twilight Language and a Tantric
regarding mental states.
Song,” in his The Buddhist Tantra (London, 1973),
In many traditions of Buddhism, meditation practices
pp. 128–135.
are deployed to generate beneficial emotions and disposi-
LUIS O. GÓMEZ (1987 AND 2005)
tions, providing practitioners with techniques that allow
them to “abide” in particularly morally efficacious states, in
particular, compassion (trembling at and allaying the distress
BUDDHIST ETHICS. Buddhist ethics is a term of
of others), loving kindness (seeking the happiness of others),
convenience that we may use here to describe systems of mo-
sympathetic joy (celebrating others’ success), and equanimity
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BUDDHIST ETHICS
1279
(acquiring impartiality). By developing through introspec-
upon a long and arduous spiritual journey across many lives
tion and contemplation one’s mental culture one becomes
as a bodhisattva in which he masters ten “perfections”—
sensitive to one’s emotional life and can then change habitual
generosity, the precepts of morality (´s¯ıla), renunciation, wis-
and harmful states of mind. Thus one cultivates a developed
dom, effort, patience, truth, resolution, loving-kindness, and
moral subjectivity, a new awareness of oneself as a moral
equanimity. The dénouement of this moral and religious
agent.
quest culminates in his “awakening” (bodhi, or nirva¯n:a) in
For example, a meditation practice widely attested in di-
his life as Siddha¯rtha Gautama and his establishing of the
verse Buddhist traditions aims to cultivate loving kindness
dharma in our era. Buddhists admire this image of human
towards others (including enemies) through the“mother con-
perfection and hold it up as a model for contemplation on
templation.” This meditation involves reflecting upon the
the Buddha’s qualities and the narrative contexts in which
nature of the endless chain of rebirths, wherein we have all,
his character was forged. Morality here is envisioned not as
given the vast infinity of time in sam:sa¯ra, been related to one
a matter of simply adhering to duties and obligations to
another in previous lives. In beginning the contemplation,
avoid wrong action, but as aiming ever upwards in develop-
one should consider the tender ministrations of one’s mother
ing one’s character and virtue.
when one was an infant in this life. Tsong kha pa (1357–
Since the Buddha, as fully awakened, is no longer acces-
1419), an important Tibetan authority on meditation and
sible as a living guide, one may turn to other resources for
morality, describes this recollection:
community support of one’s moral development. In many
The first thing I did was take a long period in her
forms of Buddhism, the best place to find a good friend is
womb. Thereafter, in the time of my rearing, my
the monastic community (sam:gha), a group of men and
downy baby hair pressed against her warm flesh. Her
women dedicating their lives to the religious quest in cooper-
ten fingers gave me recreation. She suckled me with the
ation with others. They are governed by the monastic code
milk from her breast. With her mouth she fed me. My
(vinaya), which functions as a normative guide for an ideal
snivel she wiped from my mouth. Wiping away with
community. The monastic discipline and its commentaries
her hand my filth, she succored me wearilessly by di-
comprise critical ethical reflection in considering how this
verse means. Moreover, my own capacity falling short,
community works together harmoniously, how it garners
she gave me food and drink in the time of hunger and
through its exemplary behavior the support of lay Buddhists,
thirst; clothes when I shivered; money when I was
“broke.” (Wayman, 1991, p. 47)
and how it deals with breaches in its code of conduct. In its
scholastic exegesis on discerning the criteria for determining
In the practice one considers one’s incapacity and vulnerabil-
culpability in violations of the monastic rules, the vinaya lit-
ity as an infant and the crucial acts of care that one’s mother
erature produces a legalistic style of ethical reasoning that
(or other caregiver) rendered. Such reflections create a sub-
carefully parses the nuances of action and intention.
jectivity of gratitude and loving appreciation for one’s par-
ent. From these contemplations, the practice is extended to
Philosophical doctrines about the nature of personhood
consider that all beings have at one time been one’s mother
are also crucial to Buddhist moral thought. Buddhists deny
and have partaken in this role of caregiving and generosity.
any notion of a permanent, autonomous selfhood or soul
Thus, it would be unbecoming to harbor angry or hostile
that withstands the changes to which all things in sam:sa¯ra
thoughts against so-called enemies now, and instead one
are subject; a person is nothing more than a collection of
comes to be suffused with gratitude and loving kindness to-
constantly changing, but causally connected physical and
wards them.
mental phenomena comprised of five “aggregates”: physical
form, perception, feeling, mental activities, and conscious-
The facts of our interconnected relationships with other
ness. The refusal to grant any notion of a permanent, un-
beings often provide the resources from which moral disposi-
changing personal identity or selfhood has important ethical
tion and character are seen to develop. Of great concern for
implications. First, the no-self (ana¯tman) doctrine can un-
Buddhists is the importance of seeking out wise and good
dermine the selfishness and false sense of individual autono-
friends and teachers for guidance. The Buddha once asserted
my that is at the root of much wrongdoing and harmful ac-
that “in fact the whole of the holy life is friendship, closeness,
tion. Secondly, this view of personhood affirms one’s
and association with good people” (Sam:yutta Nika¯ya, vol. 2),
interconnected dependence on the world, the conditionality
and an essential ingredient in the development of character
and contingency of one’s identity, and the pliability of per-
is seeking out a “good friend” (kalya¯na-mitra), a wise coun-
sonhood and capacity for change that are vital for a strong
selor who can direct one in one’s moral and religious prog-
sense of moral agency.
ress. The supreme “good friend” of course is the Buddha
himself, and we find in his story Buddhism’s attentiveness
This view of the person is accompanied by an under-
to matters of character through studies of moral heroism.
standing of reality that emphasizes the interrelatedness and
The Buddha’s life story provides a locus for investigation
mutual dependence of all life (prat¯ıtya-samutpa¯da), which is
into the development of moral agency. In traditional ac-
both the cause of our suffering and yet reveals the opportuni-
counts his life story begins many eons ago when he first
ties for emancipation. As part of an intricate web of relation-
makes the aspiration to become a buddha, and then embarks
ships with other beings (including nonhuman animals and
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1280
BUDDHIST ETHICS
beings beyond those whom we know in this life alone) we
as well as to the poor and needy, is a key Buddhist value, as
find ourselves in networks of reciprocal obligations. Bud-
it simultaneously sustains the community and dislodges
dhist thinkers also argue that our interconnectedness with all
greed and attachment to material things. Scholastic reflec-
beings reveals a basic sympathy natural to our condition, in
tions on gift giving provide sophisticated ethical treatment
which our fate is intimately tied up with that of others. This
of the motivations and intentions prompting gifts, the face-
doctrine is thus a key resource for decentering self-interest
to-face relationships gifts forge, and the proper use of materi-
and nurturing compassion.
al wealth. Theravadins have also considered moral values as-
sociated with the just administration of state power. The
With these shared patterns briefly sketched we turn now
ideal of the righteous king (dhammara¯ja, cakkavatti), pro-
to particular expressions of Buddhist moral thinking as they
motes practices of governance that adhere to the precepts,
have developed historically in specific Buddhist traditions.
prohibit onerous taxation, limit state violence, establish a via-
THERAVA¯DA ETHICS. Therava¯da, the dominant form of
ble justice system, and secure protection, prosperity, and
Buddhism present today in Sri Lanka, Thailand, Burma
peace for the people. When such a righteous king sits in
(Myanmar), Cambodia, and Laos, is one of the earliest tradi-
power, order and harmony will naturally prevail at every level
tions of Buddhism and has an ancient canonical literature as-
of society.
sociated with it in the Pali language. As a great intellectual
civilization centered in Sri Lanka for well over two thousand
MAHA¯YA¯NA AND VAJRAYA¯NA ETHICS. The emergence of
years, Therava¯da has much to contribute to questions of eth-
Maha¯ya¯na in India and Central Asia in the second century
ics. One schema of the moral life that achieved sustained
CE created a paradigm shift in Buddhist approaches to moral-
scholarly reflection among both ancient and modern com-
ity. Moreover, when Chinese pilgrims came to India to ex-
mentators is the framework of the eightfold path, which ar-
plore Buddhism and bring it back to China, they were drawn
ticulates moral and spiritual progress through three stages:
primarily to Maha¯ya¯na teachings, and thus it was predomi-
moral precepts (s¯ıla), concentration (sama¯dhi), and wisdom
nantly Maha¯ya¯na that spread to China, and thence to Korea,
(pañña). The great fifth-century commentator Buddhaghosa
Japan, and Vietnam, where it took diverse forms as it devel-
framed his vision of the ideal Buddhist life in these terms,
oped and adapted to East Asian civilizations. As Maha¯ya¯na
depicting morality as the basis and foundation of all religious
eventually gained ascendancy in India, it gave rise to yet an-
progress, even while it continues to find fuller expression as
other reformulation of the Buddhist path, known as
one advances into the highest reaches of spiritual awakening
Vajraya¯na, traditions of which took root predominantly in
and becomes an arhat, an awakened one. The arhat is entire-
Tibet, Nepal, and their neighboring Himalayan kingdoms.
ly free of the three “defilements” (greed, hatred, and delu-
The early Indian Maha¯ya¯na thinkers were not satisfied
sion), and is thus considered morally perfect.
with what they interpreted as the narrow ideal of the arhat,
While Buddhaghosa intends his model to apply princi-
that is, the pursuit of one’s own spiritual awakening and per-
pally to monastics—those who have dedicated their lives to
fection through following the Buddha’s teaching as a
this pursuit—Therava¯da offers other resources for describing
´sra¯vaka, a “hearer” or mere follower. Maha¯ya¯na critics pre-
and reflecting on lay morality and the features of a broad so-
ferred instead the model of the Buddha himself, who,
cial ethic. One text, very well-known throughout the
through countless eons from the moment of his aspiration
Therava¯da world, that speaks to a range of moral goods is
for buddhahood, strove for a height of perfection that en-
the Man˙gala Sutta. The text records thirty-eight diverse
tailed not only his own release from sam:sa¯ra, but also the
prima facie values ranging from avoiding fools and associat-
teaching and saving of countless others. Thus the ideal of the
ing with the wise, caring for one’s mother and father, and
bodhisattva came to be regarded as the pinnacle of Buddhist
practicing a blameless livelihood, to moral and ascetic prac-
practice and teaching. Laypeople and monastics alike could
tices associated with the monastic life. No single person
strive to become bodhisattvas, taking a vow not to rest until
would be capable of practicing all of these in a single life, as
they had secured the salvation of all beings as they practiced
some of them mutually conflict (such as engaging in a blame-
perfections over innumerable lifetimes.
less livelihood and being a monastic), yet the text and its ex-
This exalted ethic was advanced through a critique of
tensive commentarial tradition refuse to rank these values
non-Maha¯ya¯na traditions, which were construed as provid-
and insist that each is “the highest auspiciousness.” The text
ing a morality limited in both scope and conception.
thus affirms different human social roles and moral capaci-
Maha¯ya¯na theorists posited three tiers of morality that dem-
ties, sketching the contours of a model human society. The
onstrated the supposed shortcomings of non-Maha¯ya¯na eth-
commentaries engage a “particularist” mode of moral reason-
ics: (1) The ethics of restraint, which includes the precepts
ing, refusing to proceed from general principles or criteria,
and the monastic code; (2) the ethics of cultivating good
but instead treating a range of diverse moral values on their
states, through the practice of the perfections; and (3) the
own distinct terms and in a manner highly sensitive to con-
ethics of altruism, the tireless effort of striving for all beings
text (see Hallisey, 1996).
(Keown, 1992, pp. 137–142). In the Maha¯ya¯na view, the
An important element of both personal and social mo-
path of the ´sra¯vaka, the follower, does not advance beyond
rality is gift giving (da¯na). Generosity to monks and nuns,
the first tier, the mere refraining from harmful actions
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BUDDHIST ETHICS
1281
through rules of constraint. The bodhisattva, in contrast,
In addition to the bodhisattva ideal, developments in
strives to master the perfections and embrace a self-
philosophy undergirded new approaches to morality in
abnegating generosity toward all beings. The altruism de-
Maha¯ya¯na traditions. Maha¯ya¯na wisdom literature and
scribed in Maha¯ya¯na texts knows no limits. The eighth-
philosophical discourses expounded the doctrines of “empti-
century philosopher S´a¯ntideva, for example, describes this
ness” (´su¯nyata¯), the awareness that all factors of existence are
practice as a willingness to offer oneself up entirely for the
interdependent and empty of their own, independent reality,
benefit of others: “I make over this body to all embodied be-
and “suchness” (tathata¯), the experience of things as they
ings to do with as they please. . . . May I be sustenance of
truly are, without any conceptual superimposition on them.
many kinds for the realm of beings throughout space, until
Nirva¯n:a comes to be seen as not so much as an independent
all have attained release” (Crosby and Skilton, 1995, p. 21).
state apart from sam:sa¯ra, but as true awareness that embraces
Upon taking the vow for awakening, the aspiring bodhisattva
all things in their emptiness and suchness. Since true insight
is committed to working unceasingly for the benefit of others
into reality transcends ordinary conceptions of good and
through renunciation of his or her own interests; indeed
bad, these religious teachings sometimes relativized conven-
awakening itself is conceived as renunciation of self through
tional ethical distinctions.
love of others.
As Buddhism spread eastward, many of these ideas were
While the overarching moral value associated with this
institutionalized in the tradition of Chan, or Zen as it was
vision is compassion, the bodhisattva works gradually—
known in Japan. In addition, Zen embraced a doctrine that
across many lives—to master ten distinct perfections. The
had first appeared in the Indian su¯tras of the
list of perfections differs to some degree from the standard
tatha¯gata-garbha, the seed or potentiality (or, in some formu-
list of the Buddha’s perfections, and includes the stages of
lations, the actuality) of awakening that is said to reside in
the bodhisattva path: generosity, moral precepts, patience,
all beings. Awakening is then not a matter of gradual ascent,
vigor, meditation, wisdom, skillful means, vows, power, and
but rather becoming aware of one’s already awakened bud-
omniscient knowledge. According to some formulations, the
dha-nature. Morality is thus conceived not as a disciplined
first six may be perfected in human states, but the last four
path to spiritual progress, but rather as a manifestation of
require the supernatural range of a celestial being; in stage
one’s true awakened state.
seven, one is reborn as a celestial bodhisattva endowed with
The lofty Maha¯ya¯na ideal of the bodhisattva followed
superior powers of skillful means and knowledge that expand
two contrasting trajectories as it spread eastward. On the one
one’s sphere of influence.
hand, we see in this ideal a tremendous and perhaps un-
The perfection of skillful means (upa¯ya) is particularly
equaled exaltation of human possibility and agency. On the
interesting from the ethical point of view. This virtue in-
other hand, with the emergence of celestial bodhisattvas, cer-
volves the mastery of a kind of situational intelligence and
tain traditions within Maha¯ya¯na take on the flavor of savior
beneficial expedience whereby a bodhisattva is sometimes au-
religions. One might come to perceive oneself not as an as-
thorized, or even obliged, to violate the precepts in order to
piring bodhisattva, but conversely, as the beneficiary of the
bring about a greater good. A classic example is a bodhisattva
exertions of powerful bodhisattvas. The Maha¯ya¯na su¯tras de-
who kills a murderous thief on board a ship who designs to
pict a new pantheon of savior beings in an expanded cosmol-
kill the passengers and rob them. The bodhisattva reasons
ogy that includes not only celestial bodhisattvas, but also mul-
tiple buddhas residing in other realms in the cosmos. The
that it would be heinous to allow the robber to carry out his
historical Buddha Gautama was reconceived to be one of
design, but if he were to alert the passengers they would kill
many, indeed, infinite buddhas, many of whom preside in
the robber, effecting their own bad karmic results. Thus the
Pure Lands. These Pure Lands come to be objects of wonder
bodhisattva kills the robber himself, saving all present from
and hope, with Buddhists in East Asia sometimes aspiring
the effects of their own murderous intentions. Of course, the
not so much to become bodhisattvas, but to be reborn, often
bodhisattva is prepared to suffer in hell for countless eons as
through the intercession of bodhisattvas and buddhas, in
a result of breaking the precept that prohibits taking life; this
these bliss realms wherein awakening is easily attained
is regarded as the price of his altruistic and self-denying im-
through direct access to the compassion and wisdom of a
pulse to take on the sufferings of others through prevent ing
buddha.
them from committing any harmful deeds. Discussions of
skillful means thus demonstrate not only the far reaches of
These alternative visions of human agency spawned by
a bodhisattva’s compassion, but also a principled resistance
the early Maha¯ya¯na teachings come to be articulated and
to an absolutist moral code, perceiving instead moral de-
fully crystallized in sharp contrast to one another in Japanese
mands that take in the complexities of circumstances in such
sectarian traditions. Zen offers what has been described as a
a way that may require subverting normally universal moral
“self-power” practice, wherein moral and spiritual agency is
rules. Of course, only advanced bodhisattvas, well established
found through one’s own resources. In contrast, the Pure
in insight and compassion, are enjoined to practice skillful
Land tradition initiated by Ho¯nen (1133–1212) and his dis-
means, and breaching the precepts willy-nilly is not sanc-
ciple Shinran (1173–1262), advocates a religiosity devoid
tioned.
entirely of self-power and human agency, instead requiring
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1282
BUDDHIST ETHICS
only that one embrace one’s incapacity and look for salvation
good and evil, thus exhibiting certain Maha¯ya¯na impulses to
to the agency of an “other-power,” in this case that of the
downplay the value of renunciation and preceptive discipline
Buddha Amida. For Shinran, humans are helpless and de-
in favor of seeking direct realization.
praved, too deeply mired in passion, hatred, and delusion to
effect their own salvation, at least not in our age in which
In Tibet, Vajraya¯na Buddhism became a central, if not
the dharma is in decline. One’s only hope is to say the nem-
the central, element of the political culture, bringing to bear
butsu, that is, evoke Amida Buddha’s saving grace and com-
ethical questions of how Buddhist power should be config-
passion, whereby one may be reborn in Amida’s Pure Land.
ured. Buddhism in Tibet developed among sectarian tradi-
Salvation is thus not a matter of morality and good works,
tions that often vied with one another over matters of ethical
and in fact it has particular relevance to the “sinner.” In the
concern, particularly over the matter of whether, and in what
Tannisho, Shinran is said to assert: “Even a good person can
ways, monastic and ethical discipline contributes to the ad-
attain birth in the Pure Land, so it goes without saying that
vancement of mystical insight. The establishment of vast
an evil person will” (Hirota, 1982, p. 23). Shinran is here
monastic universities, which Tibet inherited from India,
exalting the faith of the depraved evil person who has no pre-
contributed to an advanced intellectual climate conducive
tence of good works and thus must rely solely on faith in the
for debating these and other matters of religious import.
grace of other-power.
BUDDHIST ETHICS IN MODERN CONTEXTS. Buddhism’s en-
counters with modernity provide occasion for examining ap-
Perhaps not surprisingly, this religiosity based on other-
plied ethics, as Buddhist values and principles come to be ap-
power came to have widespread appeal and has come to be
plied to situations that traditional authorities may not have
one of the most popular forms of Buddhism in Japan, as it
fully anticipated. We might think of modernity’s impact in
opens salvation to those who are unable or unwilling to em-
Asia as generating several distinct but related transforma-
brace the arduous practices of monastic life, meditation, ritu-
tions: the rise and preeminence of a scientific rationality and
al, and so on that have often been the privilege of the elite.
the fruits of scientific and technological inquiry (in medi-
Perhaps also not surprisingly, the teachings of Ho¯nen and
cine, warfare, and industry); new alignments of power, be-
Shinran sometimes gave rise to those who embraced “li-
ginning with colonialism through much of Asia and yielding
censed evil,” since good works are irrelevant to salvation and
eventually to nationalism and independent nation-states; the
the wicked are saved through merely saying the nembutsu.
advent of new political and economic ideologies and some-
Very subtle and sophisticated scholastic traditions of ethical
times bloody experimentation with communism, socialism,
reflection and religious doctrine grew out of these develop-
and totalitarianism; the rise of Western hegemony through
ments in which Pure Land thinkers sought to respond to an-
global capitalism and consumerism, with their often exploit-
tinomian challenges and construe morality not as a means
ative relationship to human labor and ecosystems; and new
of salvation to be sure, but nevertheless as a valuable expres-
ideas from the West about gender equality, human rights,
sion of gratitude for it.
and democracy. These challenges and opportunities have
Another important Japanese sectarian tradition is
given rise to much creative work in recent Buddhist ethical
Nichiren Buddhism, named after its thirteenth-century
thought.
founder. Like the other traditions of his day, Nichiren
(1222–1282) adopted a view of history based on a notion
Efforts to modernize Buddhism arose as reformist
of the “degeneration of the dharma” (mappo¯). This view of
movements in the nineteenth and twentieth centuries, pri-
history provides a pessimistic account of human capacity
marily in Therava¯da countries. Modernizing Buddhism was
with regard to following the precepts. But Nichiren’s re-
taken to mean excising its supernatural and mythical ele-
sponse differs from the Pure Land’s in that he advocates ac-
ments and downplaying the importance of devotional wor-
tive devotion to the Lotus Su¯tra, an important Maha¯ya¯na
ship, while emphasizing Buddhism’s rational, rule-oriented
text. This devotion to the Lotus Su¯tra, expressed in chanting
practices for monastics, and the purity of its ethical norms
“Namu Myo¯ho¯-renge-kyo¯,” aligns oneself with the essence of
for all Buddhists. In the decades following Indian indepen-
Buddhist truth and awakening, and thus is thought to bring
dence in 1947, Buddhism was configured in almost entirely
peace, justice, and spiritual renewal to the world.
social-ethical terms by the leader of India’s untouchables,
B. R. Ambedkar (1891–1956), who turned to Buddhism as
Vajraya¯na is sometimes conceived as being contiguous
an ideology of social liberation for his people. Another exam-
with Maha¯ya¯na, and other times to transcend it as the fulfill-
ple of such a modernizing effort that shaped Buddhism into
ment and highest level of Buddhism. It accepts Maha¯ya¯na’s
primarily a social ethic was promulgated by the Sinhala re-
philosophical ideas and its pantheon of savior deities (and in-
former Anaga¯rika Dharmapa¯la (1864–1933) as part of his vi-
deed adds to them), but evinces some impatience with the
sion of a purified Sinhala Buddhist nationalism. He empha-
long and arduous path of the bodhisattva. Instead Vajraya¯na
sized new pastoral roles for monks as caretakers of their
offers, sometimes through dramatic ritual and meditative
communities, and new roles for the laity that entailed a bour-
techniques under the tutelage of a trusted teacher, a “fast
geois “this-worldly asceticism.” These developments bore the
path” to awakening. The fast path involves transcending du-
imprint of the colonial government and Christian missionary
alities and conventional distinctions, including that between
influences they were seeking to displace. Other expressions
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BUDDHIST ETHICS
1283
of Buddhist modernism arose through the new literary genre
years involves a collaboration of Buddhist scholars and cog-
of the novel, wherein multiple and conflicting perspectives
nitive scientists, under the leadership of the Dalai Lama. The
may be explored simultaneously, new senses of national, eth-
collaboration brings to the international and scientific com-
nic, and religious communities may be developed, and new
munity insights from Buddhist contemplative practice, as
forms of social critique and prospects for social change may
well as the intellectual resources Buddhism offers in how it
be voiced.
parses mental and affective phenomena. Of particular perti-
nence for ethics is the collaborators’ conviction that Bud-
Today Buddhists from across the Buddhist world
dhism can contribute to understanding and better manage-
(which now includes the West as Buddhism spreads across
ment of mental states and emotions, which in the Buddhist
the globe) are retooling traditional Buddhist thought and
view, lie at the root of action. The collaboration is intended
practice to address contemporary problems through social
to yield practical advances in moral psychology, human de-
activism. This movement has been termed engaged Buddhism
velopment, prisoner rehabilitation, and education.
by one its foremost proponents, Thich Nhat Hanh
(b. 1926), an activist monk promoting peace and nonvio-
SEE ALSO Buddhas and Bodhisattvas, article on Ethical
lence both in his country during the Vietnam War and glob-
Practices Associated with Buddhas and Bodhisattvas.
ally. The various expressions of engaged Buddhism share the
view that Buddhism requires a moral engagement with the
BIBLIOGRAPHY
world rather than a retreat from it; moreover, Buddhism’s
Fine overviews of Buddhist ethics may be found in Peter Harvey’s
deep sensitivity to suffering properly yields political, eco-
An Introduction to Buddhist Ethics (Cambridge, U.K., 2000)
nomic, and social activism to bring Buddhist contributions
and Hammalawa Saddhatissa’s Buddhist Ethics (London,
to rectifying the major ills of our time. In addition to Thich
1997). Phra Prayudh Payutto’s Buddhadhamma: Natural
Nhat Hanh, prominent engaged Buddhists include
Laws and Values for Life, translated by Grant Olson (Albany,
Buddhada¯sa Bhikkhu (1906–1993), a Thai reformist monk
N.Y., 1995), is a brilliant account of Buddhist ethics from
whose social teachings critique materialism, advocate a Bud-
a modern Therava¯da authority; his Buddhist Economics: A
dhist socialism, and promote harmonious relationships with
Middle Way for the Market Place (Bangkok, 1998), is an im-
nature; Sulak Sivaraksa (b. 1933), a Thai lay intellectual who
portant application of Buddhist ideas to economic justice.
challenges the structures and ideologies of international capi-
The international online Journal of Buddhist Ethics (http://
jbe.gold.ac.uk/), started in 1994, has done much to expand
talism and consumerism that exploit people and resources
the field of Buddhist ethics. On questions of metaethics, con-
particularly in developing countries like Thailand; and A. T.
sult Damien Keown’s The Nature of Buddhist Ethics (New
Ariyaratna (b. 1931), whose Sarvodaya Shramadana move-
York, 1992), and for a contrasting approach through a dis-
ment in Sri Lanka promotes social regeneration in rural and
cussion of the Man˙gala Sutta, see Charles Hallisey’s “Ethical
village contexts through active lay Buddhist commitments to
Particularlism in the Therava¯da,” Journal of Buddhist Ethics
service. In addition, there are a number of activists working
3 (1996). Anthropologists, working especially in Therava¯da
to redress the role of women in contemporary Buddhism by
societies, led the study of Buddhist ethics a generation ago
organizing to reestablish the Therava¯da order of fully or-
in ways that still frame much scholarly work in the field; see
dained nuns (bhikkhun¯ıs) and confronting traditional patri-
Melford Spiro, Buddhism and Society: A Great Tradition and
archal structures and institutions that limit or devalue the
Its Burmese Vicissitudes, 2d ed. (Berkeley, 1982); Richard
roles and contributions of women in Buddhist societies.
Gombrich, Precept and Practice: Traditional Buddhism in the
Rural Highlands of Ceylon (Oxford, 1971); and Winston
The conferring of the Nobel Peace Prize on two Bud-
King, In the Hope of Nibbana (La Salle, Ill., 1964).
dhist figures—in 1989 to the Dalai Lama (b. 1935), the spir-
For useful translations of important Maha¯ya¯na texts on the bodhi-
itual and political head of the Tibetan people in exile since
sattva ideal consult Tsong kha pa in The Ethics of Tibet,
the Chinese invasion of Tibet in the 1950s, and in 1991 to
translated by Alex Wayman (Albany, N.Y., 1991), and The
Aung San Suu Kyi (b. 1945), the leader of the nonviolent
Bodhicarya¯vata¯ra of S´a¯ntideva, translated by Kate Crosby and
democratic movement against the repressive military regime
Andrew Skilton (Oxford, 1995). On Zen ethics see T. P. Ka-
in Burma—has brought international attention and respect
sulis, Zen Action/Zen Person (Honolulu, 1981), and for an ac-
to these exemplars of Buddhist leadership and their causes.
cessible Pure Land text, consult Tannisho: A Primer, translat-
ed by Dennis Hirota (Kyoto, 1982). A useful anthology of
In addition, contemporary Buddhist scholars are engaging
studies of contemporary movements of Buddhist activism is
the political and social discourses of our time in Buddhist
Engaged Buddhism: Buddhist Liberation Movements in Asia,
terms, in ways that challenge and critique existing paradigms
edited by Christopher Queen and Sallie King (Albany, N.Y.,
for democracy, economics, and scientific and technological
1996); on Buddhist women’s activism see Karma Lekshe
development. The work of Venerable P. A. Payutto (b.
Tsomo, Buddhist Women and Social Justice: Ideals, Challenges,
1939), in particular, expresses very sophisticated ideals of lib-
and Achievements (Albany, N.Y., 2004). On Buddhist mod-
erty, democracy, and economic activity informed by Bud-
ernisms consult Modern Buddhism, edited by Donald Lopez
dhist ethical principles.
(London, 2004). See Contemporary Buddhist Ethics, edited by
Damien Keown (Surrey, U.K., 2000), for work on contem-
Another promising avenue of research in Buddhist eth-
porary issues such as human rights, euthanasia, and the envi-
ics that has gained considerable momentum in the last few
ronmental crisis. On the collaboration between Buddhists
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1284
BUDDHIST MEDITATION: TIBETAN BUDDHIST MEDITATION
and Western neuroscientists, see the Mind and Life Institute
gained through the first two stages. In traditional presenta-
website at www.mindandlife.org for further resources.
tions, meditation in this context is often described as being
MARIA HEIM (2005)
either “analytical meditation” (dpyad sgom) or “stabilizing
meditation” (’jog sgom). Initially, the practitioner performs
analytical meditation on some doctrinal aspect of the teach-
BUDDHIST MEDITATION
ings, for example, impermanence, emptiness (stong pa nyid;
This entry consists of the following articles:
Skt., ´su¯nyata¯), or compassion (snying rje; Skt., karun:a¯), care-
TIBETAN BUDDHIST MEDITATION
fully scrutinizing the different explanations, and finally arriv-
EAST ASIAN BUDDHIST MEDITATION
ing at an inferential understanding of the topic. These “ana-
lytical” meditations often involve formal processes of
BUDDHIST MEDITATION: TIBETAN
reasoning that are carried out in reliance upon scriptural or
BUDDHIST MEDITATION
oral guidance. Having arrived at such a clear understanding,
Buddhist contemplative traditions have thrived in Tibet
one then employs the techniques of stabilizing meditation to
since at least the seventh century CE, and have taken an as-
reach a firm conviction and nondiscursive intuition of the
tonishing variety of forms ranging over the entire spectrum
validity of the teaching or doctrine under investigation. Al-
of Indian and Central Asian Buddhist traditions. This diver-
ternatively, initially it is necessary to settle the mind so that
sity is usually organized under the rubric of “three vehicles”
it can remain calm and focused in its pursuit of knowledge
in Buddhism—the Lesser (H¯ınaya¯na), Great (Maha¯ya¯na),
and realization. This “calming” practice may in fact be the
and Adamantine (Vajraya¯na) vehicles. The historical chal-
first form of meditation in which the beginning practitioner
lenge was to integrate this diversity into cogent systems of
engages.
practice, and especially how to integrate exoteric Buddhist
contemplation based on canonical su¯tras, and esoteric forms
Calm abiding and insight meditation. A related pre-
of Buddhist meditation derived from canonical Tantras.
sentation of the general meditative process is that of “calm-
Most Tibetan traditions came to see the Tantric methods as
ing” (zhi gnas; Skt., ´samatha; literally, “calm abiding”), and
intrinsically superior in their capacity to generate more rapid
“insight” (lhag mthong; Skt., vipa´syana¯; literally, “higher see-
realization due to their directness. By the thirteenth century,
ing”). This is not unique to Tibetan Buddhism, but is fre-
Tibet had established itself as the international center of eso-
quently invoked within Tibet to explain basic Buddhist med-
teric Buddhism, and alone developed the full spectrum of
itation. The practice of calming is designed to build the
Buddhist esoteric contemplative practices. We have thus
mind’s capacity for concentration to such a degree that it can
structured the present survey of Tibetan Buddhist contem-
remain single-pointed (rtse gcig) and undistracted for long
plative traditions in terms of traditional categories that pro-
periods of time. Such techniques proliferated in Tibet, with
ceed through the three vehicles from “lower” to “higher” in
the main variance being the object of focus, which could be
terms of the traditional explicit ranking of Tibetan sectarian
a candle flame, one’s breathing, a statue of a buddha, a song,
traditions. The demarcation between “contemplation” and
a visualized syllable, or a waterfall. Most accounts of calming
“ritual” is artificial and often of limited use, but we have still
practices thus outline the object of focus, and then provide
relied upon it based on similar distinctions in Tibetan litera-
detailed accounts of the deepening levels of concentration,
ture.
as well as pitfalls to avoid. In this way, contemplative calming
SU¯TRA. Our survey begins with the exoteric traditions of
serves as the meditative basis for the attainment of incisive
contemplation, the canonical basis of which is Su¯tras be-
insight into the nature of reality, specifically into the selfless-
lieved to have been spoken by buddhas. In the present con-
ness of persons and the selflessness of phenomena, realization
text, Su¯tra is short hand for the entire array of literature, in-
of which are said to result ultimately in liberation or enlight-
stitutions and practices that marked exoteric Buddhism in
enment. The practice of calming thus clears a mental space
India and Tibet.
for the acquisition of the ability to see the world in accor-
Analytical meditation and stabilizing meditation.
dance with Buddhist doctrinal analysis of its final reality,
Meditation in Tibetan traditions is usually presented as
while the practice of insight cultivates and deepens that per-
being part of a therapeutic impulse to resolve the dissatisfac-
ception with an incisiveness based upon the newly acquired
tory nature of embodied existence for oneself and others.
capacity for concentration. The practice of calm abiding is
This enterprise has three main phases: listening (thos), which
thus roughly equivalent to “stabilizing meditation,” while
includes all forms of study and learning pertaining to norma-
the practice of insight meditation is roughly equivalent to
tive Buddhist doctrine; reflection or contemplation (bsam),
“analytical meditation.”
the phase in which the meditator processes those teachings
Meditation on emptiness. While earlier forms of Bud-
in order to arrive at an understanding of their import; and
dhism stressed the ultimate object of contemplation as “no-
finally meditation (sgom), the process by which these con-
self,” namely the lack of any permanent identity in people
cepts become integrated into one’s experience.
or things, the Great Vehicle instead stressed the notion of
The third stage of meditation (bha¯vana) is thus focused
universal “emptiness,” which came to be a dominant motif
on deepening the individual’s experience of the insights
in Tibet. In a sense, all forms of analytical and insight medi-
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BUDDHIST MEDITATION: TIBETAN BUDDHIST MEDITATION
1285
tation have “emptiness” as their ultimate object. Meditation
Meditation on compassion. Tibetan Buddhism also
on emptiness is highly valued in Tibetan Buddhist traditions
possesses many meditation practices specifically concerned
since a nonconceptual realization of emptiness is considered
with the cultivation of compassion for living beings in accor-
to be the antidote to the ignorance that is the root cause of
dance with the Great Vehicle’s primary contemplative and
suffering. In general, emptiness is said to be absence of inher-
ideological motif of the integration of emptiness and com-
ent existence, and is equivalent to the selflessness of persons
passion. If emptiness deconstructs the world, compassion is
and selflessness of phenomena discussed above. It is a funda-
what pulls us back into engagement within its illusory ap-
mental Buddhist tenet that suffering arises in dependence on
pearances. One of the most famous forms of compassion
the misapprehension of the true nature and identity of per-
meditation found in Tibetan Buddhism is the “giving and
sons and phenomena, mistaking them for independent, per-
taking” meditation (gtong len). This is done in conjunction
manent, autonomous entities rather than the concatenation
with the meditator’s breathing and in relation to all beings,
of various factors, events, and conditions they truly are. In
including family members, friends, enemies, and strangers,
reality, these entities are empty of this mistaken imputed
all of whom are visualized seated around the meditator. As
identity, and need to be recognized as such in order to attain
the meditator breathes out, the meditator imagines that all
liberation or enlightenment (byang chub; Skt., bodhi).
of his or her personal happiness, comfort, wealth, and re-
sources transform into white light and go out to all the beings
There are many forms of emptiness meditation in the
seated there. When the light strikes the beings that are visual-
various Tibetan traditions. One such typical meditation asso-
ized surrounding the meditator, he or she imagines that the
ciated with the “su¯tra” stream of Tibetan Buddhism is the
light fulfills all their wishes, heals all illnesses, and bestows
so-called “sevenfold reasoning” drawn from Candrak¯ırti’s (c.
all happiness. With the inhalation of the breath, the medita-
600–650) Guide to the Middle Way (dbu ma la ’jug pa; Skt.,
tor is directed to visualize all the suffering and causes for suf-
Madhyamaka¯vata¯ra). The gist of the reasoning concerns it-
fering present within the beings’ mental continua being
self with the analysis of a chariot and its parts, and recalls the
drawn back into the meditator in the form of black smoky
famous dialogue between Na¯gasena and Milinda in the Ques-
light rays. These beams then merge with the meditator, who
tions of King Milinda (milindapanha). The seven analyses are:
imagines that he or she has taken on all the sufferings and
(1) there is no chariot other than its parts; (2) there is no
misery of all others. Most compassion contemplative tech-
chariot that is the same as its parts; (3) there is no chariot
niques involve such guided reveries including scripted liturgy
that inherently possesses its parts; (4) there is no chariot that
and visualizations.
inherently depends on its parts; (5) there is no chariot upon
which its parts inherently depend; (6) there is no chariot that
Such meditation helps the meditator adopt an attitude
is the mere collection of its parts; and (7) there is no chariot
that inverts the normal pattern of viewing oneself and one’s
that is the shape of its parts. These same reasonings may be
own concerns as preeminent, and it instills the habit of seeing
applied to the existence of the “self” (bdag; Skt., a¯tman),
others as being more important. The significance of this in
whether it is of a person or a phenomenon (e.g., a chariot),
Buddhist terms is easy to discern. First, it inculcates in the
and its relation to their aggregates (phung po; Skt., skandha).
practitioner compassion toward others, and slowly habitu-
ates one to sacrifice one’s own interest in order to benefit
Although emptiness meditation often has this rational
others. Second, on the ultimate level, one is undermining
character such that it resembles deconstructive analysis re-
and dismantling the structures of ego that are the underlying
hearsed according to scripts, it is also possible to meditate on
cause for all of one’s suffering through exchanging one’s own
emptiness in a less formal, systematic way. For instance,
interests and happiness for those of others. In this way com-
practitioners might employ images, symbols, and language
passion both inculcates a realization of emptiness through
such as the eight similes of illusion to induce an intuitive un-
dissolving boundaries, but also offers an essential comple-
derstanding of the nature of emptiness. In such a loosely
ment to realization of emptiness by instilling a sense of the
structured meditation, one might reflect on phenomena
value of others, as illusory as their identity may ultimately
being like a dream, an optical illusion, a mirage, a reflection
be.
of the moon in water, an echo, a castle in the sky, or a phan-
tom. Having thus established a sense of emptiness on the
Stages of the Path and ordinary preliminaries. One
basis of what is essentially an aesthetic mood, one rests in that
of the most distinctive contributions to Buddhist meditation
state for a time. Regardless of the technique employed, im-
practice made by Tibetans is the category or genre of “Stages
mersion in emptiness during the formal meditative session
of the Path” (Lam rim). There have been countless practice-
is usually contrasted to the practice of maintaining that
oriented texts written in this genre in all major traditions of
awareness after the session as one reengages with the social
Tibetan Buddhism. The precursor to most of these texts was
world of appearances and activities. The relationship be-
a short work written by the Indian scholar At¯ı´sa (982–1054)
tween these two phases of “meditative equanimity” (mnyam
called The Lamp for the Path (byang chub gyi sgron ma (Skt.,
gzhag) and “post-contemplative awareness” (rjes thob), a du-
bodhipathaprad¯ıpa). This text is noted for its reference to the
ality that ultimately must be dissolved, is an important topic
three spiritual levels of beings, as well as the notion that a
within emptiness yoga.
solid foundation in the su¯tra practices is essential to the prac-
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1286
BUDDHIST MEDITATION: TIBETAN BUDDHIST MEDITATION
tice of Tantra. Inspired by this brief text, later Tibetan schol-
rim). Generation phase signifies deity yoga practices involv-
ars and meditators composed their own elaborations on the
ing the visualization of one’s self as a Buddhist deity, whereas
themes introduced in it. Among the most famous of these
perfection phase signifies both practices of radical non-
texts is Tsongkhappa’s (tsong kha pa, 1357–1419) Great Ex-
conceptuality and somatic yogas involving the visualization,
position of the Stages of the Path (lam rim chen mo), and Gam-
sensation, and manipulation of subtle currents of bodily
popa’s (sgam po pa, 1079–1153) Jewel Ornament of Libera-
energy.
tion (thar rgyan). The type of meditation practice described
in texts of this genre is what is usually referred to as “mind
Extraordinary preliminary practices. Most sects of Ti-
training” or “mental development” (blo sbyong).
betan Buddhism embraced a packaged integration of exoteric
and basic esoteric practices under the header of “prelimina-
Such meditation is, in a sense, intended to “reprogram”
ries” (sngon ’gro) to serve as an introduction to advanced Tan-
the practitioner, guiding him or her to new attitudes or views
tric contemplation. As discussed above, their “ordinary”
through the force of constant habituation. The core practices
forms rehearsed basic Buddhist doctrine, while their “ex-
associated with this genre are sometimes referred to as “the
traordinary” practices introduced basic Tantric contempla-
four thoughts that turn the mind.” These are thinking about
tion: going for refuge, generating the altruistic aspiration for
the value of human rebirth, death and impermanence, the
enlightenment, Vajrasattva purification, man:d:ala offerings,
law of karma and cause and effect, and the disadvantages of
and Guru Yoga.
living in cyclic existence. These four practices are designed
to encourage the practitioner to recognize the unique oppor-
“Going for refuge” is done by reciting a short prayer
tunity for spiritual progress inherent in human existence,
while prostrating to a visualized “assembly tree” (tshogs
while realizing that the body is fragile and transient, and
shing), a man:d:ala-like vertical array of one’s lineage. The ref-
hence that the opportunity will not last forever. By recogniz-
uge prayers themselves often encode specifically Tantric ver-
ing that if one does not take advantage of this chance by en-
sions of the three jewels of Buddhism—the Buddha, his
gaging in virtuous actions one will be compelled to experi-
community, and his teachings. “Generating the altruistic as-
ence the resultant suffering, the practitioner is motivated to
piration for enlightenment” (sems bskyed) is the core Great
practice only dharma (virtue) henceforward. These practices
Vehicle practice integrating compassion and emptiness, and
comprise what are referred to as the four “ordinary prelimi-
here involves the recitation of a short prayer while visualizing
nary practices” (sngon ’gro), which are considered prerequi-
the assembly tree. “Vajrasattva purification” is the visualiza-
sites to the higher practices associated with Tantra. They es-
tion of the Buddha Adamantine Hero (Skt., Vajrasattva)
sentially use guided imagination and analysis to rehearse and
above the crown of one’s head, while reciting his hundred-
habituate the basic worldview of exoteric Buddhism—life is
syllable mantra revolving around his heart. The practitioner
impermanent, selves are not what they seem to be, ordinary
confesses downfalls, and visualizes that luminous ambrosia
life will not fulfill us, and the moral consequences of our ac-
flows from Vajrasattva’s heart to transform the practitioner’s
tions shape all.
negativity into sustenance for suffering beings. “Man:d:ala of-
ferings” is a practice of repeatedly creating small man:d:alas
TANTRA. Buddhist Tantra is marked throughout by a rhetor-
using heaps of rice and three concentric discs placed on top
ical focus on practice over intellectual studies. Its origins are
of the other, and then offering these with visualized enhance-
defined by ritual practice, including complex ritual consecra-
ments to the buddhas. “Guru Yoga” contemplation requires
tions initiating one into ideal communities known as
the visualization of one’s guru as a divine buddha. Practition-
man:d:alas and the self-transfiguration of the individual prac-
ers perform each 100,000 times, and thus rehearse the basic
titioner into a divine buddha. Subsequently, the rise of yogin¯ı
Tantric elements of visualization, mantra repetition, somatic
Tantras involved antinomian behavioral practices decon-
sensations, constructions of man:d:alas, the divinity and pri-
structing social codes, as well as new contemplative practices
macy of the guru, transformation, offerings, and the impor-
focused on the body’s interior with the goal of reproducing
tance of divinities.
and transforming extreme experiences such as death and or-
gasm. A strong rhetorical tradition developed stressing the
Generation phase practices: Deity yoga and man:d:ala
absolute centrality of personal contemplative experience, and
meditation. The most famous, and often defining, Tantric
there was a profusion of yogic techniques ranging over sleep,
practice is deity yoga (lha’i rnal ’byor), the ritual evocation
diet, death, sacrifice, and physical movements. This led to
of oneself as a Buddhist deity. The practice is often described
the phenomenon of large anthologies of integrated practices,
as involving three principal factors—vivid visualization, di-
such that many innovations lay as much in the packaging as
vine pride in identifying oneself with the deity, and “recollec-
in new techniques. The radicalization of Tantric practice led
tion of purity” (dag dran) signifying the need to cognitively
to tensions with exoteric forms of practice, such that their
understand the symbolic import of each visualized element.
integration in overarching systems came to be a dominant
The deities evoked are varied in character, and include bud-
theme of Tibetan Buddhist contemplation. The means of
dhas, bodhisattvas, and others, male and female, different col-
classification of the main Tantric contemplations are numer-
ors, different numbers of heads, arms, and legs, and different
ous and varied, but the most common includes two “phases”:
types of apparel or ritual objects. These practices can involve
generation phase (bskyed rim) and perfection phase (rdzogs
single deities or the visualization of symmetrically arrayed
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BUDDHIST MEDITATION: TIBETAN BUDDHIST MEDITATION
1287
configurations of multiple deities known as man:d:alas.
of bliss (bde ba), clarity and radiance (gsal ba), and non-
Man:d:alas are typically organized around a central deity or
conceptuality (mi rtog).
deity pair known as the primary ones(s), with whom a practi-
tioner identifies in visualizing the man:d:ala. Visualized deities
The most central is the “fierce woman” (gtum mo; Skt.,
can be either serene in demeanor and appearance, or wrath-
Can:d:ali) practice based upon the “adamantine body”, a sub-
ful, in which case their visage is scowling, their appearance
tle body of channels, winds, and nuclei forming an experien-
demonic, and their apparel and backdrop often drawn from
tial configuration within the coarse physical body. The core
a chaotic charnel ground.
sequence of contemplative events mimics sexual experience,
but harnesses it for the sake of enlightenment. Three subtle
These evocations are done according to handbooks
channels run up the torso’s center from the head to the geni-
termed “techniques for evocation” (grub thabs; Skt.,
tals, branching out to pervade the body with “wheels” (cakra)
sa¯dhana), which provide visual detail for visualization, the
at the crown, throat, heart, navel, and genitals. One visual-
verbal formula or mantra for recitation, the symbolic gestures
izes a triangle of solar fire at the navel that causes a white
known as “seals” (phyag rgya; Skt., mudra¯) for performance
lunar ham: syllable at the crown to drip. The resultant flow
with one’s hands, and liturgy. Thus the eyes are trained to
downwards of ambrosial nuclei causes experiences of increas-
see the divinity in visual form as one’s own body; the speech
ing joy known as “four joys,” clearly modeled upon male sex-
is conditioned to recite the sonic form of the divinity; and
ual arousal. The emphasis on bliss is integrated with the Ma-
the hands form gestures embodying the deity and its activi-
hayana focus on emptiness, such that the yoga rightly
ties. These practices can be done with variable locus for the
pursued involves a potent realization of emptiness enhanced
visualization, namely, in front, as self, or in an object such
by the intensity of experience engendered by the bliss. It is
as a ritual vase. Self-visualization is the primary form that has
famous for its testing procedure, in which an initiate is ex-
soteriological force, whereas visualization-in-front is for the
pected to utilize contemplatively generated heat to dry wet
purpose of making offerings and petitions, and visualization-
clothes while sitting naked on a glacier at night. Such public
in-an-object is utilized for various ritual purposes. It is
displays could be utilized to mobilize human and financial
thought that by imaginatively imitating all physical, verbal,
capital in support of their own social and religious agendas.
and mental activities of a buddha, one creates powerful mo-
mentum for the rapid attainment of actual buddhahood.
This is closely linked to sexual yoga, which involves a
This process is termed “taking the result as the cause,” and
similar process in partnership with a visualized or real con-
is one of the key distinguishing features of Tantra.
sort. The white nuclei descends into the genitals, but then
is reversed without ejaculation and raised upwards back
Retreats involve massive accumulations of mantra reci-
through the torso. The lunar nuclei are then distributed
tation by an individual practitioner. However, these practices
through the body, and finally one’s whole body is decon-
of deity visualization, mantra repetition, and man:d:ala con-
structed into luminous emptiness. Practitioners thus use this
struction can also be done in communal practices as well.
exceptionally powerful state of blissful consciousness to real-
Deity yoga is closely related to “empowerment” rituals
ize emptiness, with the intensity of experience magnifying
(dbang; Skt., abhis:eka), which ritually introduce a practition-
the consequences of this realization. In the context of dis-
er into the man:d:ala or community of a specific deity. These
cussing this practice as sexual, there are many additional par-
empowerment rituals are a necessary precursor to doing yoga
ticulars relating to male and female genitalia, positions,
for a given deity, while deity yoga practices often repeat em-
herbs, and the like.
powerment ritual processes within their own contemplative
structure.
The yoga of “radiant light” (’od gsal; Skt., prabha¯svara)
is based upon the human body and mind possessing an in-
Perfection phase practices: Somatic yogas and other
nate luminous buddha-nature occluded by karmic sedimen-
techniques. Perfection phase practices involve three distinct
tations and emotional distortions. The mind is interdepen-
bodies of practices. The most important category involves so-
dent with “winds,” that is, the breath as well as other currents
matic yogas in which subtle bodies are contemplatively ma-
of energy flowing through the body on the model of a rider
nipulated to recreate extreme experiences, especially sexual
and horse. Subtle body praxis deconstructs conditioning and
and death-related experiences. This is consonant with the
knots of emotional distortion, thereby enabling more subtle
late Tantric emphasis on liminal and intense experiences—
layers of consciousness and luminosity to emerge. The yogic
sexuality, dying, violence, transgression, sleep—and the
technique of “vase breathing” confines the breath and inter-
transformation of these potent experiences into yogic pro-
nal winds in the area around the navel, thereby helping facili-
cesses. Secondly, it includes practices of nonconceptuality,
tate the dissolution of ordinary conceptuality by penning up
and thirdly, the perfection phase came to be a catch-all term
its mounts. The goal is to bring all the winds into the body’s
to embrace a variety of practices, including physical exercises,
central channel, where they become transformed into winds
dietary prescriptions, and other topics. These are typically
of primordial gnosis (ye shes; Skt., jña¯na). This is described
transmitted in Tibet in anthologies, the most famous exam-
as a phased dissolution of the psychophysical winds, thereby
ple being perhaps The Six Yogas of Na¯ropa. Visceral experi-
causing their associated cognitive activities to collapse, and
ence is strongly stressed, and is often summarized in terms
rehearsing the process of dying. A practitioner experiences
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1288
BUDDHIST MEDITATION: TIBETAN BUDDHIST MEDITATION
various flashes of light, the subjective correlate of more subtle
sciousness is being targeted. In addition to enabling a
levels of consciousness, that gradually proceed to an immer-
practitioner to instinctively shoot his or her consciousness
sion in the radiant light at the heart. Phenomenologies of
into a Pure Land in the case of accidental death, the same
such experiences include the eight or ten “signs” (rtags) and
technique can be deployed in funerary ceremonies by the
“four appearances” (snang ba bzhi), which are described as
presiding lama to forcibly shoot the deceased person’s con-
resembling smoke, mirages, moonlight, and the like, and cul-
sciousness out of the body into a Pure Land by force of his
minate in an experience of radiant light.
or her own visualization. The “intermediate process” (bar do)
is the famous Tibetan religious conception of life, death, and
Sleep and dream yogas are closely related to the esoteric
rebirth as a never-ending series of transitions, including a pe-
meditations upon light, and exoteric contemplations on
riod of tumultuous visions experienced between death and
emptiness and illusion. Falling asleep involves the inter-
rebirth. The actual practices, however, are generally practices
twined dissolution of winds, conceptuality, and conscious-
derived from elsewhere rather than constituting an entirely
ness similar to dying, and likewise culminating in an experi-
new set of practices.
ence of radiant light and deep unconsciousness; dreaming
involves the reversal of this process as manifestation, concep-
The “extraction of essences” (bcud len) involves alchemi-
tuality, and experience revive out of the emptiness of radiant
cal techniques for contemplatively generating dietary nour-
light. The goal is to preserve reflexive self-awareness through-
ishment without relying on ordinary sources, and engender-
out so as to bypass unconsciousness and instead fully experi-
ing and deepening realization. One set of practices involves
ence the ultimate radiant light of consciousness. One visual-
ingesting specially prepared juices, meats, stones, herbs, pre-
izes an inner luminosity or syllable representing one’s
cious substances (mercury, gold, etc.), or excrement, which
consciousness moving up and down the central axis of the
may also be accompanied by special yogic recitations, breath-
body’s interior, until finally with sleep it settles into a lotus
ing, visualization, and postures. It is believed that such spe-
flower at the heart. The practice facilitates lucid dreaming,
cial pills can help a retreatant sustain himself or herself for
namely the retention of a sense of awareness that one is
months during solitary retreat in isolated wilderness, as well
dreaming even as one dreams. Such awareness—and the con-
as engender long life, physical vitality, and facilitation of spe-
sequent sense of the malleability and fluidity of appear-
cial contemplative experiences. Other such practices include
ances—precisely parallels the Great Vehicle contemplation
“eating winds,” where sustenance is ingested from space via
of emptiness and its focus on the illusory nature of appear-
breath, and utilizing visualization-enhanced inhalation,
ances. Specific dreaming practices tend to be grouped into
which imagines waves of blue space, or red and white nuclei,
three principles—recognizing dreams as dreams, experi-
flowing into one’s body.
menting with the transformation of dream appearances, and
POST-TANTRA PRACTICES AND BEYOND. One of the most
enabling this awareness of recognized dreams to permeate
distinctive attributes of Tibetan Buddhist contemplation was
daytime experience as well.
the evolution of independent traditions out of perfection-
Magical devices (phrul Ekhor; Skt., yantra) constitute a
phase praxis that embraced a radical rhetoric of the transcen-
type of yogic practice focused on bodily postures and move-
dence of practice along with a proclivity for naturalism,
ments, and often named evocatively after animals, birds,
spontaneity, and nonconceptuality rather than the esoteric
types of people, ritual implements, and the like. Different
motifs of transgression, sexuality, and power. Post-Tantra is
traditions stress physical movement and static postures to
not an indigenous label, but expresses their simultaneous
different degrees, though usually they remain within a fairly
grounding in Tantra and the rejection of many of its funda-
small space of movement rather than involving broad move-
mental paradigms. The most famous are the Great Perfection
ments across a large area. The magical-devices practices can
(dzokchen, rdzogs chen) in Nyingma (Rnying ma) and Bon
also involve specific breathing practices and visualizations
lineages, and the Great Seal (chakchen, phyag chen; Skt.,
conjoined with bodily postures and movements, as well as
maha¯mudra¯), found in the Kagyü, Sakya, and Geluk schools.
exercises in the cultivation of awareness.
Their texts decline to specify contemplative procedures such
as breathing, posture, concentration, visualization, or guided
“Transference” of consciousness (pho ba) involves learn-
reveries, and consist of philosophical and poetic meditations
ing to shoot one’s consciousness out of the body toward re-
on the nature of enlightenment. Such rhetoric left many
birth in a Pure Land. One visualizes one’s consciousness as
wondering as to whether they formed contemplative paths,
a luminous sphere or syllable moving up and down the cen-
or instead were merely descriptions of realization. They are
tral channel of one’s subtle body in conjunction with respira-
often characterized by a rhetoric of supremacy beyond su¯tra
tion and the enunciation of the mantric syllables hrik and
and Tantra, while at times they are self-characterized as be-
phet:. Often the Buddha Immeasurable Light (’Od dpag med
longing to su¯tra or Tantra. However, these traditions can be
[Öpakme]; Skt., Amita¯bha), who presides over the most
viewed as symbiotic with other contemplative traditions
popular Pure Land of choice, is visualized blocking off the
both in terms of being deconstructions of preoccupation
top of one’s skull. This practice is usually done during spe-
with technique, and a type of aesthetic gazing and poetics of
cialized retreats (often large lay gatherings) in which practi-
contemplative experiences. The recitation and reading of
tioners aim to create a small hole in their scalp where the con-
such texts offered subtle guides to contextualize the various
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BUDDHIST MEDITATION: TIBETAN BUDDHIST MEDITATION
1289
meditative experiences to which other practices had given
involves going to a remote and frightening location, such as
rise. Thus they came to have a strong association with the
a charnel grounds at night, and visualizing that the Adaman-
somatic body yogas, including sexual forms, but focused on
tine Yogin¯ı (Rdo rje rnal ’byor ma; Vajrayogin¯ı), one of the
the experiences unfolding from those practices toward final
main esoteric goddesses, cuts one’s body into small pieces for
enlightenment rather than their techniques per se.
offering to surrounding demons and spirits. The motif of
disintegration evokes the exoteric realization of emptiness,
Many such texts and lineages however did set forth con-
while the sacrificial gift of one’s body to others blends that
templative techniques, even if such prescriptive passages were
realization with radical compassion.
still accompanied by a transcendentalist rhetoric that negated
all practice. These techniques tend to be recognizable varia-
COMMUNAL CONCLUSIONS. There are at least two major
tions of exoteric practices of calming, insight, and emptiness
communal contexts for specialized practice of Buddhist con-
yogas, but they focus on cultivating deconstruction of such
templation: the monastery or temple, and retreat centers in
states of concentration to foster an open and free-flowing
isolated networks of sacred sites. While it is impossible to
awareness without negating appearances, emotions, and
classify practices in any strict fashion based upon these com-
thoughts. The techniques themselves are often distinctive in
munal centers, it is clear that exoteric techniques and deity
terms of modifications in line with the rhetoric of simplicity,
yoga/man:d:ala meditation thrived in the monastic institu-
spontaneity, naturalness, and innate divinity. In this context
tions with their deep doctrinal content, highly structured
the Great Seal tradition discusses four yogas—the one point-
character, and institutional messages. Likewise, esoteric tech-
ed (rtse gcig), the non-elaborate (spros bral), the single flavor
niques focused on body yogas and post-Tantra contempla-
(ro gcig), and nonmeditation (sgom med). The emphasis
tive systems particularly thrived in yogic circles outside such
throughout is on contemplation of the nature of one’s mind,
institutions. This is not surprising, given their strong experi-
the realization of which is blocked by contemplations that
ential focus, relative resistance to doctrinal conditioning, and
are too bound up with the mind’s discursive operations.
commitment to internal, solitary realization and transgres-
sive experiences. In addition, yogic circles tend to be critical
The Great Perfection also underwent a series of trans-
of intellectual pursuits as interfering with contemplative
formations in which a variety of late Tantric contemplative
practice, while monastic institutions on the whole stress their
practices were explicitly assimilated in accordance with the
integration and in actuality tend to stress far more the intel-
traditional focus on simplicity, spontaneity, release, and nat-
lectual, ritual, and social sides of religion rather than solitary
uralness. The most influential of these was the Seminal Heart
contemplation. However, such lines were only tendencies,
(Snying thig [Nyingthik]), which created anthologies of
not sedimented differences. In both contexts, extended re-
Tantric and non-Tantric Buddhist contemplations. The
treats—including durations of years—were common in all
most distinctive innovations were the two principal practices
sectors of Tibetan religion, though by no means widely prac-
of “breakthrough” (khregs chod) and “direct transcendence”
ticed as such even within monasteries. The rhetoric of the
(thod rgal). The former represents a cultivation of one’s own
centrality of sustained contemplative practice is pervasive,
naked self-awareness as directed by intensely poetic guided
and both historical and ethnographic evidence point to this
reveries, whereas the latter is a transmutation of perfection-
being far more than simple rhetoric, even within ordinary lay
phase techniques contemplating a spontaneous flow of light
members of society. Tibetan Buddhist hagiographies fre-
imagery. The flashes of light appear through staring at the
quently portray in narrative form a strong tension between
light of the sun or moon or gazing within complete darkness,
solitary contemplation and social responsibilities, with re-
and then slowly increase in intensity, extent, and complexity
treatants feeling pulled back, often against their will, toward
of form to become vast arrays of man:d:alas of buddhas.
the communal responsibilities of life in the monastery or
These traditions are often grouped with other yogic tra-
village.
ditions that share a tendency to blur the boundaries between
su¯tra and Tantra, embrace a rhetoric of transcendental supe-
BIBLIOGRAPHY
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Beyer, Stephen. The Cult of Ta¯ra¯: Magic and Ritual in Tibet.
The Great Middle Way (Dbu ma chen po; [Uma chenpo];
Berkeley, 1973. This brilliant study of the intersection of rit-
Skt., Maha¯madhyamaka) appropriates the prestigious rubric
ual and contemplation in Tantric Buddhism analyzes how
of Ma¯dhyamaka to disseminate traditional contemplative
“deity yoga” functions in diverse contexts to bind together
practices of calming, insight, and emptiness yoga in associa-
a broad array of goals, processes, and agendas within soterio-
tion with an emphasis on yoga rather than study, and lumi-
logical and pragmatic contexts.
nous rather than austere conceptions of emptiness. The Path
Cozort, Daniel. Highest Yoga Tantra. Ithaca, N.Y., 1986. This of-
and the Fruit (Lam ’bras [Lamdré]), the supreme contempla-
fers a concise but detailed introduction to the esoteric prac-
tive system of the Sakya school, involves tummo and sexual
tices in the Geluk tradition of Tibetan Buddhism with a
yoga with an innovative third practice named the “adaman-
focus on perfection phase techniques.
tine wave” (rdo rje rba labs). Peace-making (zhi byed) and
Dreyfus, Georges B. J. The Sound of Two Hands Clapping: The Ed-
“cutting” (gcod) stem from the eleventh-century Indian Pha-
ucation of a Tibetan Buddhist Monk. Berkeley, Calif., 2003.
dampa Sangyé (Pha dam pa sangs rgyas, d. 1117). Cutting
This contains an excellent discussion of the relationship 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
1290
BUDDHIST MEDITATION: EAST ASIAN BUDDHIST MEDITATION
tween the rhetoric and praxis of meditation in monastic tra-
Wilson, Joe B. Candrak¯ırti’s Sevenfold Reasoning: Meditation on
ditions.
the Selflessness of Persons. Dharmsala, India, 1980. This is a
Dudjom Jigdrel Yeshe Dorje (Dudjom Rinpoche). The Nyingma
presentation of classical emptiness meditation based on ana-
School of Tibetan Buddhism: Its Fundamentals and History.
lytical reasoning.
Translated and edited by Gyurme Dorje and Matthew Kap-
Zahler, Leah, trans. and ed. Meditative States in Tibetan Bud-
stein. Boston, 1991. This encyclopedic work by a famous Ti-
dhism. Rev. ed. Boston, 1997. This offers a clear survey of
betan author covers a vast range of Nyingma topics from the
the traditional processes and states discussed in the context
perspective of the twentieth century.
of “calming” and “insight” contemplative techniques.
Germano, David F. “Architecture and Absence in the Secret Tan-
DAVID GERMANO (2005)
tric History of rDzogs Chen.” The Journal of the International
GREGORY A. HILLIS (2005)
Association of Buddhist Studies 17, no. 2 (1994): 203–335.
This surveys the various forms of the Great Perfection with
a special concern for their contemplative practices.
Guenther, Herbert V., trans. Jewel Ornament of Liberation. Lon-
BUDDHIST MEDITATION: EAST ASIAN
don, 1959. A translation of the classic Stages of the Path text
BUDDHIST MEDITATION
by Gampopa, a disciple of Milarepa (Mi la ras pa).
Meditation was of ultimate importance in early Buddhism,
Guenther, Herbert V., trans. The Life and Teachings of Na¯ropa.
and has remained so in East Asian Buddhism. Although not
Oxford, 1963. This text and interpretation offers a systemat-
all Buddhists in East Asia have meditated on a daily basis,
ic view of the Six Yogas of Na¯ropa, one of the most famous
they have always recognized meditation as one of the three
anthologies of perfection phase practice.
trainings (´s¯ıla, sama¯dhi, and prajña¯) leading to buddhahood.
Gyatso, Geshe Kelsang. Clear Light of Bliss: Maha¯mudra¯ in
S´¯ıla (morality), sama¯dhi (concentration), and prajña¯ (wis-
Vajraya¯na Buddhism. London, 1982. This provides an excep-
dom) are mutually supportive and indispensable, though
tionally detailed description of the perfection phase practices
achieving buddhahood ultimately depends more on prajña¯.
from a Geluk point of view.
In theory, the importance of meditation became less
Hopkins, P. Jeffrey. Emptiness Yoga: The Tibetan Middle Way. Ith-
aca, N.Y., 1987. A clear description of emptiness meditation,
certain in East Asian Buddhist intellectual positions empha-
especially as it is practiced in the monastic context.
sizing inherent buddhahood (Chan/Zen or Tiantai/Tendai
Buddhism) or utter reliance on Amita¯bha’s grace (Pure Land
Lopez, Donald, ed. Religions of Tibet in Practice. Princeton, 1997.
This is a compilation of many translations with introduc-
Buddhism). In practice, however, meditation retained its
tions of Tibetan texts dealing with meditation and ritual.
central place in monastic life. Laypeople were not expected
Patrul Rinpoche. Words of My Perfect Teacher. Translated by the
to meditate in early Buddhism, but in East Asian Buddhism
Padmakara Translation Group. Boston, 1998. This is a
there have always been male and female laypersons seeking
translation of one of the most famous examples of Tantric
buddhahood through meditation.
preliminaries (kun bzang bla ma’i zhal lung); composed in the
The distinction between ´samatha (calming meditation)
nineteenth century.
and vipa´syana¯ (insight meditation), or between sama¯dhi and
Rabten, Geshe, and Geshe Ngawang Dhargyey. Advice from a
prajña¯, can be helpful for analyzing the various forms of
Spiritual Friend. Translated and edited by Brian Beresford.
meditation, but most East Asian forms of meditation com-
London, 1984. This is an excellent introduction to the prac-
bine both aspects. Even theorists such as Zhiyi (538–597)
tice of mind training (blo sbyong), with translations of several
who explicitly mention the distinction between ´samatha and
short exemplary texts.
vipa´syana¯, say that the two aspects are inseparable.
Sherburne, Richard, trans. A Lamp for the Path and Commentary
of At¯ı´sa. London, 1983. This is a translation of one of the
MEDITATION IN THE FORMATIVE PERIOD. Chinese Bud-
most influential Indian prototypes for the Stages of the Path
dhism has been Maha¯ya¯nist for nearly all of its history, but
and in general for Tibetan compendia of exoteric contempla-
the earliest Buddhist teachings brought to China included
tive practices.
both Nika¯ya and Maha¯ya¯na Buddhist teachings, which the
Takpo Tashi Namgyal. Maha¯mudra¯: The Quintessence of Mind
Chinese did not initially distinguish as separate vehicles.
and Meditation. Translated by Lhalungpa, Lobsang. Boston,
(The term Nika¯ya Buddhism is preferred to the term
1986. This is a translation of an encyclopedic Kagyü survey
H¯ınaya¯na Buddhism.)
of maha¯mudra¯.
One of the earliest translators, the Parthian An Shigao
Tsong kha pa, and Dalai Lama XIV (Tenzin Gyatso). Deity Yoga.
(active from 148), translated texts from the Sarva¯stiva¯da tra-
Translated by P. Jeffrey Hopkins. Ithaca, N.Y., 1987. This
dition of Nika¯ya Buddhism. An Shigao translated materials
is a partial translation of Tsong ka pa’s important survey of
Tantra, The Great Stages of Mantra (sngags rim chen mo), with
on dhya¯na (concentration) meditation, including the Scrip-
commentary by the Dalai Lama.
ture of Mindfulness of Breathing (T 602), which teaches
Willis, Janice D. The Diamond Light of the Eastern Dawn: A Col-
counting the breaths as a preparation for entering concentra-
lection of Tibetan Buddhist Meditations. New York, 1972.
tion. This was an important text in Chinese Buddhism for
This is a compilation of translations of various Buddhist
the next several hundred years, and mindfulness of breathing
meditational manuals with a focus on esoteric rites of evoca-
was one of the main forms of meditation in early Chinese
tion.
Buddhism.
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BUDDHIST MEDITATION: EAST ASIAN BUDDHIST MEDITATION
1291
Another early translator, the Kushan Lokaks:ema (fl.
Pratyutpanna sama¯dhi su¯tra (see Harrison, 1988). The medi-
166–180s), translated the Pratyutpanna sama¯dhi su¯tra (T
tator circumambulates an altar to Amita¯bha for ninety days,
418), a su¯tra containing both Pure Land and prajña¯pa¯ramita¯
chanting Amita¯bha’s name and visualizing his form. The
ideas (see Harrison, 1988). This su¯tra teaches a form of
meditator will gain enough merit to be reborn in Amita¯bha’s
sama¯dhi called the “meditation of direct encounter with the
realm, or he or she may receive a personal visitation from
buddhas of the present age,” a form of buddha¯nusmr:ti (keep-
Amita¯bha during the meditation period.
ing a buddha in mind, Ch. nianfo). In this practice, the med-
The category of part-walking and part-sitting includes
itator concentrates on a cosmic buddha such as Amita¯bha
the vaipulya repentance and the lotus sama¯dhi. In the vaipu-
Buddha for a whole day and night, or a whole week, day and
lya repentance, the meditator installs a set of twenty-four dei-
night, until the buddha appears to the meditator and preach-
ties in the meditation chamber, confesses his or her transgres-
es the dharma to him or her, and establishes the meditator
sions “with utmost sincerity and tears of lament” (Donner
as a nonreturning bodhisattva, a buddha-to-be. While this
and Stevenson, 1993, p. 254), and then alternates between
appearance is a sacred revelation and not a mere hallucina-
circumambulating while chanting dha¯ran:¯ıs and doing seated
tion, it is at the same time “empty” of ultimate reality. This
meditation. This regimen lasts only seven days, and layper-
practice is recommended for monks, nuns, and laypeople.
sons may participate. The lotus sama¯dhi involves confession
Other figures important for the development of Buddhist
before an altar to the bodhisattva Samantabhadra, circumam-
meditation in China during this period include Dao’an
bulation while reciting the Lotus Su¯tra, and seated medita-
(312–385) and his disciple Huiyuan (334–416), who taught
tion.
mindfulness of breathing and buddha¯nusmr:ti; and
Kuma¯raj¯ıva (350–409), who translated texts on meditation
For the category of neither walking nor sitting, Zhiyi of-
important in the Tiantai tradition and other traditions.
fers the example of a repentance focused on the bodhisattva
Avalokite´svara (Guanyin), involving ritual offerings, confes-
Because many of the earliest Buddhist translations were
sion, chanting dha¯ran:¯ıs, sitting, and su¯tra recitation. This
related to meditation, Henri Maspero (1971/1981) has ar-
category also includes the “sama¯dhi of freely following one’s
gued that the translators were meeting the needs of a Chinese
thoughts” (sui ziyi sanmei), which became especially impor-
audience with an especial interest in meditation, perhaps an
tant for some later Tiantai Buddhists who wished to rid
audience already familiar with Daoist meditation
Tiantai practice of its ritual aspect and pursue formless prac-
(pp. 400–412).
tices. In this approach, the meditator can use any form of
MEDITATION IN TIANTAI/TENDAI TRADITION. Tiantai Bud-
physical activity or sense-perception as a basis for cultivating
dhism, founded by Zhiyi of Mt. Tiantai (in present-day Zhe-
sama¯dhi, including “evil” activities or sense-perceptions.
jiang province, southeast China), synthesizes the earlier theo-
ry-oriented Buddhism of south China with the practice-
These practices have a double salvific effect. In each of
oriented Buddhism of north China. Zhiyi’s greatest work on
these practices (except the last one) the meditator invokes the
meditation is the Mohe zhiguan (Great calming and contem-
blessing of buddhas or bodhisattvas who may aid the medita-
plation, T 1911; see Donner and Stevenson, 1993). The
tor along the path to buddhahood with teachings and sup-
Mohe zhiguan discusses four kinds of sama¯dhi, and ten modes
port. However, each practice is also an exercise in cultivating
and ten spheres of discernment. The four kinds of sama¯dhi
a buddha’s vision of reality. In this vision, all ten dharma-
provided the ritual structure for all later Tiantai meditative
realms, from the realm of hell-beings to the realm of perfect
practice in East Asia, whereas the ten modes and ten spheres
buddhahood, are mutually coextensive in all of their aspects,
of discernment involve mental exercises to be carried out
resulting in a “middle” state that synthesizes both existence
within that structure. Tiantai Buddhism attempts to find a
and emptiness. This is what is meant by Zhiyi’s famous
place for all Buddhist teachings within its systems (in con-
phrase “three-thousand realms in an instant of thought”
trast to the single-minded and exclusivist perspective of tradi-
(yinian sanqian). For Zhiyi, nirva¯n:a is not different from the
tions such as Chan), and the framework of the four kinds
world of common experience: it is this world seen through
of sama¯dhi could encompass any form of Buddhist medita-
a refined pair of eyes. While the four kinds of sama¯dhi are
tion. Even so, in the Mohe zhiguan the four categories are
practiced in order to invoke the blessings of holy beings, they
identified with six specific ritual meditation regimens.
also are used to cultivate this prajña¯ (wisdom). The ten
Tiantai monasteries were built with halls especially for these
modes and ten spheres of discernment also discussed in the
meditation regimens.
Mohe zhiguan make up a system of mental exercises that may
be carried out within the four kinds of sama¯dhi.
In the ninety-day constantly-sitting sama¯dhi, the medi-
Later developments. Tiantai subitism, as it developed
tator contemplates the visionary body of the Buddha in emp-
in Japanese Tendai Buddhism from the twelfth century on,
tiness, or indeed any other dharma (any thing), in order to
has been termed hongaku shiso¯ (original enlightenment
identify the mind with the dharmadha¯tu, and realize the in-
thought). Hongaku texts emphasized that all people are per-
terpenetration of all dharmas.
fect buddhas already—in fact, all things possess perfect bud-
The constantly walking sama¯dhi is the “meditation of
dhahood, even insentients such as plants or trees. Some hon-
direct encounter with the buddhas of the present age” of the
gaku texts rejected the idea of “attaining” buddhahood at 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
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BUDDHIST MEDITATION: EAST ASIAN BUDDHIST MEDITATION
and argued that buddhahood is none other than worldly ex-
cess. Chan/Zen Buddhists hardly dared to commit instruc-
perience. Hongaku thought has been criticized as rejecting re-
tions on seated meditation to writing until the twelfth
ligious practice, but some hongaku texts did give instructions
century.
for contemplative practice, and Habito has argued that hon-
Ko¯ans. Ko¯ans, perhaps the most distinctive aspect of
gaku texts were studied in a context of meditative practice.
Chan/Zen Buddhism, were first composed in the ninth or
MEDITATION IN CHAN/ZEN TRADITION. The name “Chan”
tenth centuries. Ko¯an practice involving meditation was sys-
comes from the word dhya¯na, known in China as channa.
tematized in China during the Song dynasty (960–1279),
Chan is the “meditation” school of Buddhism, yet Chan
and further systematized in Japan thereafter.
Buddhists have sometimes been critical of meditation. After
Steven Heine (2002) defines a ko¯an, known in China
the eighth century, the sudden approach to enlightenment
as gong’an, as “a brief, enigmatic anecdote or dialogue be-
became dominant, and the idea of gradually cultivating the
tween two contesting parties” (p. 1), usually recording an en-
mind over time through meditation became problematic.
counter between Chan master and student. Ko¯an literally
Seated meditation—known in China as zuochan and in
means “public case,” and the underlying image is of a legal
Japan as zazen—itself became a problem. However, it is un-
case: the master interrogates the student like a magistrate in-
likely that those who criticized seated meditation ceased
terrogating the accused. Scholars such as D. T. Suzuki have
doing it.
presented ko¯ans as authentic records of the irrational, sponta-
Early Chan. The first record of Chan meditation comes
neous behavior of enlightened masters, ultimately incompre-
from the end of the sixth century, where monastics and lay-
hensible to Western readers. Rather than viewed as authentic
people in north China compiled the Erru sixing lun (Treatise
records of the ancient masters, however, ko¯ans should be rec-
on the two entrances and four practices), recording teachings
ognized as literary products with their own literary patterns,
on mental cultivation attributed to Bodhidharma and his
cultural themes, and social functions. Although ko¯ans are in-
student Huike. This text teaches that one must discover the
tentionally enigmatic and have special uses within the con-
buddha-nature, which is within oneself but is obscured by
text of Chan/Zen training, they need not be regarded as fun-
false sense-impressions. The text teaches a form of medita-
damentally impenetrable to a reader standing outside the
tion called “wall contemplation” (biguan) that dispenses with
tradition.
all stages of progress and aims at pacifying the mind and
Ko¯ans sometimes appear to reject meditation per se, but
achieving a state in which all things are one and the same.
they are actually only warning against attachment to medita-
The term “wall contemplation” is not explained in the text,
tion, or criticizing a particular approach to meditation. In a
but may refer to ´samatha (McRae, 2003, p. 31). Some of the
famous eleventh-century ko¯an about an encounter between
teachings of the Erru sixing lun, such as striving to realize
Nanyue Huairang (677–744) and Mazu Daoyi (709–788),
one’s inherent buddhahood through seated meditation, dis-
Huairang chides Mazu for his attachment to seated medita-
pensing with stages of progress, and turning everyday activity
tion, telling Mazu that achieving buddhahood by practicing
into an exercise in mental cultivation, also are characteristic
seated meditation would be as impossible as grinding a tile
of later Chan/Zen meditation.
to make a mirror.
Shenxiu and Shenhui. In the seventh century, Chan
Mazu said, “How does one do it right?” Huairang said,
Buddhism came to the public eye in the persons of Shenxiu
“Are you training in seated meditation, or training in
(606–706) and Shenhui (684–758). Shenxiu’s teachings re-
sitting as the Buddha? If you are training in seated med-
lentlessly emphasized contemplation of the mind in seated
itation, then meditation is neither seated nor lying
meditation and throughout daily life. He taught his many
down. . . . Your sitting as the Buddha is to kill the
Buddha; if you are attached to the characteristic of sit-
students to contemplate their minds with perfect equanimi-
ting, you have not penetrated the principle involved.”
ty, make their minds penetrate all realms of the cosmos, real-
When Mazu heard this teaching he felt ecstatic. (Jingde
ize nonbeing, and achieve the consciousness of a buddha in
chuandeng lu, T 2076, 51:240c; translation from
this lifetime. After Shenxiu’s death, Shenhui attacked Shenx-
McRae, p. 87, with alterations)
iu’s students’ legitimacy and teachings on meditation. Shen-
hui criticized seated meditation as an obstruction to enlight-
This anecdote, more likely a legend than the record of an ac-
enment, and exhorted students to achieve enlightenment
tual event, was composed and reworked not to deny that
immediately, as opposed to becoming distracted by a gradu-
meditation has a place in Chan training, but to warn the
alistic regimen of meditation. Shenhui did not invent the
meditator against a subtle attachment to meditation. In a
teaching of sudden enlightenment or the critique of seated
typical Chan move, “meditation” is redefined as a way of
meditation: his innovation was the critique of purifying and
being, rather than a formal practice. Here, encountering a
concentrating the mind. Shenhui probably did not intend
master, rather than meditation, is presented as the primary
for meditation to become taboo, and meditation continued
means to enlightenment.
to be taught by Shenhui’s students. However, after Shenhui,
Ko¯an meditation. Ko¯ans themselves were used as a
Chan Buddhists could no longer admit to a concern for puri-
focus of meditation. Dahui Zonggao (1089–1163), from the
fying the mind or speak of meditation as a gradualistic pro-
Linji Chan lineage, developed a training method called kan-
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BUDDHIST MEDITATION: EAST ASIAN BUDDHIST MEDITATION
1293
hua, “contemplating the [critical] phrase,” which he taught
not practice zazen for the sake of becoming a buddha, be-
to monastics and laypersons alike. According to this method,
cause all beings are buddhas already. Instead, the monk must
the student zeroes in on the huatou, the punch line of a ko¯an,
practice zazen without any thought of attaining enlighten-
which may be only a single word. The student concentrates
ment experience, “just sitting,” merely expressing his inher-
upon the huatou, both in seated meditation and throughout
ent buddhahood. This is a creative resolution to Chan/Zen’s
all daily activities. Abstracted from its original context, the
perennial problem of harmonizing the doctrine of sudden
huatou is inscrutable, and the student becomes sorely trou-
enlightenment with the real need for meditation practice.
bled by doubt and frustration. Eventually, the student is con-
sumed by doubt, “becoming” the doubt, and his or her dual-
MEDITATION IN PURE LAND TRADITION. Pure Land Bud-
istic thinking is replaced by one-pointedness of mind. Finally
dhism involves devotion to Amita¯bha Buddha
this great doubt shatters, bringing great enlightenment and
(Amita¯yus)—known in China as Amituo Fo and in Japan as
recapturing the enlightened state of mind of the master in
Amida Butsu, or other buddhas or bodhisattvas such as
the ko¯an. Although kanhua meditation is a distinctively
Avalokite´svara (Guanyin, Kannon). Most practitioners strive
Chan form of meditation with its use of ko¯ans and doubt,
for rebirth in Sukha¯vat¯ı, Amita¯bha’s paradisiacal world-
it also can be understood as a combination of ´samatha and
system far to the west of our own world, though some practi-
vipa´syana¯.
tioners believe that the Pure Land is an effect of enlightened
consciousness rather than a place. A practitioner’s rebirth in
Chan has often been described as a form of Buddhism
Sukha¯vat¯ı is made possible through Amita¯bha’s infinite store
uniquely influenced by Daoism, but this is difficult to sub-
of merit. Pure Land Buddhism in East Asia is based on four
stantiate historically. It would be more accurate to say that
main texts, the Longer and Shorter Sukha¯vat¯ı-vyu¯ha su¯tras,
Chan Buddhists drew upon a common literati culture al-
Amita¯yur-dhya¯na su¯tra, and Sukha¯vat¯ı-vyu¯hopade´sa, all
ready imbued with ideas from Daoist classics such as Laozi
known in China by the sixth century.
(Dao de jing), Zhuangzi, and Liezi. Chan Buddhists over the
past millennium also have come to include Daoist qi-
With the exception of Japanese Pure Land denomina-
circulation (qigong) techniques among their meditation prac-
tions, Pure Land Buddhism in the East Asian cultural sphere
tices, as these techniques have become more widely practiced
has been more a style of religiosity than an independent
in Chinese society in general.
school. Although there have been masters who taught Pure
Land exclusively, monastics usually have practiced Pure Land
Japanese Zen. The two main schools of Zen in Japan
together with other forms of Buddhism, such as Tiantai or
are Rinzai, known in China as Linji, and So¯to¯, known in
even Chan. Pure Land has also been one of the most prac-
China as Caodong. While Buddhists of each school have al-
ticed forms of Buddhism among laypeople.
ways both practiced zazen (seated meditation) and studied
ko¯ans, the Rinzai school is known for ko¯an training, and the
Pure Land practice may involve recitation, visualization,
So¯to¯ school for zazen.
and ritual. The main Pure Land practice is nianfo (Jp. nem-
Ko¯an training was first brought to Japan in the twelfth
butsu, Skt. buddha¯nusmr:ti), which means “keeping
century. The language of Chinese Chan presented difficulties
(Amita¯bha) Buddha in mind” or “reciting (Amita¯bha) Bud-
for many Japanese monks, who coped by developing ko¯an
dha’s name.” In China, Pure Land devotees began to claim
training systems. Students studied ko¯ans in standard se-
that ten recitations of the phrase “Honor to Amita¯bha Bud-
quences and drew their answers to ko¯ans from lists of ap-
dha,” or even one recitation, are enough to bring about re-
proved capping-phrases (jakugo). The ko¯an training systems
birth in the Pure Land, though most devotees recite
of the Rinzai school, as practiced today, were established by
Amita¯bha’s name millions of times throughout their lives.
Hakuin Ekaku (1686–1769) and his disciples. A student in
Devotees hope to be rewarded with a vision or visitation
a Rinzai training monastery today practices kanna medita-
from Amita¯bha, a sign that their rebirth in the Pure Land
tion, working on his ko¯an during zazen and other activities,
is assured. Even as simple recitation, nianfo can become a
and using jakugo to express his understanding to his teacher
form of meditation.
(ro¯shi) during daily interviews (dokusan). Women and lay-
Nianfo practice may also include visualizing and con-
men do not usually have access to this training. In China,
templating Amita¯bha’s physical body (ru¯paka¯ya) with its
kanna meditation (kanhua in Japan and Korea) is practiced
major and minor marks, or his abstract cosmic body
in Chan monasteries. This approach also is practiced in con-
(dharmaka¯ya) as the ground of reality. One text, the
temporary Korean So˘n monasteries.
Amita¯yur-dhya¯na su¯tra, teaches a series of sixteen dhya¯na
The So¯to¯ school was brought to Japan by Do¯gen Kigen
meditations. In these meditations, the meditator develops an
(1200–1253). Although he also was a brilliant master of ko¯an
impossibly complex and detailed vision of Amita¯bha and his
literature, Do¯gen emphasized zazen over ko¯an training and
Pure Land, with its lotus throne, jewel-trees, and so on.
wrote one of the first manuals on zazen. In Do¯gen’s zazen,
Whereas practitioners reciting Amita¯bha’s name hoped to be
one sits fixedly and practices “nonthinking.” Do¯gen taught
rewarded with a vision of the Pure Land, the meditator here
that zazen is not merely a method by which one reaches en-
builds this vision for him- or herself. Because the meditator
lightenment, zazen is itself enlightenment. The monk must
gains insight into Amita¯bha as the ground of reality, 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
1294
BUDDHIST MEDITATION: EAST ASIAN BUDDHIST MEDITATION
dhya¯na meditation has the aspect of vipa´syana¯ as well as
Today, Ajikan is practiced by monks, as well as male and
´samatha.
female laypeople. In one version of Ajikan, as described by
Zo¯ei in the seventeenth century, the practitioner begins with
Nianfo is often practiced in a ritual context. In everyday
prostrations, protective mantras, the Five Great Vows (such
lay practice, this may involve incense offerings, prostration,
as to save all sentient beings), and a mantra to invite the cos-
and circumambulation of an image of Amita¯bha or another
mic buddha Maha¯vairocana, known in Japan as Dainichi, to
deity. One example of a Pure Land ritual meditation histori-
attend the ritual. He or she then visualizes the Sanskrit letter
cally practiced by monastics is the constantly walking
A resting on a white lotus flower, within a full moon, within
sama¯dhi described in the above section on Tiantai Bud-
the heart. The letter A is then visualized alternatively with-
dhism. Monastics and laypeople alike also may take part in
in the heart and before the eyes, and finally as expanding to
Pure Land repentance rites. In these rites, Amita¯bha and
fill the whole cosmos before contracting back into the heart.
other buddhas are invited to the ritual space to receive the
The syllable A represents the cosmos in its many aspects: A
worshipers’ veneration and hear their confession of sins. Fol-
is the primary seed syllable, the origin of all existence, and
lowing this, the worshipers dedicate the merit gained from
the “ungraspable void” (as the negative prefix “a-”). After
the rite to all beings, and vow their intent to be reborn in
practicing these visualizations for between ten minutes and
the Pure Land.
one hour, the practitioner bids Maha¯vairocana return to his
Ho¯nen and Shinran. In Pure Land Buddhism, as in
Pure Land and performs closing rites to finish the practice.
Chan, meditation became problematic in light of doctrinal
If the practitioner is able to dwell in the thought of Great
developments. Pure Land masters in medieval China taught
Compassion, visualize the syllable A in his or her heart at all
that a single sincere recitation of Amita¯bha’s name was suffi-
times, and understand what is represented or manifested by
cient to guarantee rebirth in his Pure Land. However, for
this, he or she can achieve buddhahood in the present body.
many practitioners they still recommended meditation; that
This practice combines aspects of both ´samatha and
is, formal visualization practices. The situation changed in
vipa´syana¯, and the practitioner appropriately forms a hand-
Japan, where the two most influential Pure Land masters,
position symbolizing the union of dhya¯na and prajña¯ during
Ho¯nen (1133–1212) and Shinran (1173–1263), taught that
the practice.
the difficult meditation practices were not only not neces-
MODERN TENDENCIES. Over the past millennium, Chan has
sary, but could even threaten a practitioner’s salvation. Japa-
become the dominant monastic Buddhist institution in the
nese Pure Land Buddhism teaches that the practitioner must
East Asian cultural sphere (as Chan in China, Zen in Japan,
rely completely on the “other-power” (tariki) of Amita¯bha,
So˘n in Korea, and Thi1n in Vietnam), and Pure Land has
but that a meditator might develop the false belief that he
remained the dominant form of lay Buddhist practice. Chan
or she could achieve salvation based on the “self-power”
and Pure Land meditation as described above are now prac-
(jiriki) of meditation.
ticed equally by laypeople and monastics, and Chan and
MEDITATION IN ESOTERIC TRADITION. Esoteric Buddhism,
Pure Land are often combined. Chan/Zen meditation is now
also called Tantric or Vajraya¯na Buddhism, was a relatively
practiced worldwide, but so is Pure Land. The greater in-
late form of Indian Buddhism transmitted to China in the
volvement of laypeople has led to an overall simplification
Tang (618–907) and Southern Song (1127–1279) dynasties.
of meditative techniques. In some cases, such as in Taiwan,
Although Esoteric Buddhism as an institution flourished
monastics may now freely choose which form of meditation
only briefly in China, Esoteric rituals and symbols can still
they wish to practice. Buddhists have more international
be found in Chinese Buddhism and Daoism. Esoteric Bud-
contacts now, and laypeople and monastics alike may choose
dhism was first established in Japan by Ku¯kai (774–835) and
to practice Therava¯da or Tibetan forms of meditation in ad-
Saicho¯ (767–822). Ku¯kai founded the esoteric Shingon
dition to or instead of traditional East Asian forms.
school, and Saicho¯ incorporated Esoteric Buddhism in his
Tendai school. Although the following account describes
SEE ALSO Buddhas and Bodhisattvas, article on Ethical
Shingon meditation, the same general description also would
Practices associated with Buddhas and Bodhisattvas; Bud-
apply to Tendai esoteric practice.
dhism, overview article; Buddhism, Schools of, article on
East Asian Buddhism; Chan; Daoism, overview article;
In Shingon practice, the three human activities of body,
Dharma, article on Buddhist Dharma and Dharmas; Su¯tra
speech, and mind manifest the three sacred “secrets” of
Literature.
mudra¯, mantra, and visualization sama¯dhi. Shingon practices
involve physical actions, chanting, and visualization, and
BIBLIOGRAPHY
thus straddle the categories of ritual and meditation. While
Bielefeldt, Carl. Do¯gen’s Manuals of Zen Meditation. Berkeley and
Shingon practices cannot be pigeonholed into two exclusive
Los Angeles, 1988. A study of Do¯gen’s teachings on zazen
categories of ritual and meditation, some practices are rela-
within the context of Chan history, with translation.
tively more communal and ritual, and some are more indi-
Buswell, Robert E., Jr. “The ‘Short-cut’ Approach of K’an-hua
vidual and meditative. Ajikan, contemplation of the syllable
Meditation: The Evolution of a Practical Subitism in Chi-
A, is one such meditative practice, set within a ritual frame-
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work.
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BUDDHIST PHILOSOPHY
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Gregory, pp. 321–377. Honolulu, 1987. The best discussion
Stevenson, Daniel B. “Pure Land Buddhist Worship and Medita-
of kanhua Chan in a Western language.
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Practice in Contemporary Korea. Princeton, N.J., 1992. The
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best ethnography on contemporary Zen (So˘n) monastic life,
Stevenson, Daniel B. “Visions of Mañju´sr¯ı on Mount Wutai.” In
including chapters on meditation.
Religions of China in Practice, edited by Donald S. Lopez, Jr.,
Donner, Neal, and Daniel B. Stevenson. The Great Calming and
pp. 203–222. Princeton, N.J., 1996. Translation and discus-
Contemplation: A Study and Annotated Translation of the First
sion of the Tang monk Fazhao’s nianfo practice and visions
Chapter of Chih-i’s “Mo-ho chih-kuan.” Honolulu, 1993. A
of the bodhisattva.
translation of the first quarter of the Mohe zhiguan, with a
nearly one-hundred-page introduction.
Stone, Jacqueline I. Original Enlightenment and the Transforma-
tion of Medieval Japanese Buddhism. Kuroda Institute Studies
Gregory, Peter N., ed. Traditions of Meditation in Chinese Bud-
in East Asian Buddhism, 12. Honolulu, 1999. A comprehen-
dhism. Honolulu, 1986. Includes articles on Tiantai
sive and penetrating discussion of hongaku thought.
sama¯dhi, early Chan sama¯dhi, Faxiang visualization of
Maitreya, and so on.
Suzuki, Shunryu. Zen Mind, Beginner’s Mind. New York, 1970.
Habito, Ruben L. Originary Enlightenment: Tendai Hongaku Doc-
A So¯to¯ Zen master’s informal talks to students in San Fran-
trine and Japanese Buddhism. Studia Philologica Buddhica
cisco; illustrates So¯to¯ Zen teachings on “just sitting.”
Occasional Paper Series XI. Tokyo, 1996. Argues that Ten-
Yamasaki, Taiko¯. Shingon: Japanese Esoteric Buddhism. Boston,
dai hongaku texts were studied in a context of meditative
1988. An overview of Shingon Buddhism by a contemporary
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Shingon master of the Chu¯in-ryu¯ lineage of Mt. Ko¯ya. In-
Harrison, Paul, trans. into English; Lokaks:ema, trans. into Chi-
cludes a section on Ajikan.
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1988. The English translation of an important su¯tra on med-
CLARKE HUDSON (2005)
itation.
Harvey, Peter. “Buddhist Practice: Meditation and the Develop-
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ings, History and Practices, pp. 244–279. New York, 1990.
BUDDHIST PHILOSOPHY. When Buddhism
An overview of Buddhist meditation, including sections on
first became known in the West, many historians of philoso-
East Asia.
phy were reluctant to call it “philosophy.” Philosophy in the
Heine, Steven. Opening a Mountain: Ko¯ans of the Zen Masters.
strict sense was viewed as a legacy of the Greeks, who learned
New York, 2002. A study of cultural symbols in ko¯ans, with
to cultivate a critical and theoretical attitude that was free
translations and discussions of ko¯ans concerning encounters
from the limitations of tradition, mythology, and dogma. By
with mountain spirits, “Zen grannies,” and so on.
the end of the twentieth century, this restrictive approach has
Hori, Victor So¯gen. Zen Sand: The Book of Capping Phrases for
begun to change. We now know much more about the criti-
Ko¯an Practice. Honolulu, 2003. The introduction offers the
cal precision of Buddhist philosophy, and Western philoso-
best discussion of contemporary Rinzai Zen ko¯an practice.
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Hsing Yun. Only a Great Rain: A Guide to Chinese Buddhist Medi-
cerns that inspired Greek philosophy. As theoretical as Greek
tation. Boston, 1999. An overview of Chinese meditation
speculation may have been, it was never far from the practical
teachings by a contemporary Taiwanese Chan master, with
challenge of living a good or happy life. The same is true of
an introduction by John R. McRae.
Buddhist philosophy. Even the most rarefied and theoretical
Lü K’uan Yü (Charles Luk). The Secrets of Chinese Meditation.
analysis is related to a process of moral discipline and libera-
1964; reprint, New York, 1969. Includes translations and
tion from suffering.
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practices.
In India the word most often translated as “philosophy”
Maspero, Henri. Taoism and Chinese Religion. Paris, 1971; trans-
is dar´sana, whose root meaning is simply “to see.” As a meta-
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phor, dar´sana is close to the Greek word theoria, which is
1981.
the source of our word theoretical and also means “to see.”
McRae, John R. Seeing through Zen: Encounter, Transformation,
Dar´sana can be used to name a system or school of Indian
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philosophy, as in the title of Ma¯dhava’s famous Sarva-
Angeles, 2003. A critical overview of Chan history with her-
dar´sanasamuccaya (Compendium of all systems), or it can be
meneutical guidelines for studying Chan.
used to name philosophy itself. Some Indian philosophers
Payne, Richard K. “Ajikan: Ritual and Meditation in the Shingon
play on the metaphorical associations of the word to picture
Tradition.” In Re-Visioning “Kamakura” Buddhism, edited by
philosophy as way of ascending a mountain to get a clear vi-
Richard K. Payne, pp. 219–248. Honolulu, 1998. A discus-
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sion of the world. Bha¯vaviveka (also known as Bhavya or
Sheng-yen. Hoofprint of the Ox: Principles of the Chan Buddhist
Bha¯viveka) described the practitioner of philosophy as some-
Path as Taught by a Modern Chinese Master. New York, 2001.
one “who climbs the mountain peak of wisdom and is free
A handbook for practitioners by a contemporary Taiwanese
from grief, but looks with compassion on people who are
Chan master, with a preface and introduction by Dan Ste-
burned by grief.” This verse echoes an earlier Buddhist verse
venson.
about a wise person who ascends the “palace of wisdom” 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
1296
BUDDHIST PHILOSOPHY
without grief or sorrow, sees the suffering of life spread out
series of questions: Is the universe eternal or not? Is it finite
below. Hans Jonas has pointed out that the metaphor of vi-
or infinite? Is the soul identical to the body or not? Does the
sion plays a crucial role in Western philosophy, because it
Buddha exist after death or not? Does he both exist and not
suggests distance, detachment, and the ability to perceive all
exist after death? Does he neither exist nor not exist?
of reality in a single, inclusive act of understanding. Jonas’s
Ma¯lunkyaputta said that, if he did not get answers to these
point applies equally well to Buddhist philosophy. Whether
questions, he would leave the order. The Buddha responded
it involves an Indian scholar climbing a mountain, a Chinese
with a story about a man who was wounded by a poisoned
master polishing the mirror of the mind, or a Japanese phi-
arrow. When someone tried to take out the arrow, the man
losopher gazing at the moon reflected in a dewdrop, Bud-
said: “Wait! Until you tell me who shot the arrow, what kind
dhist philosophy functions metaphorically as a form of
of person he was, what the bow and arrow were made of, and
vision.
so forth, I will not let you remove the arrow.” The Buddha
said that Ma¯lunkyaputta was like the man shot by the arrow.
The idea of vision suggests another important metaphor
His speculative questions did not have anything to do with
for the practice of Buddhist philosophy. To get to the top
the practical challenge of removing suffering. Buddhists in-
of the mountain, a philosopher has to follow a path. At a cru-
terpret this story as meaning that the Buddha’s teaching has
cial moment in his life, Siddha¯rtha Gautama, the man who
a practical goal. Buddhist philosophy is not averse to ques-
became the Buddha, realized that fasting and self-denial were
tions about the nature of reality, even questions that are quite
not leading him where he wanted to go. He accepted a gift
abstruse, but in the end their purpose is to remove suffering.
of food and took up a mode of discipline that is known in
Buddhist tradition as a Middle Way, avoiding the extremes
Another story compares the Buddha’s teaching to a raft.
of self-denial and self-indulgence. Once he had found the
The Buddha explains that his teaching should help people
Middle Way, he began to make progress toward the awaken-
cross the river of suffering and should not be treated as a
ing (bodhi) that made him a buddha. For Buddhist philoso-
source of attachment. Someone who becomes attached to the
phers, the Middle Way is more an intellectual discipline than
words of the teaching is like a man who builds a raft to cross
a discipline of desire, but it is equally fundamental to their
a river, gets to the other side, and is so fond of the raft that
practice: their philosophical practice charts a Middle Way
he puts it on his back and carries it wherever he goes. The
between the extremes of affirmation (in which things are
right attitude toward the raft is to use it to cross a river then
treated as permanent entities) and negation (in which they
let it go. Once again, the teaching has a practical function,
are treated as utterly nonexistent).
but out if its practicality grows a critical principle. This story
challenges anyone who reveres tradition for its own sake,
The most fundamental way of understanding Buddhist
even when that tradition is the teaching of the Buddha.
philosophy, however, is simply as a pursuit of knowledge.
When the Buddha’s teaching is no longer useful, or when it
From the earliest stages of Buddhist tradition, wisdom
is not effective in removing suffering, it should be left be-
(prajña¯) played a central role in Buddhist practice. Wisdom
hind. If “philosophy,” in the strict sense of term, requires a
involved an ability to see through appearances of things and
critical spirit toward dogma, myth, and other forms of tradi-
understand them correctly. By a grammatical accident that
tion, as it often does in the Western tradition, then a distin-
had enormous influence on the development of Buddhist
guishable Buddhist “philosophy” is beginning to stir in these
thought, it also involved a certain way of “going.” The word
early stories.
way (pratipad), in one of its forms, functions as a verbal noun
that means “to go.” For the philosophers of classical India,
One of the most important systematic accounts of early
“to go” can always mean “to know.” This means that the phi-
Buddhist thought is found in the Dhammacakkappavattana
losophy of the Middle Way is a way of knowing the world
Sutta (Discourse on the turning of the wheel of the teaching).
without illusion, grief, or suffering. While the metaphors of
According to Buddhist tradition, this discourse contains the
vision and the path have become attenuated in the long his-
Buddha’s first sermon and summarizes the content of his
tory of Western philosophy, the Buddhist view of the philos-
awakening. It begins with the Middle Path, then presents a
opher’s path is not far from Plato’s parable of the cave, where
teaching about four noble truths: the truths of suffering
the challenge is to ascend from the dark world of mere ap-
(Skt., duh:kha; Pali, dukkha), the arising of suffering (samu-
pearances to the bright light of truth.
daya), the cessation of suffering (nirodha), and the path to
EARLY BUDDHIST THOUGHT. It is difficult to separate the
the cessation of suffering (Skt. ma¯rga; Pali, magga). Although
teachings of the historical Buddha from the complex layers
these truths need to be elaborated before their significance
of oral tradition about his life, but several fundamental
can become clear, they contain an outline of the major topics
themes seem to have been established early in Buddhist his-
of Buddhist thought.
tory and have given decisive shape to the rest of Buddhist
The truth of suffering is related to two other important
thought.
aspects of Buddhist thought: the doctrines of impermanence
Early canonical literature tells a story about an encoun-
(Skt., anitya; Pali, anicca) and no-self (Skt., naira¯tmyam;
ter between the Buddha and a man named Ma¯lunkyaputta.
Pali, anatta¯). Buddhists argue that, while some things are
According to the story, Ma¯lunkyaputta asked the Buddha a
painful in an obvious sense, other things become painful
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BUDDHIST PHILOSOPHY
1297
when they change and pass away, and eventually everything
do not agree about the exact nature of the disputes that led
changes and passes away. Someone who holds onto change-
to this council, they do show that the community began to
able things will eventually experience them as suffering. Bud-
divide into different sects or schools (nika¯ya) at a relatively
dhists carry this point further and argue that, because things
early date. A close study of the sources shows that these divi-
change, they lack the permanent identity or “self” that we
sions initially involved questions of discipline in the Vinaya
normally attribute to them. They are nothing but a series of
Pit:aka or “Basket of Discipline” in the Buddhist canon. Later
“aggregates” (Skt., skandha; Pali, khandha) or momentary
disputes focused on doctrinal questions found in the Sutta
phenomena that give the illusion of continuity, like momen-
Pit:aka and the Abhidhamma Pit:aka. Eventually these dis-
tary flickers in a flame or moments in the flow of a river. The
putes produced eighteen separate schools.
doctrine of impermanence became a major point of contro-
The disputes that separated the eighteen schools are too
versy between Buddhist and Hindu philosophers, and the
complex and often too obscure to summarize, but one partic-
doctrine of no-self produced some of the most important de-
ular dispute had wide influence in later Buddhist thought.
bates within the Buddhist tradition itself.
This is the “Personalist Controversy.” Some of the early
According to the second noble truth, suffering comes
schools, such as the Va¯ts¯ıputr¯ıyas and Sammit¯ıyas, affirmed
from desire, and desire comes from ignorance through a
the existence of a “person” (pudgala) that continued from
causal sequence known as “dependent co-arising” (Skt.,
one moment to the next and gave continuity to the personal-
prat¯ıtya-samutpa¯da; Pali, pat:icca-samuppa¯da). The most fun-
ity. These schools said that the “person” was neither identical
damental form of ignorance is the misconception that there
to nor different from the “aggregates” (skandha) that consti-
is a self. When someone realizes that nothing has any perma-
tute the personality as it was understood by other Buddhist
nent identity, the chain of dependent co-arising unravels,
schools. The doctrine of the person (pudgala-va¯da) was even-
and suffering begins to cease. The third noble truth, the ces-
tually rejected by the majority of Buddhist schools, but not
sation of suffering, is also known as nirva¯n:a (Pali, nibba¯na),
without considerable controversy.
a word that means simply to “blow out” the fire of ignorance
Judging from an account of the personalist doctrine in
and craving. In its traditional form, the concept of nirva¯n:a
Vasubandhu’s Abhidharmako´sa (Treasury of the abhidhar-
has a negative flavor that sometimes puzzles Western inter-
ma), there were two reasons for the personalists’ position.
preters, but it is not difficult to understand if it is read against
One was a scriptural text (the Burden Su¯tra) that spoke of
the background of Indian views of reincarnation. Like their
a “person” who took up and laid down the burden of karma.
Hindu and Jain counterparts, Buddhists assume that a per-
The other was that the personalists felt that a “person” was
son’s life follows a cycle of death and rebirth, known in Indi-
necessary to guarantee moral accountability. They seem to
an tradition as sam:sa¯ra (literally, “wandering”). The goal of
have understood the “person” as the shape or configuration
the Buddhist path is to bring this cycle to an end. Nirva¯n:a
(sam:stha¯na) of the aggregates. While the shape of the aggre-
is not merely the cessation of desire and ignorance; it is liber-
gates is not different from the aggregates themselves, it con-
ation from the cycle of reincarnation.
tinues while the aggregates themselves come and go. Vasu-
bandhu’s criticism of this position takes the form of a
Traditional outlines of the path to nirva¯n:a, the fourth
dilemma. If the “person” is just a conventional way of speak-
noble truth, divide it into eight parts, beginning with “right
ing about the aggregates, then it is not ultimately real. If it
understanding” and ending with “right concentration.” In a
is ultimately real, then it cannot change and cannot be relat-
formula attributed to the nun Dhammadinna¯, the eight parts
ed to the aggregates. This dilemma is common in Buddhist
of the eightfold path can be grouped into three: moral con-
philosophy and plays a crucial role in the Madhyamaka view
duct (Skt., ´s¯ıla; Pali, s¯ıla), concentration (sama¯dhi), and wis-
of the two truths to be discussed below.
dom (Skt., prajña¯; Pali, pañña¯). Moral precepts for laypeople
THE ABHIDHARMA. The systematic elaboration of Buddhist
include no killing, no stealing, no lying, no abusing sex, and
thought took a major step forward with the development of
no taking of intoxicants. The practice of concentration in-
the abhidharma (Pali, abidhamma). The abhidharma tradi-
volves a variety of disciplines that often are referred to in the
tion began as lists, known as ma¯tr:ka¯s (“matrices”), of the fun-
general category of “meditation.” Of these the most basic is
damental constituents (dharmas) of reality. As Vasubandhu
to sit in a stable posture and concentrate on the movement
explained in his Abhidharmako´sa, abhidharma has to do with
of the breath. This practice is meant to let the negative ten-
cultivating pure wisdom through the discrimination of these
dencies of the mind pass away so that the mind can be clearly
fundamental constituents. Eventually these lists of funda-
aware of the flow of experience. Finally this clear mind
mental constituents were developed into a third “basket” of
should be infused with the wisdom, or the understanding of
scripture. The abhidharma schools attributed these lists to
no-self, that unravels the chain of suffering. It is here, in the
the Buddha himself, although their attribution was not uni-
cultivation and practice of wisdom, that philosophy finds its
versally shared. An important early school known as the
place in the path to nirva¯n:a.
Sautra¯ntikas (“those who follow the discourses”) challenged
BUDDHIST SECTARIANISM. According to Buddhist literature,
the claim that the abhidharma could be traced to the Bud-
the leaders of the early community convened a council about
dha. This school based its doctrine solely on the Buddha’s
a hundred years after the Buddha’s death. While the sources
discourses (su¯tra¯nta).
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BUDDHIST PHILOSOPHY
A good way to become acquainted with the questions
Maha¯ya¯na represents a transmission of the Buddha’s most
that occupied the abhidharma, without having to deal with
profound teaching. For modern scholars, the origins of the
the complexity of the matrices, is to read the Milindapañha
Maha¯ya¯na are quite obscure. What is certain is that by the
(The questions of King Milinda). This text presents a discus-
second century of the Common Era, when the first Buddhist
sion between the monk Na¯gasena and King Milinda, who
translations appeared in China, Maha¯ya¯na texts were actively
is identified as Menander, an Indo-Greek king who ruled in
circulating through the Indian Buddhist community. As the
northern India around 150–130 BCE. In one of its best
Maha¯ya¯na movement gathered momentum, it transformed
known chapters, Milinda asks Na¯gasena about the idea of
the Buddhism of India and became the dominant tradition
“no-self.” Does it mean that Na¯gasena himself does not exist?
in China, Korea, Japan, Tibet, and Vietnam.
Na¯gasena responds by asking the king about his chariot.
Early Maha¯ya¯na literature, particularly the Prajña¯pa¯-
Does the word chariot refer to the wheel, the axle, the pole,
ramita¯ (Perfection of Wisdom) Su¯tras, introduced two key
or some other part of the chariot? The king says: No, the
new ideas into the tradition of Buddhist thought. The first
word chariot is just a conventional designation that depends
of these, the doctrine of emptiness, presented a bold and rad-
for its meaning on these separate parts. Na¯gasena then says
ical application of the traditional doctrine of no-self. The sec-
that the word Na¯gasena functions in the same way. It is just
ond, the ideal of the bodhisattva, placed this view of reality
a conventional designation that depends on the momentary
in a distinctive system of ethical practice and reflection. Nei-
constituents of the personality. This comparison shows what
ther of these two ideas was unprecedented in Buddhist tradi-
Vasubandhu meant when he said that abhidharma is “the
tion, but they were presented in such new ways that they pre-
discrimination of fundamental constituents.” The process of
cipitated a major reconsideration of the fundamental
discrimination implies not only a theory of language but an
concepts of Buddhist thought.
epistemology: the knowledge of reality has to penetrate be-
neath the level of conventional designations to the momen-
According to the bodhisattva ideal, the goal of Buddhist
tary constituents in the flow of experience.
life is not to achieve nirva¯n:a in this life, as it had been in ear-
lier tradition; it is to return in the cycle of reincarnation to
The most influential of the abhidharma schools be-
help others on the path. While the bodhisattva ideal does not
longed to the Sarva¯stiva¯dins (“who hold the doctrine that ev-
exclude monks and nuns, Maha¯ya¯na texts like the
erything exists”), also known as the Vaibha¯s:ikas after the title
Vimalak¯ırtinirde´sa (The teaching of Vimalak¯ırti) Su¯tra
of their greatest work, the Maha¯vibha¯s:a¯ (Great commen-
speak positively about the lay life and draw lay people into
tary). The school began in the central region of the Ganges
the center of the teaching. Bodhisattvas are encouraged to
basin and eventually migrated to Kashmir where it flourished
practice the active virtue of compassion (karun:a¯), along with
for several centuries and had wide impact on the transmis-
the traditional virtue of wisdom (prajña¯). This practice in-
sion of Buddhism to Central and East Asia. Its influence was
volves the cultivation of six “perfections” (pa¯ramita¯)—
so great in China that the Maha¯vibha¯s:a¯ has been preserved
generosity, moral conduct, patience, fortitude, concentra-
in several different recensions in the Chinese canon, includ-
tion, and wisdom (a list that was later expanded to ten)—and
ing a translation made in 659 by the renowned Chinese
proceeds through a process of ten stages (bhu¯mi). In the last
scholar Xuanzang.
stages of this process, bodhisattvas acquire such extraordinary
The most distinctive Sarva¯stiva¯din theory, and the one
powers from their practice of merit and wisdom that they
from which the school gets its name, is the idea that “every-
function almost like the Hindu gods.
thing exists” not merely in the present, but in the past and
While the abhidharma focused on the discrimination of
future. This position was first developed in the first century
dharmas as the momentary but real constituents of reality,
CE in a text known as the Vijña¯naka¯ya (The body of con-
the early Maha¯ya¯na su¯tras called the reality of these dharmas
sciousness) and seems to have responded to two problems as-
into question. In the first chapter of The Perfection of Wisdom
sociated with the concept of impermanence: How can an act
in Eight Thousand Lines, for example, S´a¯riputra poses a ques-
of cognition “know” something in the past or future if that
tion: “What dharma does the word bodhisattva refer to?” The
object does not exist, and how can past actions have any ef-
answer is that he cannot “find, apprehend, or see” any dhar-
fect in the present, if the actions have ceased to exist? In the
ma corresponding to the word bodhisattva. The su¯tra extends
Maha¯vibha¯s:a¯ there is an elaborate discussion of the mental
the same analysis to all of the categories of Buddhist thought:
factors that lead to awakening, along with the factors that
no matter what the word, no dharma can be “apprehended”
hold a person back. As is often the case throughout Buddhist
that corresponds to it. This view of reality can be distilled
philosophy, epistemology plays a key part in the process of
into the claim that all dharmas are “empty” of identity. In
liberation.
other words, the nature of all things is their emptiness.
THE MAHA¯YA¯NA. The appearance of the Maha¯ya¯na (Great
While the Maha¯ya¯na doctrine of emptiness is easy to
Vehicle), near the beginning of the Common Era, led to a
state, its implications are complex. One obvious consequence
reinterpretation of many of the basic values of Buddhist
is the concept of nonduality: no matter how different two
thought. Maha¯ya¯na texts refer to the teachings of earlier
things may seem, in the end there is no distinction between
schools as H¯ınaya¯na (Lesser Vehicle) and claim that the
them. There is no difference between one moment and the
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BUDDHIST PHILOSOPHY
1299
next, between one person and another, and between nirva¯n:a
ultimate.” The distinction between the two truths begins
and sam:sa¯ra. To the critics of the Maha¯ya¯na, this view often
with a particular truth about language: a person has to de-
seems to be a form of nihilism, but it has important positive
pend on the distinctions of ordinary language in order to
implications. The bodhisattva ideal, for example, is not based
show that ordinary language does not apply. But the distinc-
merely on a sense of altruism or compassion. While the bo-
tion has important metaphysical and epistemological impli-
dhisattva may wish to help others, and this desire may be an
cations: a person has to depend on an ordinary understand-
important motivation for starting out on the bodhisattva
ing of things in order to seek nirva¯n:a. From the ultimate
path, the bodhisattva also realizes that there is no way to sepa-
point of view distinctions fall away, but any action or
rate his or her fate from the fate of others, and there is no
thought that is directed toward ultimate truth gains its mean-
way to escape into nirva¯n:a apart from sam:sa¯ra itself. The
ing by its dependence on relative (samvr:ti) or conventional
doctrine of emptiness leads inevitably to the bodhisattva prac-
(vyavaha¯ra) truth. The combination of the two truths—a
tice. Emptiness may seem negative, but it leads to an expan-
conventional affirmation and an ultimate negation—
sive and affirmative philosophy of Buddhist practice.
constitutes the “middle way” that gives the school its name.
T
It also allows Na¯ga¯rjuna to appropriate the basic categories
HE MADHYAMAKA. The first systematic attempt to organize
Maha¯ya¯na thought is associated with the philosopher
of Buddhist life in a positive way without treating them as
Na¯ga¯rjuna. Reliable historical information about Indian phi-
ultimately real.
losophers is rare, and the figure of Na¯ga¯rjuna is even more
The distinction between the two truths was fundamen-
elusive than most. Scholars generally agree that he lived in
tal to Madhyamaka thought, but it posed troubling philo-
south-central India sometime in the second or third century
sophical problems for Na¯ga¯rjuna’s followers. These problems
of the Common Era. Otherwise what we know of him comes
emerged in a series of commentaries on the Mu¯lamad-
only through his works. Of these, the most important is the
hyamaka-ka¯rika¯, written two or three centuries after the time
Mu¯lamadhyamaka-ka¯rika¯ (Root verses on the Middle Way),
of Na¯ga¯rjuna and focused on a disagreement about the logi-
the text that served as the source of the Madhyamaka
cal form of Na¯ga¯rjuna’s arguments. The commentator
(“Middle Way”) school. Na¯ga¯rjuna also was the author of a
Buddhapa¯lita (c. 470–540) interpreted Na¯ga¯rjuna’s argu-
number of independent treatises on problems in logic and
ments as a prasan˙ga or reductio ad absurdum in which the
the philosophy of language, including the Vigrahavya¯vartan¯ı
opponent’s position is shown to lead to absurd conclusions.
(Avoidance of disputes), a work on the bodhisattva path (the
Buddhapa¯lita formulated the argument against arising from
Ratna¯val¯ı [Jewel garland]), and several well-known hymns.
self and other as two separate claims: If someone says that
Na¯ga¯rjuna makes the direction of his argument clear in
things cannot arise from themselves, this is impossible, be-
the first verse of the Mu¯lamadhyamaka-ka¯rika¯: “Nothing
cause their arising would be useless, and if someone says that
ever arises anywhere from itself, from something else, from
things cannot arise from something else, this too is impossi-
both, or from nothing at all.” To say that nothing arises by
ble, because then anything could be produced by anything
any possible causal mechanism depends on a particular as-
else. This interpretation of Na¯ga¯rjuna is known as Pra¯san˙gika
sumption about the nature of identity: if something has an
from its style of reasoning. Bha¯vaviveka (c. 500–570) argued
“own-being” or “identity of its own” (svabha¯va), then it can-
that the rules of Indian logic require Ma¯dhyamikas not mere-
not be produced by anything else and cannot give rise to it-
ly to defeat their opponent’s position but to establish a posi-
self. The only way something can “arise” is to be empty of
tion of their own. He restated the first part of Na¯ga¯rjuna’s
any identity. In other words, for Na¯ga¯rjuna, the Buddhist
argument as an “independent syllogism” (svatantra
view of impermanence expressed in the doctrine of depen-
anuma¯na) with his own independent assertion and reason:
dent co-arising required that everything be empty of identity.
“Things do not arise from themselves, because they already
Na¯ga¯rjuna expressed this point in two key verses in the
exist.” Because of his fondness for independent (svatantra)
Mu¯lamadhyamaka-ka¯rika¯: “We call dependent co-arising
arguments, Bha¯vaviveka’s position is known as Sva¯tantrika.
emptiness; it is a metaphorical designation, and it is the Mid-
Candrak¯ırti (c. 600–650) came to Buddhapa¯lita’s defense
dle Path”; and “Everything is possible for someone for whom
and provided the classic statement of the Pra¯san˙gika ap-
emptiness is possible, and nothing is possible for someone
proach. For Tibetan tradition and for modern scholars,
for whom emptiness is not possible.”
Bha¯vaviveka’s Sva¯tantrika and Candrak¯ırti’s Pra¯san˙gika rep-
resent the two major, competing options in the interpreta-
How can something be possible, if it has no identity?
tion of Madhyamaka thought.
Is the doctrine of emptiness any different from saying that
nothing exists at all? The answer to these questions requires
This dispute about logical procedure gives a glimpse of
another key Madhyamaka concept: the distinction between
the problems that occupied Buddhist philosophers in what
the two truths. Na¯ga¯rjuna said: “When buddhas teach the
might be called the classical period of Buddhist philosophy
dharma, they depend on two truths: ordinary relative truth
in India. By the fourth and fifth centuries Buddhist monaste-
and ultimate truth. . . . It is impossible to teach the ulti-
ries had become sophisticated centers of learning and were
mate without depending on the conventional, and it is im-
drawn into debate not only with other Buddhists but with
possible to understand nirva¯n:a without understanding the
competing schools of Hindus and Jains. Bha¯vaviveka himself
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1300
BUDDHIST PHILOSOPHY
played a crucial role in this inter-traditional dialogue by pro-
pretation of the Maha¯ya¯na. This school is known by the
ducing the Tarkajva¯la¯ (Flame of reason), the first systematic
name Yoga¯ca¯ra or “Practice of Discipline.” The origin of the
chapter-by-chapter account of the doctrines of competing
Yoga¯ca¯ra is obscured by an old tradition that attributes sever-
Indian schools. It was natural for him to insist that Buddhists
al of the school’s fundamental texts to the celestial bodhisatt-
play by the accepted rules of debate and defend their own
va Maitreya. The school’s most important early exponents,
positions. It fell to Candrak¯ırti to reassert the austerity and
if not its actual founders, were Asan˙ga and Vasubandhu
simplicity of Na¯ga¯rjuna’s vision of ultimate truth. Behind
(fourth or fifth century), two philosophers who were possibly
the argument about the procedure for debate, however, lay
brothers. Like the Madhyamaka, the Yoga¯ca¯ra grew from the
an argument about the nature of conventional truth.
interpretation of a distinctive body of Maha¯ya¯na su¯tras.
Bha¯vaviveka felt that it was necessary to “accept” (siddha)
These included not merely the Perfection of Wisdom Su¯tras,
conventional things before analyzing them from the ultimate
but su¯tras that spoke of a “third turning of the wheel of the
perspective; Candrak¯ırti refused to attribute such indepen-
teaching” intended to interpret and move beyond the teach-
dent reality to the subject of his arguments.
ing of the Perfection of Wisdom. The Sandhinirmocana (Re-
leasing the hidden meaning) Su¯tra describes the Perfection of
In addition to commentaries on Na¯ga¯rjuna,
Wisdom Su¯tras as neya¯rtha (requiring further interpretation)
Bha¯vaviveka and Candrak¯ırti wrote major works on the bo-
as opposed to the Sandhinirmocana itself, which is n¯ıta¯rtha
dhisattva path. Both works, Candrak¯ırti’s Madhya-
(its meaning is definitive and does not need further interpre-
maka¯vata¯ra (Introduction to the Middle Way) and the first
tation).
three chapters of Bha¯vaviveka’s Tarkajva¯la¯, present their
analysis of Madhyamaka philosophy as part of the path to
Instead of two truths, the Yoga¯ca¯ra tradition developed
buddhahood. The same is true of the Bodhicarya¯vata¯ra (In-
a doctrine of three natures (svabha¯va): imagined (parikalpita)
troduction to the practice of awakening) by S´a¯ntideva
nature, dependent (paratantra) nature, and perfected
(eighth century). In a widely-quoted scriptural text, wisdom
(parinis:panna) nature. The first of these natures has to do
(prajña¯) is pictured as a way of giving sight to the other per-
with distinctions between subject and object and between
fections and leading them to the city of nirva¯n:a. While the
one object and another. When the mind distinguishes things
practice of Buddhist philosophy became more and more con-
and gives them names, the nature it attributes to them is
cerned with issues of logic and epistemology, it did not lose
“imagined”: it is as unreal as a magic trick or a dream. The
its intimate relationship to the discipline of Buddhist life.
mind itself, in its imaginative capacity, constitutes “depen-
dent nature.” When it creates imaginative fantasies about the
Madhyamaka continued to develop after the dispute be-
nature of the world, it is like the mind that creates a dream:
tween Candrak¯ırti and Bha¯vaviveka. Bha¯vaviveka’s
its concepts are not real, but the mind itself is real. Perfected
Sva¯tantrika approach was taken up and extended by the
nature is defined as the absence of imagined nature in depen-
eighth-century scholars Jña¯nagarbha, S´a¯ntaraks:ita, and
dent nature. In this sense it is identical to emptiness itself,
Kamala´s¯ıla, who shared the definition of conventional truth
but it also can be equated with the mind when all its illusory
as “arising dependently, capable of effective action, and satis-
concepts have been removed.
fying only when it is not analyzed.” The concept of “effective
This Yoga¯ca¯ra picture of reality appears in different
action” (artha-kriya¯) in this definition shows the influence
forms in different texts, including the Madhya¯ntavibha¯ga
of the Buddhist logician Dharmak¯ırti (seventh century).
(Distinction between the middle and the extremes), the
Both S´a¯ntaraks:ita and Kamala´s¯ıla played important roles in
Vim:´satika¯ (Twenty verses) and the Trim:´sika¯ (Thirty verses),
the introduction of Buddhism to Tibet. On the Pra¯san˙gika
but the basic picture remains the same. In all these texts, the
side, the philosopher At¯ı´sa (eleventh century) helped rees-
three natures function not only as an ontology, to distinguish
tablish the Buddhist intellectual tradition in Tibet after a pe-
real from unreal, but as an epistemology and a roadmap for
riod of persecution. His Pra¯san˙gika convictions, along with
meditation. The first step in the meditative process is to
his well-known work on the bodhisattva path,
grasp the concept of “mind-only” (citta-ma¯tra) in order to
Bodhipathaprad¯ıpa (Lamp for the path to awakening), had
eliminate attachment to external objects. Once a person has
immense influence on the shape of philosophy in Tibet. One
understood that there is nothing but mind, it is possible to
of the least known areas of Madhyamaka thought in the last
free the mind from the idea that it is a separate subject, differ-
period of Indian Buddhist history has to do with the rela-
ent from its objects. The goal of this process is to develop
tionship between Madhyamaka and Tantra. Two works by
the nondual awareness that constitutes the Buddha’s awak-
the Tantric saint Vimalamitra are included in the Madhya-
ening. The concept of “mind-only” is widely understood to
maka section of the Tibetan canon, and it is clear from later
mean that the Yoga¯ca¯ra is a form of Indian idealism. There
Tibetan history, as well as from the lives of Tantric saints,
is much in Yoga¯ca¯ra literature to support this view, particu-
that Madhyamaka played an important role in developing
larly the sophisticated Yoga¯ca¯ra analysis of the transforma-
the radical concept of nonduality on which Tantra was
tions (parin:a¯ma) of consciousness. But it is important to note
based.
that the concept of “mind-only” is used to remove attach-
THE YOGA¯CA¯RA. A century or two after the time of
ment not only to objects but also to the mind as a separate
Na¯ga¯rjuna, a second school emerged to challenge its inter-
subject.
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BUDDHIST PHILOSOPHY
1301
After the time of Asan˙ga and Vasubandhu, the Yoga¯ca¯ra
Digna¯ga’s successors included Dharmak¯ırti, who wrote
school developed a complex commentarial tradition like the
the Prama¯n:ava¯rttika, the authoritative commentary on
tradition of the Madhyamaka. Philosophers like Sthiramati
Digna¯ga’s major work, and two philosophers, Ratnak¯ırti and
(510–570) and Dharmapa¯la (c. 530–561) developed distinc-
Jña¯na´sr¯ımitra, who carried the Buddhist-Hindu controversy
tive and influential interpretations of the school in the
into the tenth and eleventh centuries on such topics as
monasteries of North India. This was the intellectual milieu
the existence of God and the self and the doctrine of momen-
that Xuanzang (c. 600–664) encountered when he traveled
tariness.
from China in the early decades of the seventh century. After
BUDDHIST PHILOSOPHY OUTSIDE INDIA. The history of
studying in Yoga¯ca¯ra circles for several years, he returned to
Buddhist philosophy outside India is a complex topic in its
China and introduced the Yoga¯ca¯ra tradition to Chinese
own right and cannot be treated simply as an extension of
Buddhism. While the school did not maintain a separate
controversies and schools borrowed from India. In the earli-
identity in China long after the death of Xuanzang, its influ-
est stages of Buddhist philosophical activity in Tibet and East
ence was felt throughout the history of Chinese Buddhist
Asia, the challenge was to interpret and absorb the Indian
thought.
traditions, but it was not long before scholars in both areas
generated distinctive traditions of philosophical reasoning.
BUDDHIST LOGIC. One of the most important legacies of the
Yoga¯ca¯ra in India was the epistemological tradition known
In Tibet, the Indian Buddhist philosophical tradition
as Buddhist logic. Beginning in the sixth century in the
became part of the standard monastic curriculum in all the
works of Digna¯ga (c. 480–540), the tradition produced some
Tibetan schools. Students received the texts from their teach-
of the greatest philosophers in the Indian tradition. There
ers, memorized them, and then debated their meaning with
is a legend that the Hindu logician Udayana went to a temple
their peers. In the Dge lugs (Geluk) pa tradition that is repre-
one day and found the door locked. In frustration, he ad-
sented by the lineage of the Dalai Lamas, the curriculum in-
dressed God in the following words: “Drunk with the wine
cluded Candrak¯ırti’s Madhyamaka¯vata¯ra, Dharmak¯ırti’s
of your own divinity, you ignore me; but when the Buddhists
Prama¯n:ava¯rttika, a summary of the Perfection of Wisdom
are here, your existence depends on me.” The Buddhists he
Su¯tras, and a text on the monastic discipline. While Tibetan
was referring to were not the Ma¯dhyamikas or the early
philosophers had a traditional focus, they were capable of im-
Yoga¯ca¯ras, but the philosophical heirs of Digna¯ga who kept
pressive originality and creative insight, as anyone who has
up their controversies with their Hindu opponents until the
encountered the work of a scholar like Tsong kha pa (1357–
Buddhist monasteries were destroyed at the end of the
1419) can attest. The study of Indian Buddhist philosophy
twelfth century.
today would not be the same without the insights generated
by the Tibetan exegetical tradition.
In his major work, the Prama¯n:asamuccaya (A compen-
The earliest attempts to formulate Buddhist thought in
dium of the means of knowledge), Digna¯ga argued that there
China began in the second and third centuries CE and were
are only two acceptable ways to know: perception (pratyaks:a)
strongly influenced by indigenous Chinese traditions, partic-
and inference (anuma¯na). Perception gives access to momen-
ularly Daoism. The neo-Daoist concept of “original nonbe-
tary particulars (svalaks:an:a), which are ultimately real, while
ing” came tantalizingly close to the Maha¯ya¯na concept of
inference gives access to universals (sa¯ma¯nya-laks:an:a), which
emptiness and helped give Chinese Buddhist philosophy a
are only conventionally real. Absent from this list is knowl-
Daoist flavor that never entirely disappeared. One of the fin-
edge based on scripture or verbal testimony. Verbal testimo-
est examples of the Daoist turn in early Chinese Buddhism
ny played a crucial epistemic role in Hindu exegesis of the
was the brilliant fifth-century commentator Sengzhao. As a
Vedas, but Digna¯ga cast verbal testimony aside in favor of
pupil of the influential translator Kuma¯raj¯ıva (c. 350–409/
perception and the logical analysis of experience based on
413), Sengzhao had access to the text of Na¯ga¯rjuna’s
perception. In this respect, he represented a more sophisti-
Mu¯lamadhyamaka-ka¯rika¯ and understood its Indian charac-
cated version of the critical approach that animated the
teristics, but he transformed its argument in a distinctively
teaching of the Buddha himself.
Chinese way, depicting the Buddhist sage in a way that
With Digna¯ga’s austere two-part epistemology came
would have been very much at home in Daoist circles in the
same period.
not only a complex analysis of the types of perception but
also a thorough study of the forms of inference and, with the
In the sixth and seventh centuries, as Chinese thinkers
theory of inference, a view of language as anya¯poha
became more adept at interpreting Indian texts in their origi-
(“exclusion of the other”). Digna¯ga recognized that it was
nal languages, Madhyamaka and Yoga¯ca¯ra went through a
impossible for a word like cow to refer directly to the univer-
brief period of efflorescence. Jizang (549–623) made a bold
sal “cowness,” since such an entity was nothing more than
attempt to articulate the Madhyamaka, while Xuandang
an intellectual construct. Instead, he argued that the word
(600–664) did the same for the Yoga¯ca¯ra. With the arrival
gained its meaning by excluding particulars that did not be-
of the Tang dynasty (618–907), however, Chinese Bud-
long to a cow, such as the distinguishing characteristics of
dhism developed its own distinctive, indigenous philosophi-
a horse.
cal schools. One of the most influential was the Tiantai,
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1302
BUDDHIST PHILOSOPHY
founded by Zhiyi (538–597) on Mount Tiantai (“Heavenly
RECENT BUDDHIST PHILOSOPHY. The history of Buddhist
Terrace”). Zhiyi’s thought can be summarized in three key
philosophy since the mid-nineteenth century has been domi-
doctrines: the nature of all dharmas, the harmony of three
nated in one form or another by the encounter with the
levels of truth, and the three thousand worlds immanent in
West. The Therava¯da tradition felt Western influence as
an instant of thought. Tiantai had an inclusive, eirenic char-
early as the end of the nineteenth century, when the Theoso-
acter that gave it great influence, not only in China but also
phists Henry Steel Olcott (1832–1907) and H. P. Blavatsky
in Japan where, as the Tendai school, it gave rise to the three
(1831–1891) arrived in Sri Lanka, converted to Buddhism,
major Buddhist movements of the Kamakura period (1185–
and attempted to create a modern, rational Buddhism. They
1333): Pure Land Buddhism, the tradition of Nichiren, and
criticized practices that they considered corrupt or supersti-
Zen. Another key school associated with the Tang dynasty
tious, like the worship of local deities, and they argued that
was the Huayan, founded by Fazang (643–712). The Huay-
Buddhists should return to the tradition’s pragmatic, down-
an was based on the Avatam:saka Su¯tra, an Indian Maha¯ya¯na
to-earth, experiential roots. This interpretation of the Bud-
text that compared the world to a network of jewels, with
dhist tradition continues to have enormous influence in con-
every individual jewel reflecting the light of every other jewel.
temporary accounts of the Buddha’s teaching.
This vision of the interconnectedness of the cosmos had im-
One of the most influential attempts to bring Buddhism
portant influence in Chinese philosophy, including neo-
into dialogue with Western philosophy took place in the
Confucianism, and in the philosophical literature of Japan.
Kyoto school in Japan. The Kyoto school began in the de-
Whether the Chan (“Meditation”) school (referred to
partments of philosophy and religion at Kyoto State Univer-
in Japan as Zen) should be called “philosophical” in the strict
sity under the influence of Nishida Kitaro¯ (1870–1945).
sense of the word might be debated. It could just as well be
Nishida attempted to be loyal to Japanese traditions, espe-
called “anti-philosophical,” in the sense that it challenges dis-
cially Buddhism, and to synthesize Japanese traditions with
cursive logic and favors direct experience over “words and
the philosophical tradition of the West. Nishida’s project was
letters,” but it had so much influence on the development
taken up by his successor in Kyoto, Tanabe Hajime (1885–
of Buddhist thought that it cannot be excluded. One of the
1962), and by his student Nishitani Keiji (1900–1990).
key documents in the history of Chan is The Platform Su¯tra
Nishida felt a deep affinity between Japanese thought and
of the Sixth Patriarch by Huineng (638–713). In this text the
certain currents of German idealism, especially its use of dia-
master Hongren (601–674) asks his disciples to write verses
lectical logic and its openness toward mysticism. His concept
expressing the basic point of the Buddha’s teaching. The
of absolute nothingness involved a dialectical relationship of
master then uses the verses to decide who should carry on
being and nonbeing and yielded a view of the self in which
the mantle of his authority. One student writes a verse saying
the self is “made nothing” so that it can open up to its true
that the body is the tree of wisdom and the mind is the stand
identity. In Religion and Nothingness (English translation
of a mirror: the purpose of meditation is to wipe the mirror
1982), Nishitani related this process to the history of West-
and not allow it to become dusty. Huineng responds with
ern philosophy and argued that Western thought had to pass
a strict application of the concept of emptiness: “The mirror
through a stage of nihility to achieve a state of absolute noth-
of the mind is always clear and pure. How can it be defiled
ingness, where it could embrace both being and nothingness.
by dust?” Out of Huineng’s teaching grew the Southern
After the death of Nishitani, the Kyoto school has been less
school of Chan, with an emphasis on sudden awakening.
of a force in Japanese philosophy, but it remains one of the
The Northern school, which traced its origin to Huineng’s
boldest attempts to cross the boundaries between philosophy
rival, Shenxiu (c. 606–706), stressed a view of gradual awak-
and religion and between Buddhism and the tradition of
ening.
Western philosophy.
The intellectual strength of the Chan tradition shows
itself vividly in the work of the Japanese Zen master and phi-
SEE ALSO Dharma, article on Buddhist Dharma and Dhar-
losopher Do¯gen (1200–1253). Do¯gen was born in the family
mas; Eightfold Path; Four Noble Truths; Ma¯dhyamika;
Nirva¯n:a; Prajña; Prat¯ıtya-samutpa¯da; Soteriology; Soul, arti-
of an influential courtier but lost his family at an early age
cle on Buddhist Concepts; Tatha¯gata-garbha; Yoga¯ca¯ra.
and entered the Tendai monastery on Mount Hiei in Kyoto
to become a monk. Not satisfied with his studies, he traveled
to China and received what he later called “the dharma-gate
BIBLIOGRAPHY
of face-to-face transmission.” Returning to Japan, he
Wilhelm Halbfass gives a thorough and illuminating account of
founded the So¯to¯ school of Japanese Zen, a school that is
nineteenth- and twentieth-century European responses to
known for its practice of “just sitting.” Do¯gen’s major work,
Indian philosophy in India and Europe: An Essay in Under-
standing (Albany, N.Y., 1988). Bimal Krishna Matilal makes
the Sho¯bo¯genzo¯ (Treasury of the true dharma eye), crosses the
the analytical and critical dimension of Indian thought clear
line between poetry and philosophy with its eloquent and
in Epistemology, Logic, and Grammar in Indian Philosophical
paradoxical explorations of the concept of emptiness. It is re-
Analysis (The Hague, 1971) and Perception: An Essay on Clas-
lentlessly analytical, while it constantly subverts the linear
sical Indian Theories of Knowledge (Oxford, 1986). On the re-
process of logical analysis; it also is intensely intellectual,
lationship between theory and practice in Indian literature,
while it dissolves the intellect in a quest for pure experience.
see Sheldon Pollock, “The Theory of Practice and the Prac-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST RELIGIOUS YEAR
1303
tice of Theory in Indian Intellectual History,” Journal of the
war Bhattacharya, “The Dialectical Method of Na¯ga¯rjuna,”
American Oriental Society 105 (1985): 499–519. Studies of
Journal of Indian Philosophy 1 (1971): 217–261. To study
the same issue in Classical Greek and Roman philosophy in-
the disputes that divided the Madhyamaka tradition in India
clude Pierre Hadot, Philosophy as a Way of Life (Oxford,
and Tibet, there is no better source than The Svatantrika-
1995), and Martha C. Nussbaum, The Fragility of Goodness:
Prasangika Distinction: What Difference Does a Difference
Luck and Ethics in Greek Tragedy and Philosophy (Cambridge,
Make? edited by Georges B. J. Dreyfus and Sara L. McClin-
U.K., 1986). On the role of vision as a metaphor for philoso-
tock (Boston, 2003). The most accessible translation of a
phy in the Western tradition, see Han Jonas, “The Nobility
Madhyamaka work on the bodhisattva path is S´a¯ntideva’s
of Sight: A Study in the Phenomenology of the Senses,” in
Bodhicarya¯vata¯ra, translated by Kate Crosby and Andrew
The Phenomenon of Life: Toward a Philosophical Biology
Skilton (Oxford, 1996).
(1966; reprint, Evanston, Ill., 2001).
The basic sources of the Yoga¯ca¯ra tradition are available in Thom-
There are many helpful introductions to Buddhist thought. Three
as A. Kochmuttom’s A Buddhist Doctrine of Experience: A
of the best are Walpola Rahula, What the Buddha Taught
New Translation and Interpretation of the Works of Vasuband-
(New York, 1974); Paul Williams, Buddhist Thought: A
hu the Yoga¯ca¯rin (Delhi, 1989) and Stefan Anacker’s Seven
Complete Introduction to the Indian Tradition (London,
Works of Vasubandhu (Delhi, 1998). For scholarly accounts
2000); and Donald W. Mitchell, Buddhism: Introducing the
of Digna¯ga’s thought, see Masaaki Hattori’s Digna¯ga, On
Buddhist Experience (New York, 2002). Karl H. Potter’s Pre-
Perception (Cambridge, Mass., 1968), and Richard P. Hayes,
suppositions of India’s Philosophies (Englewood Cliffs, N.J.,
Digna¯ga on the Interpretation of Signs (Dordrecht, Nether-
1963) still provides one of the most useful ways of under-
lands, 1988). Tom J. F. Tillemans gives a good example of
standing the relationship of the doctrine of reincarnation to
the excellent scholarship being done today on Dharmak¯ırti’s
Indian theories of causation and epistemology. Steven Col-
epistemology in Scripture, Logic, and Language: Essays on
lins wrote an important study of the no-self doctrine in Self-
Dharmak¯ırti and His Tibetan Successors (Somerville, Mass.,
less Person (Cambridge, U.K., 1982).
1999). One of the most helpful surveys of the issues that
dominated the later tradition of Buddhist logic is Yuichi Ka-
For a summary of scholarship on the Buddhist councils, see André
jiyama’s translation of Moks:a¯karagupta’s Tarkabha¯s:a¯, in An
Bareau, Les premiers conciles bouddhiques (Paris, 1955);
Introduction to Buddhist Philosophy (Vienna, 1998).
Charles S. Prebish, “A Review of Scholarship on the
Buddhist Councils,” Journal of Asian Studies 33 (1974):
Georges Dreyfus has written an engaging account of the scholar’s
239–254; and Janice J. Nattier and Charles S. Prebish,
life in a Tibetan monastery in The Sound of One Hand Clap-
“Maha¯sam:ghika Origins: The Beginnings of Buddhist Sec-
ping: The Education of a Tibetan Monk (Berkeley, Calif.,
tarianism,” History of Religions 16 (1977). On the doctrines
2003). There is no single source to turn to for an introduc-
of the eighteen nika¯yas, see André Bareau, “Trois traités sur
tion to Chinese Buddhist philosophy. Wing-tsit Chan pro-
les sectes bouddhiques attribués à Vasumitra, Bhavya, et
vides excerpts from major texts with helpful commentary in
Vin¯ıtadeva,” Journal Asiatique 242 (1954): 229–265; 244
A Sourcebook in Chinese Philosophy (Princeton, N.J., 1963).
(1956): 167–199. Vasubandhu’s discussion of the personalist
Brook Ziporyn has written two important studies of Tiantai
doctrine (pudgala-va¯da) is available in Edward Conze’s Bud-
philosophy: Evil and/or/as the Good: Omnicentrism, Intersub-
dhist Scriptures (London, 1959), pp. 192–97.
jectivity, and Value Paradox in Tiantai Buddhist Thought
(Cambridge, Mass., 2000), and Being and Ambiguity: Philo-
The most inclusive account of the abhidharma is Karl H. Potter’s
sophical Experiments with Tiantai Buddhism (Chicago, 2004).
Abhidharma Buddhism to 150 A.D., Encyclopedia of Indian
For a philosophical reflection on Zen, see Dale S. Wright,
Philosophies, vol. 7 (Delhi, 1996). Vasubandhu’s
Philosophical Meditations on Zen Buddhism (Cambridge,
Abidharmako´sa has been translated into French by Louis de
U.K., 1998). Important selections from Do¯gen’s writings are
La Vallée Poussin in L’Abhidharmako´sa de Vasubandhu
available in Kazuaki Tanahashi, ed., Moon in a Dewdrop:
(Brussels, 1971).
Writings of Zen Master Do¯gen (New York, 1985).
For an account of the Perfection of Wisdom literature and its role
James W. Heissig has written a useful history of the Kyoto school
in the development of the Maha¯ya¯na, see Edward Conze’s
in Philosophers of Nothingness: An Essay on the Kyoto School
The Perfection of Wisdom Literature, 2d ed. (Tokyo, 1978).
(Honolulu, 2001). Keiji Nishitani’s most important work in
Conze’s translation of The Perfection of Wisdom in Eight
English translation is Religion and Nothingness, translated by
Thousand Lines and Its Verse Summary (Bolinas, Calif., 1973)
Jan van Bragt (Berkeley, Calif., 1982).
gives a clear picture of the scriptural sources of the
Maha¯ya¯na. Another important Maha¯ya¯na su¯tra in transla-
MALCOLM DAVID ECKEL (2005)
tion is Etienne Lamotte’s The Teaching of Vimalak¯ırti
(Vimalak¯ırtinirde´sa) (London, 1976).
The best source for a history of Madhyamaka thought is David
BUDDHIST RELIGIOUS YEAR. The Buddhist
Seyfort Ruegg’s The Literature of the Madhyamaka School in
religious year celebrates seminal events in the life of the
India (Wiesbaden, Germany, 1981). No single translation of
founder and the early religious community and sanctifies the
Na¯ga¯rjuna’s Mu¯lamadhyamaka-ka¯rika¯ is considered defini-
tive, but Jay L. Garfield, trans., The Fundamental Wisdom of
annual changes of the seasons and the cyclical passage of time
the Middle Way (New York, 1995) provides a useful orienta-
in which the life of the community is embedded. Particular
tion to this fundamental text. A translation of the
cultural traditions adjust and amplify both dimensions of the
Vigrahavya¯vartan¯ı, one of Na¯ga¯rjuna’s most important
Buddhist calendar according to their own histories and cir-
works on logic and epistemology, can be found in Kamales-
cumstances.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1304
BUDDHIST RELIGIOUS YEAR
Each Buddhist culture developed its own religious cal-
which are commemorated in various ways in particular Bud-
endar punctuated by particular ceremonies, rituals, and festi-
dhist cultures. These acts include the Buddha’s birth, en-
vals. Chinese Buddhists, for example, celebrated the life of
lightenment, first discourse, entry into nirva¯n:a, descent from
the Buddha and various bodhisattvas, the death anniversaries
Tra¯yastrim:´sa Heaven, where he had instructed his mother
of certain figures in Chinese Buddhist history, various celes-
in the Abhidharma, the simultaneous appearance of the
tial beings (tian gong), the emperor’s birthday, and such sea-
1,250 arhats at Vel:uvana monastery in Ra¯jagr:ha, and the
sonal events as the celebration of the new year and the end
miracle of S´ra¯vast¯ı, where the Buddha miraculously multi-
of summer. In Tibet, the religious year included not only cel-
plied himself into an infinite number of flaming manifesta-
ebrations for the Buddha and major religious figures such as
tions, thereby vanquishing the heretics who had challenged
Padmasambhava, but also monthly commemorations of a
him to a magical competition.
wide variety of deities and saints and the celebration of the
Buddha’s Day. Buddha’s Day, or Visa¯kha¯ Pu¯ja¯ in the
new year. Within any given cultural tradition the specifically
Therava¯da tradition, is considered by many to be the most
Buddhist events of the year—the life of the Buddha, the ob-
holy day in the Buddhist year, as it commemorates the birth,
servance of the rains retreat (vassa), and so forth—are likely
enlightenment, and death (i.e., parinirva¯n:a) of the Buddha,
to be articulated with the agricultural cycle. Thus, in much
believed by Therava¯da Buddhists to have occurred miracu-
of Southeast Asia, Buddha’s Day occurs at the onset of the
lously on the same day of the week. In Therava¯da countries
monsoon rains in May; the kat:hina ceremonies, in which
this celebration, known as Vesak in Sri Lanka, occurs on the
gifts are presented to the monks, comes at the end of vassa,
full-moon day of Visa¯kha¯ (Skt., Vai´sa¯kha; April–May).
the end of the planting season; and the merit-making cere-
Vesak celebrations in Southeast Asia focus on the monastery.
mony in honor of the Buddha’s appearance as Prince Vessan-
Devotees observe the precepts and listen to sermons on the
tara comes in February–March, after the rice harvest. In
life of the Buddha. In Thailand, the traditional Vesak ser-
short, the Buddhist religious year is closely integrated with
mon, the pathama-sambodhi, continues throughout the en-
the cycle of rice cultivation and its accompanying economic
tire night. It begins with the wedding of Suddhodana and
activities.
Maha¯ma¯ya¯, the Buddha’s parents, and concludes with the
For the purposes of this article we shall not divide the
distribution of the Buddha’s relics and an accounting of the
Buddhist religious year chronologically, in part because of
reasons for the decline of Buddhism in India. The text is a
the variance among Buddhist calendars from culture to cul-
composite of scripture and popular commentary in which
ture. Rather, we shall first examine the major observances of
the Buddha is depicted as a teacher and miracle worker. In
the Buddhist year as defined by the events in the life of the
addition to attendance at monastery services, other common
Buddha and the founding of his religion (sa¯sana), and then
Vesak practices include watering bodhi trees within monas-
seasonal celebrations, in particular, the New Year. Although
tery compounds, circumambulation of the cetiya reliquary at
these two dimensions of the Buddhist religious year are sepa-
night with incense and candles, acts of social service such as
rable for analytical purposes, within the lives of Chinese, Ti-
feeding the poor and treating the sick in hospitals, pilgrimage
betan, Japanese, Thai, Sri Lankan and Burmese Buddhists
to sacred sites, and the bathing of Buddha images.
the distinction is, at best, moot. From the perspective of the
The celebration of Buddha’s Day is both ancient and
individual, furthermore, the religious year is also marked by
widespread. The seminal events of the Buddha’s career co-
life-transition ceremonies of an annual (e.g., birth and death
alesced into Vesak by the Therava¯dins are acknowledged in-
anniversaries) or occasional nature, for instance, house con-
dependently in other Buddhist cultures. In Tibet, for exam-
secrations. In traditional Buddhist societies, then, the reli-
ple, the traditional religious year included celebration of the
gion essentially sanctified and made meaningful all aspects
Buddha’s conception or incarnation on the fifteenth day of
of life, whether cosmic, communal, or individual.
the first lunar month, the attainment of Buddhahood on the
eighth day of the fourth month, the Buddha’s death, or
In short, the experience of the tradition calibrates the
parinirva¯n:a, on the fifteenth day of the fourth month, and
religious year, its founding, the major events within its early
the Buddha’s birth on the fourth day of the sixth month of
history, its most significant turning points. The major annu-
the Tibetan year. The first of these events, the Buddha’s in-
al observances of the Buddhist year include, but are not lim-
carnation, occupied a preeminent place in the Tibetan reli-
ited to, the life of the Buddha, the proclamation of the Bud-
gious year, in part because of its assimilation into the New
dha’s teaching, or dharma, the founding of the monastic
Year carnival. It was a day when special respects were paid
order, the beginning and end of the monsoon rains retreat
to the Dalai La¯ma, and the Buddha’s mother, Maha¯dev¯ı, was
(vassa), founder’s celebrations, and saint’s anniversaries. Ob-
solicited for special boons. In China, Korea, and Japan, the
servances celebrated more frequently, monthly or bimonthly,
Buddha’s birthday has been marked, in particular, by a pro-
weekly or daily, include sabbath ceremonies, the fortnightly
cession of Buddha images and the bathing of these images.
monastic confessional, or Pra¯timoks:a, and daily monastic rit-
These traditions associated with Buddha’s Day or Buddha’s
uals.
Birthday appear to be of early origin.
CELEBRATING THE BUDDHA. Buddhist doctrine traditionally
The Maha¯vam:sa mentions a procession of Buddha im-
divides the Buddha’s life into eight or twelve acts, many of
ages during the reign of Dut:t:haga¯man:¯ı (Sinhala,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST RELIGIOUS YEAR
1305
Dut:ugämunu; r. 101–77 BCE), for which the prototype may
reign of King Kitsirimeghavan:n:a (352–377). The king en-
well have been a ceremony described in A´soka’s Fourth Rock
shrined the relic in the capital, Anura¯dhapura, ordered that
Edict. Faxian observed a similar procession in India during
a grand festival celebrate its arrival, and dedicated the whole
his visit in the fifth century of the common era. The tradition
of Sri Lanka to it. Faxian, who visited Sri Lanka in the ninth
of bathing Buddha images appears to be symbolized by the
century, gives us a record of the annual festival celebrating
Lalitavistara episode of the two na¯ga serpents, Nanda and
the tooth relic, reputed to have been brought to Sri Lanka
Upananda, bathing the bodhisattva after his birth, an episode
only ten days after the Buddha’s parinirva¯n:a. He reports that
depicted at such far-flung sites as Tun-huang and Boro-
the procession of the relic around the precincts of the capital
budur. The Maha¯sattva Su¯tra describes a similar event where
occurred in the middle of the third lunar month. The proces-
the Buddha is bathed by Indra and the four deva kings. It
sion he witnessed passed between five hundred people cos-
designates the eighth day of the fourth lunar month as the
tumed to represent the five hundred lives (ja¯taka) of the bo-
time when all devotees should wash his images in respect of
dhisattva according to the Therava¯da tradition. The
the Buddha’s power to grant boons.
Dalada¯sirita (History of the tooth relic), written in the four-
teenth century, describes in great detail the annual circu-
Buddha’s Day ceremonies and festivities embody both
mambulation of the tooth relic around the capital. The pro-
normative and popular dimensions of the Buddhist tradi-
cession was marked by the sprinkling of holy water
tion, as do other celebrations marking the Buddhist religious
throughout the city sanctified by the chanting of the paritta.
year. Although relatively free of non-Buddhist elements, the
Today, the festival takes place during the month of A¯sa¯l:ha
focus on the Buddha image—whether through consecration,
(Skt., A¯s:a¯dha; the lunar month of July–August) in the town
procession, or lustration—has primarily a mythic and/or
of Kandy. The festival, which has taken on a carnival atmo-
magical significance. The Buddha is honored as a being
sphere, goes on for eleven nights, culminating in the twelfth
greater than any other deity, and as a granter of boons. On
day with a water cutting ceremony.
the popular level, this aspect of Buddha’s Day has assumed
a greater importance than remembrance of the Buddha as the
Similar festivals occurred in East Asia, as well. During
Enlightened One and great teacher.
the Tang dynasty (618–907) the festival that attracted the
largest crowds in the capital, XiDan, centered around Buddha
The commemoration of Buddha relics. According to
relics. During the second or third lunar month, tooth relics
the Maha¯parinibba¯na Sutta, after the Buddha’s death his rel-
from four temples and a fingerbone relic from the Famen Si
ics were divided among the eight cakkavatti (Skt., cakravar-
were put on display for a week. The Famen Si relic was, on
tin) rulers of India, who enshrined them in cetiya (Skt., cai-
occasion, put on public view inside the royal palace. A ninth-
tya, reliquary mounds) at eight locations throughout India.
century memorial by Han Yu claimed that the display of the
While the obvious symbolic nature of this story belies its his-
relic produced such a frenzy on the part of the viewers that
toricity, by the Mauryan period in India (fourth to second
they burned their heads, roasted their fingers, and threw
century BCE) caitya the likes of Sa¯ñc¯ı and Bha¯rhut had be-
away their clothes and money. Such annual festivals honor-
come important centers of pilgrimage and popular piety.
ing Buddha relics calibrate the religious year not so much in
The early association of Buddha relics with kingship in India
terms of the life of the Buddha but in terms of the magical
points to a pattern perpetuated throughout much of Bud-
power of his bodily presence, a presence fraught with politi-
dhist Asia: the enshrinement of a major Buddha relic as a
cal as well as religious significance.
monarch’s attempt to legitimate his rule through the appro-
Honoring the Buddha’s dharma. The Buddha’s teach-
priation of the buddhasa¯sana (the Buddhist religion), and,
ing, or more narrowly conceived, particular Buddhist texts,
even more importantly, to base his realm around a center of
are often honored in annual ceremonies and ritual celebra-
magical, sacred power. Buddhist chronicles often make no
tions. In Tibet, the feast of the First Discourse was tradition-
clear distinction between the sacred boundary of a Buddhist
ally held on the fourth day of the sixth lunar month. In
sanctuary housing a major Buddhist relic and jurisdictional
modern Thailand, the commemoration of the Dhammacak-
limits of towns or larger political units. Both temple and
kappavattana Sutta occurs on the full moon of A¯sa¯l:ha, the
kingdom, in one sense, derive their identity from the Buddha
eighth lunar month, at the beginning of the monsoon rains
relic. Consequently, ceremonies commemorating the en-
retreat (vassa). In addition to the first discourse, the tradition
shrinement of a Buddha relic are often major annual celebra-
also celebrates the Buddha’s preaching of the Abhidharma
tions honoring the person of the Buddha that empower both
to his mother and the teaching of the Pra¯timoks:a, the core
the religion and the state. An outstanding example of such
of the monastic discipline (Vinaya), which the tradition
an annual celebration is found in Sri Lanka.
holds took place three months before the Buddha’s
In Sri Lanka, the most elaborate national festival cele-
parinirva¯n:a. These celebrations may be assimilated into
brates the arrival of the eyetooth relic of the Buddha, which
other parts of the Buddhist year, as, for example, in Tibet,
is enshrined as the palladium of the kingdom in the Dalada¯
where the Buddha’s descent from Tra¯yastrim:´sa Heaven
Ma¯liga¯wa (Temple of the Tooth) in Kandy. The
marks the end of the monsoon rains retreat.
Dha¯tuvam:sa (Chronicle of the tooth relic) states that the relic
As an example of an annual popular ceremony celebrat-
was brought to Sri Lanka from Kalin˙ga in India during the
ing a particular text we look to the preaching of the Vessan-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1306
BUDDHIST RELIGIOUS YEAR
tara Ja¯taka in the Therava¯da countries of Southeast Asia.
gious figures such as holy founders and reformers of the tra-
This ceremony is known in Thailand as Thet Maha¯cha¯t. To
dition.
be sure, the occasion focuses on the Buddha’s perfection of
The founding of the Sam:gha. The founding of the
the virtue of da¯na (generosity) and on the efficacy of puñña
sam:gha is tied to the miraculous event of the Buddha’s ap-
(religious merit), but it also clearly demonstrates the power
pearance before the 1,250 arhats at Vel:uvana Maha¯viha¯ra in
of the dharma as a text, not only as a teaching or narrative,
Ra¯jagr:ha. All had received ordination from the Buddha with
but as something with special potency in both its written and
the words “Ehi bhikkhu” (“Come, O monk”); according to
oral form. Thus, as with the annual celebrations focusing on
tradition, the Buddha used this occasion to hand down the
the Buddha, which remember not only the seminal events
Pra¯timoks:a to his assembled followers. In short, the unan-
of his life but also the magical power of his physical presence,
nounced, miraculously simultaneous gathering of over a
annual celebrations remembering the dharma refer not sim-
thousand monks ordained by the Buddha himself became
ply to the Buddha’s teaching of Dharma, Abhidharma, and
the occasion for establishing the rule of order for the Bud-
Vinaya but to the power of the text, especially as chanted.
dhist monastic life.
In northeastern Thailand the preaching of the Vessan-
In Thailand this event in the religious year is celebrated
tara Ja¯taka, which recounts a former life of the Buddha as
on the full moon sabbath of the third lunar month (Ma¯gha)
Prince Vessantara, occurs in February–March after the rice
and is known as Ma¯gha Pu¯ja¯. The celebration follows a rela-
harvest. While the ceremony includes various animistic and
tively simple pattern. At about dusk crowds of laity gather
Brahmanic elements, the celebration focuses on the preach-
in temple compounds to circumambulate the temple cetiya
ing of the thirteen chapters of the Thai version of the story.
before entering the preaching hall for an evening of chanting
Monks famed for preaching particular chapters may be invit-
and a sermon. The traditional text used for the occasion is
ed by sponsors whose donations to the sangha (Skt., sam:gha;
a ga¯tha¯ on the Pra¯timoks:a composed in the early nineteenth
the monastic order) are thought to be particularly meritori-
century by King Rama IV when he was a monk. It encour-
ous. Prior to the recitation of the text the laity may enact the
ages the sangha to be a field of merit through constant atten-
journey of Vessantara from the kingdom of Sivi and back
tion and heedfulness, a teaching similar to the Buddha’s in-
again, having passed the tests to his generosity arranged by
structions to the monks at Vel:uvana to do no evil of any
the god Indra. When the entire story is preached the ceremo-
kind, be established in the good, and to maintain a clear
ny, which begins in the morning, lasts well into the night.
mind.
In China, Korea, and Japan texts such as the
Establishing the tradition. Various types of annual
Saddharmapun:d:ar¯ıka Su¯tra (Lotus su¯tra) were the objects of
events celebrate the establishment of Buddhism in a particu-
major ceremonies. In Japan the Ninno¯kyo¯, or Su¯tra of the Be-
lar location or cultural area. These events range from com-
nevolent Kings, was from the seventh to the thirteenth centu-
memorations of the arrival of Buddhist missionaries to the
ry one of the most important scriptures in Japanese Bud-
founding of particular temples or monasteries, often with
dhism. It became the object of a public cult (ninno¯-e), and
royal support, for instance, the Sho¯musai festival of the
ceremonies celebrating it were frequent at the Japanese court
To¯daiji in Nara held in May in commemoration of the death
in order to ensure the maintenance of the dynasty and the
of the Japanese emperor Sho¯mu (701–756) and his patron-
welfare of the state. In Tibet, the fifteenth day of the third
age of Buddhism.
lunar month commemorated the preaching of the Ka¯lacakra
Temple or pagoda festivals and holy days commemorat-
Tantra; each monastery also annually celebrated the particu-
ing events in the life of the Buddha are the most often ob-
lar Tantra to which its school ascribed special importance.
served Buddhist ceremonies in Myanmar. Nearly every
Thus, while the Buddhist year celebrated the Tripit:aka
Myanmari will attend at least one pagoda festival annually.
in terms of three events in the Buddha’s legendary life, other
Unlike observances connected with the life of the Buddha,
texts, which often dealt with such popular topics as the bo-
Myanmar temple and pagoda anniversaries are much more
dhisattva, miracles, and, more specifically, magical protection
in the nature of a country fair. At larger temples the event
of the state, were often the occasion of annual ceremonies.
may last a week with a temporary bazaar featuring commer-
In short, on the level at which the dharma enters into the
cial goods for sale, games of chance, and of course, numerous
popular perception of sacred time, it too, like the figure of
makeshift restaurants. Evenings will be filled with various
the Buddha, takes on magical significance that protects the
kinds of dramatic performances, including traditional plays
individual and guarantees social and political wellbeing.
and dances and the showing of films. Temple anniversary
celebrations also provide an opportunity to solicit donations,
CELEBRATING THE RELIGION. The religious year not only
often as part of merit-making ceremonies. As in the case of
celebrates the person and life of the Buddha and his teaching,
the annual festival at Wat Cedi Luang in Chiangmai, north-
but the founding of the Buddha’s community or monastic
ern Thailand, ceremonies may also include significant non-
order, the establishment of the Buddha’s religion in various
Buddhist elements such as propitiation of the guardian spir-
parts of Asia, the monastic year as focused on the period of
its of the area or region. In the case of Wat Cedi Luang, the
the monsoon rains retreat, and particularly important reli-
anniversary celebration in May includes propitiation 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
BUDDHIST RELIGIOUS YEAR
1307
foundation pillar of the city (identified with the Hindu god
retreat period. Especially for monks, the lenten period is a
Indra) as well as offerings to the autochonous guardian spirits
religiously observant time. More time is spent inside the
of Chiangmai, a ceremony performed somewhat surrepti-
monastery in study, meditation, and monastic devotions. In
tiously outside of the city.
short, vassa epitomizes the lifestyle of the monk as an ascetic,
nirva¯n:a-seeking follower of the Buddha. On a magical level,
In Sri Lanka the establishment of Buddhism on the is-
his more rigorous practice during this period charges the
land is celebrated about a month after Vesak with the Poson
monk with power, to which the laity gain access through the
festival. The major activities take place at Anura¯dhapura and
rituals marking the end of the rains retreat.
Mahintale, where thousands of people come to honor
Mahinda, the patron saint of Sri Lanka, who is reputed to
In Therava¯da countries the end of the Buddhist lenten
have brought the dharma to the island at the request of his
period provides the occasion for the most significant merit-
father, King A´soka. Later, Mahinda’s sister, Sanghamitta¯,
making ceremonies. In Myanmar, the full-moon day of Oc-
came to the island to establish a Buddhist order of nuns. She
tober marks the reemergence of the Buddha himself from
brought a branch of the sacred bodhi tree with her, which
Tra¯yastrim:´sa Heaven. Oil lamps ringing monastery pagodas
was planted in the capital. Paying homage to the sacred
represent the mythic heavenly torches that lit his descent to
bodhi tree is an important part of the festivities that take
earth. During the ceremonies that take place over the month
place.
following the October full-moon sabbath the laity give gen-
erously to the sangha, especially gifts of new robes (kat:hina).
The rains retreat. The earliest form of Buddhist mo-
In Myanmar, Thailand, Laos, and Cambodia kat:hina cere-
nastic organization seems to have been mendicancy. In the
monies were and are often marked by processions to the
Maha¯vagga of the Vinaya Pit:aka monks are encouraged to
monastery compound highlighted by the gift of a “wishing
adopt a peripatetic existence. During the monsoon rains,
tree” (padesa) reminiscent of the trees in the Southern Island
however, the Buddha’s disciples gathered in more stable
of the Buddhist cosmology that supplied the populace with
communities. Indeed, assuming that mendicancy character-
all their needs simply for the asking. Symbolically, this annu-
ized the earliest Buddhist monastic practice, cenobitism may
al celebration provides a ritual mechanism whereby the laity
well have grown out of the tradition of rains-retreat residence
can gain access to the magical-spiritual power of the monks
(vassa¯vasa).
generated during the rains retreat. Thus, even this most ex-
Practical explanations for the origin of the observance
emplary period of the monastic life has a parochialized, magi-
of a rains retreat fail to take account of its more archaic, mag-
cal significance that serves the immediate needs of the laity.
ical nature, which is associated with ascetic practice. Various
Celebrating the saints. The Buddhist year not only
aspects of early Buddhist monastic life and discipline can be
commemorates the Buddha and his teaching, the monastic
interpreted as contrasting the sexual continence of the monk
order and its institutionalization at various times and in vari-
with its polar opposite, the feminine principle of life, gesta-
ous places, but also the lives of saints. In Maha¯ya¯na and
tion, and generation. This principle is embodied not only by
Tantraya¯na cultures bodhisattva days honor popular mythic
women, whose contact with celibate monks is highly circum-
savior figures, for instance, Guanyin (Avalokite´svara), as well
scribed, but by mother earth, who gives birth to life-
as legendary patriarchs (e.g., Bodhidharma) and historic re-
sustaining crops. Monastic confinement during the mon-
formers such as Hakuin. Some Buddhist figures are celebrat-
soon rains-retreat period might be interpreted as protecting
ed at the national level (e.g., Padmasambhava in Tibet) while
the life-generating power of the earth from the ascetic power
others are of regional or more local significance.
of the monk and, correspondingly, defending the monk from
the potencies of the earth during the most crucial gestation
Traditionally, the Chinese celebrated Guanyin’s birth-
period of the cycle of plant life. Such an interpretation of the
day on the nineteenth day of the second lunar month. In ad-
symbolic-magical significance of the origin of the rains-
dition, her enlightenment and entry into nirva¯n:a were also
retreat period provides insight into one of the most impor-
celebrated on the nineteenth day of the sixth month, and
tant annual calendric rituals in Therava¯da Buddhist coun-
nineteenth day of the ninth month, respectively. Guanyin is
tries, celebrations at the onset and, in particular, at the con-
celebrated as a merciful savior, the granter of intelligent sons
clusion of the rains retreat, or Buddhist lenten period.
and virtuous daughters, and the dispeller of natural catastro-
phies. In popular Chinese accounts of Guanyin’s origins she
Both the beginning and end of the rains-retreat period
is depicted as having been a royal princess from Sichuan
are marked by auspicious rituals held on the full-moon sab-
Province by the name of Miao-shan who, as a consequence
baths of July and October. The onset of vassa often witnesses
of her ascetic piety, was reborn as a bodhisattva destined to
many ordination ceremonies, for in Myanmar, Thailand,
return to the human realm as the merciful Guanyin.
Cambodia, and Laos many young men observed the custom
of accepting ordination for one lenten period only. On the
Bodhidharma is looked upon as the founder of the
July full-moon sabbath the laity will process to the monastery
Chan (Jpn., Zen) school of Buddhism in China and the first
bearing gifts (da¯na) for the monks. During the sabbath ser-
of six traditional Chan patriarchs. His death anniversary is
vice monks and laity will be exhorted to observe an austere
celebrated on the fifth day of the tenth lunar month. Other
lent, thereby emphasizing the primary theme of the rains-
annual celebrations commemorating founders of Buddhist
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1308
BUDDHIST RELIGIOUS YEAR
schools honor, among others, Baijiang, a noted Chan master
Thai case, elements of the New Year celebration are obvious-
of the Tang dynasty (nineteenth day of the first month) and
ly intended as acts of sympathetic magic to abet the onset
Zhiyi, founder of the Tiantai school (the twenty-fourth day
of the monsoon rains, necessary for the planting of the rice
of the eleventh lunar month).
crop.
In Tibet saint-founders were the object of annual cele-
Seasons in the agricultural year are demarcated in vari-
brations. The Rnying ma pa school, for instance, established
ous ways in the Buddhist religious calendar. In some cases,
a sequence of monthly ceremonies commemorating various
agricultural transition may be subsumed into specifically
aspects of Padmasambhava’s life; the tenth day of the first
Buddhist events, such as the close relationship between Bud-
month celebrates his flight from the world; the tenth day of
dha’s Day in monsoon, Therava¯da countries, and the plant-
the second month, his taking religious vows; the tenth day
ing of rice. In other instances, however, these transitions may
of the third month, his changing fire into water having been
simply be made more meaningful by the Buddhist dimen-
consigned to the flames by the king of Zahor, taking the
sion of the culture in which they are embedded. For example,
name Padmasambhava, and so on.
in Sri Lanka the seed-sowing festival (Vap Magula) tradition-
ally held for the prosperity of the nation, is given Buddhist
In short, the lives of saints, founders, patriarchs, and re-
legitimation through the legend of Siddha¯rtha’s presence at
formers, whether deified in myth or valorized in legend, pro-
the plowing ceremony held by the future Buddha’s father,
vide a special definition to the year in various Buddhist cul-
King Suddhodana. In the modern period, all-night pirit
tures. In the case of Padmasambhava episodes from the
(Pali, paritta) ceremonies will be held before the festival, at-
guru’s biography provide a narrative structure of sacred time
tended by ministers of state who play the role of traditional
to the religious year. In other Buddhist traditions, death an-
Buddhist kings. The harvest festival in Sri Lanka (Aluth
niversaries commemorating key figures in patriarchial lin-
Sahal Man˙galya) and Therava¯da Southeast Asia focuses on
eages integrate the year into a sacral continuum that includes
the offering of first fruits in gratitude to the Buddha and the
the Buddha, the originator of the sect or school, the father
gods. In Sri Lanka, the contemporary harvest ceremony is
of the subtradition, and so on down to the founder of the
held in Anura¯dhapura under the leadership of the minister
local monastery.
of agriculture and development. Both the seed festival and
SEASONAL CELEBRATIONS. The Buddhist religious year cele-
the harvest festival undoubtedly represent Buddhist transfor-
brates the seasonal changes, the agricultural calendar, and the
mations of Brahmanic ceremonies.
seasons of human life and death. In Japan, for example, sea-
Although individual life-transitions ordinarily do not
sonal celebrations include New Year’s Eve Day (Joya-e) and
define a community’s religious year unless the person occu-
New Year’s Day (Osho¯gatsu), December 31 and January 1;
pies a position of signal importance in China, Korea, and
the heralding of spring (Setsubun-e), February 3; spring and
Japan, annual festivals for the deceased achieved national sig-
fall equinox (Higan-e), March 21 and September 21; Festival
nificance. While the festival represents the pervasive signifi-
of the Dead (Obon), July 15; and Buddhist Thanksgiving
cance of the propitiation of ancestral spirits in these cultures,
Day (Segaki-e), sometime in the summer. Seasonal celebra-
the Buddhist tradition provided its own distinctive valida-
tions tend to be highly syncretic, with the Buddhist dimen-
tion. According to legend, the Buddha’s disciple
sion competing with various non-Buddhist elements.
Maudgalya¯yana descended to the deepest hell to rescue his
In Tibet, the New Year festival (Lo gsar) incorporated
mother from its torments. The Buddha advised
a Buddhist element, the great miracle of S´ra¯vast¯ı, but its fun-
Maudgalya¯yana that by making offerings of food, clothing,
damental meaning is the exorcism of evil influences from the
and other necessities to the monks on behalf of the denizens
old year and the calling up of good fortune for the year to
of hell they would be relieved of their suffering. In China it
come. The elaborate ritual performances held during the
became the custom that offerings made at the Ullambana All
New Year festival aimed not only at the welfare of the indi-
Soul’s Feast held during the seventh lunar month were be-
vidual, but, even more so, at the good of the community. In
lieved to rescue ancestors for seven preceding generations. In
Japan, New Year may be celebrated by visiting well-known
Japan the Obon festival takes place over three days, July 13–
Buddhist temples and shrines, but the traditional custom of
15. Activities will include special services at the home altar,
eating pounded rice cakes (mochi) and drinking sweetened
visits to temple graveyards in order to welcome the ancestral
wine (toso) symbolized the hope for good health and lon-
spirits back to their home, and special vegetarian feasts. On
gevity.
the last day of the celebration the spirits will be sent off in
miniature boats (sho¯ryo¯bune) filled with food and lighted lan-
In Thailand, the New Year celebration (Songkra¯n) falls
terns.
in the middle of April at the end of the dry season just prior
to the coming of the monsoon rains. Although Buddhist
CONCLUDING REMARK. The Buddhist religious year sancti-
temples and monasteries are the site of many New Year cere-
fies the life of the individual and the community in all of its
monies, the New Year festival, as in Tibet and Japan, seems
aspects. Through annual ritual ceremonials and festivals
to have more to do with good luck and a healthy life in the
mundane life is transfigured and the seemingly chaotic na-
year to come than with specifically Buddhist concerns. In the
ture of existence finds meaning in an ordered sequence 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
BUDDHIST STUDIES
1309
paradigmatic events. While the life of the founder and the
“The Buddhistic Festival of All-Souls in China and Japan,”
events of the early Buddhist community provide the central
Acta Orientalia 5 (1926): 39–48; J. J. M. de Groot’s “Bud-
focus of the Buddhist religious year, its comprehensive scope
dhist Masses for the Dead in Amoy,” in Actes du Sixième
incorporates all aspects of life from the beginning (the New
Congrès International des Orientalistes (Leiden, 1885), sec. 4,
Year festival) to the end (the All Souls’ Feast).
pp. 1–120; and Karl Ludvig Reichelt’s Truth and Tradition
in Chinese Buddhism, 4th ed. (Shanghai, 1934), pp. 77–126.
SEE ALSO Avalokite´svara; Kingship, article on Kingship in
See also Marinus Willem de Visser’s Ancient Buddhism in
East Asia; Stupa Worship; Worship and Devotional Life, ar-
Japan, 2 vols. (Leiden, 1928–1935), which treats a variety of
ticles on Buddhist Devotional Life in East Asia, Buddhist
Japanese Buddhist festivals, including Obon. For Korea, see
Devotional Life in Southeast Asia, Buddhist Devotional Life
Roger L. Janelli and Dawnhee Yim Janelli’s Ancestor Worship
and Korean Society (Stanford, Calif., 1982).
in Tibet.
For Central Asia, three classic studies on Tibet provide brief de-
B
scriptions of the religious calendar and annual festivals: L.
IBLIOGRAPHY
Information on the Buddhist religious year or on Buddhist calen-
Austine Waddell’s The Buddhism of Tibet, 2d ed. (Cam-
dric rituals and festivals can be found in numerous books
bridge, U.K., 1934); Giuseppe Tucci’s The Religions of Tibet,
treating Buddhism in particular cultural contexts. Material
translated by Geoffrey Samuel (Berkeley, 1980); and Rolf A.
on this subject in Therava¯da Buddhist cultures is somewhat
Stein’s Tibetan Civilization, translated by J. E. Stapleton
more recent than that for Central and East Asia. For Sri
Driver (Stanford, Calif., 1972). Mary M. Anderson’s The
Lanka, Lynn de Silva’s Buddhism, Beliefs and Practices in Sri
Festivals of Nepal (London, 1971) treats thirty-six annual fes-
Lanka, 2d rev. ed. (Colombo, 1980), provides an extensive,
tivals. For Mongolia, see Walther Heissig’s The Religions of
concise description of major calendric festivals. H. L.
Mongolia, translated by Geoffrey Samuel (Berkeley, 1970).
Seneviratne’s “The Äsala Perahära in Kandy,” Ceylon Journal
New Sources
of Historical and Social Studies 6 (1963): 169–180, is a de-
Cohen, E. The Chinese Vegetarian Festival in Phuket: Religion, Eth-
tailed treatment of the major annual Buddhist festival in Sri
nicity, and Tourism on a Southern Thai Island. Bangkok,
Lanka. James G. Scott (Shway Yoe) discusses various calen-
2001.
dric festivals (e.g., pagoda, harvest, and end of the rains re-
treat) in The Burman, His Life and Notions, 3d ed. (London,
Holzman, D. Immortals, Festivals, and Poetry in Medieval China:
1910). Melford E. Spiro has a brief section on annual cere-
Studies in Social and Intellectual History. Brookfield, Vt.,
monies in Buddhism and Society: A Great Tradition and Its
1998.
Burmese Vicissitudes, 2d ed. (Berkeley, 1982). Many studies
Kohn, R. J. Lord of the Dance: The Mani Rimdu Festival in Tibet
of Thai Buddhism touch on the ceremonies of the Buddhist
and Nepal. Albany, N.Y., 2001.
religious year. Stanley J. Tambiah’s Buddhism and the Spirit
Qi, X. Folk Customs at Traditional Chinese Festivities. Beijing,
Cults in North-East Thailand (Cambridge, U.K., 1970) is a
1988.
gold mine of information, as is Kenneth E. Wells’s earlier
study, Thai Buddhism: Its Rites and Activities (Bangkok,
Ramble, C., and M. Brauen. Proceedings of the International Semi-
1939). More specialized contributions include my Wat
nar on the Anthropology of Tibet and the Himalaya: September
Haripuñjaya: A Study of the Royal Temple of the Buddha’s
21–28 1990 at the Ethnographic Museum of the University of
Relic, Lamphun, Thailand (Missoula, Mont., 1976), which
Zurich. Zürich, 1993.
has a chapter on calendric ceremonies, and Charles F. Keyes’s
Singapore Federation of Chinese Clan Associations. Chinese Cus-
“Buddhist Pilgrimage Centers and the Twelve Year Cycle:
toms and Festivals in Singapore. Singapore, 1989.
Northern Thai Moral Orders in Space and Time,” History
of Religions 15 (1975): 71–89. For Laos, Henri Deydier’s In-
Teiser, S. F. The Ghost Festival in Medieval China. Princeton,
troduction à la connaissance du Laos (Saigon, 1952) provides
1988.
a concise introductory survey to the Laotian calendar and re-
Vogel, Claus. “On the Date of the Posadha Ceremony as Taught
ligious festivals. A more focused and interpretative work is
by the Mulasarvastivadins.” Bauddhavidyasudhakarah
Frank E. Reynolds’s “Ritual and Social Hierarchy: An Aspect
(1997): 673–688.
of Traditional Religion in Buddhist Laos,” History of Reli-
gions 9 (August 1969): 78–89. For Cambodia, Adhémard
DONALD K. SWEARER (1987)
Leclère’s Le bouddhisme au Cambodge (Paris, 1899) contains
Revised Bibliography
a section that concisely surveys the annual festivals in Cam-
bodia.
For China, Joseph Edkins’s Chinese Buddhism, 2d rev. ed. (Lon-
BUDDHIST STUDIES. Buddhism is considered to
don, 1893), provides a brief sketch of the Buddhist calendar.
be a historical religion, that is, a religion with a founder who
Kenneth ChEen’s Buddhism in China: A Historical Survey
appeared at a specific moment in human history. This
(Princeton, 1964) is also a useful introduction to annual fes-
founder is, of course, the Buddha, who lived for some eighty
tivals. Wolfram Eberhard’s Chinese Festivals (New York,
1952) does little more than list the festivals of the Buddhist
years in what is today northern India and southern Nepal,
calendar. Other important studies include C. K. Yang’s Reli-
sometime between the sixth and fourth centuries BCE. Bud-
gion in Chinese Society (Berkeley, 1961) and Emily Ahern’s
dhist texts would reject any claim that Buddhism originated
The Cult of the Dead in a Chinese Village (Stanford, Calif.,
at that time; S´a¯kyamuni was only the most recent of a series
1973). All Souls’ festivals are treated in J. J. L. Duyvendak’s
of buddhas who have appeared in the past and will appear
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1310
BUDDHIST STUDIES
in the future. Yet, Buddhists across the centuries of Buddhist
cupation of Buddhist scholars, who have consistently sought
history would agree that he was the buddha for the present
the most complete and accurate editions of Indian texts, who
age, and that his life and teachings constitute an epochal
have developed and debated the principles for producing the
event in the history of the universe. The study of Buddhism,
most accurate translations, and who have compiled glossaries
whether by Buddhist monks in the monasteries of Asia or by
and other translation tools that continue to be used by mod-
scholars in the European and American academy, has there-
ern scholars.
fore consistently looked back to the Buddha and to the
The energies of Buddhist scholars have not, however,
teachings attributed to him as the defining point of
been directed solely to textual exegesis; they have been direct-
origin.
ed toward other domains of the study of their tradition. For
TRADITIONAL STUDY OF BUDDHISM. If by “Buddhism,” one
example, the famous Chinese Buddhist pilgrims to India,
means the teachings of the Buddha, then a history of the
Faxian (c. 337–422) and Xuanzang (602–664), wrote de-
study of Buddhism would begin in India, almost 2,500 years
tailed accounts of their travels, attempting to link the places
ago. According to traditional accounts, shortly after the Bud-
that they visited with the legendary and historical sites men-
dha’s passage into nirva¯n:a, a council of monks was convened
tioned in Buddhist scriptures, while also describing the Bud-
in order to recite, remember, and thereby retain his teachings
dhist doctrines and practices they encountered; Xuanzang
for the future. Regardless of whether this first council was
provided information on both the size and the sectarian affil-
a historical event, its description in a variety of texts points
iation of a large number of Buddhist monasteries in India
to persistent concerns with issues of canon throughout the
and Central Asia.
history of Buddhism. What should be judged as the word of
Buddhism is a religion in which primary importance is
the Buddha? What did the Buddha teach? And among the
given to lineage—the ability to trace a teaching from one’s
many things he must have taught over his long career, which
teacher back to India and to the Buddha himself. It is from
represented his own view and which were an accommodation
lineage, as much as from texts, that authority and authentici-
to suit the needs of a given audience? Such questions are not
ty derive. A great deal of historical investigation has tradi-
merely the concern of the modern secular scholar. They have
tionally been devoted, therefore, to establishing lines of
been asked, and answered, over the course of more than two
transmission. Buddhist scholars have often gone to great
millennia by Buddhist monks and scholars from across Asia,
lengths, spanning the historical and the mythological, in an
who developed sophisticated methods—some historical,
effort to chart the passage of specific doctrines back across
some textual—for determining what is to be accepted as the
centuries in time and across mountains and oceans in space
authentic teaching of the Buddha.
in order to claim authority and legitimation for their particu-
Thus, the writings of the sixth-century Indian monk
lar sect.
Bha¯vaviveka, for example, include a detailed list of argu-
To note some of the concerns of Asian scholars of Bud-
ments made by non-Maha¯ya¯na Buddhist scholastics in sup-
dhism, over the course of two millennia, is meant to suggest
port of their claim that the Maha¯ya¯na su¯tras are spurious,
that any history of the study of Buddhism must take into full
that is, that they are not the word of the Buddha. In Tibet,
account the developments in the modes of analysis of their
in the fourteenth century, the Buddhist monk Bu ston
religion by scholars who were also adherents of that religion.
(1290–1364) compiled what is known as the bka’ ‘gyur, “the
These scholars, in most cases Buddhist monks, produced edi-
translation of the word” [of the Buddha], and explained the
tions of texts, dictionaries, digests of philosophical tenets, ca-
principles according to which he included some texts and ex-
talogues of scriptures, as well as numerous chronicles and his-
cluded others. In Tokugawa Japan, where the Maha¯ya¯na
tories—both local and global—all products of a sustained
su¯tras were regarded as the word of the Buddha, Tominaga
tradition of historical reflection. The relationship between
Nakamoto (1715–1746) used historical analysis to identify
their concerns and methods and those of academic scholars
numerous discrepancies among these texts; he argued that
of Buddhism is one of continuity rather than sharp disjunc-
the Maha¯ya¯na su¯tras were not various manifestations of the
tion, and the network of relations between the “traditional”
Buddha’s skillful means, but rather were composed long after
and the “modern” remains a fruitful subject for analysis. It
his death during struggles for scholastic superiority. The
is nonetheless the case that the terms “the study of Bud-
Thai king Mongkut (Ra¯ma IV, 1804–1868) made a detailed
dhism” or “Buddhist studies,” most commonly evoke the
study of Buddhist literature in an effort to establish the au-
“academic” or “scientific” study of Buddhism that began in
thentic Pali canon, excluding what he deemed legendary ele-
Europe in the nineteenth century.
ments such as the well-known stories of the Buddha’s previ-
ous lives.
EARLY EUROPEAN ENCOUNTERS. Prior to the thirteenth cen-
tury, European contact with Buddhist societies was limited.
As Buddhism spread across Asia, the texts, whether they
Reports of Buddhism in classical antiquity appear as early as
were judged canonical or non-canonical, required translation
Clement of Alexandria (200 CE), who mentions the Buddha
from various Indic languages (notably Sanskrit and Pali) into
as one of the deities of India. Some two centuries later,
a wide variety of vernaculars. Translation has therefore long
Hieronymus (fourth–fifth century) stated that the Buddha
been central to the study of Buddhism and has been a preoc-
was born from the side of a virgin. Elements of a biography
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BUDDHIST STUDIES
1311
of the Buddha became the basis for the lives of two Christian
in India and subsequently spread across Asia, does not begin
saints, Barlaam and Josaphat, although the Buddhist source
in Europe until the nineteenth century. The development of
of the narrative was not noted until the mid-nineteenth
this knowledge in the nineteenth century was the result of
century.
a number of factors, including the rise of the science of phi-
lology and the study of Asian languages in the academies of
The study of Buddhism by professional scholars in Eu-
Europe, and of particular importance, European colonial
rope was preceded by a number of encounters with Buddhist
projects in Asia. Articles on a wide variety of topics related
peoples by a wide variety of European travelers, missionaries,
to Buddhism appeared in scholarly journals such as Asiatick
and diplomats, and European knowledge of Buddhism into
Researches and Journal Asiatique. In 1823, the German schol-
the early nineteenth century derived largely from their re-
ar Julius von Klaproth (1783–1835) published a life of the
ports. These include, among others, the accounts of Marco
Buddha from Mongol sources. In 1833 and 1834, George
Polo (1254–1324), who reported on the religions of the
Mongol Empire as well as Sri Lanka, the Flemish Franciscan
Turnour (1799–1843), a British civil servant, published in
friar Willem van Ruysbroek (c. 1215–c. 1295; also known
Ceylon Epitome of the History of Ceylon, and the Historical In-
as William of Rubruck), who visited the Mongol court in
scriptions. This contained a translation of “the first twenty
1253 and 1255, and the Czech Franciscan friar Odoric (c.
chapters of the Mahawanso [the Maha¯van˙sa, a famous Sinha-
1286–1331), who traveled extensively in China and Mongo-
lese chronicle] and a prefatory essay on Pali Buddhistical lit-
lia in the early fourteenth century. The travels of Roman
erature.” In 1837, Isaak Jakob Schmidt (1779–1847) pub-
Catholic priests during this period were motivated, at least
lished the first complete translation of a Buddhist su¯tra into
in part, by the search for the kingdom of Prester John, a leg-
a European language with his translation of the Diamond
endary Christian realm believed to exist somewhere in Asia.
Su¯tra, from Tibetan into German. The Transylvanian schol-
Simon de la Loubère (1642–1729), envoy of Louis XIV to
ar Alexander Csoma de Ko˝rös (1784–1842) published a se-
the court of Siam, provided a detailed description of Thai
ries of articles on the Tibetan canon, based on his studies in
Buddhism, including the monastic code, in his 1691 Du
Ladakh. One of the most important works of this period was
Royaume de Siam, published in English in 1693 as New His-
that of the great French sinologist Jean Pierre Abel-Rémusat
torical Relation of the Kingdom of Siam. The Jesuit missionary
(1788–1832). His unfinished translation of the account of
Ippolito Desideri (1684–1733) spent five years in Tibet be-
the Chinese monk Faxian’s fifth-century pilgrimage to India
ginning in 1716. He lived in a monastery in Lhasa and
was completed and heavily annotated by Klaproth and
learned to read and write Tibetan well, producing refutations
Charles Landresse and published in 1836 as Foé Koué Ki, ou
of Buddhist doctrines written in classical Tibetan. He also
Relation des royaumes bouddhiques.
wrote an extensive description of Tibetan religion and cul-
It is notable that none of this important scholarship
ture, entitled Notizie Istoriche del Thibet.
dealt directly with the land of Buddhism’s birth, India. Bud-
These figures are just a few of many Europeans to de-
dhism had essentially disappeared from India by the four-
scribe their encounters with Buddhists—in China, in Japan,
teenth century CE. When the officials of the British East
in Tibet, in Mongolia, in Sri Lanka, in Thailand, in
India Company undertook their various research projects in
Burma—prior to the nineteenth century. It is important to
India, all that was found of Buddhism were various monu-
note, however, that none of these figures, regardless of the
ments and ruins, and the presence of the Buddha in the
extent of the knowledge they gained, described the tradition
Hindu pantheon, where he had become the ninth incarna-
they encountered with the term Buddhism. Prior to the eigh-
tion of the god Vis:n:u. There were no Buddhist institutions,
teenth century, Europeans recognized only four religions in
nor any Buddhists, to be found. This absence of Buddhism
the world: Christianity, Judaism, Islam, and Idolatry (or Pa-
in India during the period of European colonialism, and its
ganism). What is identified today as “Buddhism” was regard-
survival only in the form of archaeological and textual re-
ed then as so many local versions of idolatry. It is only at the
mains, proved an important factor in the European construc-
end of the eighteenth century that Europeans began to con-
tion of Buddhism.
clude that the various images of the Buddha, with various
An official of the East India Company, Brian Houghton
local names, encountered across Asia in fact represented the
Hodgson (1800–1894), was stationed in Nepal, where he
same figure and that his followers were thus widely dispersed
found Buddhism to be thriving. Hodgson published a num-
across the continent. One of the first to make this observa-
ber of widely read articles on Buddhism, but he is remem-
tion was Dr. Francis Buchanan (1762–1829) in his 1799 ar-
bered for another reason: Beginning in 1824, with the assis-
ticle “On the Religion and Literature of the Burmas” pub-
tance of a Nepalese Buddhist pundit, Hodgson accumulated
lished in Asiatick Researches. According to the Oxford English
a large number of Buddhist Indian Sanskrit (and some Tibet-
Dictionary, the term Buddhism (or Boudhism) is first attested
an) manuscripts that had been preserved in Nepal. Between
in 1801.
1827 and 1845, he dispatched more than four hundred
EUROPEAN STUDIES IN THE NINETEENTH CENTURY. It can
works to libraries in Calcutta, London, Oxford, and Paris.
therefore be said that the history of the study of Buddhism,
They included many of the most important su¯tras and Tan-
understood as a single tradition that began with the Buddha
tras of Sanskrit Buddhism. The manuscripts attracted little
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1312
BUDDHIST STUDIES
attention initially, except in Paris, where Eugène Burnouf
scholars to analyze a wide variety of sources on the life of the
(1801–1852) held the chair of Sanskrit at the Collège de
Buddha. Émile Senart (1847–1928) sought to understand
France. Burnouf immediately recognized their importance,
the events of the life of the Buddha within the context of In-
and after reading through scores of manuscripts, selected
dian mythology. Hermann Oldenberg (1854–1920) used
one, the Lotus Su¯tra, for translation. He planned a three-
text critical methods in an attempt to identify the oldest stra-
volume study of Buddhist literature (a volume on Sanskrit
tum of Buddhist literature and to derive from that the histor-
texts, a volume on Pali texts, and a volume on the history
ical (as opposed to mythological) elements of the Buddha’s
of Indian Buddhism) to precede its publication, and in 1844
life and original teachings. During the late nineteenth centu-
published the first volume, Introduction à l’histoire du Budd-
ry, scholars also sought to determine the relationship of Bud-
hisme indien. This massive work (647 pages in the original
dhist concepts to those found in other contemporary Indian
edition) was the first scholarly book-length study of Bud-
philosophical systems, such as Sa¯m:khya and Yoga. Work on
dhism in a European language. For the depth and breadth
the life of the Buddha continued in the twentieth century
of its analysis and for the quality of its translations from nu-
with the publication of E. J. Thomas’s 1927 Life of the Bud-
merous Buddhist texts (he consulted Sanskrit, Pali, Chinese,
dha as Legend and History, which examined the structural and
and Tibetan sources), it is regarded by many as the founda-
doctrinal relationships among various biographical frag-
tional text for the European study of Buddhism. Burnouf
ments. Since then, scholars have identified a number of bio-
died before he was able to complete the remaining volumes
graphical cycles of the Buddha and connected them to specif-
of his study, and his translation of the Lotus Su¯tra (Le Lotus
ic discourses in the sutra and vinaya literature. Important
de la bonne loi) was published after his death. Burnouf was
biographical studies have been produced by Erich Frauwall-
also the first scholar to make a detailed study of the rock
ner (1898–1974), Étienne Lamotte (1903–1983), and
edicts of the emperor A´soka. The study of Buddhist epigra-
André Bareau (1921–1993). Albert Foucher (1865–1952)
phy has remained an important source for the social history
made extensive use of art historical and archaeological evi-
of Buddhism.
dence to link the development of the Buddha’s biography to
pilgrimage sites in India. Even the dates of the Buddha’s
For the remainder of the nineteenth century, India be-
birth and death remained a topic of scholarly inquiry in the
came the primary focus of Buddhist studies in Europe, and
late twentieth century, with Heinz Bechert arguing that the
Sanskrit (together with Pali) became the lingua franca of the
Buddha may have lived as much as a century later than the
field. A great deal of attention was focused on the life of the
once widely accepted dates of 563–483 BCE.
Buddha and on the early history of Buddhism in India, prior
to its demise there. There was particular interest, parallel to
THE ROLE OF COLONIALISM. The history of the study of
the quest for the historical Jesus, in a quest for the historical
Buddhism in the nineteenth century is closely linked to the
Buddha and his teachings, which was referred to by such
history of European (and later, Japanese) colonialism, with
terms as “original Buddhism,” “primitive Buddhism,” some-
the domains of scholarly investigation often directly related
times “pure Buddhism.” This Buddhism was regarded by
to domains of colonial possession. Thus, the British provided
many as a complete philosophical and psychological system,
much of the early archaeological and art historical scholar-
based on reason and restraint, opposed to ritual, superstition,
ship on Indian Buddhism. The island of Sri Lanka was at
and the priest-craft and caste prejudice of the brahmans.
that time the British colony of Ceylon, and much of the
Standing in sharp contrast to what was perceived as the spiri-
work of the translation of the Pali canon was carried out
tual and sensuous exoticism of colonial India where Bud-
under the direction of Thomas W. Rhys Davids (1843–
dhism was long dead, this ancient Buddhism, derived from
1922), a former colonial official in Ceylon. In 1881, he
the textual studies of scholars in the libraries of Europe,
founded the Pali Text Society, currently based in Oxford,
could be regarded as the authentic form of this great world
which, over the subsequent century, published scholarly edi-
religion, against which the various Buddhisms of the modern
tions and translations of a large number of important works
Orient could be judged, and generally found to be lacking.
of the Therava¯da tradition of Southeast Asia. The French
Buddhism thus came to regarded as a tradition that resided
scholar Paul Mus (1902–1969), based in Vietnam (at that
most authentically in its texts, such that it could be effective-
time the French colony of Indochina), produced a ground-
ly studied from the libraries of Europe; many of the most im-
breaking study of Borobudur, the monumental stone com-
portant scholars of the nineteenth century never traveled to
plex located in Java. Tibetan Buddhism was the dominant
Asia.
form of Buddhism in Mongolia and the Kalmykia. The au-
thority of the Russian Empire and, later, the Soviet Union,
THE LIFE OF THE BUDDHA. As might be expected, the life
in these regions gave Russian scholars easy access to a large
and teachings of the Buddha have remained a persistent topic
corpus of Tibetan Buddhist materials.
of scholarly investigation. Sir William Jones of the East India
Company knew of the Buddha only as one of the incarna-
This is not to suggest that European scholars limited
tions of the Hindu deity Vis:n:u, and speculated on his origin,
their studies to the traditions of their nation’s colonies. As
considering both Scandinavia and Ethiopia as possible sites.
more and more Buddhist texts became available in the li-
By the late nineteenth century and early twentieth century,
braries of Europe, access was provided to those who learned
a sufficient number of texts had become available to allow
the necessary languages. The tradition of Sanskrit studies
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUDDHIST STUDIES
1313
begun in Paris by Burnouf was continued by his scholarly
ing Buddhism to a wide audience of readers around the
descendents. This lineage included Sylvain Lévi (1863–
world, including in Asian societies. Some of these transla-
1935), who produced new editions, translations, and studies
tions were made or overseen by scholars of Buddhism. In
on a wide range of subjects. In his travels in Nepal, Lévi
1894, the Sacred Books of the East series was published, ed-
found a number of important Maha¯ya¯na texts that had not
ited by Friedrich Max Müller (1823–1900), a student of
been previously available in Europe, including central texts
Burnouf. Ten of the forty-nine volumes of the series were
of the Yoga¯ca¯ra school. Lévi’s most prominent student was
devoted to Buddhist works. Reflecting the opinion of the day
the Belgian scholar, Louis de la Vallée Poussin (1869–1938),
that Pali texts of the Therava¯da tradition represented the
perhaps the most important European scholar of Buddhism
most accurate record of what the Buddha taught, seven of
of the late nineteenth and early twentieth centuries. He
these volumes were devoted to Pali works. Among other In-
translated key texts from a number of genres and Buddhist
dian works, A´svaghos:a’s famous life of the Buddha appeared
languages. Perhaps his greatest work was his translation from
twice, translated in one volume from Sanskrit and in another
Chinese of Vasubandhu’s Abhidharmako´sa (relying, it
from Chinese. The Lotus Su¯tra was included in another vol-
should be noted, on an annotated Japanese edition), but he
ume. The final volume of the series is entitled Buddhist
also published editions, translations, and studies of central
Maha¯ya¯na Texts and contains such famous works as the Dia-
Yoga¯ca¯ra, Madhyamaka, and tantric texts, in addition to a
mond Su¯tra, the Heart Su¯tra, and the three Pure Land su¯tras,
number of significant topical studies. Another of Lévi’s pu-
all Indian works (or at least so regarded at the time) but in-
pils, Jean Przyluski (1885–1944), joined Marcelle Lalou
cluded because of their importance for Japanese Buddhism.
(1890–1967) in founding the Bibliographie bouddhique
In 1895, Thomas W. Rhys Davids initiated the Sacred Books
(1930–1967), which provided an annotated reference to all
of the Buddhists series, which provided English translations
important scholarship on Buddhism published between
of dozens of texts. Some of the most widely read translations
1928 and 1958. The Belgian Roman Catholic priest Étienne
and anthologies were produced by enthusiasts of Buddhism
Lamotte, a student of la Vallée Poussin, provided translations
who were not trained in Asian languages. Thus, in 1894,
of important Maha¯ya¯na su¯tras, including the Vimalakırti.
Paul Carus (1852–1919) published The Gospel of Buddha Ac-
He also wrote an influential History of Indian Buddhism. His
cording to Old Records. The American Theosophist Walter Y.
copiously annotated five-volume translation from Chinese of
Evans-Wentz (1878–1965) published his study of a transla-
the Dazhi dulun, Kuma¯raj¯ıva’s translation of a massive com-
tion of a Tibetan text in 1927 as The Tibetan Book of the
mentary on the Perfection of Wisdom in 25,000 Stanzas, was
Dead. In 1938, Dwight Goddard (1861–1939) published an
published between 1944 and 1980 under the title Le traité
anthology of mostly Chinese Buddhist texts as A Buddhist
de la grande vertu de sagesse. Lamotte’s student, Hubert Durt
Bible.
for many years directed the Ho¯bo¯girin encyclopedia project
Such works played an important role in a phenomenon
of the École Française d’Extrême Orient, located in Kyoto.
that scholars have retrospectively dubbed “Buddhist mod-
Although Buddhist studies have been a predominantly
ernism.” Beginning in the late nineteenth century, through
text-centered enterprise since its inception, this is not to sug-
the efforts of Asian Buddhists (including such figures as Ana-
gest that there have not been important anthropological
garika Dharmapala in Sri Lanka, Taixu in China, and Shaku
studies, especially in the postwar period. For reasons that are
So¯en in Japan) as well as European and American enthusiasts
not entirely clear (apart from the early translation of many
(including early members of the Theosophical Society), Bud-
of its canonical texts), much of the most important anthro-
dhist modernists sought to defend Buddhism against the at-
pological work has focused on the Therava¯da traditions of
tacks of secularists and Christian missionaries by portraying
Sri Lanka and Thailand. Here, the studies of Richard Gom-
Buddhism as an ancient system of rational and ethical philos-
brich, Gananath Obeyesekere, and Stanley Tambiah have
ophy that was at the same time entirely modern, in that it
been influential. Important contributions to Pali textual
dispensed with the ritualistic trappings of religion, was com-
studies have continued through the twentieth century, in-
patible with science, and promoted an egalitarian society.
cluding those made by K. R. Norman and by the team of
Buddhist modernism has had a significant influence on the
scholars in the ongoing Critical Pali Dictionary project in
development of the study of Buddhism, especially in the case
Denmark, begun in 1924.
of those figures who have been both scholars of Buddhism
TRANSLATIONS FOR THE PUBLIC. As is clear, Buddhist
and Buddhist modernists. Perhaps the most influential of
studies in the west is very much a descendant of Indology,
these figures was D. T. Suzuki (1870–1966), who sought to
in the sense that prior to the Second World War, the study
portray the Zen tradition as above all concerned with an “ex-
of Buddhism in the western academy was carried out largely
perience” that is unbound by time or culture. This interac-
by Sanskritists (or sometimes Sinologists) who also read Bud-
tion of the “academic” and the “popular” has remained a
dhist texts. However, the translations and studies produced
constant component in the modern study of Buddhism.
by these scholars did not circulate only within a closed aca-
EXPEDITIONS TO ASIA. At the end of the nineteenth century
demic circle. The gradual accumulation of knowledge of a
and the beginning of the twentieth, a large number of Bud-
wide variety of Buddhist texts led to publication of transla-
dhist manuscripts were discovered by European and Japanese
tions and anthologies that played a significant role in bring-
expeditions at sites along the former Silk Road in Central
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1314
BUDDHIST STUDIES
Asia. An important cache of Sanskrit texts, some of the most
nese Buddhist scholars produced influential studies on a
ancient yet identified, were found at Gilgit in modern Paki-
wide range of topics in Indian, Chinese, Tibetan, and Japa-
stan. Beginning with Aurel Stein (1862–1943) in 1907, a se-
nese Buddhism. Among the many scholars who might be
ries of European and Japanese scholars visited the huge cave
mentioned are Ui Hakuju, Kamata Shigeo, Sekiguchi Shin-
temple complex at Dunhuang in the desert of western China.
dai, Nakamura Hajime, Nagao Gadjin, Takasaki Jikido¯,
Over the course of a decade, they removed tens of thousands
Yanagida Seizan, and Hirakawa Akira. Buddhist studies re-
of bamboo slips, scrolls, and manuscripts in a wide range of
main a vibrant academic discipline in Japan, with most
languages and deposited them in libraries in London, Paris,
scholars drawn from the families of Japanese Buddhist
Saint Petersburg, Kyoto, and New Delhi. These texts remain
priests.
the subject of detailed study and continue to provide insights
THE STUDY OF CHINESE BUDDHISM. The study of Chinese
into the practices of Central Asian, Chinese, and Tibetan
Buddhism has differed from the study of Buddhism in India
Buddhism. The caves at Dunhuang, a site of Buddhist activi-
(from which Buddhists were absent after the fourteenth cen-
ty from the fourth to the fourteenth centuries, have been
tury) or Tibet (where the possibility of European travel was
identified as a World Heritage site, and their remarkable
restricted in the nineteenth and much of the twentieth cen-
paintings are being digitally photographed and catalogued.
turies). By the end of the nineteenth century, China was the
Manuscripts continued to be discovered throughout the
object of intensive missionary activity from both Europe and
twentieth century at sites across Asia, from Afghanistan to
North America, and much of the early study of the Chinese
Tibet to Japan.
Buddhist community was undertaken by missionaries such
T
as Samuel Beal (1825–1899). The importance of Chinese
HE STUDY OF BUDDHISM IN JAPAN. The fact that Japanese
expeditions were dispatched in search of ancient Buddhist
translations of Indian Buddhist texts had been recognized by
manuscripts suggests that the academic study of Buddhism
Burnouf, but texts composed in Chinese, apart from the ac-
was not limited to Europe and North America in the late
counts of the Chinese pilgrims to India, attracted little schol-
nineteenth and early twentieth centuries. Japan has played
arly attention until the twentieth century. The institutional
a central role in the history of the study of Buddhism. Japan
practice of Chinese Buddhism became the subject of a num-
is perhaps unique in the Buddhist world as a society possess-
ber of important studies in the decades prior to the Commu-
ing a long heritage of traditional Buddhist studies, which
nist Revolution. Notable among these are the work of Jan
moved to a European style “scientific study” of Buddhist tra-
J. M. de Groot (1854–1921), the Danish architectural histo-
ditions (both its own and others) beginning in the late nine-
rian Johannes Prip-Mo⁄ller (1889–1943), and Holmes
Welch, who documented the Buddhist revival in China in
teenth century, with Japanese scholars eventually making sig-
the early twentieth century, as well as Buddhism under Mao.
nificant contributions to all fields of study. Among the
Buddhist texts and doctrines have been the object of impor-
reasons for Japanese eminence in the field of Buddhist
tant studies by scholars such as Paul Demiéville (1894–
studies is the fact that Japan never came under European or
1979), but also within the context of social and institutional
American colonial domination and became a colonial power
history, where the studies of Jacques Gernet have been highly
in its own right. During the Tokugawa period, Japanese
influential. Erik Zürcher wrote a detailed study of early Chi-
scholars participated in a tradition of critical scholarship that
nese Buddhism and explored some of the relations between
produced excellent editions of a number of canonical Bud-
Daoist and Buddhist terminology. This is not to suggest that
dhist texts central to the major sects of Japanese Buddhism.
there has not been a strong and influential tradition of Chi-
During the Meiji period, students in a wide range of academ-
nese Buddhist studies among Chinese scholars. Beginning in
ic disciplines were encouraged to study abroad. Among these
the early twentieth century and continuing until the Cultural
students was Nanjo¯ Bun’ yu¯ (1849–1927), who traveled to
Revolution, important historical studies were produced by
Oxford to study Sanskrit with Max Müller. He produced a
such scholars as Tang Yongtong (1893–1964), Chen Yinke
catalogue of the Chinese Buddhist canon that made reference
(1890–1969), and Hu Shi (1891–1962). The philosopher
to Sanskrit and Tibet editions and was instrumental in estab-
Feng Youlan (1895–1990) also wrote extensively on Bud-
lishing Sanskrit studies in Japan. Another Japanese student
dhism. Since the end of the Cultural Revolution, both the
at Oxford, Takakusu Junjiro¯ (1866–1945), provided Müller
practice and study of Buddhism have begun to reemerge in
with a translation from the Chinese of a Pure Land su¯tra for
China.
inclusion in Sacred Books of the East. Fujishima Ryo¯on
(1853–1918) studied with French scholars and wrote the
Crucial scholarship on Chinese Buddhist texts has been
first history of Japanese Buddhism to appear in a European
carried out by Japanese scholars. In part because of the his-
language. The Taisho edition of the Chinese Buddhism
torical links between the Japanese sects of Buddhism and
canon, published in Japan between 1924 and 1935, has pro-
China, in part because of the Japanese colonial presence in
vided the standard version of thousands of texts. Japanese
Taiwan, China, and Korea in the first half of the twentieth
scholars also produced a large number of invaluable reference
century, Japanese scholars have produced a range of impor-
works, including Mochizuki Shinko¯’s encyclopedia of Bud-
tant studies on all aspects of Chinese Buddhism, focusing es-
dhism, the Bukkyo¯ daijiten, published between 1932 and
pecially on the key texts and lineages of the Chinese tradi-
1936. In the period following the Second World War, Japa-
tions that became established in Japan. With the growth 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
BUDDHIST STUDIES
1315
Buddhist studies in North America in the last half of the
THE STUDY OF BUDDHISM IN THE UNITED STATES. The
twentieth century, knowledge of Japanese scholarship has
first academic lecture on Buddhism to be delivered in the
been deemed essential for all work in East Asian Buddhism,
United States was “Memoir on the History of Buddhism,”
and provided the focus for much graduate training. Stanley
presented by Edward Eldridge Salisbury (1814–1901)—
Weinstein at Yale was one of a number of scholars to insist
instructor of Sanskrit at Yale and recently returned from
on the importance of Japanese scholarship for the study of
study with Burnouf in Paris—at the first annual meeting of
Chinese Buddhism. The study of Korean Buddhism has also
the American Oriental Society on May 28, 1844. Buddhist
become a distinct area of Buddhist studies (rather than a
studies did not become well established in the United States,
branch of Chinese Buddhism) through the efforts of a num-
however, until more than a century later. Two distinguished
ber of scholars, including Robert Buswell.
Pali scholars of the early period were Henry Clarke Warren
(1854–1899) and Eugene W. Burlingame (1876–1932).
THE STUDY OF TIBETAN BUDDHISM. Prior to the Second
Franklin Edgerton (1885–1963) coined the term “Buddhist
World War, Tibetan Buddhism was valued above all for its
Hybrid Sanskrit” to describe the deviations from classical
preservation, in accurate translation, of a large canon of Indi-
Sanskrit that occur in many Indian Buddhist texts and in
an Maha¯ya¯na texts that had been lost in the original Sanskrit.
1953 published a two-volume grammar and dictionary of
With the notable exception of the work of such scholars as
Buddhist Hybrid Sanskrit.
Eugene Obermiller (1901–1935) and Giuseppe Tucci
(1894–1984), the vast corpus of autochthonous Tibetan
The American academy saw enormous changes during
Buddhist literature remained largely unexamined by Europe-
the decades after the Second World War, especially in the
1960s and 1970s, with the explosion of two fields: area
an scholars. This situation changed dramatically as a result
studies devoted to Asia and religious studies. Area studies
of the invasion of Tibet by the Peoples Republic of China
provided federal funds (through the National Defense Edu-
and the subsequent flight into exile of the Dalai Lama in
cation Act) for training in a wide range of Asian languages.
1959. Over the course of the next decade, he was followed
At the same time, the study of religion moved from the semi-
into exile by tens of thousands of Tibetan refugees, many of
nary to the college and university, where departments of reli-
whom were highly educated monks and lamas. These refu-
gion were formed, often on the model of the Christian semi-
gees settled in India and Nepal, and later in Europe and
nary, with faculty in such areas as Old Testament, New
North America. European and American scholars soon
Testament, Church History, Modern Religious Thought,
began to study Tibetan Buddhist texts in collaboration with
Ethics, and perhaps, World Religions. Because of the pan-
refugee Tibetan scholars, thereby bringing the doctrines and
Asian scope of Buddhism, college and university positions in
practices of Tibetan Buddhism to a large audience in the
World Religions were often occupied by scholars of Bud-
West. Among the first scholars in this regard were David
dhism.
Snellgrove, Herbert Guenther, and David Seyfort Ruegg,
who demonstrated the important contributions made by Ti-
In 1961, Richard Robinson (1926–1970) instituted the
betan Buddhist scholars to many of the key philosophical de-
first doctoral program in Buddhist studies in the United
bates and concepts of Indian Buddhism. Beginning in 1961,
States at the University of Wisconsin. Over the subsequent
under Public Law 480, the Government of India provided
decades, other programs, some led by Robinson’s students,
the U.S. Library of Congress with copies of all books pub-
were established in a range of area studies departments (at
lished in India. The head of the Library of Congress in New
Berkeley, Michigan, British Columbia, and UCLA) and reli-
Delhi from 1968–1985 was the eminent Tibetologist E.
gious studies departments (Harvard, Yale, Princeton, Co-
Gene Smith, who arranged for thousands of Tibetan texts,
lumbia, Chicago, and Virginia). In Europe, Buddhist studies
brought out of Tibet by refugees, to be published in India
were pursued at Oxford, the University of London, Ham-
and sent to depository libraries across the United States. As
burg, Lausanne, and Vienna. By 1976 and the founding of
a consequence, during the last decades of the twentieth cen-
the International Association of Buddhist Studies, the study
tury, Tibetan Buddhism became a major area of Buddhist
of Buddhism was taking place in Europe, North America,
studies, not only for the insight it can provide on the devel-
South America, Australia, and New Zealand, and across Asia.
opment of Indian Buddhism, but also, for the first time, as
Although broad trends can only be identified with a cer-
an important domain of investigation in its own right, with
tain caution, it is probably accurate to say that in the decades
academic research in the Tibetan cultural regions of the PRC
following the Second World War, there was a strong interest
also becoming possible. The extensive Tibetan literature on
in the study of what has been called Buddhist philosophy.
Buddhist Tantra has also become a growing area of scholarly
In part because of the strong philological and philosophical
investigation. The close collaboration of European, Ameri-
training of the early European scholars in the field, in part
can, and Japanese academics with traditionally trained Tibet-
because of the perceived need to justify the sophistication of
an scholars has not only borne fruit in terms of the transla-
Buddhist thought in American departments of religious
tion of texts; it has also raised important questions about the
studies, scholars tended to focus their attention on the elite
relation between the academic and the popular and between
scholastic traditions of Buddhism, especially the Abhidhar-
Buddhist scholarship and Buddhist practice.
ma of the Therava¯da, the Madhyamaka and logical traditions
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1316
BUGIS RELIGION
of India (with their Tibetan commentaries), and the Chan
dhism from classical antiquity to the twentieth century, fo-
and Zen traditions of East Asia. In some cases, Buddhist texts
cusing especially on the work of Roman Catholic missiona-
and figures have been brought into the realm of comparative
ries and on subsequent academic scholarship.
philosophy, where Na¯ga¯rjuna could be seen as Kantian at the
McRae, John R. “Chinese Religions: The State of the Field.” Part
beginning of the twentieth century, as Wittgensteinian in the
2: “Living Religious Traditions: Buddhism.” Journal of Asian
middle, and as Derridian at its end. In the last decades of the
Studies 54, no. 2 (1995): 354–371. A bibliographical essay
twentieth century, as the humanities in general turned to-
on the state of the field of Chinese Buddhist studies at the
ward social history, there has been a turn away from scholas-
end of the twentieth century.
tic Buddhist philosophy and toward institutional histories,
Nakamura, Hajime. Indian Buddhism: A Survey with Bibliographi-
employing a wide range of sources in an attempt to discern
cal Notes. Intercultural Research Institute Monograph, no. 9.
how Buddhism was practiced in the various cultures of Asia
Hirakata, Japan, 1980. A survey of the Japanese- and Euro-
and among all levels of society, both monastic and lay. The
pean-language scholarship on Indian Buddhism.
more recent manifestations of Buddhism outside Asia are
Przyluski, Jean, et al. Bibliographie bouddhique. Buddhica: Docu-
also beginning to be examined.
ments et travaux pour l’étude du bouddhisme, vols. 1–31.
Paris, 1929–1961. An annotated listing of all major articles
SEE ALSO Chinese Religion, article on History of Study; Ti-
and books on Buddhism up to 1958, including both Europe-
betan Religions, article on History of Study.
an- and Asian-language works.
Schwab, Raymond. The Oriental Renaissance: Europe’s Rediscovery
BIBLIOGRAPHY
of India and the East, 1680–1880. New York, 1984. Origi-
Almond, Philip C. The British Discovery of Buddhism. Cambridge,
nally published in French in 1950, a detailed study of the rise
U.K., 1988. A study of the development of British attitudes
of Oriental studies in Europe and its influence on European
toward Buddhism during the Victorian period.
arts and letters.
Droit, Roger-Pol. The Cult of Nothingness: The Philosophers and
the Buddha. Chapel Hill, N.C., 2003. Originally published
DONALD S. LOPEZ, JR. (2005)
in French in 1997, a study of the ways in which European
philosophers of the nineteenth century understood Bud-
dhism and the idea of nirva¯n:a.
BUGIS RELIGION. The Bugis, sometimes referred to
Halbfass, Wilhelm. India and Europe: An Essay in Understanding.
as the Buginese, are an Indonesian people numbering about
Albany, N.Y., 1988. A study of the European encounter with
India, and especially Indian philosophies and religions, from
three million, most of whom live in their homeland of Cele-
classical antiquity to the twentieth century.
bes (South Sulawesi). Bugis is an archaic form of their name
retained by the Malay/Indonesian language; in fact they call
Hanayama, Shinsho. Bibliography of Buddhism. Tokyo, 1961. A
bibliography of works on Buddhism published in European
themselves Ugi’ or ToUgi’. Bugis emigrants have also estab-
languages from the seventeenth century up to 1932.
lished significant, mostly coastal, settlements throughout the
Indonesian archipelago. They speak a language of the West-
Jong, J. W. de. “A Brief History of Buddhist Studies in Europe
ern Austronesian family, the same family as their national
and America.” Eastern Buddhist, n.s. 7, no. 1 (May 1974):
55–106, and no. 2 (October 1974): 49–82. Reprinted in a
language (Malay or Indonesian).
single volume, Tokyo, 1997. The most detailed account of
After a long period of contact with Muslim, mainly
the development of Buddhist studies in the West, although
Malay, traders who had settled in their main trading harbors,
with a strong focus on Indological studies and little discus-
and after some spontaneous but aborted attempts to adopt
sion of the study of East Asian and Southeast Asian Bud-
Christianity during the middle of the sixteenth century, the
dhism.
Bugis officially became Muslims between 1605 and 1610
Ketelaar, James Edward. Of Heretics and Martyrs in Meiji Japan:
under the initiative and pressure of the neighboring kingdom
Buddhism and Its Persecution. Princeton, N.J., 1990. A study
of Goa. But although they soon came to be considered
of the persecution of Buddhism by the Japanese government
in the last decades of the nineteenth century, and the rede-
among the most devout Muslims in the archipelago, they
finitions of Buddhism that emerged as a result.
have retained in their traditions many pre-Islamic elements.
These include the bissu, transvestite priests in charge of the
Leoshko, Janice. Sacred Traces: British Explorations of Buddhism in
regalia of the ruling house and of princely rituals; popular
South Asia. Burlington, Vt., 2003. A study of nineteenth-
century European investigations of Buddhist art and archae-
practitioners called sanro; sacred places, to which offerings
ology in India, and the legacy of these investigations for sub-
are regularly brought; and the psalmody, on certain ceremo-
sequent views of the Buddha and of Buddhism.
nial occasions, of the sacred epic La galigo, which provides
Lopez, Donald S., Jr., ed. Curators of the Buddha: The Study of
an interesting if incomplete view of pre-Islamic Bugis
Buddhism under Colonialism. Chicago, 1995. A collection of
culture.
essays on several of the major figures in the development of
THE MYTH OF ORIGIN. The Bugis creation myth has been
Buddhist studies in Europe and North America.
somewhat mixed with Islamic mysticism, but as far as it can
Lubac, Henri de. Le rencontre du bouddhisme et de l’Occident.
be reconstituted, the early Bugis believed in a supreme deity
Paris, 1952. A history of European encounters with Bud-
called To Papunna (“the owner of everything”) or Déwata
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUGIS RELIGION
1317
Sisiné, later Déwata Séuwaé (“the one God”). From this
tions in order to obtain the welfare or protection of the peo-
deity emanated a male and a female being, linked to some
ple, of the lordship, or of the state, especially in case of bad
extent to the sun and the moon. From their separated seed
crops, epidemics, or wars.
were born a number of beings who were not clearly identi-
In La galigo, the objects of the cult are expressly said to
fied; then from their sexual union were born the main gods
be the gods of Heaven and the Abyss; they decided, in turn,
of the upper-world and the underworld, said to number ei-
to people the Middle World just because “one is no god
ther seven, fourteen, or nineteen, according to various ver-
when there is no one to pay homage to you.” Nowadays, the
sions of the myth. Of these gods, six married couples are de-
average Bugis knows very little of pre-Islamic theology,
scribed in La galigo as playing a significant role, and two
which, moreover, was never recorded systematically but was
couples are mentioned as being more important than the
only implicit in the tradition. Still, many Bugis continue to
others: one at the depths of the Abyss, whose male partner
believe that besides Alla¯h, whom they call Puang Allataala or
was known as Guri ri SelleD; and the other at the summit of
Déwata Séuwaé, there are many spiritual beings to whom
Heaven, whose male entity, Datu PatotoD (“the prince who
one must pay homage and who, in turn, act as intercessors
fixes destinies”) or Datu Palanro (“the princely smith”), was
between humans and the supreme being, who is too far
considered the highest god of all. These two couples had nine
above humankind to be contacted directly. Sawérigading is
children each, seven of whom reigned over various strata of
sometimes named as one such intervening figure, but he
Heaven or the Abyss. The eldest son of Datu PatotoD, La
seems to have been the object of a cult maintained more by
TogeDlangiD (also known as Batara Guru), and Guru ri Selle’s
the bissu than by laity. Likewise, a deity named Déwata Mat-
daughter were sent to the Middle World to establish there,
tanru’ Kati (“the god with golden horns”), to whom a special
in Luwu’, the first human settlement. However, they are not
cult is rendered by the bissu, may be one of the heavenly gods
the primeval ancestors of humankind, which rather descends
of La galigo. Other divine beings who are, still today, the ob-
from the servants who followed them from Heaven and the
ject of a general cult among all categories of Bugis include
Abyss, as well as from the servants of other divine rulers, the
the rice goddess, Sangiang Serri. According to La galigo she
children of the secondary heavenly and abyssal couples, who
was the first child born on earth to Bataru Guru, but she died
came later to establish other kingdoms in and around Sula-
after seven days, whereupon her body, once buried, trans-
wesi (Celebes).
formed itself into the rice plant. Another revered being is
THE POLITICAL MYTHS. The La galigo epic tells of the life
Taddampali, an aquatic being who may be the same as La
and deeds of six generations of earthly descendants to these
Punna Liung, the messenger of the Abyss in La galigo. In-
first divine rulers, and especially of Sawérigading, the Bugis
cluded here also are the local tomanurung (“descended [from
cultural hero, a grandson of Batara Guru. Still considered sa-
heaven] beings”). Many Bugis still keep in their homes
cred by a small group of non-Muslim Bugis, La galigo is a
wooden tabernacles or miniature beds where the divine be-
repository of princely rituals, performed by the bissu, and of
ings are said to descend during ceremonies.
princely conduct. The epic tells that after the sixth genera-
tion of rulers descended from Batara Guru and other chil-
Other kinds of spiritual or invisible beings (totenrita)
dren of the gods, all princes of divine origin had to leave this
also appear as divine-human intercessors. Among these are
world to go back to Heaven or the Abyss, except for the
house and boat spirit guardians and local spirits dwelling in
princely couple in Luwu’. All Bugis nobility is said to be de-
large stones, trees, or springs. Other spirits may be danger-
scended either from that LuwuD couple, or from other divine
ous, as for example the paddengngeng (“hunters”), invisible
princes sent either from Heaven (Tomanurung) or from the
horsemen who capture people’s souls with their lassos, there-
Abyss (TotompoD). Most of the Bugis lordships and king-
by provoking unexpected illness and death. Their kingdom,
doms claim to have been founded by a divine couple, and
described in some of the oral traditions, seems to recall the
they keep as regalia various articles such as swords, banners,
Land of the Dead as described in La galigo.
and ploughs, which are said to have been brought by these
THE AFTERWORLD. In La galigo, the afterworld is described
ancestors of their rulers.
as a distant island somewhere in the western seas. The dead
come first to a land where they must wait until all the funer-
THE CULT AND ITS OBJECTS. Two kinds of closely related
ary rituals and required offerings have been accomplished by
Bugis rituals can be distinguished. One was performed by the
their living relatives; otherwise they cannot proceed further.
bissu at princely courts; now, however, the number of bissu
In that place, sinners must also undergo various punish-
is rapidly declining and their activity is becoming more and
ments. The dead must then take a ritual bath, pay their en-
more limited. The other ritual is enacted by the popular
trance to the keeper of the heartland, and cross a golden
practitioners called sanro, who are still very active in Bugis
bridge. In the inner Land of the Dead, everything is the re-
country. Both kinds of rituals include sacrifices (of buffalo,
verse of life among the living.
goats, or chickens) and offerings of glutinous rice, usually
presented in four (or, sometimes, two, seven, or eight) colors.
With Islamicization, most of these observances have
The rituals are performed during rites of passage, house or
been obliterated, and Muslim funerals have now replaced
boat building, first-use rites, anniversaries, and during cer-
traditional ones. However, an ancestor cult still exists that
tain phases of the rice cycle, as well as at community celebra-
features pilgrimages to sacred, non-Islamic graves and offer-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1318
BUKHA¯R¯I, AL-
ings brought to family ancestors in a special place in the
in the central Asian city of Bukha¯ra, al-Bukha¯r¯ı compiled
home.
one of the most authoritative collections on the words and
deeds of the Prophet Muh:ammad. According to the bio-
BIBLIOGRAPHY
graphical accounts, he began the study of h:ad¯ıth at the age
Hamonic, Gilbert. “Pour une étude comparée des cosmogonies de
of 10, and was soon correcting his own teachers. At age 16
Célèbes-Sud: À propos d’un manuscrit inédit sur l’origine
he made the pilgrimage to Mecca, and from there he traveled
des dieux bugis.” Archipel 25 (1983): 35–62. The first trans-
throughout Iraq, Syria, Egypt, and Iran in the search for
lated edition, with commentary, of a hitherto secret text on
h:ad¯ıth that was traditional among many scholars of the day.
creation and the genesis of the gods according to a Bugis
It is claimed that he heard or collected 600,000 reports and
view.
that he spent sixteen years reducing these to around 3,000
Hamonic, Gilbert. Le langage des dieux: Cultes et rituels préis-
lamiques du pays bugis (Célèbes-Sud, Indonésie). Paris, 1987.
“sound” reports for his most renowned work, al-Ja¯mi E
An important work containing a corpus of about two thou-
al-s:ah:¯ıh: (The Sound and Comprehensive Exposition).
sand verses of bissu ritual chants, with translation and com-
Al-Bukha¯r¯ı lived during a time in which many collec-
mentary.
tions of information regarding the Prophet were being col-
Kern, Rudolph A. Catalogus van de Boegineesche, tot den I La Gali-
lected and evaluated and an intellectual struggle obtained, es-
go cyclus behoorende handschriften der Leidsche Universiteits
pecially in Iraq and lands to the east, between those who
Bibliotheek, alsmede van die in andere Europeesche biblio-
theken. Leiden, 1939.
favored h:ad¯ıth over and against individual reasoning (ra’y)
as the main source of Islamic law. Anecdotes about
Kern, Rudolph A. Catalogus van de Boeginese, tot de I La Galigo-
cyclus behorende handschriften van Jajasan Matthes (Mat-
Muh:ammad were found in accounts of his military expedi-
thesstichting) te Makassar (Indonesie). Makassar, Indonesia,
tions and life in general (magha¯z¯ı, s¯ıra), as well as in books
1954. A complete compilation in two books of all manu-
of jurisprudence that also contained legal discussions and
scripts containing episodes of the La galigo epic. Includes lists
nonprophetic material, but al-Bukha¯r¯ı made his contribu-
of gods and heros appearing in the cycle.
tion to the collection of h:ad¯ıth proper. In this venture, the
Matthes, Benjamin F. Boeginesche chresthomathie: Oorspronkelijke
most important aspect of the h:ad¯ıth was not the content but
Boeginesche geschriften in proza en poëzij, uitgegeven, van aan-
rather the isna¯d, the list of names of informants who (prefera-
teekeningen voorzien en ten deele vertaald. 3 vols. Vol. 1, Ma-
bly orally) passed on the saying. Many of the earliest works
kassar, Indonesia, 1864; vols. 2 and 3, Amsterdam, 1872.
were musnads, that is, organized according to the transmitter.
The only anthology thus far available of Bugis texts, includ-
Al-Bukha¯r¯ı’s S:ah:¯ıh: was one of the first mus:annafs, in which
ing the beginning of the La galigo epic. Liberally annotated.
materials were organized according to topic. Sunn¯ı Muslims
Matthes, Benjamin F. Over de bissoe’s of heidensche priesters en
eventually recognized six canonical h:ad¯ıth collections, of
priesteessen der Boeginezen. Amsterdam, 1872. An extremely
which the most authoritative are the two S:ah:¯ıh: books of
valuable account of the bissu priests and their rituals.
al-Bukha¯r¯ı and his fellow Iranian contemporary al-Hajja¯j
Pelras, Christian. “‘Herbe divine’: Le riz chez les Bugis (Indoné-
(d. 853). (The remaining four are known as sunan, and are
sie).” Études rurales 53–56 (1974): 357–374. A description
more restricted to legal and everyday issues.)
of rice cultivation among the Bugis, including associated
rituals.
Although al-Bukha¯r¯ı did not provide any explanatory
Pelras, Christian. “Le panthéon des anciens Bugis, à travers les tex-
introduction to his collection, he divided the material into
tes de La galigo.” Archipel 25 (1983): 65–97. A reconstitution
approximately one hundred chapters treating matters of law,
of the Bugis pantheon and worldview, according to the La
ritual, and theology, with numerous subheadings for individ-
galigo epic and other texts.
ual topics or questions, often drawn from phrases in the
New Sources
QurDa¯n or the h:ad¯ıth corpus itself. In some cases, subhead-
Guillaumont, A., and C. Amiel. “Qu’est-ce qu’un dieu.” Revue de
ings appear without any corresponding h:ad¯ıth, presumably
l’histoire des religions 205 (1988): 339–465.
to indicate that no sound h:ad¯ıth existed on that topic. In
Hamonic, Gilbert. “God, Divinities and Ancestors for the Positive
many cases, al-Bukha¯r¯ı inserted his own comments and
Representation of a Religious Plurality in Bugis Society,
opinions on the matters at hand, and frequently cited the
South Sulawesi, Indonesia.” Southeast Asian Studies (Tonan
Ajia kenkyu [Kyoto]) 29, no. 1 (1991): 3–34.
same report (or a part thereof) under different subheadings
as he saw fit. The ensemble was similar to a work of jurispru-
Hamonic, Gilbert, and Christian Pelras. “En quete des dieux
bugis: entre mythe et rituel, entre silence et parole.” Revue
dence in aiming to provide a guide to all recognized aspects
de l’histoire des religions 205 (1988): 345–366.
of Muslim dogma and praxis.
Pelras, Christian. The Bugis. Oxford, 1996.
Al-Bukha¯r¯ı’s major work is not only vast but also metic-
CHRISTIAN PELRAS (1987)
ulous. Although the work is arranged according to the con-
Revised Bibliography
tent of the reports, the criteria for inclusion in the S:ah:¯ıh: was
nevertheless squarely based on soundness of the isna¯d, the
chain of names indicating the source of the anecdote. A typi-
BUKHA¯R¯I, AL- Abu¯ EAbd Allah Muh:ammad b. Isma¯E¯ıl
cal isna¯d will be something like “I heard from A that B in-
al-Bukha¯r¯ı (810–870) was a Muslim scholar of h:ad¯ıth. Born
formed him that C said. . . .” S:ah:¯ıh:, or “sound,” 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
BULGAKOV, SERGEI
1319
a h:ad¯ıth whose chain of transmitters extends uninterrupted
BIBLIOGRAPHY
back to the Prophet Muh:ammad himself, and is composed
Burton, John. An Introduction to the Hadith. Edinburgh, U.K.,
entirely of men of well-established reliability and honesty.
1994. Burton’s book will not serve as an introduction to the
Opinions could differ significantly on the question of wheth-
h:ad¯ıth, but it does have some useful pages on al-Bukha¯r¯ı.
er a transmitter was reliable or not, and even the two canoni-
Goldziher, Ignaz. Muslim Studies. London, 1971. One of the most
cal S:ah:¯ıh:s of al-Bukha¯r¯ı and Muslim works contain different
comprehensive introductory discussions of al-Bukha¯r¯ı’s
material. The compiler’s efforts extended then not only to
methods.
the collection of prophetic reports but to the evaluation of
Khan, Muhammad Muhsin. The Translation of the Meanings of
their transmitters and their links. In addition to judging the
Sahih al-Bukhari, 9 vols. Chicago, 1979. An English transla-
character and reliability of the transmitters, it had to be ascer-
tion of the S:ah:¯ıh:, but as it omits the isna¯ds and other sup-
tained that they lived in the appropriate era, and al-Bukha¯r¯ı
porting information, it does not accurately reflect the nature
is said to have insisted that there be evidence not only that
of the whole work.
the chronology was correct but that successive informants
Sezgin, Fuat. Geschichte des arabischen Schriftums. i, Qur’an-
had actually met each other at some point. Muslim, compiler
wissenschaften, Hadit, Geschichte, Fiqh, Dogmatik, Mystik.
of the other great S:ah:¯ıh:, held that chronology sufficed.
Leiden, Netherlands, 1967. Critical and extensive bio-
bibliographical notice.
According to an anecdote in the biographical accounts,
Siddiqi, Muhammad Zubayr. H:ad¯ıth Literature: Its Origins, De-
a group of Baghdad scholars attempted to trick al-Bukhari
velopment and Special Features. Cambridge, U.K., 1993.
into public error by changing the isna¯ds and contents of one
Straightforward account of al-Bukha¯r¯ı’s life and scholarship,
hundred h:ad¯ıth. He listened, admitted he had not heard of
with very useful footnotes to more detailed primary and sec-
these particular reports, then recited the correct versions back
ondary sources.
to his interrogators and suggested they had been confused.
BRUCE FUDGE (2005)
Apocryphal or not, these and similar stories indicate the na-
ture of al-Bukha¯r¯ı’s talent: the mastery and memorization of
countless h:ad¯ıth, with the precise wording of their contents
and the details of their isna¯ds.
BULGAKOV, SERGEI (1871-1944), Russian econo-
mist, philosopher, theologian, and Russian Orthodox priest.
Like many classical Islamic works, the S:ah:¯ıh: was the ob-
Sergei Nikolaevich was born in Livny, province of Orel, less
ject of numerous commentaries, and subsequent scholarship
than fifty years before the revolutions of 1917. The son of
dealt with every aspect of al-Bukha¯r¯ı’s compilation. Com-
a Russian Orthodox priest, Bulgakov was raised in a pious
mentary was one of the ways in which the community con-
Orthodox home. Following his early formal education, he
tinued to engage with its canonical works, and the process
was enrolled in the theological seminary in Orel Province,
served both to preserve and to renew the work for subsequent
which he left shortly thereafter for secular studies. A con-
generations. It also served as a tool in various disputes, as an
vinced atheist, at age nineteen he enrolled in the law school
authoritative work could be shown to support a particular
of the University of Moscow. By the time of his graduation
sectarian viewpoint. Commentary on the S:ah:¯ıh: has contin-
in 1894 he was a committed and enthusiastic Marxist, with
ued into the modern age.
a special interest in political economy. His master’s thesis on
However, his S:ah:¯ıh: was not above criticism. Some of
the relationship of capitalism and agriculture was published
his inclusions are said to be less “sound” than he claimed,
in 1900.
and he included a large number of h:ad¯ıth reports that did
In 1901 Bulgakov was appointed to the faculty of the
not meet his own standards, presenting them in part or with-
Polytechnic Institute of Kiev as a political economist. During
out isna¯d in order to illustrate a point or support an argu-
his tenure there he began to have doubts about Marxism
ment. In the views of some commentators, these inclusions
both as a philosophy and as an economic theory. The publi-
weakened the book’s rigor and were even said to have helped
cation in 1903 of his Ot Marksizma k idealizmu (From
contribute to the decline of rigorous isna¯d scholarship.
Marxism to Idealism) signaled his definitive break with
Marxism. In 1906 he was elected to the Second Duma and
Whatever the comments on individual reports or on the
appointed to the faculty of the Institute of Commerce of
details, the consensus of the Sunn¯ı Muslim community has
Moscow. At this time, along with other members of the Rus-
been that al-Bukha¯r¯ı’s S:ah:¯ıh: is the most authoritative text
sian intelligentsia, he began to turn from economics to phi-
in Islam after the QurDa¯n. Like the scripture, there are even
losophy, theology, and religion. He joined with thinkers
premodern accounts of the veneration of the physical copy
such as Pavel Florenskii, Nikolai Berdiaev, and Vladimir
of the book, that it protects its owner against hardship, that
Solov’ev in founding and writing for such periodicals as
oaths were sworn on it, or that no ship with a copy on board
Novyi put’ (New path) and Voprosy zhizni (Problems of life).
will sink, and so on.
Their movement, which developed in the direction of East-
He also compiled a number of other books, most nota-
ern Orthodox Christianity, began as an angry attack on the
bly a biographical dictionary of h:ad¯ıth transmitters, but his
radical intelligentsia through the journal Vekhi. Later, the
renown rests mainly on his S:ah:¯ıh:.
movement took on a more positive orientation. Bulgakov ex-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1320
BULL-ROARERS
pressed these emerging views in his works Filosofiia khoziaist-
Century (London, 1963) and N. O. Lossky’s History of Rus-
va (Philosophy of economics; 1912); Svet nevechernii (The
sian Philosophy (New York, 1951). A full bibliography of his
unending light; 1917); and Tikhie dumy (Quiet meditations;
works is found in L. A. Zander’s Bog i mir: Mirosozertsanie
1918).
Ottsa Sergiia Bulgakova, 2 vols. (Paris, 1948).
Bulgakov became fully identified with the Russian Or-
The most helpful of his own writings in understanding his intel-
thodox church after 1917 and was ordained a priest on June
lectual history is his autobiography, Avtobiograficheskie za-
metki (Paris, 1947). The following are representative writings
11, 1918. He was elected to the newly formed Supreme Ec-
in English translation: A Bulgakov Anthology, edited by Ni-
clesiastical Council, under the reconstituted patriarchate of
colas Zernov and James Pain (Philadelphia, 1976); The Wis-
Moscow. Because he was a clergyman, he lost the position
dom of God: A Brief Summary of Sophiology (New York,
that he held at the University of Simferopol. In 1922 he was
1937); and Karl Marx as a Religious Type, edited by Virgil
expelled from the Soviet Union.
Lang and translated by Luba Barna (Belmont, Mass., 1980).
After a short stay in Prague, Bulgakov moved to Paris,
STANLEY SAMUEL HARAKAS (1987)
where he spent the rest of his life as dean and professor of
dogmatics at the Saint Sergius Theological Institute. He
proved a creative and prolific author of theological works,
many of which have a controversial and polemical character.
BULL-ROARERS have been used as cult objects by var-
Between 1926 and 1938 he produced seventeen major
ious peoples from ancient times to the present day, usually
works. Six additional works were published posthumously,
in the context of male initiation ceremonies. They are gener-
including Die Tragödie der Philosophie (The tragedy of phi-
ally made of wood (or ceramics, as in ancient Greece) and
losophy; 1927), The Social Teaching of Modern Russian Or-
are generally flat, most commonly measuring sixty centime-
thodox Theology (1934), Agnets Bozhii (The lamb of God;
ters long and eight centimeters wide. Either through the
1933), and Nevesta Agntsa (The bride of the lamb; 1945).
whirring sound they make when swung or through the
There remains a significant corpus of unpublished writings.
carved or painted marks they bear, they symbolize general-
In striving to present the basic doctrines of Eastern Orthodox
ized powers of fertility, in particular those of male generative
Christianity in a contemporary light, Bulgakov provoked
powers, of wind, and of rain.
more conventional thinkers and became the center of theo-
In the mythology of ancient Greece, a bull-roarer was
logical controversy.
one of the toys with which the Titans distracted the child
Bulgakov is remembered particularly for his controver-
Dionysos before they slew him. As a cult object, the bull-
sial sophiological teachings, for which Svet nevechernii is a
roarer was used in rainmaking ceremonies, symbolizing
major early source. In 1936 and 1937 he published addition-
Kronos as rainmaker, and in the Eleusinian mysteries, where
al works on sophiology, which was the theological vehicle for
the connection between Dionysos and Demeter as fertility
his cosmology. In his formulation, Wisdom (sophia) is the
deities was emphasized (Frazer, vol. 7, 1912). In present-day
all-inclusive concept of creation. It is the eternal female reali-
Europe the bull-roarer is still used among the Basques by
ty, the maternal womb of being, the “fourth hypostasis,” the
boys to frighten women and girls during and after the Mass
“world of ideas, the idealist basis of the created world.” In
on Good Friday.
Bulgakov’s analysis, Wisdom is the pattern for divine cre-
Through comparison with South American myths and
ation. His sophiological teachings, which attempt to bring
rituals, where the bull-roarer’s sound is associated with a
together the cosmological understandings of modern science
giant snake, with the generative power of the phallus, and
and traditional theological understandings of creation, were
also with the period of food depletion and hunger, Lévi-
accepted neither by the patriarchate of Moscow nor by the
Strauss (relying on the work of Otto Zerries and Geneviève
Karlovskii Synod, which represented Russian Orthodoxy
Massignon) develops the following correlation: as the instru-
outside the Soviet Union. The official Orthodox church con-
ment is used during the absence of food and of fire (connect-
demned Bulgakov’s sophiology, especially its conceptualiza-
ed to European customs of extinguishing the fire before Eas-
tion of the “fourth hypostasis,” which was seen as a distortion
ter), and thus with fasting, it indicates symbolically a time
of the received doctrine of the Holy Trinity. However, he
when man and nature are in close contact, a primordial time
was never excommunicated for this teaching. One of the
before the invention of fire, when food had to be consumed
most powerful and creative theological minds of his era, at
raw or warmed by the sun. The use of the bull-roarer’s sound
his death Bulgakov was buried with full ecclesiastical honors.
to separate women (nature-bound) from men (culture-
bearers) seems to be corroborated by Australian Aboriginal
BIBLIOGRAPHY
usage of bull-roarers for fertility rituals or “increase-
For a general understanding of Bulgakov’s place in the theological
climate of Russian Orthodoxy in Paris, see Donald A. Lo-
ceremonies” with secret-sacred character (Lévi-Strauss, 1966,
wrie’s Saint Sergius in Paris: The Orthodox Theological Insti-
pp. 354–357). However, there are also exceptions, as the Un-
tute (New York, 1951). For his general place in the range and
garinyin know of “female” bull-roarers. In general, Aborigi-
dynamics of Russian intellectual history, see Nicolas
nal devices of this sort are described under the Aranda term
Zernov’s The Russian Religious Renaissance of the Twentieth
tjurunga, and in all tribal regions they embody the spirit, 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
BULTMANN, RUDOLF
1321
essence, and the vital forces of the heroes and creator-spirits
Testart, Alain. “Rhombes et des tjurunga: la question des objets
of the Dreaming. The spiritual power of these beings can be
sacrés en Australie.” Homme (Paris), no. 125 (1993): 31–65.
activated through ritual use of bull-roarers to affect procre-
KLAUS-PETER KÖPPING (1987)
ation. Some tribal groups maintain that bull-roarers already
Revised Bibliography
exist in specific trees and have only to be “set free” through
the ritual act of carving. Certain specific acts, such as shaving
particles from a tjurunga and blowing them over the land-
BULTMANN, RUDOLF (1884–1976), Christian
scape or reciting and singing stories of the Dreaming featur-
theologian and New Testament scholar. Born in Wiefelstede,
ing the totemic ancestors represented in and through a
in what was then the grand duchy of Oldenburg, Bultmann
tjurunga, have the effect of continuing procreation of all na-
was the son of a Lutheran pastor, himself the son of a mis-
ture (Petri and Worms, 1968).
sionary to Africa, and also the grandson on the maternal side
Relying on New Guinean materials wherein bull-roarers
of a pastor in Baden. He attended the humanistic Gymnasi-
symbolize phallic power, van Baal (1963) suggests that the
um in Oldenburg before studying theology in Tübingen,
secrecy surrounding the bull-roarer rituals in Australia points
Berlin, and Marburg. After receiving a scholarship to Mar-
to the sacredness of the meaning of the sexual act. Without
burg in 1907, he took his doctoral degree there in 1910 and
such rituals, sexual intercourse is too sacred to be practiced.
qualified as university lecturer in 1912. He taught as instruc-
As bull-roarer rituals take over the sacred meaning, inter-
tor in Marburg until 1916, when he was appointed assistant
course can be performed as a profane act of pleasure.
professor in Breslau. In 1920 he was called to Giessen as full
professor, only to return after one year to Marburg, where
SEE ALSO Tjurungas; Ungarinyin Religion.
he taught as full professor until becoming professor emeritus
in 1951, and where he continued to live until his death.
BIBLIOGRAPHY
Baal, Jan van. “The Cult of the Bull-Roarer in Australia.” Bijdra-
Bultmann’s special field of competence as a theologian
gen tot de Taal-, Land- en Volkenkunde 119 (1963): 201–214.
was the New Testament, and it is quite possible that he is
Provides an original interpretative framework for bull-roarer
the most influential scholar in this field in the twentieth cen-
cults, relying on field experience in New Guinea and using
tury. His first major work, Die Geschichte der synoptischen
Australian data for comparative purposes.
Tradition (1921; The History of the Synoptic Tradition,
Frazer, James G. The Golden Bough. 3d ed., rev. & enl. London,
1963), established him as one of the cofounders of form criti-
1911–1912. See especially part 1 (vols. 1–2), The Magic Art
cism of the synoptic Gospels. Together with his book Jesus
and the Evolution of Kings, an indispensable classic on means
(1926; Jesus and the Word, 1934), it has been decisive for the
for the magical control of rain with primary sources on a
ongoing quest of the historical Jesus as well as for subsequent
global scale, and part 5 (vols. 7–8), Spirits of the Corn and
critical study of the tradition redacted in the Gospels. Hardly
of the Wild, an extensive discussion of fertility rituals in an-
less significant for research in the field are his studies of the
cient Greece with cross-cultural comparisons.
Fourth Gospel, epitomized by the commentary that is per-
Lévi-Strauss, Claude. Mythologiques, vol. 2, Du miel aux cendres.
haps his masterwork, Das Evangelium des Johannes (1941;
Paris, 1966. Translated as From Honey to Ashes (New York,
The Gospel of John: A Commentary, 1971), and his interpreta-
1973). An extensive structural analysis of myths and rituals
tion of the theology of Paul, especially in his other major
of South American tribes in regard to culinary and musical
work, Theologie des Neuen Testaments (1948–1953; Theology
coding.
of the New Testament, 1951, 1955). In any number of other
Massignon, Geneviève. “La crécelle et les instruments des ténèbres
respects as well, from the general problem of biblical herme-
en Corse.” Arts et traditions populaires 7 (July-December,
neutics to the special question of gnosticism and the New
1959): 274–280. The major European source of Lévi-
Testament, his work and the critical discussion of it continue
Strauss’s deductive hypothesis concerning aerophones and
to be determinative for serious study of the New Testament.
their symbolic connection with times of fasting, absence of
fire, and male procreative powers.
Yet it is not only or even primarily as a New Testament
scholar that Bultmann is significant for theology and reli-
Petri, Helmut, and Ernest A. Worms. Australische Eingeborenen-
gious studies. In his own mind, certainly, he was, first and
Religionen. Stuttgart, 1968. A comprehensive survey of Aus-
tralian Aboriginal religious systems with a great amount of
last, a Christian theologian, who did all of his historical work
original data.
in service of the church and its witness, and it is in this capac-
ity that he is now also widely regarded as one of the two or
Zerries, Otto. “The Bull-Roarer among South American Indians.”
three Protestant theologians of the twentieth century whose
Revista do Museo Paulista 7 (1953). The main empirical data
with which Lévi-Strauss supports his deductive theory that
impact on theology promises to be lasting. The warrants for
bull-roarers are instruments of darkness.
this promise in his case are many, but two features of his
thought in particular are basic to its significance.
New Sources
Peek, Philip M. “The Sounds of Silence: Cross-World Communi-
First of all, Bultmann was distinctive among his con-
cation and the Auditory Arts in African Societies.” American
temporaries in clearly distinguishing and resourcefully ad-
Ethnologist 21, no. 3 (1984): 474–494.
dressing both of the essential tasks of Christian theology.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1322
BUNYAN, JOHN
Thus, as much as he agreed with Karl Barth that theology’s
of theology, no less than the history of philosophy, is never
first task is to interpret the Christian witness appropriately,
quite the same after the shock of a great thinker.
in accordance with the normative witness to Jesus Christ at-
tested by scripture, he differed from Barth in insisting that
BIBLIOGRAPHY
theology also has the task of interpreting this witness under-
Works by Bultmann in English in addition to those cited above
standably, in terms that men and women today can under-
include his Gifford Lectures, History and Eschatology (Edin-
stand and find credible. On the other hand, if his efforts to
burgh, 1957), and the selection of his shorter writings I ed-
deal with this second, apologetic task brought him into close
ited and translated in Existence and Faith (New York, 1960).
proximity to Paul Tillich, his deep concern with the first,
His most important contributions to the demythologizing
dogmatic task gave his thought a very different character
debate are all available in my edition and translation of New
from the more speculative, unhistorical cast of Tillich’s kind
Testament and Mythology and Other Basic Writings (Philadel-
of philosophical theology.
phia, 1984). Among works on his theology, the volume ed-
ited by Charles W. Kegley, The Theology of Rudolf Bultmann
The other equally fundamental feature of Bultmann’s
(New York, 1966), provides a useful orientation to the exten-
thought was his thoroughgoing interpretation of Christian
sive critical discussion, while the best general introduction is
faith, as of religion generally, in existentialist terms. In this
Walter Schmithals’s An Introduction to the Theology of Rudolf
Bultmann (London, 1968).
respect, there is no question of the formative influence on
his theology of the existentialist philosophy of the early Mar-
SCHUBERT M. OGDEN (1987)
tin Heidegger, who was his close colleague in Marburg from
1923 to 1928. But if Heidegger provided the conceptuality
for Bultmann’s existentialist theology, he had already learned
from the Lutheran pietism out of which he came and, above
BUNYAN, JOHN (1628–1688), English Nonconform-
all, from his teacher Wilhelm Herrmann, that faith can be
ist and author of The Pilgrim’s Progress. The son of a brazier,
understood only as an existential phenomenon. Consequent-
John Bunyan was born in the village of Elstow, near Bedford,
ly, while he never doubted that faith does indeed have to do
and may have attended a local grammar school. During the
with the strictly ultimate reality called God, he was con-
Civil War he served with the parliamentary forces at New-
vinced that faith always has to do with this reality, not in its
port Pagnell, Buckinghamshire, where he came into contact
being in itself, but in its meaning for us, and hence as autho-
with various religious sects. In the early 1650s he underwent
rizing our own authentic existence.
prolonged spiritual turmoil, at the nadir of which he was
convinced that he had betrayed Christ by allying himself
The first of the four volumes of Bultmann’s collected
with the devil. About 1655 Bunyan joined the open-
essays, Glauben und Verstehen (1933; Faith and Understand-
communion Baptist church at Bedford, whose pastor was
ing, 1969), shows that the theology defined by these two
John Gifford, a former royalist officer. Some members of the
basic features had already taken shape during the 1920s. But
congregation were sympathetic to the tenets of the Fifth
it is also clear from the three later volumes (1952, 1960,
Monarchists, a radical millenarian group to which Bunyan
1965; Eng. trans. of vol. 2, 1955) as well as from his other
himself was apparently attracted for a time.
writings during the so-called demythologizing debate, all of
which appeared in the series edited by H. W. Bartsch, Keryg-
Bunyan launched his career as a preacher and prolific
ma und Mythos (1948–1955; Kerygma and Myth, partial Eng.
author before the monarchy and the Church of England
trans., 1953, 1962), that the same theology found its classic
were restored in 1660. For preaching illegally, he was arrest-
expression in 1941 in his programmatic essay “New Testa-
ed in November 1660 and imprisoned for twelve years in the
ment and Mythology,” which provoked this famous debate.
county jail at Bedford. While imprisoned, he spent much of
If Bultmann was insistent in this essay that theology has no
his time making laces to support his family and writing new
alternative but to demythologize the New Testament, he was
books, but near the end of his incarceration he also worked
also clear that the demand for demythologizing is not merely
closely with representatives of four other churches to orga-
apologetic but, as he later formulated it, is also “a demand
nize a network of preachers and teachers in northern Bed-
of faith itself.” And when he explained the demythologizing
fordshire and contiguous areas in order to resist the unifor-
he called for positively, as a procedure for interpreting rather
mity imposed by the Church of England and thus help to
than for eliminating myth, it proved to be nothing other
ensure the survival of Nonconformity during future periods
than thoroughgoing existentialist interpretation now applied
of persecution. In January 1672 Bunyan was chosen pastor
to the mythological formulations of the New Testament.
of the Bedford church, although he was not released from
prison until the following September. The period of intense
Even today, Bultmann’s theology remains the most con-
ministerial activity that ensued was threatened when a war-
troversial of the twentieth century, and it is still uncertain
rant for his arrest was issued in March 1675. Although Bun-
whether he will be reckoned among the fathers of the mod-
yan eluded this warrant by temporarily fleeing Bedford, he
ern church or among its arch heretics. But there seems little
was rearrested late in 1676, only to be freed the following
question now that this is the level at which his work must
June. The last dozen years of his life were devoted to preach-
be judged, and its impact already confirms that the history
ing in the Midlands and London, as well as to further writ-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BURCKHARDT, TITUS
1323
ing. When the Roman Catholic monarch, James II, tried to
by insisting that the moral law has a valid and significant
win support by granting toleration to Nonconformists. Bun-
place in the covenant of grace. Unlike most strict Calvinists,
yan was cautious, although some members of his congrega-
however, Bunyan repudiated the idea of a baptismal cove-
tion accepted positions in the reorganized Bedford Corpora-
nant, for in his judgment water baptism was necessary nei-
tion. Bunyan did not live to see James deposed in the
ther for admission to the Lord’s Supper nor for church mem-
Glorious Revolution, for he died in London on August 31,
bership. Bunyan hotly debated this subject with such
1688.
traditional Baptists as Henry Danvers, Thomas Paul, and
John Denne. As a controversialist he also engaged in literary
Of Bunyan’s approximately sixty works, the most popu-
debates with the Quakers Edward Burrough and William
lar is The Pilgrim’s Progress, the first part of which was com-
Penn and with the latitudinarian Edward Fowler. Another
posed during his long imprisonment but not published until
prominent theme in Bunyan’s theology was millenarianism,
1678. A virtual epic of the Christian life couched in Puritan
the loci classici of which are The Holy City (1665) and Of An-
ideals, the story of Christian’s struggles from the Slough of
tichrist and His Ruin (1692, posthumous).
Despond to the Eternal City draws heavily on Bunyan’s own
religious experience. The dramatic power of the narrative is
Although Bunyan achieved virtually instantaneous rec-
enhanced by vivid symbolism, homely colloquialisms, and
ognition with the publication of The Pilgrim’s Progress, espe-
myriad human touches. The same ground is traversed in
cially in lay Protestant religious circles, critical acclaim was
more quiescent fashion by Christiana and her children in the
slow to follow. Alexander Pope and Jonathan Swift referred
second part, published in 1684, in which Bunyan paid more
kindly to his masterpiece, but Edmund Burke and David
attention to women. Both parts depend extensively on Bun-
Hume sneered. With the onset of romanticism and the evan-
yan’s spiritual autobiography, Grade Abounding to the Chief
gelical revivals, interest in Bunyan soared, and by the Victori-
of Sinners (1666), a sine qua non for understanding all his
an period he was commonly referred to in evangelical circles
works. In its pages such psychologists as William James and
as a genius. Copies of The Pilgrim’s Progress poured from the
Josiah Royce have sought the key to Bunyan’s personality.
press—more than thirteen hundred editions by 1938—
Whether he was in fact troubled by psychotic disorders is dif-
accompanied by numerous popular commentaries, nearly all
ficult to ascertain, for Grace Abounding, like other works of
from evangelicals. Predictions at the turn of the twentieth
this genre, follows a rather commonplace thematic pattern:
century of Bunyan’s theological and literary obsolescence
the path to sainthood commences with denunciations of
proved premature when the atrocities of World War I
one’s utter depravity.
brought new relevance to his works. Although religious inter-
est in him waned in the late twentieth century, his reputation
Bunyan’s attempt to repeat the success of The Pilgrim’s
is now firmly established among students of religion, history,
Progress with The Holy War (1682), a ponderous albeit tech-
literature, and psychology.
nically superior allegory, produced a sophisticated but less
personal work. Its complex allegorical levels embrace world
BIBLIOGRAPHY
history, recent English events, the experience of the individu-
The standard critical edition of Bunyan’s works includes The Pil-
al soul, and probably an apocalyptic vision. Bunyan aban-
grim’s Progress, edited by James Blanton Wharey and revised
doned allegory to depict the wayward reprobate in The Life
by Roger Sharrock (Oxford, 1960); Grace Abounding to the
Chief of Sinners, edited by Roger Sharrock (Oxford, 1962);
and Death of Mr. Badman (1680), which, although it lacks
The Holy War, edited by Roger Sharrock and James Forrest
the emotional intensity and dramatic tension of The Pilgrim’s
(Oxford, 1980); The Life and Death of Mr. Badman, edited
Progress, has captured the interest of both literary specialists,
by Roger Sharrock and James Forrest (Oxford, 1988); and
as a possible forerunner of the novel, and historians, for its
The Miscellaneous Works of John Bunyan under the general
incisive comments on English society.
editorship of Roger Sharrock (Oxford, 1976–). The best bi-
ography is still John Brown’s enthusiastic John Bunyan,
Bunyan’s theological views were substantially shaped by
1628–1688: His Life, Times, and Work, revised by Frank
the Bible, John Foxe’s Book of Martyrs, Martin Luther’s com-
Mott Harrison (London, 1928). For Bunyan’s thought and
mentary on Galatians, and works of two early seventeenth-
its antecedents, the standard account is Richard L. Greaves’s
century Puritans, Arthur Dent’s The Plaine Mans Pathway
John Bunyan (Abingdon, U.K., and Grand Rapids, Mich.,
to Heaven (1601) and Lewis Bayly’s The Practice of Piety
1969). A provocative analysis of Bunyan’s relationship to his
(1612). Bunyan’s views were essentially compatible with
contemporaries is provided in William York Tindall’s John
those of other strict Calvinists of his period, such as the Non-
Bunyan: Mechanick Preacher (New York, 1934). For a full
conformists John Owen and Thomas Goodwin. This is nota-
bibliography of Bunyan studies, see James Forrest and Rich-
bly manifest in his exposition of the key concept of the cove-
ard L. Greaves’s John Bunyan: A Reference Guide (Boston,
1982).
nants, particularly as expounded in his major theological
treatise, The Doctrine of the Law and Grace Unfolded (1659).
RICHARD L. GREAVES (1987)
Bunyan’s emphasis on God’s role in establishing the cove-
nant of grace set him apart from such moderate Calvinists
as Richard Baxter, who gave greater prominence to human
BURCKHARDT, TITUS. Titus Burckhardt (1908–
responsibility, but Bunyan stopped short of the antinomians
1984) was born in Florence, Italy into a Protestant patrician
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1324
BURCKHARDT, TITUS
family from Basle in the German-speaking part of Switzer-
self the role of shaykh. Three centers were established, in
land, the son of the sculptor Carl Burckhardt, and great-
Amiens, Lausanne, and Basle, and Burckhardt took particu-
nephew of the famous art historian Jacob Burckhardt. A
lar charge of the last of these. Difficulties arose between Gué-
school friendship with Fritjhof Schuon (1907–1998), who
non and Schuon on doctrinal questions, especially regarding
had been one of the first expositors of the perennial philoso-
Christianity, and were made worse by different approach-
phy in the second half of the 20th century, in Basle was to
es—more cold and intellectual by the former, in the splendor
become a long spiritual and intellectual friendship, with both
of the truth of creation (according to Plato’s famous expres-
of them being interested in Eastern art from an early age.
sion) by the latter. Burckhardt was clearly inclined to Schu-
Burckhardt had intended to be a sculptor—following in his
on’s side of the debate. During the 1950s and 1960s he held
father’s footsteps—and he attended several art schools in
the post of artistic director at the publisher Urs Graf at
Switzerland and Italy. A stay in Morocco in the 1930s
Olten, near Basle, working on the publication of beautiful
changed the course of his life. He studied Arabic literature
illuminated mediaeval manuscripts such as the Book of Dur-
and jurisprudence and followed the teachings of the Sufic
row and the Book of Kells, ancient Celtic gospels housed at
masters Sidi Mohammed Bouchara at Salé and Moulay Ali
Trinity College, Dublin. He was also in charge of a spiritual
ad-Darqa¯w¯ı at Fez. The latter town of Fez had retained a
historical collection entitled Stätten des Geistes, which illus-
great deal of its intellectual and spiritual luster and it is at
trated the multiple expressions behind the fundamental
the heart of the tradition that the young Westerner joined,
unity of the various traditions. He was personally responsible
under the name EIbrah¯ım, Abraham DIz al-Din, in the
for three of the works: on the Gothic cathedral at Chartres;
Sha¯dhiliyya, a link in the great chain of Islamic esoteric mys-
on Siena, the pride and joy of the Italian Renaissance; and
tic brotherhoods. He translated the principal texts of Sufism,
his masterpiece, on the Islamic city of Fez. This global over-
the Fusu¯s al-Hikam (“pearls of wisdom from the prophets”),
view via a single town allowed him to link urbanism, archi-
by Ibn Arab¯ı, and the Rasa¯ Dil (“letters”), by his master
tecture, and drawing and decorative arts to the class of arti-
ad-Darqa¯w¯ı. Schuon once again met him at Fez, in 1935.
sans as they lived in the daily life of traditional societies and
For his part, Schuon had been initiated in 1933 he had been
initiated by Shaykh al-EAlaw¯ı in the Alawyia brotherhood of
in modern Morocco. In this way Burckhardt developed a
Mostaganem in Algeria, and their spiritual paths were never
new concept of Islamic art, free from local influence and his-
again to part. They had a common belief in the idea of a uni-
torical legacies, Andalusian or Persian art, thus revealing an
versal, perennial tradition, a philosophia perennis, which had
expression of a spiritual feeling, of a search for truth. By re-
been handed down unbroken from the beginning, just like
jecting the use of images, Islamic art dispensed with emotion,
the principles René Guénon (1886–1951) had set out from
enhancing harmony and inner peace; the continuous pres-
1921 in a series of works published in Paris. L’introduction
ence of degrees of light led from the created world to its ori-
générale à l’étude des doctrines hindoues (1921), then L’homme
gin. The result of this investigation, carried out in parallel
et son devenir selon le V¯eda¯nta (1925), set out the “non-dual”
with his research into the fundamental tenets of Christian,
metaphysics of the Vedanta as the perfect expression of “tra-
Hindu, and Buddhist art, was published in Principes et méth-
ditional science”; Islam, Daoism, and ancient Christianity all
odes de l’art sacré (1958), a work collecting many German,
shared in this great tradition. This science alone could op-
French, and English articles, and particularly those published
pose the modern decline denounced in Orient et Occident
in the journal inspired by Guénon, Etudes traditionnelles. In
(1924) or La crise du monde moderne (1927), both edited by
the same vein Burckhardt tackled the astrology of Ibn Arab¯ı
Réne Guénon, and the need to break away and reject this
together with alchemy: the earthly symbolism of metals, the
was an opinion shared by Burckhardt, Schuon, and the circle
object of alchemy, corresponded to the heaven of the zodiac
established around the neo-Traditionalist or Perennial move-
and the planets; the planets reflected “cosmic intelligence,”
ment. A westernized Indian put back in touch with his own
metals “the first intelligent form of earthly matter” or materia
tradition by reading Guénon, A. K. Coomaraswamy (1877–
prima. Cosmic harmony came about as a result of their con-
1947), who was in charge of the department of Asiatic art
nection, opening the way for the transformation of the per-
at the Museum of Fine Art in Boston, would also play an
son who was aware of them.
important part in the workings of this circle. They all sought
harmony between their lives and their philosophy, but the
Burckhardt’s talents were recognized, and between
question was posed differently for Easterners and for those
1972 and 1977 the Moroccan government and UNESCO
from the West who lacked a regular initiation in the Chris-
entrusted him with a mission to safeguard the architectural
tian tradition. Sufism, with its implication of conversion to
and cultural heritage, including the traditional arts and
Islam, was considered by Guénon to be the natural outcome
crafts, of the medina, the old town of Fez. He was formally
of his writings, and he had taken that route himself. He
honored by an international conference at Marrakesh in
therefore encouraged Schuon to found his own branch of a
1999.
S:u¯f¯ı brotherhood, or t:ar¯ıqah. In 1935 Schuon became moq-
qadem (lieutenant) of the Master, the shaykh of Mostaganem.
S
The following year Schuon, after a dream, claimed for him-
EE ALSO Coomaraswamy, Ananda; Guénon, René.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BURIAT RELIGION
1325
BIBLIOGRAPHY
the sixteenth and seventeenth centuries, settled with their
Works by Burckhardt
herds in the steppes. They were treated favorably by the rul-
“Considérations sur l’alchimie”, Etudes Traditionnelles, Oct-Nov.
ers of the Russian empire because of their strategic position
1948, pp. 288-300.
in relation to the Chinese empire. Beginning in the eigh-
Clef spirituelle de l’astrologie musulmane. Paris, 1950.
teenth century, lamaism, which had come from Mongolia,
Du Soufisme. Lyon, France, 1951.
spread rapidly. While lamaism favored the ideals of nomadic
pastoralism and developed the tendency toward a centraliz-
De l’Homme universel. Lyon, France, 1953.
ing hierarchy, it was forced to adapt its practice to traditional
Vom Sufitum-Einführung in die Mystik des Islams. Munich, 1953.
shamanic forms and to fight the power of the shamans them-
La sagesse des Prophètes. Paris, 1955.
selves.
Principes et méthodes de l’art sacré. Lyon, France, 1958.
Shamanism is a constituent element of traditional Bur-
Siena, Stadt der Jungfrau. Olten and Freiburg-im Breisgau, Ger-
many, 1958.
iat society. Within the framework of the clan institution, due
to its control of the spirits (which originate from souls), it
Alchemie, Sinn und Weltbild. Olten and Freiburg-im Breisgau,
assures a mediation between man and the supernatural con-
Germany, 1960.
cerning access to natural resources, thereby assuring a general
Fes Stadt des Islams. Olten and Freiburg-im Breisgau, Germany,
regulation of societal life, transcending by far the individual
1960.
shaman and his activity. Many authors have tended to exag-
Chartres und die Geburt des Kathedrale. Lausanne, Switzerland,
gerate the role of the shaman’s personality and to construct
1962.
an independent and rigid pantheon of spirits fundamentally
Lettres d’un Maître soufi. Milan, 1978.
linked with daily tribal life. The shamanic institution and its
L’art de l’Islam. Paris, 1985.
practice varies according to the modes of subsistence and so-
Mirror of the Intellect, translated by William Stoddart. Cam-
ciety and associated exterior influences. Three kinds can be
bridge, U.K., and Albany, N.Y., 1987.
distinguished, the second being the only well-documented
Works on Burckhardt
one.
Kansoussi, Jaafar, ed. Sagesse et splendeur des arts islamiques: Hom-
THE HUNTER’S SHAMANISM. The first type of shamanism
mage à Titus Burckhardt. Marrakech, 2000.
is associated with hunting. Animals, conceived as being orga-
Nasr, Seyyed Hosein. “With Titus Burckhardt at the Tomb of Ibn
nized in exogamic clans maintain relations of alliance and
Arab¯ı.” Studies in Comparative Religion, Titus Burckhardt
vengeance that are analogous to those that obtain between
memorial issue) 16, nos. 1 and 2 (1984): 17–20.
humans. Hunter and shaman are each in his own way similar
JEAN-PIERRE LAURANT (2005)
to the son-in-law who takes a wife and gives a sister: in return
Translated from French by Paul Ellis
for the game meat taken from the forest spirits, the hunter
feeds the animal spirits (ongons); in return for the living
human and animal souls obtained from the corresponding
BURIAL SEE FUNERAL RITES
spirits, the shaman restores the souls of the deceased to their
world, whence his role in birth and death.
Any misbehavior or infraction entails sanctions that al-
BURIAT RELIGION. The Buriats, northern Mon-
ways affect biological life, resulting in such occurrences as in-
gols, are the most significant minority native to eastern Sibe-
temperate weather, absence of game, sickness, and death. Be-
ria. They are not a homogeneous body; there are two cultural
cause the soul is indispensable to bodily life, it is the
extremes, between which exists a range of intermediate
shaman’s lot to conduct preventative and restorative media-
groups.
tions. With the help of the personal allies he has made among
The western or Cisbaikalian extreme is represented by
human and animal spirits, he symbolically travels and meets
the Ekhirit-Bulagat tribe, forest dwellers who are engaged in
the troublemaking spirits in order to negotiate a return to
hunting and fishing. Although they were isolated from the
order. Invested to serve his clan, the shaman may be led to
Mongolian empire, they had begun to practice livestock
act against other clans (by diverting game away from them,
breeding through the influence of Mongolian émigrés at the
afflicting them with sickness) and become the symbolic ar-
time of the arrival of Russian cossacks in the mid-seventeenth
chitect of wars.
century. After colonization and sedentarization, their seg-
THE CATTLE BREEDER’S SHAMANISM. The second and best-
mentary clan structure survived more ideologically than
documented type of shamanism is found among those of the
practically. Shamanism has remained strong there up to
Ekhirit-Bulagat tribe who breed cattle. The essential part of
the present, successfully resisting the assaults of lamaist
relations between the human and spirit worlds consists of re-
propaganda and affected only superficially by Orthodox
lations between the living and the dead. Subsistence is de-
Christianity.
pendent upon one’s ancestors (übged), who are “masters”
The eastern or Transbaikalian extreme is represented by
(ezen) of the mountains dominating the clan territory. These
the Khori, who, as a result of Mongolian civil wars during
ancestors legitimize and protect the economic life of their 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
1326
BURIAT RELIGION
scendants and punish them with biological harm for every
Without an “essence” one still can become a shaman if
breach of clan ethics. In the tailghan sacrifices (of mares or
one has numerous deceased relatives, particularly if one rela-
sheep) offered by each clan to its ancestors, the shaman par-
tive was struck dead by lightning, a process that energizes a
ticipates as a member of the clan.
new essence. His ability would then have to be demonstrat-
ed. Should the obligation to become a shaman be perceived
The principal causes for recourse to shamanic mediation
as unbearable by the sole descendant of a line, the shamanic
are accidents in the realm of filiation ties and rules, that is,
role nevertheless provides an excellent opportunity for an in-
anything that affects patrilineal continuity: sterility, difficult
dividual to emerge, especially for women. Female shamans
childbirth, childhood illness, and even conjugal disputes and
whose vocations are thwarted become the most formidable
women’s flights or escapades that entail the risk, for a man,
“fates” (zayaan) upon death. In addition, those who are not
not to have any descendants. (According to legend, shaman-
shamans occasionally shamanize, either for their own psychic
ism originated from a wife who ran off.) Those involved
needs or within the framework of collective peregrinations
must both be cured during their lifetime and spared frustra-
(böölööˇsen or na˘ıguur) while trying to face natural disasters
tion that would incite them to inflict harm after their death.
or pressures of acculturation.
Private sacrifices (khereg) are offered to their souls after death,
first to neutralize and soothe them and then to transform
The principal moments of the shamanic séance are (1)
them into zayaan. These spirits are the exceptional dead (of
the censing of the area with the smoke of burning spruce
which the positive examples are the great shamans, warriors,
bark (the spruce, known to the Buriats as zˇodoo, is the symbol
or hunters), who govern the fate of men and are of prime
of the shaman’s function) in order to effect the shaman’s en-
importance in the religious practice. The ordinary dead sup-
trance into sacred space-time; (2) the incorporation of auxil-
port their descendants in wars against other clans; a clan
iary spirits; (3) the transcendent vision, in which the shaman
without a shaman to intervene by mediating with its dead
identifies the spirit responsible for the disturbance; (4) the
takes recourse to flight rather than expose itself to combat.
journey of the soul to the realm of the spirit in question in
In the pastoral setting, however, the restorative activities of
order to negotiate with him; (5) a sacrifice in accordance
the shaman generally prevail over the offensive ones.
with his wishes; and (6) general divination. Following the sé-
ance, the shaman resumes his normal life.
The shaman. Among the Ekhirit-Bulagats, in order to
become a shaman (böö) one must have a shaman “essence”
The sky creators and their founding sons. If the spirits
(udkha), that is, a genetically transmitted right, which is evi-
of the deceased rule over daily life, the tengeris (or tengris;
denced by the existence of shamans among one’s ancestors.
“skies,” a class of supernatural beings) creators and predesti-
It is imperative for one of the descendants of a shamanic line
nators of humans, appear in the background. They are divid-
to become a shaman so that the ancestor shamans can have
ed into opposite camps, the fifty-five White Tengeris of the
a representative on earth. Equally important is that the can-
West (or Right), whose leader is considered older, and the
didate demonstrate his capability in order to be supported
forty-four Black Tengeris of the East (or Left), whose leader
and invested by his people. Finally, although gender is pro-
is considered younger. This division, which illustrates the
claimed irrelevant, male shamans are much more numerous
conflict between the Elder and the Younger, on the one hand
than female shamans (udaghans); patrilineal rule is com-
denotes the principle of clan segmentation (and perhaps an
pulsory.
ancient organization by moieties); on the other hand, it de-
notes the principle of dualistic power, viewed as a conflict
A shaman’s career generally is decided at adolescence,
between the established authority (symbolized by the elder)
under a certain amount of pressure from the boy’s relatives.
and the challenge to that authority (symbolized by the youn-
Fainting fits, visions, flights or escapades, and anorexia called
ger). The elder represents the clan institution, which has in-
khüdkhe (“disordered state”) are interpreted as signs that the
herited legitimate authority but no real power; the younger
shaman is familiarizing himself with the spirits under the
represents the shamanic institution, which has real power but
aegis of his ancestors. He trains in the shamanic manner of
must subordinate the exercise of its function to the interests
singing and gesticulating (in a lugubrious voice with animal-
of the clan and which has a social position, resting on ability,
like cries, sighs and gasping fits, leaping, swaying, etc., repre-
that is always susceptible to being challenged (whence the
senting the voyage to the spirit world) and imitates or assists
fact that the shaman is both indispensable to the clan and
experienced shamans for several years. At the end of this ap-
feared by it at the same time on account of his ability to ma-
prenticeship, he is invested by his community through a rite
nipulate the powers of the spirits).
(called ughaalgha) in which he receives his accoutrements
(costume, drum, etc). This rite consists of symbolically “re-
The first legendary shaman carried the adjective khara
animating” the shaman, making him both spirit and human,
(“black”) in his name. It seems that the notion of a white sha-
dead and alive. It is this amalgamation of the two modes of
man is an artificial creation that resulted from religious ac-
being that permits him to ensure mediation. He then takes
culturation or was a reaction against it: an examination of
an oath to serve his people, who will monitor him closely in
the facts reveals the nonexistence of white shamans as such.
this work and who will not hesitate to replace or do away
While the tengeris remain in the sky, expressing themselves
with him should they become dissatisfied.
through atmospheric phenomena, their sons descend 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
BURIAT RELIGION
1327
earth, as did Buxa Noyon the Bull Lord, founder of
man into a rival of others, shamanism is vulnerable to every
the Ekhirit-Bulagat tribe; the epic hero Geser, founder of the
centralizing influence and to the penetration of any dogma
rules of marriage; and the various “kings” (khad) of moun-
that implies transcendental entities and is represented by a
tains and waters.
constituent clerical body. This weakness is at the same time
M
a strength: shamanism can adapt. The spirits are brought
ARGINALIZED SHAMANISM. The third kind of Buriat sha-
manism is that which survived in the lamaist regions in spite
into line with current tastes (for example, the souls of revolu-
of persecution (which occurred at the beginning of the nine-
tionaries who died tragically, victims of the Second World
teenth century, primarily in the regions of Barguzin and
War), whereas in the sky, such a figure as Lenin deliberates
Tunka). There the shaman is no longer a sort of “clan prop-
with the tengeris concerning world affairs. Despite these in-
erty.” His role and status is marginalized; personal desire is
novations, illness, especially children’s illness, remains the
the key motivator for becoming a shaman, and the door is
principal occasion for true shamanic intervention. Free from
open to women. Occasionally a family may have both a son
all liturgy and cultural servitude, based on flexibility and in-
who is a lama and a daughter who is a shaman. It is not un-
dividual innovation, the shaman’s practice is all but formalist
usual for one to contact a shaman to “call back the soul”
and may take place in secrecy. Communication with the
(hünehe kharyuulkha) robbed from a sick person by a spirit
dead plays a role in the awareness of ethnic identity; certain
after a lama’s attempt has failed, for the shaman is still con-
ritualistic details, like the drops of alcohol poured at the in-
sidered the more capable of succeeding.
auguration of all feasts, or like the ribbons hung on trees
growing through a hill or near a thermal spring, have become
The biggest changes affect the conception of the super-
true cultural traits of the Buriats.
natural world (which continues to expand and develop as a
hierarchy) and the social significance of rituals. The faces of
SEE ALSO Erlik; Ongon; Shamanism; Southern Siberian Re-
the celestial tengeris are becoming more individualistic, bor-
ligions; Tengri.
rowing traits from lamaist deities and occasionally becoming
merged with them. It is to them and no longer to ancestral
BIBLIOGRAPHY
Eliade, Mircea. Shamanism: Archaic Techniques of Ecstasy (1951).
spirits that milk offerings and prayers are directed in order
Princeton, 1964. The only general overview on shamanism
to obtain an increase in offspring and livestock. Some new
covering a wide range of peoples. Includes extensive data on
faces appear, such as that of Erlik, master of the world of the
the Buriats.
dead. Some are transformed, like the spirit of the hearth fire,
Khangalov, M. N. Sobranie sochinenii. 3 vols. Ulan-Ude, 1958–
represented west of Lake Baikal by a couple worshiped by all
1960. A remarkable compendium of data gathered at the end
hearths of the same clan; in the east this couple becomes an
of the nineteenth and beginning of the twentieth century in
independent woman, tengeri or khan of the fire, worshiped
the regions to the west of Lake Baikal by a highly learned
separately by each family.
Buriat authority on shamanism.
To compete with the clan sacrifices (tailghan), the lamas
Lamaizm v Buriatii XVIII-nachala XX veka: Struktura i sotsial’naia
organize great bloodless rituals (oboo), which are open to a
rol’ kul’tovoi sistemy. Novosibirsk, 1983. An excellent study
large parochial community and are held on a mountain sum-
of the conflicts and accommodations between lamaism and
mit. The lamaist practice threatens to eliminate or at least
shamanism in Transbaikalia during the eighteenth, nine-
teenth, and twentieth centuries.
to overtake the shamanic practice on all levels (through con-
trol over pastoral space and daily life, divination, medicine,
Manzhigeev, I. A. Buriatskie shamanisticheskie i doshamanistiches-
and magical demonstrations). Judging from the actual relics,
kie terminy. Moscow, 1978. Presents, in the form of a glossa-
ry, the notable personalities and concepts of Buriat shaman-
it is clear that the lamas have succeeded only superficially.
ism and mythology.
The establishment of an actual Buriat Lamaist church in
Transbaikalia was encouraged by the Russian Empire in
Mikhailov, T. M. Iz istorii buriatskogo shamanizma (s drevneishikh
order to avoid dependence on Mongolia and hence on
vremen po XVIII v.). Novosibirsk, 1980. A history of Buriat
shamanism, treated as a discrete religious system. Balances
China; in fact, lamaism obtained a strong sociopolitical posi-
both critical and theoretical approaches.
tion but was nearly emptied of all Buddhist content. Com-
paratively, in the agricultural regions of Cisbaikalia, Ortho-
Sandschejew, Garma. “Weltanschauung und Schamanismus der
Alaren-Burjaten,” Anthropos 22 (1927): 576–613, 933–955;
dox Christianity has had only a superficial influence over the
23 (1928): 538–560, 967–986. A richly informative panora-
ritual seasons (for example, the cults of Saint Nicholas and
ma of the shamanism of the Alar Buriats (west of Lake Bai-
other saints). Along with the official existence of the lamaist
kal) based on the personal observations of the author.
monastery at Ivolga, the cult of Maydar (Maitreya), the fu-
ture Buddha, seems to be the only living practice today; it
New Sources
Balzer, Marjorie Mandelstam, ed. Shamanism: Soviet Studies of
is supported by a kind of nationalistic prophesying, but it is
Traditional Religion in Siberia and Central Asia. Armonk,
very limited geographically.
N.Y., 1990.
THE ADAPTATION OF SHAMANISM. Organically linked with
Fridman, Eva Jane Neumann. “Sacred Geography: Shamanism in
a noncentralized type of society, pragmatic in its own princi-
the Buddhist Republics of Russia.” Ph.D. diss., Brown Uni-
ple, deriving its power from simple spirits, turning each sha-
versity, Providence, 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
1328
BURMESE RELIGION
Hamayon, Roberte. “Abuse of the Father, Abuse of the Husband:
associated with features of the landscape and with family
A Comparative Analysis of Two Buryat Myths of Ethnic Or-
lines and administrative jurisdictions as their proper domains
igin.” In Synkretismus in den Religionen Zentralasiens: Ergeb-
(nat), as well as homeless ghosts, demons, and so on. Not
nisse eines Kolloquiums vom 24.5. bis 26.5.1983 in St. Augus-
only are the details of belief and practice of these cults (some-
tin bei Bonn, edited by Walther Heissig and Hans-Joachim
times including the serving of killed animals and alcoholic
Klimkeit, pp. 91–107. Wiesbaden, 1987.
spirits to these beings) not to be found in the Buddhist scrip-
Hurelbaatar, A. “An Introduction to the History and Religion of
tures or commentaries, but it is also the case that the prac-
the Buryat Mongols of Shinehen in China.” Inner Asia 2, no.
tices of this cult are often at odds with the Buddhist behav-
1 (2000): 73–116.
ioral precepts. Burmese themselves, while insisting that they
Kiripolska, Marta. “The Twelve Deeds of the Buddha: A 19th
are committed Buddhists, see a contradiction between what
Century Buriat Translation of the Hymn [Buriat Manuscript
some authors have therefore called these two different reli-
found in the Collection of Naprstek Museum in Prague].”
gions. It will be a major task of this article to try to resolve
Mongolian Studies 23 (2000): 17–42.
this issue.
Tkacz, Virlana. Shanar: Dedication Ritual of a Buryat Shaman in
Siberia as Conducted by Bayir Rinchinov. New York, 2002.
Such facts have led many to speak of a syncretic Bur-
mese religion rather than of Buddhism, some of them pur-
ROBERTE HAMAYON (1987)
porting to see Buddhism as a mere veneer. However, while
Translated from French by Sherri L. Granka
Burmese religion consists of the two “cults,” careful consider-
Revised Bibliography
ation of the full range of canonical Buddhism shows that the
religion of the Burmese is simply Buddhism, and that the
conflict between the two cults has a basis in paradoxes within
BURMESE RELIGION. The Burmese people, for the
canonical Buddhism itself. Nor is it sufficient to say that
purpose of this article, are the majority population of the So-
Buddhism, being ultimately concerned with longterm, tran-
cialist Republic of the Union of Burma, the westernmost
scendental goals, provides no means of immediately quelling
country of mainland Southeast Asia. The language they
one’s fears and anxieties about wordly suffering, which the
speak is Burmese (or Arakanese, its most important dialect
cult of spirits serves specifically to alleviate.
variant), and they are often called Burmans. The word Bur-
There is ample scriptural basis for the idea that it is the
mese is reserved for the total population of this country, in-
positive duty of authority, in particular of a proper Buddhist
cluding “tribal” minority peoples (chiefly residing in the
monarch, to subdue, by conversion, subversion, or other
mountains and practicing religions other than those of
means, whatever spirit forces may be thought to exist as a
the Burmans), the Tai-speaking Shan of the eastern plateau
threat to the conditions in which Buddhism, its doctrine,
(the Shan State), and the Austroasiatic-speaking Mon of
practice, and monastic order (Skt., sam:gha; Pali, sangha) may
southern Burma. The traditional religion of the Shan and
flourish in society. It is therefore the king’s duty, and, by ex-
Mon is the same Therava¯da Buddhism as that of the Bur-
tension of his authority, that of all secular persons in his ju-
mans, although with some variation peculiar to themselves.
risdiction, to protect religion by dealing with potentially
The Burmese made their first appearance in history about
harmful spirit agencies. Buddhism presupposes the existence
the tenth century of the common era.
of various classes of spiritural beings, including, of course,
Any Burman will tell you that the traditional religion
gods (devas, devatas), in its brahmanically derived cosmolo-
is Therava¯da Buddhism, although a small minority of Bur-
gy, so that it has no need to specify completely either their
mese are not Buddhists. It is sometimes alleged that to be
natures or how to deal with them. That is left to local tradi-
Burmese is to be a Buddhist. What is really at issue is the
tion, and it is unsurprising that, consequently—since beliefs
fact that the traditional social and cultural institutions of the
have to come from somewhere—there is in Burma a close
Burmese, now and historically, are found in large measure
relationship between the leading ideas of the spirit cult with-
in the social, political, and ideological fabric of Buddhist
in Buddhism and the leading ideas of pre-Buddhist animism
doctrine, so that even non-Buddhist Burmese recognize the
as evidenced in the traditional religions of neighboring non-
centrality of Buddhism to their social cultural identity.
Buddhist tribal peoples. Syncretism that may well be, but it
is nevertheless canonically motivated, even positively en-
There is a good deal about Burmese Buddhism that is
joined. Here arises the first paradox.
distinctive. In the first place, there is a specifically Burmese
tradition in the way Buddhism is interpreted and practiced.
The means for dealing with whatever spirit agencies
Burmese Buddhism is no more deviant from a supposed pris-
may exist are to be arrived at according to what local tradi-
tine scriptural norm than any past or present form of the reli-
tion says of these various spirits. In fact, these demands often
gion. In addition, the Burmese also practice a cult of service
require one to act contrary to Buddhist precepts of Right Ac-
to various spirits (Spiro, 1967). This cult exists both at the
tion. This is no more problematical than the inherent ten-
national level as a formal institution of the former Burmese
sion (Tambiah, 1976, pp. 22–23) in the role of a Buddhist
monarchy (the cult of the Thirty-seven Lords [nats], the spir-
monarch, who, creating and maintaining the conditions
it guardians of the kingdom) and locally with regard to spirits
wherein religion can flourish, must be responsible for acts of
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BURMESE RELIGION
1329
violence, as in war and the punishment of crime. The conse-
not indicate that all of the second kind are of purely indige-
quence, in both cases, is ambivalence, defining Buddhism as
nous origin. In fact, many of the mei?hsa nats belong to Indi-
the Middle Way.
an-derived categories of tree spirits (you?hka-zou; from Pali,
rukkha, “tree,” and Burmese sou:, “to rule or govern,” equiva-
In traditional Burma the king was expected ideally to
lent to Indian yakkhas) and demons (e.g., Burmese goun-ban,
conform to the Therava¯da version of the bodhisattva idea. Yet
from Pali, kumbhan:d:a), although technically, demons and
the king was also one of the “five evils,” along with war, pesti-
lence, spirit nats, and the like; indeed, as a peremptory, if not
ogres, being without fixed abodes or at least without proper
arbitrary, “lord,” a king was himself, not altogether meta-
domains, are not nats. Nor should it be thought that all
phorically, a nat. Although he had to have earned enormous
mei?hsa nats are inherently malevolent, in the sense of being
previous merit in order to now have the entire order as his
anti-Buddhist. The potential malevolence of proper nats
field of merit (a field so productive that he might look for-
comes from two facts: the manner of their creation and/or
ward to future Buddhahood), it was also incumbent upon
the fact that they are lords of their perspective domains, ei-
him, as the bodhisattva (hpaya:laun) ideal might suggest, to
ther by nature or by royal appointment (amein. do). Indeed,
take on a burden of demerit in the course of carrying out his
most of the appointed nats, at least, are guardian spirits of
obligations. This is so for the cakravartin (Pali, cak-kavatti),
the whole country, of regions, villages, families, households,
the Wheel-turning World Conqueror, that ideal min:laung
and individuals. As such, they are expected to protect these
(immanent king) or hpaya:laung, who serves as the model not
various levels of jurisdiction of the nation as a Buddhist
so much for the general run of Buddhist kings as for what
(originally monarchical) entity, and so they serve as guard-
may be called a major Buddhist throne or monarchical lin-
ians of religion. This is so to the extent that some nats, speak-
eage and for the ekara¯ja, the “sovereign king” who rules righ-
ing through mediums, will take their “subjects” to task for
teously, the actual model for the ordinary Buddhist monarch
not living according to Buddhist precepts.
depicted in such Burmese court manuals as Hywei Nan:
The nats that are above all the objects of a formally orga-
Thoun: Wohara Abhida¯n (Maung Maung Tin, 1979).
nized cult are the Thirty-seven Lords. There are more than
The cult of spirits is also at once enjoined and dispar-
thirty-seven of these, but the number thirty-seven is dictated
aged by Buddhism. On the one hand there are the aforemen-
by the consideration that ideally a Buddhist kingdom should
tioned canonical precedents and injunctions. On the other
be organized as a microcosm of a proper portion of the Bud-
hand, just as regional nat cults and messianic forms of Bud-
dhist view of the universe as a whole in order that the propor-
dhism tend to be suppressed by the state because they imply
tion between merit and status-power characteristic of the
the need to redress social disorder and constitute a challenge
universe as a whole be mirrored in the political and social hi-
to a state and its moral legitimacy, so also from the point of
erarchies of a Buddhist kingdom. The reason for this organi-
view of an orthodox sangha, the need for extracanonical cult
zation appears to be that only thus will the economy of
practices addressed to spirits is held to imply that religion is
merit-seeking necessary to an orderly Buddhist society be ef-
not flourishing, so that the world of spirits is not properly
fected. Viewed secularly, the king is to his domain as the god
under control and religion is not, of itself, adequate for pro-
Indra (Pali, Sakka; Skt., S´akra; from which Burm. Thagya:
tection against them. This is not canonically unthinkable,
[Min:]) is to his heaven, Ta¯vatim:sa (Tawadeintha). More-
but the order quite reasonably wishes to see itself as pure and
over, as Indra is ultimate secular ruler in the world at large,
vigorous, just as, indeed, government desires its own legiti-
so a king aspiring to the state of cakkavatti, the ideal occu-
macy to be upheld by the view that religion is in good order.
pant of a Buddhist throne, should have kingdoms under
him, on the same galactic principle of merit hierarchy.
Then too, there is the positive injunction, fully canoni-
Hence, the hypothetical ideal organization of the kingdom,
cal, to bring about the end of wrong action. Since much of
in the Burmese (and Mon) view, is a center surrounded by
what constitutes wrong action has to do with causing suffer-
thirty-two subordinate realms, just as Indra at his ultimate
ing to other beings (and the spirits are often cast in such a
cosmic center has thirty-two devatas and their realms as his
role), it is not only proper to try to get agents of suffering
subordinates. This makes thirty-three; to these are added the
to desist, it is positively enjoined to do so. Thus, both the
Four Kings (ca¯tummaha¯ra¯ja¯, or lokapa¯la, Quarter Guard-
existence of spirit cults and the ambivalence with which Bur-
ians) of the heaven immediately between Indra’s and the
mese Buddhists view these cults is well within the scope of
world of men, yielding thirty-seven.
canonical Buddhist motivation and rationalization.
THE NATS. The chief object of the cult of spirits in Burma
However, from the reign of Kyanzittha (fl. 1084–1113)
are the nats, of which there are numerous kinds. The first
the kings of Burma were dhammara¯jika monarchs. That is,
distinction is that between the upapa¯ti nat and the mei?hsa
while not entirely eschewing various sorts of symbolic identi-
nat, that is, between the deva and devata: respectively, deni-
fication with one or other Brahmanic god (Kyanzittha him-
zens of the heavens atop Mount Meru, essentially of Brah-
self with Vis:n:u), as Buddhist kings they took as their ideal
manic origin, and the many kinds of local spirits. The words
symbolic model a cakkavatti not after the fashion of a con-
upapa¯ti and mei?hsa derive from Pali terms meaning “well
quering king who (re)turns to the center of the cosmic wheel
born” and “[born owing to] evildoing.” This distinction does
having reached to its rim (cakkava¯la), but rather after the
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BURMESE RELIGION
fashion of the Buddha, who, in preaching his doctrine to
one or other of three sumptuary classes: kyun (slaves, or rath-
men, is said to have turned, or set in motion, the “Wheel of
er, persons fully bound and without civil status), athi (per-
Dhamma” (ultimate principle or law). Nevertheless, the god-
sons whose duty of service to the king was essentially com-
centered model for kingship had somehow to be realized.
mutable by a head tax), and ahmu. dan: (persons hereditarily
This was done by having a sort of spirit kingship of royally
bound to specific civil or military state services—the so-
appointed guardians in parallel, so to speak, with human
called service classes, organized into “regiments”). Athi were
kingship, the system of Thirty-seven Lords.
generally under the civil jurisdiction of the place where they
happened to live, hence under the jurisdiction of that place’s
It is Sakka himself who is chief among these thirty-
guardian nat. Ahmu. dan: were supposed to be under the civil
seven, but, as he is in his paradise atop Mount Meru (Burm.,
jurisdiction of the place where their regimental headquarters
Myin:mou Taun), the more immediate head of this group
is Min: Maha-giri, the king or lord of the great mountain,
was located, a place where the lands assigned for their main-
who resides atop Mount Poppa, a prominent and sacred hill
tenance was also to be found. For the latter in particular, in-
in the neighborhood of Pagan, the first Burmese capital
termarriage with persons from different service groups was
(tenth to thirteenth century). Mount Poppa served as the
discouraged because it resulted in mixed civil and spirit juris-
local analog of Meru and its placement relative to the capital/
dictions, and of course, created difficulties in the proper
center of the kingdom was in the sacred southeastern direc-
keeping of the rolls of the service groups. For these reasons,
tion, the directional corner most proper, for instance, to
for service people and even for athi, who were also subject
Buddhist and nat shrines in a house. In spite of a great deal
to some service requirements, taxes, and census controls,
of literature suggesting that in the indianized kingdoms of
there was a strong tendency toward local endogamy sup-
Southeast Asia the symbolic sacred mountain was located in
ported by numerous royal orders. These orders made it clear
the center of the capitals, in Burma at least, the mountain’s
that part of what was intended was clear jurisdiction, and
symbolic effectiveness required that it be outside, at the cen-
that unambiguous nat jurisdiction was included in this. The
ter of some even larger domain properly containing the king-
system of mizainhpa-zain nats has its origins in this set of
dom. Min: Maha-giri serves as guardian of the kingdom as
considerations. Many people also have a wholly individual
a whole, more particularly as the guardian of the palace, and,
guardian nat (and in fact six devas and six other guardians
by extension, of every house in the kingdom, where, as Ein-
who may or may not be of the Thirty-seven), but almost
hte: Min: Maha-giri (“lord of the great mountain within the
nothing is known about these kou-zaun. (self-protection)
house”), he is represented at a shrine in the form of a coconut
nats.
(representing a head) bound with a red scarf.
In order to understand how the Thirty-seven Lords were
The Maha-giri nat seems to have had an indigenous ori-
created, it is necessary to explain the concept of asein-thei,
gin, perhaps overlain by brahmanic (specifically, Saiva) influ-
a “green” (i.e., unprepared) death, a widespread concept
ences during the time of the Pyu, the people whose kingdom
throughout both literate and tribal Southeast Asia. In ordi-
preceded that of the Burmans in central and upper Burma.
nary circumstances, when someone is about to die he or she
All thirty-seven, save Thagya: min:, are filled by a set of royal
is expected to fix the mind upon his or her accumulated store
appointees, mostly male. Each of these was given a fief, each
of merit and demerit, and upon the teachings of religion.
has an elaborate mythological history recording his or her or-
Friends, relatives and neighbors will, especially right after the
igin, characteristics, and manner of being served. These nats
funeral, read religious sermons aloud both to fix the minds
have various functions as guardian spirits, and most serve
of the bereaved so that their spirits will not wander from the
several of these. One at least has jurisdiction over certain
body out of grief and shock, and so that the spirit of the de-
fields in connection with her primary jurisdiction (shared
ceased, if still about, may listen to dhamma (Skt., dharma)
with another) over Aungpinlei, the great artificial lake and
and so pass to a new birth according to his or her kamma
former irrigation tank in the vicinity of present-day Manda-
(Skt., karman). When, however, someone dies violently, the
lay, although generally, nature nats, including nats owning
spirit of the deceased will fly off in shock and anger and will
fields, local hills, trees, and the like, are not among the Thir-
be so unprepared that attention to merit, demerit, and dham-
ty-seven Lords. Each town and its administrative jurisdiction
ma will not be likely. In such a case, the deceased becomes
(myou. refers to both without distinguishing between them)
a ghost, indeed a lost dissatisfied one, preying upon the living
and each village has its official guardian nat, and every person
in its frustration (the most virulent perhaps are the women
has what is called a mizainhpa-zain nat, that is, a guardian
dying in childbirth).
inherited from parents (mihpa, “mother-father”). This
When the person killed has been a person of great physi-
should not be interpreted as one from the “side” of each par-
cal and/or charismatic power, and especially when he or she
ent; there ought to be only one for each person. Indeed, the
has been killed because of someone’s deliberate treachery, the
parental nats derive their jurisdiction, as such, from their pri-
ghost created is especially dangerous. This type of ghost can,
mary township charges.
however, be dealt with if the king, who is in any event often
In the time of the Burmese kingdom (until the final
the cause of the killing, issues a royal order (amein. do) ap-
British conquest of 1885), virtually all persons belonged to
pointing the spirit to an official position (in particular, one
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BURMESE RELIGION
1331
among the Thirty-seven Lords). The idea is no doubt related
ation is undertaken in order to validate their greater merit
to the tribal notion that the virulent ghost created by the tak-
and apologize for possible offences (gado). But the act is also
ing of an enemy’s head can be converted to a servant of great
performed (at least in its modified form of salutation by rais-
power by the rites celebrating the head so taken. In any
ing hands, palms together, to the forehead) toward any pow-
event, such was the origin of the Thirty-seven Lords; they
erful or exalted persons (nats included). The veneration is
were powerful guardian spirits of the kingdom and of reli-
undertaken sometimes in flattery and out of fear of their
gion, converted or subverted to the latter interests by royal
power, but sometimes because all officials can be looked
appointment. They remain, however, a potential danger to
upon as extensions of government and because of the implic-
the community, especially as lords, so that it remains neces-
it correlation between charisma (hpoun:, from Pali, puñña,
sary to placate them. It is to this end that the formal nat cult
“merit-quality”), distinction (goun), and influence and au-
exists.
thority (o-za a-na), on the one hand, and merit (kuthou; Pali,
kusala), on the other. Properly speaking, nat are said to be
An additional function of this system of Thirty-seven
“served” (pa. tha.) or “offered to” (tin). No Burmese Bud-
Lords is that it replaces strictly local spirits that have regional
dhist will ever talk of his involvement in nat service as nat
jurisdiction with centrally appointed ones, thus replacing
ba-tha (from Pali, bha¯sa, “doctrine”).
symbolic motivations to divisive regional loyalties with sym-
bolic motivations to a sense of nationality for all Burmans.
MILLENARIANISM. Yet another strand in Burmese religion is
This is true not only because the lords are royal appointees,
millenarian Buddhism. It combines magical-alchemical prac-
but also because the cult organization of all these nats is na-
tices with meditational exercises and has a strong association
tionwide and because it replaces strictly local cults (under-
with the aforementioned notion of the min:laun-hpaya:laun
stood as going back to pacts made with local spirits by the
as a messianic Buddhist figure heralding the coming of the
ancestors of the local inhabitants, hereditarily binding upon
future Buddha (Skt., Maitraya; Pali, Metteya). Devotees of
these descendents and open to no one else).
one or other of these millenarian figures (sometimes appear-
ing as royal pretenders replete with imitation royal courts
The cult consists essentially of a system of mediums, nat
and retinues, more often held to exist in some mystical state
kado (wives—but see Lehman, 1984, for male nat-wives),
or realms) are frequently organized into gain: (Pali, gan:a).
who, for various reasons, psychological for the most part,
Gain: is often rendered in the literature as “sect,” but means
enjoy a relationship with one or more of the lords that obli-
“congregation” in this usage. (Within the sangha, Burmese
gates the mediums to serve them by dancing for them period-
usage maintains a blurred distinction between gain:, with
ically in offering rituals. Such behavior occurs especially at
their separate monasteries, ordination traditions, and Vinaya
one of the several annual nat celebrations of national impor-
interpretations, and nika¯ya, sects, which may, in addition, re-
tance (e.g., the Taunbyoun festival devoted to the two Taun-
fuse commensality and monastic coresidence with other
byoun brothers among the Thirty-seven—they were Mus-
groups of monks.
lims, so even Buddhists who have them as their mizainhpa-
zain nat must abstain from pork), pilgrimage to which tends
These gain: are semisecret congregations, no doubt part-
to create a sense of Burmese national self-identification. This
ly owing to their millenarianism being perceived as defiance
of constituted government, but also because of the nature of
sense parallels that resulting from pilgrimage to such nation-
their practices. These practices, including the attempt to
ally important Buddhist shrines as the Shwei Dagon pagoda
compound alchemical substances (datloun:, “lumps of
at Rangoon and the Maha Muni shrine, the shrine of the pal-
power”—the essential ingredient is mercury) that are expect-
ladial Buddha image of the last several kings of Burma. These
ed to make one invincible and to prolong one’s existence in-
occasions, which, the great fairs aside, are often local and lo-
definitely, are intended to ensure that the devotees will attain
cally sponsored on an unscheduled basis, are known as nat
what amount to the fruits of the higher absorptions or medi-
pwe: (where pwe: refers to any show, display, or demonstra-
tation stages (Pali, jha¯na; Burm., za¯n, colloquially under-
tion) or, especially in upper Burma, nat kana: (kana: refers
stood as the possession of supernormal powers). In this way,
to the temporary openwork bamboo shed in which these rites
the practitioners expect to be preserved until the arrival of
are held—nat sin in other places). The rituals consist of
Metteya, in order that they may hear him preach his dispen-
dances symbolic of the mythology of the lord in question,
sation and so be able “at once” to attain nibba¯na (Skt.,
and of obeisances and offerings of fruits and other things at
nirva¯n:a; Burm., nei?pan). The importance of the idea of con-
the altars upon which the figurines of various lords are
gregation here is that the conjoint practice of these acts and
ranged. It is common to speak of “worshiping” nat (nat pu-
rites will generate conjoint powers (rather on the analogy of
zo, from Pali, pu¯ja¯; nat hyi. hkou:, to bow down in adoration
a battery), a notion also employed in the chanting of the pro-
or homage). Technically, such terms are supposed to be re-
tective paritta (Burm. payei?) texts.
served for the veneration of the Buddha, his order, and his
relics, and obeisance to those persons (parents, elders,
The supreme adept in gain: practices is said to obtain
monks, teachers, and king and government as patron of reli-
wei?za (Pali, vijja¯, “wisdom”), or to be, more correctly
gion) from whom one gets merit by example and by the act
wei?zadou (Pali, vijja¯dhara; a knower of charms, a sorcerer).
of merit sharing that follows all Buddhist rituals. This vener-
Technically, the point of becoming a wei?zadou is to attain
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1332
BURMESE RELIGION
the highest za¯n, in which case one is said to exist in a sort
and pervasive concern with acquiring merit, and all other at-
of suspended state. This state, condition, or realm is known
tempts to be reborn as a male human being with wealth and
to the Burmese as htwe? ya? pau?, which may be translated
status characterize so much of Burmese Buddhism. Is this an
perhaps as “the point of going out.” It seems not unlikely
indication of a failure of the capacity to believe in the goal
that there are connections here with the idea of “going be-
of nibba¯na, of a noncanonical (if not positively unorthodox)
yond” in wisdom characteristic of the prajña¯pa¯ramita¯ view
tendency in Burmese religion? Is the fact, common in many
in Maha¯ya¯na Buddhism. This is not impossible in view of
Therava¯da countries, that merit-making activities are occa-
the long history of mutual influences between the various
sions of public display of one’s giving (da¯na) unambiguously
schools of Buddhism and the complex history of pre-Pagan
contrary to the scriptural adjuration that unpublicized giving
Mon Buddhism. It was from this latter that the Burmese
is the most, if not the only, meritorious form? It seems not.
supposedly got their Therava¯da and earliest Pagan Buddhism
Consider some ambiguities connected with merit. First,
in Burma, which, far from being pure Therava¯da, was largely
there is the economic principle that it takes the fruits of pre-
Sanskritic, partly Tantric, partly Sarva¯stivada, and partly
viously earned merit to make greater merit, and that merit
other, less clearly known things.
is to some extent proportional to the fruits of previous
Another reason for the semiclandestine nature of mille-
merit—because only then does one have the good fortune
narian Buddhism and the gain: is the profound ambivalence
to be born into the position from which the greater merit
that in Therava¯da countries has always attended emphasis on
may be made. Translated into practical action, this principle
meditation practices and the associated study of Abhidham-
leads to the notion that the meritoriousness of any act is ar-
ma, owing to the suspicion that such adepts and students
guable. In particular, a person in a position of social or per-
may be chiefly interested not in salvation but rather in secur-
sonal obligation with respect to any act of giving earns little
ing and using the supernormal powers attendant upon such
merit from it, since only free, unobligated acts really earn
practices. The deliberate pursuit of such powers as an end
merit for the actor. Consider also the principle that one rare-
in itself, and the overt claim to such powers, is prohibited
ly if ever knows where one stands in one’s samsaric trajectory;
by the Buddha for monks, and by implication at least, for
one does not know, for instance, how much demerit may still
Buddhists in general. Furthermore, the rise in popularity of
have to be expiated or how much merit must still be made
both monastic and lay-oriented meditation movements and
in order that one may be in the position to make a serious
centers, and perhaps even the prominence in Burma of Ab-
attempt towards transcendental goals, nibba¯na above all.
hidhamma pariyatti (scholarship), given the close canonical
Since the merit from an act is relative to the act’s being
relationship between the two, may reflect a sort of domestica-
done freely, and since a consequence of the uncertainty about
tion of millenarian tendencies in a country, and nowadays
one’s overall store of merit and demerit is a pervasive uncer-
in an age, marked by a considerable amount of political in-
tainty about relative social status and one’s sumptuary obli-
stability, social change, and cultural malaise. Its popularity
gations toward others, the only way one can be reasonably
among Burma’s westernized classes as part of an attempt to
certain about one’s da¯na is to have its meritoriousness public-
make it compatible with their notion of a modern worldview
ly acknowledged, hence publicly displayed. In the same vein,
makes this likely. In particular, it may be significant that, as
it must often seem canonically justifiable that one finds one-
in most aspects of millenarian Buddhism, the organizations
self psychologically incapable of giving serious positive com-
are lay only, so there also exists a considerable proliferation
mitment to purely religious goals. In such cases, it may seem
of purely lay meditation organizations; the absence of monks
perhaps wiser to aspire to a future human birth in which
in these cases seems to represent a development distinct from
one’s store of merit will be sufficient to motivate one toward
traditional notions of Therava¯da orthodoxy.
transcendental objectives, or even to have such objectives
taught to one by Metteya. The devotee hopes for greater per-
It would be a mistake to equate all aspects of magical
sonal, social, and economic stability at some future time as
Buddhism, however, with millenarian Buddhism. For, as
a better basis for ultimate accomplishments, and invests one’s
ambivalent as orthodoxy, represented in particular by the
present resources in merit making accordingly. The measure
Vinaya, is toward the practice by monks of the apotropaic
of the practitioner’s commitment to nibbanic soteriology is
use of Buddhist symbols in astrology, the casting of horo-
clearly the embarrassment people admit to when they shy
scopes, the provision of amulets, and the preparation of
away from trying for nibbanic extinction and the fervency
charms, and as common as it is for practitioners of these arts
with which they pray that they may in a better future life be
to be laymen, there are plenty of otherwise perfectly ortho-
able to try and attain nibba¯na.
dox monks who practice them, too. Furthermore, those lay-
men who possess ability in this area tend overwhelmingly to
SEE ALSO Buddhism, article on Buddhism in Southeast
learn their craft during periods of relatively prolonged mo-
Asia; Buddhist Religious Year; Cakravartin; Folk Religion,
nastic residence as monks or novices, presumably from
article on Folk Buddhism; Merit, article on Buddhist Con-
monks.
cepts; Nats; Sam:gha, article on Sam:gha and Society in
South and Southeast Asia; Therava¯da; Worship and Devo-
One final matter requires an account, and that is the
tional Life, article on Buddhist Devotional Life in Southeast
question why it is that millenarian movements, the intense
Asia.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BURNOUF, EUGÈNE
1333
BIBLIOGRAPHY
New Sources
Aung-Thwin, Michael. Pagan: The Foundations of Modern Burma.
Abdullah, Daud. “Fire in the Night: Wingate of Burma, Ethiopia,
Honolulu, 1985. A trenchant analysis of the political econo-
and Zion.” Muslim World Book Review 21, no. 2 (2001):
my of royal merit making.
38–40.
Bizot, François. Le figuier à cinq branches: Recherche sur le boudd-
Boisvert, Mathieu. “La ceremonie de l’ordination mineure boudd-
hisme khmer. Paris, 1976. Fine analysis of non-Therava¯da as-
hique (shin pyu) en Birmanie et ses ramifications sociales.”
pects of Southeast Asian Buddhism and monasticism.
Sciences Religieuses 30, no. 2 (2001): 131–149.
Ferguson, John P. “The Symbolic Dimensions of the Burmese
Case, Jay Riley. Foreign Missionary Enterprise at Home. London,
Sangha.” Ph.D. diss., Cornell University, 1975. The major
2003.
study of monastic sectarianism and its history.
Harvey, Graham. Indigenous Religions: A Companion. New York,
Ferguson, John P., and E. Michael Mendelson. “Masters of the
2000.
Buddhist Occult: The Burmese Weikzas.” Contributions to
Lindell, Kristina. “The Folk-tales of Burma: An Introduction.”
Asian Studies 16 (1981): 62–80. The one easy introduction
Asian Folklore Studies 60, no. 1 (2001): 179–180.
to Burmese millenarian Buddhism.
Strachan, Paul. Pagan: Art and Architecture of Old Burma. Edin-
Htin Aung, Maung. Folk Elements in Burmese Buddhism. London,
burgh, 1989.
1962.
Win, Kanbawza. “Are Christians Persecuted in Burma?” Asia Jour-
Lehman, Frederic K. “On the Vocabulary and Semantics of ‘Field’
nal of Theology 14, no. 1 (2000): 170–175.
in Theravada Buddhist Society.” Contributions to Asian
Woodward, Mark R. “Gifts for the Sky People: Animal Sacrifice,
Studies 16 (1981): 101–111.
Head Hunting and Power Among the Naga of Burma and
Lehman, Frederic K. “Remarks on Freedom and Bondage in Tra-
Assam.” Indigenous Religions. New York (2000): 219–229.
ditional Burma and Thailand.” Journal of Southeast Asian
FREDERIC K. LEHMAN (CHIT HLAING) (1987)
Studies 15 (September 1984): 233–244.
Revised Bibliography
Luce, Gordon H. Old Burma, Early Pagán. 3 vols. Locust Valley,
N.Y., 1969. A great Burma scholar’s monumental work; the
standard source on earliest Burmese history.
BURNOUF, EUGÈNE (1801–1852), French San-
Mendelson, E. Michael. Sangha and State in Burma. Ithaca, N.Y.,
skritist, Buddhologist, and Indologist. Son of the classicist
1975. To date, the definitive work on its subject.
Jean-Louis Burnouf, Eugène Burnouf was born in Paris on
Nash, Manning. The Golden Road to Modernity. New York, 1965.
April 8, 1801. After distinguishing himself at the Lycée
Probably the best modern village ethnography of Burma.
Louis-le-Grand and the École de Chartes, Eugène began the
Ray, Nihar-Ranjan. Sanskrit Buddhism in Burma. Calcutta, 1936.
study of Sanskrit with his father and Leonard de Chézy in
1824, only one year after de Chézy’s appointment to Eu-
Schober, Juliane. “On Burmese Horoscopes.” South East Asian Re-
rope’s first Sanskrit chair. Just two years later, Burnouf, to-
view 5 (1980): 43–56. The latest and most acute treatment
gether with Christian Lassen, published Essai sur le Pali
of Burmese astrological concepts in a Western language.
(1826), which identified and analyzed the sacred language
Scott, James George. The Burman: His Life and Notions (1882).
of Therava¯da Buddhism of Ceylon (now Sri Lanka) and
3d ed. London, 1910. The standard general introduction to
mainland Southeast Asia.
Burmese social and cultural life.
If a single person can be credited with inaugurating the
Shorto, H. L. “The Planets, the Days of the Week and the Points
West’s serious study of Buddhism according to primary
of the Compass: Orientation Symbolism in ‘Burma.’” In
Natural Symbols in South East Asia, edited by G. B. Milner,
sources, he is Eugène Burnouf. In less than three decades
pp. 152–164. London, 1978. A unique and insightful treat-
prior to the middle of the nineteenth century, Burnouf suc-
ment of Burmese ideas of temporality and directionality.
ceeded in establishing European Buddhist studies on solid
footing through his own research and preparation of young
Spiro, Melford E. Buddhism and Society: A Great Tradition and Its
Burmese Vicissitudes. New York, 1970. Spiro’s books are the
scholars, and also in contributing significantly to the founda-
most thorough descriptions and analyses of Burmese reli-
tion of studies in the Veda and the Pura¯n:as, and to Avestan
gion, combining fine ethnography and fine anthropological
studies as well.
analysis with sound use of philosophical and textual knowl-
In 1833, a year that also saw publication of Com-
edge, although the author’s psychoanalytical emphasis has
mentaire sur le Yaçna, a landmark in modern Avestan studies,
been often criticized.
Eugène succeeded de Chézy as professor of Sanskrit at the
Spiro, Melford E. Burmese Supernaturalism. Philadelphia, 1978.
Collège de France. About the same time, he began work on
Steinberg, David I. Burma: A Socialist Nation of Southeast Asia.
the Buddhist texts sent by Brian H. Hodgson, an East India
Boulder, Colo., 1982. A fine popular introduction to mod-
Company resident in Katmandu, to the French Asiatic Soci-
ern Burma, its peoples, history, politics, economics.
ety in Paris. By 1837, Burnouf had resolved to translate the
Temple, R. C. The Thirty-seven Nats: A Phase of Spirit-Worship
Saddharmapun:d:ar¯ıka Su¯tra (Lotus Su¯tra of the True Dhar-
Prevailing in Burma. London, 1906. The standard descrip-
ma), a text that he felt was most representative of the materi-
tion of these figures, illustrated.
als sent by Hodgson.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUSHIDO
¯
1334
About 1840, Burnouf decided that the annotations
ichte der Sanskrit-Philologie und indischen Altertumskunde, 2
needed to make a translation of the Lotus Su¯tra intelligible
vols. (Strasbourg, 1917–1920), pp. 123–140.
to European audiences threatened to overwhelm the text. He
G. R. WELBON (1987 AND 2005)
thus set as a preliminary task the writing of an “introduction
to Buddhism” that would provide the necessary context. His
Introduction à l’histoire du bouddhisme indien was published
in 1844. His Lotus de la bonne loi, the translation of the Lotus
BUSHIDO
¯ , the Japanese warrior’s code, cannot be de-
Su¯tra, appeared posthumously in 1852.
fined by a single neat formula. Every age can be said to have
had notions of acceptable warrior behavior, but apart from
Although Burnouf is deservedly celebrated for his own
certain core values—of which the most obvious were skill at
pathbreaking scholarship on Buddhism and the Avestan tra-
arms, courage, hardihood, and a serious demeanor—the
dition, his importance to the history of religions does not end
criteria varied substantially. It was until recent times an un-
there. Among his students in Paris in the 1840s was the
written code, in the sense that no one document contained
young Sanskritist F. Max Müller. “Went to Burnouf, [who
a complete formulation; rather, the code was reflected in lit-
is] spiritual, amiable, thoroughly French,” Müller wrote in
erature, regulations, and decrees. Even when it was commit-
his journal in 1845, and continued,
ted to writing, it was subject to periodic change.
He received me in the most friendly way, talked a great
ORIGIN AND DEVELOPMENT. The bushi emerged as a class
deal, and all that he said was valuable, not on ordinary
during the tenth century, when a militia system controlled
topics but on special [ones]. ‘I am a Brahman, a Bud-
by the central government broke down in the provinces.
dhist, a Zoroastrian; I hate the Jesuits’ – that is the sort
Local bands brought together by blood ties and geographic
of man [he is]. His lectures were on the Rigveda, and
they opened a new world to me. He explained to us his
propinquity were formed under the leadership of a provincial
own research, he showed us new manuscripts that he
governor or large holder of land rights, with few exceptions
had received from India, in fact he did all he could to
sprung from the lower echelons of the aristocracy. A bond
make us his fellow-workers.
of mutual loyalty, heavily weighted in the leader’s favor,
emerged: unspecified protection in exchange for unlimited
It was at Burnouf’s urging that Müller undertook his own
military service.
critical edition of the R:gveda Sam:hita (1849–1873).
It has been plausibly suggested that these warriors inher-
In addition to Burnouf’s teaching and his continuing re-
ited their fighting spirit from the continental immigrants
search in Buddhist, Sanskrit, and Tibetan sources, he also
who had established themselves as the dominant racial strain
worked on materials directly significant for the study of Hin-
centuries earlier. These had been mounted fighting men,
duism, seeing a translation of the first nine books (in three
whose ethos may well have survived on the frontier during
volumes) of the Bha¯gavata Pura¯n:a (1840–1847) into print
the Sinicization of the Japanese heartland. Certainly, the in-
before his death.
domitable warrior spirit is portrayed in Japan’s earliest sur-
To his pioneering Buddhist studies Burnouf brought a
viving literature, which dates from the eighth century. Dur-
calm and imperturbable attitude generally unruffled by the
ing the eleventh century, however, although the silken
new and often puzzling ideas his research disclosed. Patient
aristocrats of the capital used them to settle their power con-
and thorough, this scholar, whose genius effectively intro-
tests, they looked down on them as inferior relations, rebels,
duced in Europe the scientific study of Hinayana and Maha-
or uneducated rustics. But by the end of the twelfth century,
yana Buddhist traditions, remained open throughout his la-
the bushi had become indispensable in keeping order in the
mentably brief career to information from all Buddhist
capital. Eventually they took over the effective administra-
sources. He set standards for Buddhist studies that few of his
tion of the whole country, with a consequent enhancement
successors would match.
of status.
Thenceforth, terms attesting the existence of a concept
BIBLIOGRAPHY
of Bushido¯ began to appear, although the word itself is not
Although by no means of merely antiquarian interest, Eugène
noted in literature until 1604. Phrases signifying “the war-
Burnouf’s scholarly writings have remained untranslated into
rior’s charisma” and emphasizing the special fighting quali-
English. L’Introduction à l’histoire du bouddhisme indien
ties of the warriors of the eastern provinces proliferated.
(Paris, 1844) and the translations Le Lotus de la bonne loi
These extolled their physical strength, superb skill at arms
(Paris, 1852) and Le Bhagavata Pura¯n:a, 5 vols. (Paris, 1840–
and daring horsemanship, resourcefulness, fearlessness, fe-
1898) are still important and provide the reader of French
rocity, readiness to die, and generosity of mind.
with eloquent testimony to the spirit and grace of Burnouf’s
judicious scholarship.
Not all bushi could have equaled the paragons depicted
Appreciations of Burnouf’s life and work are numerous. Among
in the medieval war tales, but they all shared a clearly defined
the more helpful are Sylvain Lévi’s preface to the 1925 edi-
ideal. Most prominent was their obsession with the honor
tion of Le Lotus; Raymond Schwab’s La renaissance orientale
of the family name. This gave rise to the pre-battle ritual of
(Paris, 1950), esp. pp. 309–316; and Ernst Windisch’s Gesch-
self-identification, recital of ancestors’ exploits, and boasts 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
BUSHIDO
¯
1335
personal valor. Expectation of personal reward earned in in-
did not merely codify hitherto unwritten notions of chival-
dividual combat, attested by eyewitnesses or by trophies of
rous conduct; he created a new ideal.
severed enemy heads, was a concomitant phenomenon. Be-
Of a more hectic temper was the thinking of Yamamoto
stowal of rewards nurtured the notion of loyalty between
Tsunetomo’s manual for bushi, Hagakure (1716), which em-
lord and vassal that became the essence of Bushido¯. But an
phasized total self-dedication and constant preparedness. Be-
attempt was made to separate the ethic of loyalty from mate-
cause it was written during an age of peace, this work has
rial considerations by generous recognition of high-minded
been inappropriately labeled “escapist”; it was, in fact, essen-
conduct, whether displayed by friend or by foe.
tially revivalist. Yamamoto’s aim was the moral rearmament
Inevitably, the age of civil war (1467–1568) led to an
of the bushi by the cultivation of a resolute will to right ac-
eclipse of the loyalty central to the unwritten code. A morally
tion regardless of the consequences. The dangers inherent in
and financially bankrupt central government changed gradu-
such a fundamentalist attitude are obvious, but clearly it sup-
ally to a system of decentralized administration, dangerously
plies a powerful stimulus to purposeful conduct.
lacking in check or balance, and accompanied by gross disor-
der. The military prestige (iegara) of a family—its ability to
An important aspect of Bushido¯ that now received spe-
afford protection—rather than possession of an ancient
cial emphasis was its elitism. This had early emerged. During
name became all-important. Traitors and turncoats
the twelfth century, the warrior’s obsession with protecting
abounded, for some bushi did not scruple to desert or oust
the honor of his name had distinguished him sharply
an incompetent or unfortunate lord. The hereditary military
from the court nobles who hankered after high rank and title.
classes were also diluted by the recruitment of peasants as in-
Further, that canny general Minamoto Yoritomo (1147–
fantry and by the rise of men of low birth to the ranks of feu-
1199) sought to burnish the warrior image by setting up
dal lords. Within a century most of the old leadership had
criteria for the recruitment of vassals. Very early also, the
been replaced by new blood.
bushi attempted to distance themselves from the populace by
acquiring refinement. Devotion to aesthetic pursuits was
To survive, a warlord had to mold his followers into an
particularly prominent during the period of the civil wars.
efficient, reliable fighting force. Discipline was upgraded and
A sword hunt in 1588, by disarming the populace, greatly
regulations issued enjoining frugality, vigilance, conscien-
strengthened the self-image of the “two-sworded” bushi as a
tiousness, and other useful virtues. An ideal of unremitting
superior caste. Similarly, the codification of Bushido¯ during
and self-sacrificing service was created, and the bond be-
the Tokugawa period (1600–1868) gave the warrior a sense
tween lord and vassal was formalized by oaths of allegiance.
of separation from the emerging commercial classes. The
New weapons and defense measures leading to the building
combination of the concept of bun (learning) with that of
of fortresses and castles made it necessary for the feudal lord
bu (martial arts) as the new Tokugawa ideal emphasized
to keep his vassals near at hand rather than domiciled on
Confucian education as the monopoly of the military classes,
scattered holdings. The process of the separation of the bushi
and reinforced the cachet of elitism. Inevitably, arrogance
from the soil and his development into a full-time fighting
was nurtured along with self-pride.
man was under way.
The central government and local lords employed Con-
This new spirit had been generally discernible from
fucian scholars to lecture to the bushi on the ethic, and subsi-
about 1500. From then on, the struggle for the acquisition
dized popular preachers to carry the same message to other
of land gradually came to be motivated more by consider-
classes in a form suitable to their station. Bushi values were
ations of power politics than mere greed. National hegemony
thus widely disseminated throughout the whole Japanese
became a general dream.
people, so that the bushi ideal drew strength from its congru-
THE TOKUGAWA BUSHI: NEW FUNCTIONS, NEW IDEALS.
ence with the core values of society.
When unification was finally attained and peace firmly estab-
Through such constant exhortation, the bushi were in
lished, the function of the bushi changed. The Confucian
some measure preserved from becoming parasites. They did
scholar Yamaga Soko¯ (1622–1685) set out specifically to de-
not produce, but they provided essential services with a high
fine an appropriate role for the bushi in peacetime. Con-
degree of efficiency. For two and a half centuries they sup-
cerned that they should earn their keep not only as a standing
plied administrators, magistrates, judges, police, firechiefs,
army and police force but as administrators, he urged the
supervisors of public works, and so on—functions they had
raising of their educational standard. Additionally, he saw
been trained to perform since at least the thirteenth century.
them as eminently qualified to fulfill the function of political
They also became doctors, teachers, researchers, advisers,
and intellectual leaders. Ingeniously, Yamaga grafted onto
theorists, and advocates of new ideas.
the traditional feudal virtues of self-sacrifice and readiness to
die a selection of Confucian qualities: moral and intellectual
The recent wholesale denigration of the Tokugawa
superiority, prudence and good judgment, a cultivated mind
bushi as urbanized and emasculated, mere hirelings, is not
and a humane heart. He thus produced a blend of the Con-
supported by fact: they engineered the Meiji restoration and
fucian “superior man” with the traditional Japanese warrior
the dismantling of feudalism, and, as the bulk of the educat-
temperament—what has been called “the heroic man.” He
ed class, they contributed substantially to the modernization
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUSHIDO
¯
1336
of the state. That a class comprising 6 percent of the popula-
could take the form of self-disembowelment to accompany
tion provided 23 percent of the Meiji entrepreneurs is sig-
one’s lord in death or, when faced with defeat, the throwing
nificant.
away of life by a feat of reckless daring. Modern extreme ex-
tensions of this view were the hopeless charges of the so-
MODERN BUSHIDO¯: AN ENDURING IDEAL. Debate on the
called human bullets in the Russo-Japanese War (1904–
relative positions of emperor and shogun in the body politic
1905) and the kamikaze pilots in World War II.
has been aroused by the application to the Japanese situation
of the Confucian tenet that function should fit title. Also,
World War II imparted a sinister meaning to the idea
Tokugawa encouragement of learning revived the study of
of Bushido¯. The code was identified with war atrocities,
ancient emperor-centered literature. The result was a move-
many of which arose from a fanatically held conviction that
ment honoring the emperor as the ultimate focus of loyalty.
death was preferable to surrender. This engendered con-
The amalgamation of this idea with the newly formulated
tempt for, and hence ill treatment of, prisoners of war. On
bureaucratic bushi ethic penetrated the Japanese mind and
the other hand, it also triggered gruesome mass suicides by
prepared the way for Meiji Bushido¯ (after 1868).
captured Japanese soldiers.
This “new” Bushido¯ was created by the deliberate utili-
Some say Bushido¯ expired with Japan’s defeat in 1945.
zation of traditional values to strengthen the modern state.
Yet not long after the war, historical novels elucidating the
Though the bushi as a class were abolished, a Meiji states-
viewpoint of the bushi of the civil war period became best-
man, Ito¯ Hirobumi, described Bushido¯ as “our ancient feu-
sellers among businessmen. They saw the magnates of that
dal chivalry,” which defined the conduct of “man as he ought
competitive age as excellent models for successful leadership
to be” and constituted “moral education of the highest type.”
in the world of modern international commerce. The stage-
The discarding of the identification of Bushido¯ with the war-
managed suicide of the modern novelist Mishima Yukio
rior made clear the intention to transform it into a mass
(1925–1970) was a lurid example of how susceptible even
religion.
a modern Japanese mind is to Bushido¯’s perennial glamour.
From the seventeenth century to modern times,
By 1937 Kokutai no hongi (Fundamentals of our nation-
Bushido¯ has come under sharp criticism as illogical, irrele-
al polity), published by the Ministry of Education as the
vant, and morbid. It is true that excesses have been commit-
bible of nationalism, apotheosized Bushido¯ as the central
ted in its name through adherence to its anachronistic as-
tenet of morality and the mainstay of society, transcending
pects. Yet it has by and large been a dynamic concept. To
Confucianism and Buddhism. This form of Bushido¯ en-
the original core values, others were added from time to time
joined total suppression of self-interest, with death as its su-
in a continuous process of merging and synthesizing. But al-
preme expression. It implied the shift of unquestioning loyal-
ways Bushido¯ carried the implication of some kind of sinewy
ty from an immediate superior to the sovereign, substituting
superiority, of effort beyond the capabilities of the ordinary
unconditional service to the state for a bond depending on
man. And the durability of its appeal surely furnishes some
personal gratitude, and Shinto mythology for Confucian ra-
justification for the Meiji scholar Inazo Nitobe’s claim in his
tionalism. There were available exemplars of devotion to the
famous essay of 1905: “Bushido¯ is the soul of Japan.”
legitimate imperial court in exile during its unsuccessful
struggle (1336–1390) against a puppet court supported by
SEE ALSO War and Warriors, overview article; Yamaga
the presiding military power. Of these, the general Kusunoki
Soko¯.
Masashige (1294–1336) was the most illustrious. Inevitably,
he became the focus of a new cult.
BIBLIOGRAPHY
Although loyalty to a superior had always been central
Three small books provide a simple historical background and a
to Bushido¯, it had never been blind loyalty. Confucianism
succinct introduction to the study of Bushido¯: Peter Duus’s
Feudalism in Japan (New York, 1969); H. Paul Varley, Ivan
emphasized the necessity of thinking things out for oneself.
Morris, and Nobuko Morris’s The Samurai (London, 1970);
This implied the duty of remonstrance if the conduct of su-
and Conrad Totman’s Japan before Perry: A Short History
periors was considered culpable. Earlier ages had provided
(Berkeley, 1982). Three large and lavishly illustrated volumes
notable illustrations, but when this obligation was democra-
give detailed expositions of bushi lifestyle and way of
tized during Meiji, it led to admonitory assassinations antici-
thought: George Richard Storry’s The Way of the Samurai
pating the horrors of modern terrorism.
(New York, 1978), Stephen R. Turnbull’s The Samurai: A
Military History (New York, 1977), and Oscar Ratti and
The bushi’s contempt for death, strongly reinforced by
Adele Westbrook’s Secrets of the Samurai (Tokyo and Rut-
his predilection for Zen, had been constant throughout.
land, Vt., 1973). Sources of the Japanese Tradition, 2 vols.
Trained to kill or be killed, he made indifference to it a point
(New York, 1958), compiled by Ryusaku Tsunoda, Wm.
of honor, giving the attitude its most succinct expression in
Theodore de Bary, and Donald Keene, presents valuable
the saying “Bushido¯ lies in dying.” Translated into practical
source material on the formulation of Bushido¯.
peacetime terms, this simply meant total and selfless dedica-
Finally, three essays throw additional light on significant aspects
tion. Coincidentally, since death was always regarded as the
of the topic: Yamamoto Tsunetomo’s Hagakure: A Code of
final proof of sincerity, it gave rise to a cult of suicide. This
the Way of Samurai, translated by Takao Mutoh (Tokyo,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUSHNELL, HORACE
1337
1980); Mishima Yukio’s The Samurai Ethic in Modern Japan,
grounds of consensus that could allay the spirit of divisive-
translated by Kathryn Sparling (Tokyo, 1978); and Inazo
ness and contumely that marked so much of the theological
Nitobe’s Bushido¯: The Soul of Japan (Tokyo, 1980).
debate of his day. Third, Bushnell held that religious doc-
New Sources
trines are not meant to satisfy speculative curiosity. The deci-
Cleary, Thomas F. The Japanese Art of War: Understanding the
sive test of any doctrine is an experiential one, that is, the
Culture of Strategy. Boston, 1991.
contributions it can make to the transformation of life and
Ikegami, Eiko. The Taming of the Samurai: Honorific Individual-
character. He insisted that divine revelation itself has this
ism and the Making of Modern Japan. Cambridge, U.K.,
“instrumental” function (as he termed it), and that its import
1995.
can be grasped only when it is approached with its practical
Katchmer, George A. Professional Budo: Ethics, Chivalry, and the
end clearly in mind. Fourth, Bushnell tried to put theological
Samurai Code. Jamaica Plains, Mass., 1995.
discourse and method on a new footing by arguing that the
language of religion, including that of the Bible, is the lan-
Newman, John. Bushido: The Way of the Warrior: A New Perspec-
tive on the Japanese Military Tradition. New York, 1989.
guage of analogy, metaphor, and symbol, and that its func-
tion is to suggest and evoke truths and modes of awareness
Turnbull, Stephen, ed. The Samurai Tradition. Surrey, U.K.,
that cannot be literally expressed. Hence, its proper use and
2000.
interpretation requires the imaginative skill of the poet or or-
JOYCE ACKROYD (1987)
ator, not that of the abstract speculative reasoner. These ideas
Revised Bibliography
about theological language and method went much against
the grain of the prevailing concept of theology in Bushnell’s
time, which was that theology should be an exact rational sci-
BUSHMEN
ence, with precise definitions, finely drawn distinctions, and
SEE KHOI AND SAN RELIGION
strict logical deductions.
Bushnell was one of the two most creative Protestant
theologians in America prior to the twentieth century; the
BUSHNELL, HORACE (1802–1876), Congrega-
other was Jonathan Edwards (1703–1758). Bushnell’s book
tional minister and theologian. Born in Bantam, Connecti-
on Christian nurture has exerted more influence on theories
cut, and reared in nearby New Preston, Bushnell attended
of Christian education among Protestants than any other
Yale College and the Law School in New Haven. Stirred by
work of recent times. His ideas on religious language antici-
a revival that swept the college in 1831, he decided to enter
pated much that is now being said about the crucial role of
Yale Divinity School. In 1833 he was ordained pastor of the
myth, symbol, story, and paradox in the discourse of the reli-
North Church of Hartford. He experienced an extraordinary
gions of the world. His fresh approaches sounded the death
spiritual illumination in 1848, a year in which he was also
knell of the Edwardian Calvinism that was dominant in his
invited to lecture at Harvard, Andover, and Yale. The books
day and had been so since the time of Jonathan Edwards, and
resulting from these lectures and from Bushnell’s attempts
they provided the point of departure for what came to be
to clarify and refine their content in the face of criticism (God
called the “new theology” of American Protestant liberalism.
in Christ, 1849, and Christ in Theology, 1851) stirred up a
His critique of biblical literalism helped to pave the way for
hornet’s nest of controversy and brought charges of heresy
theological acceptance of the results of biblical criticism and
from conservative churchmen. In 1858 Bushnell’s Nature
for easier rapprochement between religion and science.
and the Supernatural was published, and Christian Nurture,
probably his best-known work, appeared in 1861 (an earlier
BIBLIOGRAPHY
version had been published in 1847). Persistent health prob-
Cherry, Conrad. Nature and Religious Imagination: From Edwards
lems forced him to resign his North Church pastorate in
to Bushnell. Philadelphia, 1980. Explores Jonathan Edwards’s
April 1861, but he continued to be active during the last fif-
symbolic vision of nature and its religious meanings, shows
teen years of his life, preaching, lecturing, and producing
how this vision suffered sharp decline among religious think-
such additional books as Work and Play (1864), Christ and
ers in New England after Edwards’s death, and then exhibits
His Salvation (1864), The Vicarious Sacrifice (1866), Moral
the resurgence of a similar vision in the thought of Bushnell.
Uses of Dark Things (1868), Forgiveness and Law (1874), and
Crosby, Donald A. Horace Bushnell’s Theory of Language. The
Building Eras in Religion (published posthumously in 1881).
Hague, 1975. Investigates Bushnell’s theory of language and
religious language in the context of other philosophies of lan-
Four traits of Bushnell’s theological thought suggest
guage in nineteenth-century America, discussing its implica-
something of the distinctive contribution he made to his
tions for theological content and method. Examines and
times. The first is its high degree of originality. Bushnell did
evaluates reactions to Bushnell’s language theory from his
not prize originality for its own sake; he saw it as necessary
theological peers.
for penetrating to the enduring heart of Christian teaching
Dorrien, Gary. The Making of American Tribal Theology: Imagin-
and rediscovering its relevance to the needs and concerns of
ing Progressive Religion, 1805–1900. Louisville, Ky., 2001.
human beings in a time of rapid change. Second, his theolo-
Makes a detailed case for the singular historical importance
gy was intended to be a mediating theology, one seeking
of Bushnell’s contributions to the emergence of American
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
1338
BU STON
Protestant liberalism and argues that he should be recognized
learned masters from all traditions; his teachers are said to
as America’s greatest nineteenth-century theologian.
have numbered some twenty-eight. In 1312 he took full or-
Edwards, Robert L. Of Singular Genius, of Singular Grace: A Biog-
dination. Thereafter, he devoted himself to mastering Can-
raphy of Horace Bushnell. Cleveland, Ohio, 1992. Engagingly
dragomin’s works on grammar, and subsequently, the vari-
written, thoroughly researched account of Bushnell’s contro-
ous languages of east and west India, including Kashmiri and
versial life.
Sanskrit. Henceforth, he became famed as an unparalleled
Smith, David L. Symbolism and Growth: The Religious Thought of
translator of Indian Buddhist scripture. During this period
Horace Bushnell. Chico, Calif., 1981. Argues that the princi-
he also made an intensive study of the Ka¯lacakra, later earn-
pal focus of Bushnell’s thought is his theory of how human
ing the reputation of being a master of this particular Tantric
beings influence each other through their social and linguis-
cycle.
tic interactions. Seeks to show how Bushnell used this theory
to explain God’s communications of himself for the purpose
At age thirty Bu ston was invited to assume the see of
of nurturing and redeeming human character.
the Z´wa lu Monastery of the Sa skya order. This monastery
Smith, H. Shelton, ed. Horace Bushnell. New York, 1965. Valu-
remained his main seat throughout the rest of his life. From
able collection of some of Bushnell’s most important writ-
it he expounded the Ka¯lacakra and other Tantric cycles along
ings, with informative general introduction and introduc-
with numerous exoteric scriptures; he gave innumerable ini-
tions to each selection. Includes an extensive bibliography of
tiations and composed commentaries on the Su¯tras and Tan-
works by and about Bushnell.
tras. It was during his tenure at Z´wa lu that Bu ston wrote
D
his famous Chos ’byung (History of Buddhism), completed
ONALD A. CROSBY (1987 AND 2005)
about 1322. It was also at Z´wa lu that Bu ston began to orga-
nize the first definitive Tibetan Buddhist canon. Applying
BU STON
his genius to systematizing the canon, Bu ston established a
(1290–1364), also known as Bu ston Rin
new method of classifying the scriptures. With regard to the
poche and Bu Lo tsa¯ ba; properly, Rin chen grub pa; Tibetan
Su¯tra collection he introduced a threefold schema. He divid-
Buddhist monk-scholar, translator, redactor, historian, and
ed the collection philosophically and historically into what
architect. In the annals of Tibetan Buddhism, Bu ston holds
he called the “three dharmacakras,” or “turnings of the wheel
a singular position. He is renowned as the codifier of the Ti-
of the Law.” Above all, he is revered for having given to the
betan Buddhist canon and as the last great translator and sys-
Tantra collection a fourfold schema, classifying these works
tematizer prior to the fourteenth-century reformer Tsong
into four distinct rgyuds, or classes: Kriya, Carya, Yoga, and
kha pa. Considered to have been an incarnation of the Kash-
Anuttarayoga. This method of treating the Tantra literature
miri saint S´a¯kya´sr¯ı bhadra (Tib., Kha che pang chen), Bu
was later adopted and preserved by Tsong kha pa and his dis-
ston showed a precocious and prodigious talent for transla-
ciple Mkhas grub rje.
tion. Furthermore, he mastered certain aspects of the Tantras
and became known as a chief authority on the Yoga Tantra
In addition to writing and teaching, Bu ston was an ac-
cycles and on the Ka¯lacakra system in particular.
complished architect. In 1352 he composed a classic work
on the construction of Buddhist stupas (reliquary mounds)
Bu ston wrote one of the earliest authoritative histories
called the Shape and Dimensions of the Maha¯bodhi Stu¯pa, and
of Buddhism, covering its development both in India and
at the age of sixty-three he oversaw the construction at Z´wa
Tibet up to the fourteenth century. He also compiled and
lu Ri phug of a stupa measuring almost thirty meters in
produced detailed catalogs of all Buddhist scriptures translat-
height. This Ri phug stupa later served as the primary model
ed into Tibetan up until his time, retranslating many and ed-
for the great stupa raised at Rgyal rtse.
iting out of the official canon texts deemed spurious. It was
Bu ston who first organized the Tibetan canon into the now
On reaching his sixty-seventh year, Bu ston handed on
famed subdivisions of “Su¯tra translations” (Tib., Bka’ ’gyur)
the see of Z´wa lu. Still, for the next seven years he zealously
and “S´a¯stra translations” (Tib., Bstan ’gyur). Although the
continued to carry out the three chief activities performed
texts constituting the Bka’ ’gyur were fairly well established
by a true bla ma (“superior teacher”)—namely, to study, to
by his time, it was due exclusively to Bu ston’s incredible zeal
teach, and to write. He died peacefully in 1364.
and effort that the Bstan ’gyur came to assume its present
SEE ALSO Buddhism, article on Buddhism in Tibet; Bud-
shape.
dhism, Schools of, article on Tibetan and Mongolian Bud-
Bu ston was born into an illustrious line of Tantric prac-
dhism; Tibetan Religions, overview article.
titioners. From age seven onward, he studied the Tantras
under the guidance of both his grandfather and the re-
BIBLIOGRAPHY
nowned Bka’ brgyud pa master Khro phu ba. (Bu ston’s bi-
Bu ston. Chos ’byun˙. Translated by Eugene Obermiller as History
ography claims that he came to possess such mastery of Tan-
of Buddhism, 2 vols. (Heidelberg, 1931–1932). An invalu-
able resource for both Buddhist history and literature to the
tric ritual that even as a child people sought him out in
fourteenth century.
preference to his grandfather.)
Ruegg, David S. The Life of Bu ston Rinpoche. Rome, 1966. A fine
At the age of eighteen Bu ston left home and became
translation of the “liberative life story” (Tib., rnam thar) of
a novice monk. For the next several years he studied under
Bu ston.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
BUTLER, JOSEPH
1339
New Sources
this analogy may reject both revelations. The second part of
Eimer, Helmut. Der Tantra-Katalog des Bu ston im Vergleich mit
his Analogy is one of the classic defenses of Christian theism.
der Abteilung Tantra des tibetischen Kanjur. Bonn, 1989.
Butler’s ethical theory is based on an analysis of the
Luczanits, Christian. “The Sources for Bu ston’s Introduction to
the Acts of a Buddha.” Wiener Zeitschrift fur die Kunde Suda-
component parts of human nature. There are three levels op-
siens und Archiv fur indische Philosophie 37 (1993): 93–108.
erating harmoniously: the several passions, each directed at
a particular desire; the rational principles of self-love and be-
Vogel, Claus. “Bu ston on the Date of the Buddha’s Nirvana:
nevolence, concerned with the individual’s general welfare;
Translated from His History of the Doctrine (Chos ’byun).”
In Die Datierung des historischen Buddha, edited by Heinz
and conscience, the moral standard and decision maker. But-
Bechert, pp. 403–414. Gottingen, 1991.
ler considered ethics to be a subdivision of theology, present-
ing his theories in Fifteen Sermons (1726). Philosophers,
JANICE D. WILLIS (1987)
however, generally treat his ethics independently of his theol-
Revised Bibliography
ogy. Butler is also known for his refutation of psychological
egoism, based on his analysis of benevolence, a natural com-
ponent of human nature.
BUTLER, JOSEPH (1692–1752), English theologian
SEE ALSO Deism.
and moral philosopher. Butler was born into a Presbyterian
family in Berkshire. He began his studies at a dissenting
academy, but changed his allegiance to the Church of En-
BIBLIOGRAPHY
gland and entered Oriel College, Oxford University. After
There have been many editions of Butler’s two books: Fifteen Ser-
ordination, he held a succession of charges, including clerk
mons Preached at the Rolls Chapel (1726) and The Analogy of
of the closet to Queen Caroline, clerk of the closet to King
Religion, Natural and Revealed, to the Constitution and Course
of Nature (1736). The most readily available complete edi-
George II, bishop of Bristol, and bishop of Durham. He died
tions of his works (which also include a few additional ser-
at Bath and is buried in the cathedral at Bristol.
mons) are The Works of Joseph Butler, D. C. L., 2 vols., edited
The first part of Butler’s only systematic work, Analogy
by W. E. Gladstone (Oxford, 1896–1897), and The Works
of Religion (1736), argued against those deists of his day who,
of Bishop Butler, 2 vols., edited by J. H. Bernard (London,
although rejecting the Christian scriptures, believed that
1900). Both texts have informative introductions.
God had created the universe and that a rational religion
The best general work on Butler is Ernest C. Mossner’s Bishop
could be found in nature. These deists denied special revela-
Butler and the Age of Reason (New York, 1936), while the
tion on the grounds of alleged rational difficulties. Butler at-
most penetrating analysis of Butler’s ethics is Austin Dun-
tempted to show that the difficulties found in special revela-
can-Jones’s Butler’s Moral Philosophy (Harmondsworth,
tion, rejected by deists, were analogous to the difficulties
1952). Recommended as a work integrating his natural the-
found in natural revelation, which deists accepted. To be
ology and ethics is my own Butler’s Ethics (The Hague,
1964).
consistent, deists should accept special revelation. Butler was
aware—but did not think it probable—that one who accepts
P. ALLAN CARLSSON (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