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Time and Mind:

The Journal of
The Shamanic
Archaeology,
Consciousness
Paradigm: Evidence
and Culture from Ethnology,
Volume 3—Issue 2
July 2010
Neuropsychology and
pp. 159–182
DOI
Ethology1
10.2752/175169610X12632240392758

Reprints available directly


Michael Winkelman
from the publishers
Photocopying permitted by Michael Winkelman, Ph.D. (University of California-
licence only Irvine), M.P.H. (University of Arizona) recently retired
© Berg 2010 from the School of Human Evolution and Social Change
at Arizona State University where he served as Head of
Sociocultural Anthropology. He has served as President of
the Anthropology of Consciousness section of the American
Anthropological Association, and was the founding President
of its Anthropology of Religion section. Winkelman has
engaged in cross-cultural and interdisciplinary research on
shamanism for the past 30 years, focusing principally on
the cross-cultural patterns of shamanism and identifying
the associated biological bases of shamanic universals and
altered states of consciousness. His principal publications
on shamanism include Shamans, Priests and Witches (1992),
Shamanism: The Neural Ecology of Consciousness and Healing
(2000), and (with John Baker) Supernatural as Natural: A
Biocultural Theory of Religion.

Abstract
Cross-cultural findings establish the empirical evidence for
a common form of worldwide hunter-gatherer shamanism,
as well as differentiating these shamans from other
types of shamanistic healers. These diverse practitioners
have contributed to a confusion regarding the nature
of shamanism because they share similarities in their
common biogenetic foundations. These involve a cultural
universal involving community ritual in which the induction
of altered states of consciousness (ASC) is seen as a tool
for engaging in interaction with spirits for the purposes
of divination and healing. The relationship of various
types of shamanistic healers to subsistence, social, and

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160 The Shamanic Paradigm Michael Winkelman

political characteristics provides evidence religious analysis with the work of Eliade
of the evolutionary transformation of a (1964). Based on a reading of materials
hunter-gatherer shamanism into other from around the world and across time,
types of religious practitioners. The deep Eliade proposed that the shaman was
evolutionary origins of shamanism are a cross-cultural phenomenon. Eliade
illustrated through biogenetic approaches characterized the shamanic ritual as an
that identify the biological bases of unparalleled activity in the lives of the
shamanic universals and their deeper community, with the entire local residential
phylogenetic origins. The homologies of group expected to attend. Shamans are
shamanic rituals with the displays of the charismatic social leaders who engage in
great apes provide a basis for identifying spirit-mediated healing and divination for
the ancient foundations of hominin the local community. The shaman was
ritual. These ritual commonalities are core to all aspects of life—divining the
described by reference to the maximal meaning of the universe, prophesying the
displays of chimpanzees (Pan troglodytes). future, healing, helping hunters find animals,
The homologies implicate hominin ritual communicating psychically about lost family
activities as involving similar individual members, directing the group’s movement,
and group activities involving vigorous funerals, and virtually all major activities of
bipedal displays by alpha males which the community. Shamans also led raiding
included drumming with hands, feet, and parties, organized communal hunts, and
sticks and emotional vocalizations. Their directed group movement. Shamans engaged
adaptive foundations are illustrated by the in activities on behalf of a client, but generally
many functions of these threat displays in with the entire local community (the band)
chimpanzee society: greetings, hierarchy participating.
maintenance, group integration, intergroup The shamanic ritual was typically a
boundary maintenance, and release nocturnal event in which the entire local
of tension and frustration. Biogenetic community congregated around a fire,
approaches to the origins of human clapping and singing while the shaman
ritual provide an additional empirical and danced for hours while drumming or rattling.
theoretical foundation for understanding The shaman’s vocalizations also engaged a
the nature and origins of shamanism in the dialogue with the spirits, exhorting them
human and hominid past. through ancient songs and chants. The
shaman would call for spirit allies or exhort
Keywords: shamanism, evolution, hominid evil spirits to leave and cease their afflictions.
religiosity The shamanic ritual involved imitating power
animals and acting out struggles with the
Eliade’s Concept of the Shaman spirits, and the enacting of the journey
The concept of shamanism entered into through the spirit realms.
Western academic discourse in the A core aspect of shamanism identified
seventeenth century (Flaherty 1992) and by Eliade was “ecstasy,” an altered state
became a standard feature of comparative of consciousness (ASC) that was used

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Michael Winkelman The Shamanic Paradigm 161

to enter the spirit world. The ASC was included being attacked by the spirits,
induced through the effects of drumming, producing a death-and-rebirth experience.
singing, chanting, dancing, and a variety of This dismemberment and reconstruction
other procedures, including in some cases by the spirits embues shamans with powers,
the use of psychoactive substances. These especially animal allies that provide assistance
ASC are thought to enable them to enter in healing, divination, hunting, and the ability
the spirit world and acquire supernatural to use sorcery to harm others.
powers through a vision quest experience. A characteristic feature of shamans’
Other procedures used to induce these development involved visionary experiences
experiences included fasting and water during which they contacted the spirit
deprivation, exposure to temperature world, particularly in the form of the
extremes, extensive exercise and painful animal spirits that were central to shamans’
austerities, sleep deprivation, sleep and powers. Animals were often thought to
dreams, and social and sensory deprivation. provide the shaman with skills specific to
A central aspect of the shaman’s ASC the animals’ own strengths. They were
involved a “soul journey” in which some also the vehicles through which shamans
personal mental aspect of the shaman accomplished a variety of actions, including
departs the body and travels to other places. acquiring information, healing, and killing.
Other shamanic ASC involved journeys Shamans’ therapeutic processes involved the
to the underworld, and/or transformation removal of objects or spirits sent by other
into animals. Shamans were not normally shamans through sorcery and soul journeys
possessed by spirits; rather, they controlled to recover lost souls and power animals,
spirits and were believed to accomplish their aspects of the patient’s personal essence and
feats through the actions of their spirit allies. powers. Shamanic soul recovery involves a
Shamans generally are identified as soul journey to do battle with the spirits to
descending from “shaman families” whose rescue the patient’s lost soul. Therapeutic
ancestors provided spirit powers. In most processes involve community participation,
cultures, shamans are predominantly males; healing through enhancing social bonding
however, most cultures also allow females processes, restoring a sense of identity and
to become shamans, but typically limit their emotional well-being, and restoring and
practice to before or after child-bearing transforming self.
years. Shamans’ selection may result from the Eliade’s use of the concept of the shaman
desires of a deceased shaman relative who and his explanations were appealing to many.
provides spirit allies, but in most shamanic The concept began to gain currency in use
cultures anyone may become a shaman if he and eventually became applied to virtually
or she is selected by the spirits, undergoes any kind of spiritual or religious practice or
training, and is successful in practice. ASC. For decades the literature has used
Shamans are selected through a variety of the term “shaman” to refer to many different
procedures, including involuntary visions, magico-religious practitioners. Generally the
receiving signs from spirits, and serious writer makes the unspoken presumption that
illness. Shamans’ developmental experiences in spite of apparent diversity of the practices

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162 The Shamanic Paradigm Michael Winkelman

referred to by the term, they are nonetheless The complaints as variously expressed made
in some sense essentially the same. But most several points:
fail to specify the commonalities that they
presume shamans share. 1 There is no similarity in spiritual or
Determination of the nature of healing practices around the world.
shamanism and the validity of its use as a 2 The concept of the shaman is a
cross-cultural concept has been problematic fabrication of the Western imagination,
because of the lack of reliance on cross- a new-age phenomenon and
cultural investigations. Those who purport construction.
that there are universals of shamanism 3 The spiritual healing practices found
have generally based this on intuition and cross-culturally both vary and reflect
a haphazard synthesis of data from select local cultural concepts, negating any
cultures. This typified Eliade’s methods and, claims to a universal shamanism.
while it led to some useful conclusions,
has left them open to criticism. What are Kehoe (2000) legitimately criticizes Eliade’s
legitimately the universals of shamanism, if failure to use systematic cross-cultural
anything? Most studies have sidestepped the research to arrive at his conclusions regarding
question of establishing universals, and have shamanism. Although Eliade’s impressionistic
instead employed a definitional approach. and selective methods deserve criticism from
By specifying what they consider to be the the perspectives of modern ethnological
particular characteristics that define the research, his conclusions were nonetheless
shaman, they can then show it to be arbitrary on target, as illustrated in Winkelman’s
or inadequate for some reason. (1986a, 1990, 1992) cross-cultural research.
The concept of the shaman as an etic Winkelman (2002a) proposed that
explanatory framework has been part there should be three major pillars for
of the intellectual climate of the Western the argument for a cross-culturally valid
world since it entered into mainstream shamanism and its deep evolutionary roots:
literary discourses in the 1700s (Flaherty
1992). When Eliade published his famous 1 Cross-cultural ethnological patterns of
Shamanism: Archaic Techniques of Ecstasy, shamanic practitioners in premodern
shamanism was a concept already familiar to societies that establish a base for an
the educated Westerner. Soon descriptions ethnological analogy.
of foreign religious practices around the 2 Direct homologies between shamanic
world were communicated through the practices and the ritual patterns of
concept of the shaman. The effort to other animals, particularly our primate
convey the concept of the shaman was cousins.
derived in part from an effort to explain the 3 A neuropsychological explanation for
behavior of the “other” to the Westerner; the correspondences of shamanic
consequently it soon fell into disrepute as practices and aspects of the
a wave of cultural anthropologists began to brain involved in altered states of
question and criticize the use of the term. consciousness.

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Michael Winkelman The Shamanic Paradigm 163

These kinds of necessary cross-cultural in a stratified 47 society subset of the


studies of magico-religious practitioners SCCS. The SCCS is representative of the
began to be published more than two geographic, social, and cultural regions of
decades ago (Winkelman 1985, 1986a, b, the world spanning 4,000 years. All of the
1990, 1992). This empirical cross-cultural culturally recognized positions (statuses or
research, summarized next, established roles) in these societies that were involved
the basis for a shamanic paradigm as an in interaction with supernatural entities or
ethnological analogy based in the empirical powers were individually assessed with a
nature of shamanism and its characteristics. formal questionnaire, based on data from
It validated the nature of an aboriginal ethnographic reports and other sources.
hunter-gatherer shamanism worldwide, A large number of variables were used
and distinguished it from other forms of to characterize the practitioners (see
shamanistic healers that emerged from that Winkelman 1992, Winkelman and White
basis as a consequence of the processes of 1987). In each society, each and every one
sociocultural evolution. Neuropsychological of the culturally recognized magico-religious
arguments have been detailed in Winkelman’s practitioners was individually assessed in
subsequent publications, especially 2000, terms of his (or her) characteristics. These
2002a, 2004c, 2010, as well as in Winkelman were based in a common set of variables
and Baker (2008), where the deeper reflecting magico-religious activities that were
evolutionary origins of shamanism in hominin developed from the descriptions of these
ritual have been explored. practices as provided in the ethnographic
literature.
A Cross-cultural Ethnological These variables included types of
Approach to Determining the magico-religious activity (for example,
Shamanic Paradigm healing, divination, propitiation, malevolent
A cross-cultural or holocultural method acts, agricultural and hunting rituals, life
(see Murdock and White 1969) is required cycle rituals); political, social, and economic
to answer these questions regarding the characteristics; professional organizations and
issue of the universality of shamans and functions; role selection procedures (spirit
their characteristics, and the cross-cultural illness, inheritance, purchase of position);
similarities and differences in spiritual training conditions; ASC characteristics and
healing practices. An empirical approach procedures; sources of supernatural power;
to the question of the status of shamans relationships to spirits; and the social context
is provided by a cross-cultural research of and motives for professional activities.
project (Winkelman 1985, 1986a, b, 1990, The coded variables for the characteristics
1992, 2000; Winkelman and Winkelman of these magico-religious practitioners
1991; see Winkelman and White 1987 for were submitted to coding-reliability checks
data). Using the Standard Cross-Cultural (Winkelman and White 1987).
Sample (SCCS) (Murdock and White 1969), In order to determine if there was a
Winkelman’s study focused on the culturally cross-culturally valid pattern of religious
recognized magico-religious practitioners practices corresponding to the subjective

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164 The Shamanic Paradigm Michael Winkelman

concepts of the shaman, this cross-cultural by ethnographers: Shaman, Shaman/Healer,


database was statistically analyzed to assess Healer, and Medium, collectively constituting
the empirical similarities among these shamanistic healers; the Priest; and the
practitioners. This empirical data and Sorcerer/Witch (see Winkelman 1992 for
the statistical assessments of the shared coverage of Priests and Sorcerer/Witches).
characteristics across practitioners and Their key features are displayed in Table 1a-d.
societies provided a basis for an empirical
determination of the different types of This empirically derived typology establishes
magico-religious practitioners. Determination the etic status of shamans, the validity
of cross-culturally valid types of magico- of a cross-culturally general type of
religious practitioners was obtained through religious practitioner. This indicates that
the use of cluster analysis procedures. These the term shaman can be used as an etic
types were confirmed with independent concept, based on their empirically shared
validation methods (Winkelman 1986a, 1992). characteristics rather than on arbitrary
Similar types of practitioners found in definitions. It is noteworthy that some
diverse parts of the world—Eurasia, the religious practitioners labeled as shaman
Americas, and Africa—are more similar to by ethnographers have characteristics
one another across these different regions significantly different from those of the
than they are to other magico-religious empirically derived group that is labeled
practitioners found in their own regions “shamans.” Instead these so-called
and even in the same society. Rather than “shamans” are empirically classified as
culturally arbitrary religious forms, there mediums; empirical characteristics should
are social universals, with magico-religious take precedence over arbitrary definitional
practitioners in different societies and from approaches, avoiding overextending the term.
different regions of the world having more The cross-cultural research indicates that the
similarities with each other than they share term “shaman” should be used to refer to
with other magico-religious practitioners healers of hunter-gatherer and other simple
in their own cultures. The empirically societies who are trained through ASC for
shared characteristics are more relevant healing and divination and share specific
than geographical location or arbitrary characteristics.
definitions of what is a shaman. These This cross-cultural research also
empirically derived characteristics of each establishes that there are other etic types
type of magico-religious healer are what are of magico-religious practitioners, the
most relevant, not definitions. Furthermore, empirically derived Priests, Sorcerer/Witches,
the empirically derived characteristics of Mediums, and others. By establishing their
one type correspond directly to classic characteristics2 in comparison to those of
characteristics attributed to the shaman by other types of magico-religious practitioners,
Eliade and others. this research provides a basis for an
These empirically derived types of ethnological analogy regarding religious
magico-religious practitioner were labeled practices in the past. This ethnological
with terms based on labels commonly used analogy derived from cross-cultural research

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Michael Winkelman The Shamanic Paradigm 165

provides a far greater explanatory power • shamanic training involving induction of


than does the ethnographic analogy that has ASC, particularly with fasting and social
characterized archaeological interpretations isolation
of the past.
• an ASC experience characterized as a
Cross-cultural Characteristics of soul journey (but not possession)
Shamans
Cross-cultural research illustrates empirically • ASC involving visionary experiences
similar religious healers found in hunter-
gatherer and simple agricultural and pastoral • abilities of divination, diagnosis, and
societies worldwide. Shamans were found prophecy
in all world regions with the exception of
the Circum-Mediterranean, reflecting the • illness caused by spirits, sorcerers, and
lack of hunter-gatherer societies in this the intrusion of objects or entities
region (Winkelman 1986a). This empirically
derived group/type of shamans were found • healing processes focused on soul loss
worldwide and are statistically associated and recovery
with variables measuring nomadism and
a lack of political integration beyond the • animal relations as a source of power,
local community; these predictors maintain including control of animal spirits
significance independent of controls for
diffusion, indicating independent origins • the ability of the shaman to transform
(Winkelman 1986a, 1992). into animals
The practitioners empirically clustered
in the group labeled “shaman” included a • malevolent acts, or sorcery, including
characteristic core to Eliade’s description: the ability to kill others, and
someone who enters ecstasy to interact with
the spirit world on behalf of the community. • hunting magic, assistance in acquiring
Also associated with shamans worldwide are animals for food

• a dominant social role as the These shamans are distinguished from


preeminent charismatic leader other magico-religious healers (mediums,
healers, and shaman/healers) found in
• a night-time community ritual more complex societies (see Winkelman
1986a, 1990, 1992). Shamans are a social
• use of chanting, singing, drumming, and universal, found worldwide under specific
dancing kinds of social conditions—hunter-
gatherer societies as well as some slightly
• an initiatory crisis involving a death and more complex nomadic hor ticultural and
rebirth experience pastoral societies. Nonetheless, some of
the core features of the shaman—ASC,

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166 The Shamanic Paradigm Michael Winkelman

Table 1a Magico-Religious Practitioner Types: Principal Characteristics


Characteristics Shaman
Societal Conditions Hunting and gathering, nomadic.
No local political integration.
No social classes.
Magico Religious Activity Healing and divination.
Protection from spirits and malevolent magic.
Hunting magic.
Malevolent acts.
Sociopolitical Power Charismatic leader, communal and war leader.

Social Characteristics Predominantly male, female secondary.


High social status.
Ambiguous moral status.
Professional Characteristics Part time.
No group—individual practice.

Selection and Training Vision quests, dreams, illness, and spirit’s request.
ASC and spirit training or individual practitioner.
Status recognized by clients.
Motive and Context Acts at client request for client, local community.

Supernatural Power Animal spirits, spirit allies.


Spirit power usually controlled.

Special Abilities Weather control, flying, fire immunity, death and rebirth, transformation into
animal.
Techniques Spirit control.
Physical and empirical medicine.
Massaging and plants.

ASC Conditions and Spirit ASC training and practice.


Relations Shamanic soul flight/journey.
Isolation, austerities, fasting, hallucinogens, chanting and singing, extensive
drumming and percussion, and, frequently, collapse and unconsciousness.

community rituals, spirit interactions and healers in more complex societies.


others—are cultural universals, found in Ecological and social influences modify the
every society. These characteristics are original forms of shamanism, giving rise to
associated with other kinds of shamanistic a variety of other socially structured forms

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Michael Winkelman The Shamanic Paradigm 167

Table 1b Magico-Religious Practitioner Types: Principal Characteristics


Shaman/Healer Healer
Agricultural subsistence. Agricultural subsistence.
Sedentary Sedentary.
Political integration.
Healing and divination. Healing and divination.
Protection against spirits and malevolent magic. Agricultural and socioeconomic rites.
Hunting magic and agricultural rites. Propitiation.
Minor malevolent acts.

Informal political power. Judicial, legislative, and economic power.


Moderate judiciary decisions. Life-cycle rituals.
Predominantly male. Predominantly male, female rare.
Moderate socioeconomic status. High socioeconomic status.
Predominantly moral status. Predominantly moral status.
Part-time. Full-time.
Collective/group practice. Collective/group practice.
Specialized role. Highly specialized role.
Vision quest, dreams, illness and spirit requests. Voluntary selection, payment to trainer.
ASC and ritual training by group. Learn rituals and techniques.
Ceremony recognizes status. Ceremony recognizes status.
Acts at client request in client group. Acts at client request in client group.
Performs at public collective rituals.
Spirits’ allies and impersonal power (mana). Superior gods and impersonal power (mana).
Power controlled. Ritual techniques and formulas.
Power under control.
Occasional flight, animal transformation. Prevent future illness.

Physical and empirical medicine. Charms. Spells, exorcisms, rituals, and sacrifice.
Massaging, herbal, cleanse wounds. Propitiation and command of spirits.
Charms, spells exorcisms, and rituals.
Spirit control and propitiation.
ASC training and practice. ASC limited or absent.
Shamanic/mystical ASC.
Isolation, austerities, fasting, hallucinogens, chanting and Social isolation; fasting; minor austerities; limited
singing, extensive percussion, and, frequently, collapse/ singing, chanting, or percussion.
unconsciousness.

of shamanistic healers—mediums, shaman/ Religious Universals and Societal


healers, and healers—who have distinctive Specifics: Shamanistic Healers
features (see Table 1a-d). The hunter-gatherer shamans’ utilization
of ASC to communicate with the spirit

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168 The Shamanic Paradigm Michael Winkelman

Table 1c Magico-Religious Practitioner Types: Table 1d Magico-Religious Practitioner Types:


Principal Characteristics Principal Characteristics
Characteristics Medium Priest Sorcerer/Witch
Societal Conditions Agricultural subsistence. Agriculture. Agriculture and
Sedentary. Semisedentary or permanent sedentary.
Political integration. residency. Political integration.
Political integration. Social stratification.
Magico-Religious Healing and divination. Protection and purification. Malevolent acts.
Activity Protection from spirits and Agricultural and Kill kin, cause death,
malevolent magic. socioeconomic rites. economic destruction.
Agricultural magic. Propitiation and worship.
Propitiation.

Sociopolitical Power Informal political power. Political, legislative, judicial, None.


Moderate judiciary decisions. economic, and military power.
Social Characteristics Predominantly female; male Exclusively male. Male and female.
secondary/rare. High social and economic Low social and economic
Low socioeconomic status. status. status.
Exclusively moral. Exclusively moral. Exclusively immoral.
Professional Part-time. Full-time. Part-time.
Characteristics Collective/group practice. Organized practitioner group. Little or no professional
Temporal lobe syndrome. Hierarchically ranked roles. organization.
Killed.
Selection and Training Spontaneous possession by Social inheritance or Social labeling, biological
spirit. succession. inheritance.
Training in practitioner group. Political action. Innate abilities, self-taught
Ceremony recognizes status. or learned.
Motive and Context Acts primarily for clients. Acts to fulfill public social Acts at client request or
Performs public ceremonies. functions. for personal reasons.
Calendrical rites. Practices in secrecy.
Supernatural Power Possessing spirits dominate. Power from superior spirits Power from spirits and
Power out of control, or gods. ritual knowledge.
unconscious. Has no control over spirit Has control or spirit
power. power.
Power may operate
unconsciously or out of
control.
Special Abilities None. Affect weather. Animal transformation, fly.
Techniques Propitiation and spirit control. Propitiation and collective rites. Spirit control, ritual
Exorcisms and sacrifices. Sacrifice and consumption. techniques.
ASC Conditions and ASC – Possession. Generally no ASC or very Indirect evidence of ASC.
Spirit Relations Spontaneous onset, tremors, limited. Flight and animal
convulsions, seizures, Occasionally alcohol transformation.
compulsive motor behavior, consumption, sexual
amnesia, temporal lobe abstinence, social isolation,
discharge. sleep deprivation.

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Michael Winkelman The Shamanic Paradigm 169

world on behalf of the community and for intrapsychic and social conflicts. Shamanistic
divination and healing is found in all societies; healing practices utilize universal aspects
these features constitute universals of religion of symbolic healing. This involves placing
with biological bases (Winkelman 2000, the patient’s circumstances within the
2004c, 2010; Winkelman and Baker 2008). broader context of cultural mythology, and
These ASC, spirit relations, and community ritually manipulating these relationships to
rituals are human cultural universals; however, emotionally transform the patient’s self and
these activities are associated with different emotions. Ritual manipulation of unconscious
types of practitioner in more complex psychological and physiological structures
societies (Mediums, Healers, and Shaman/ enable a variety of emotional healing
Healers). Winkelman (1990, 1992) proposed responses, reflected in the psychodynamic
the term “shamanistic healers” to refer to differences in soul journey, possession,
these universally distributed practitioners and meditation. Shamanistic healers also
who use ASC for training, healing, and differ with respect to a variety of other
divination. Shamanistic healers share characteristics, including the types of societies
characteristics of in which they were found, the processes
involved in training, the nature and source
• induction of ASC in training and of their powers, and their relationships to
professional activities social institutions (see Winkelman 1992).
An important contrast in understanding
• providing divination, diagnosis and the differences among magico-religious
healing practitioners involves the distinctive features
of the mediums, who are often confused
• use of rituals to interact with spirits with shamans.

• removal of detrimental effects of spirits The Socioeconomic Transformation


(spirit aggression and possession), and of Shamans and Shamanistic
Healers
• cure illness caused by human agents The characteristics of shamans and their
(e.g. witches and sorcerers) practices that formed the original basis
of magico-religious practices in hunter-
Shamanistic healers also share many gatherer societies were transformed as a
additional features by virtue of their healing consequence of social evolution. These
activities. These provide relief by meeting changes were the consequence of the social
needs for assurance, counteracting anxiety effects of sedentary agricultural societies,
and its physiological effects. These processes the processes of political integration, and
involve community support, meeting needs the emergence of class structures. These
for belonging, comfort, and bonding with eventually had a significant effect upon the
others. Healing practices address emotional psychobiological foundations of shamanism,
problems by eliciting repressed memories changing the manifestations of these innate
and restructuring them and resolving brain structures and practices of the

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170 The Shamanic Paradigm Michael Winkelman

alteration of consciousness. Nonetheless, the conditions transformed the manifestation


innate bases of ASC and endogenous healing of shamanic potentials in terms of principal
processes assured the persistence of ASC- functions, types of ASC and spirit relations,
based healing practices in more complex selection and training practices, the
societies. The persistence of shamanic sources and nature of their power, their
potentials was in the “shamanistic healers” socioeconomic and political status, illness
(shaman/healers, mediums, and healers), ideologies, and the nature of their treatments
who represent the universal manifestation and professional practices (Winkelman
of the core characteristics of shamanism 1990, 1992; Winkelman and Winkelman
postulated by Eliade (1964): the use of ASC 1991). These practitioner types feature
in training, healing, and divination activities; specific types of selection procedures and
their enactment in a community context; and professional functions, providing the basis
their relations with the spirit world. for a model of the evolution of magico-
Quantitative cross-cultural analyses religious functions. These involve three major
(Winkelman 1986a, 1990, 1992) illustrate this functional dimensions with biosocial bases:
sociocultural evolution of shamanic potentials
in the systematic relationships of different 1 the psychobiological basis in ASC
types of shamanistic healers and other (shamanistic healers)
magico-religious practitioners (e.g. sorcerer/ 2 the role of social-political and religious
witches and priests) to socioeconomic leadership (priests), and
conditions. The transformation of shamanic 3 the conflict of shamanistic healers and
practices into other types of shamanistic priests, manifested in the sorcerer/
healers and magico-religious practitioners is a witch
function of
Shamans were the original source of ASC
1 agriculture replacing hunting and traditions, and provided the social leadership
gathering potentials at the basis of priesthoods.
2 transformation of nomadic lifestyle to Shamanistic practitioners were eventually
fixed residence patterns persecuted by priestly religious structures,
3 political integration of local giving rise to a phenomenon recognized as
communities into hierarchical societies, witchcraft (see Winkelman 1992, 2004b).
and
4 social stratification, the creation of The Ancient Emergence of
classes and castes and hereditary Priesthoods
slavery This ethnological framework for magico-
religious practices also has applicability in
The relationships of such socioeconomic distinguishing different aspects of magico-
conditions to practitioner types are religious practices in the past. Hayden (2003)
illustrated in Figure 1. Adaptation of these reviews evidence of the emergence of the
psychobiological potentials to different new form of ritual development in prehistory
subsistence practices and social and political during the early Upper Paleolithic when

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Michael Winkelman The Shamanic Paradigm 171

BIOSOCIAL
MAGICO-RELIGIOUS PRACTITIONER TYPES FUNCTIONS
Priest Priest Priest Social Control
Sorcerer/ Sorcerer/
Social Conflict
Witch Witch
or
Medium Medium Integrative Mode
Shaman Shaman/ Healer Healer of Consciousness
Healer
SOCIOECONOMIC Hunter/ Agriculture Political Social
CONDITIONS Gatherer Integration Classes

Fig 1 Magico-religious Practitioner Types, Socioeconomic Conditions, and Biosocial Functions

hunter-gatherer groups developed more involved wealth exchanges and prestige


complex transegalitarian societies. A new competition as mechanisms for differentiating
form of religion emphasized public feasts in the chiefly elites from non-elites. Through
which large amounts of food were used in ritual exchange elites controlled social
extravagant ritual displays by elite groups. life—wealth exchanges, bride exchanges,
These rituals focused on group fertility arranging marriages, social alliances, debt
and worship of elite ancestors as gods, payments, and allocation of resources in
enhancing the leaders’ status and providing times of scarcity. Central parts of this new
a context for the integration of larger elite-focused religion were warfare, human
groups of people. Food, art, monumental sacrifices, and megalithic architecture. These
architecture, and public ritual were material manifested a chief ’s ability to organize groups
resources for exercising influence by these to achieve goals, which while often viewed as
elites. These rituals used public feasting as collective (“protecting our village”), generally
a means of ensuring alliance, exchanging had dimensions that served to enhance the
commodity items to increase wealth, power, reproduction of the elites.
and prestige. These activities are also reflective of the
Hayden calls these public rituals a turning activities of a magico-religious practitioner
point in the evolution of religion—a dramatic type called the priest (Winkelman 1992,
shift from popular cults focused on earlier 2007). These social and religious leaders
shamanic practices of ASC induction to elite utilized their social and economic power, and
cults that enabled the elites to manipulate in particular their kinship status, to create a
their communities through religious rituals new level of religious activity.
and symbols. But what are these new kinds
of religious leaders like? Hayden interprets The Biological Bases of Shamanic
these Neolithic societies with reference to Universals
activities found in near-modern chiefdoms, The universals of shamanism and the
where leaders rule by virtue of their similarities in shamanistic healers across
positions in kinship systems. Public rituals cultures indicate underlying biogenetic

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172 The Shamanic Paradigm Michael Winkelman

foundations. These biologically based involving the use of the body and
capacities of shamanism have been addressed animals as personal and social
in the context of evolutionary psychology representations, and
(Winkelman 2000, 2002a, 2010; Winkelman 7 healing processes based in the
and Baker 2008). This approach implicates effects of ASC, hypnotic capacity, and
shamanic universals in terms of innate associated placebo effects
modules, natural structures and processes
of the human organism. Winkelman These features illustrate the foundations of
demonstrates that the central aspects of shamanism in a variety of adaptive processes
these biological bases include related to social, psychological, and cognitive
evolution. These involve the activation of a
1 the biogenetic functions of ritual as a variety of innate representational modules
communication, social coordination or neurognostic structures, involving animal
and community bonding processes classification; self-representation; social-group
based in the mammalian attachment representation; mental inference; mimesis
processes (the social-bonding system and body representation; music; and imagetic
involving opioid mechanisms; see presentational symbolism (see Winkelman
Kirkpatrick 2005) 2000, 2002a, b, 2004c, 2010).
2 altered states of consciousness These innate modules and their
that elicit the integrative mode of integrations provided the basis for a variety
consciousness through inducing highly of metaphoric predication characteristic of
synchronized slow brainwave discharge shamanic thought and practice:
patterns that produce coherence and
coordination across the levels of the Animism (other with self properties)
brain Animal spirits (animals with self
3 integration of fundamental bodily properties)
and visual representational structures Totemic groups (social groups with animal
of consciousness manifested in the species properties)
shamanic soul flight and visionary Animal identities (self properties
experiences explained with animal species)
4 manipulation of innate representational Out-of-body experiences (self and visual
modules or cognitive operators systems dissociated from spatial system)
related to identity formation, Possession (self module dominated by
manifested in spirits as allies and social other module)
representation systems (i.e., totemism)
5 elicitation of visionary information The deeper evolutionary origins of shamanism
capacities of presentational symbolism, in the hominin lineage are discussed in the
a somatic and imagetic preverbal following section (also see Winkelman 2009,
system 2010; Winkelman and Baker 2008).
6 integration of thought through
metaphoric representation system

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Michael Winkelman The Shamanic Paradigm 173

Biogenetic Structuralist approaches to ritual illustrate that shamanic


Approaches to the Origins of rituals have ancient roots built out of prior
Human Ritual adaptations revealed in the homologous
In polite company we often avoid calling behaviors humans share with other species.
attention to human beings’ more animal-like
qualities. Such dissociation from our biological Displays of Great Apes
roots is apparent in most views of religion Shamanic rituals involve vocalizations such
as an exclusively human behavior. This as singing and chanting that originated in
isolates our understanding of religion from its the same biological structures and functions
evolutionary roots in ritual (Winkelman and underlying activities that Lawick-Goodall
Baker 2008). (1968) called chimpanzee “rain dances,” and
The ancient biological bases of shamanic similar displays called “carnivals” by Reynolds
rituals and their adaptive functions are (2005). These include group congregation;
illustrated by understandings of the functional a bipedal charge and other threat displays;
nature of animal ritual. In The Spectrum long-distance vocalizations such as pant-
of Ritual d’Aquili, Laughlin, and McManus hoots; group chorusing; drumming with
(1979) show how a biogenetic structuralist hands and feet; beating with sticks; and
approach to ritual establishes human- staggering rhythmically, swaying from foot to
animal continuities. Ritual is integral to foot.
vertebrate social life, providing mechanisms Goodall noted that particularly
for communication that are basic to social spectacular displays might be made around
coordination (d’Aquili et al. 1979). Such waterfalls, in response to the presence of
animal rituals use behaviors, manifested similar-size other groups, who would elicit
in actions, which signal a disposition for drumming, throwing, hooting, and vigorous
social behaviors. Animals’ rituals have displays (Goodall 1986: 491). “Pant-hoots
communication and social signaling functions, are given in many different situations …
using genetically-based behaviors to provide especially in the evening during nesting.
information that facilitates interactions Pant-hoot chorus may break out during
among members of a species, coordinating the night” (134). Reynolds and Reynolds
their behaviors in ways that contribute to (1965) characterized outbursts of calling
cooperation. By making internal dispositions and drumming to be normal chimpanzee
publicly available, animal rituals contribute behaviors, generally lasting for several
to cooperative behaviors by providing minutes, but occasionally lasting all night
information that helps produce socially on moonlight nights. “At regular intervals,
coordinated responses. the chimpanzees in an area vocalized and
As we have shown in Supernatural as drummed for several hours continuously
Natural (Winkelman and Baker 2008), … Sometimes whole valleys along a
a biogenetic structuralist approach to stretch as much as a mile would resound
religion and ritual helps to establish their and vibrate with the noise.” Reynolds and
common foundations and continuity in social Reynolds noted that these less extreme but
coordination. Such evolutionary biological similar “choruses” occurred under a variety

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174 The Shamanic Paradigm Michael Winkelman

of circumstances, including nesting and during conditions of high arousal that are
awakening; meeting or splitting up of a group; used for social contact and interpersonal
before and during moving to new feeding spacing. The great apes’ call episodes
areas; when on the move; in responses to fulfill similar functions: interindividual
hearing others’ calls and drumming; when and intergroup communication, related
large numbers congregated in a limited area; particularly to location, spacing, food sources,
and when encountering human observers. and danger; this expressive system of
Noting the religious-like elements of these communicating emotional states motivates
displays, Goodall suggested that “[w]ith a other members of the species and enhances
display of strength and vigor such as this, group cohesion and unity (see Geissmann
primitive man himself might have challenged 2000; Hauser 2000; Marler 2000; Merker
the elements” (Lawick-Goodall 1971: 53). 2000). Their structural and behavioral
This comment underscores the perceptions similarities indicate that primate calls are the
of Goodall and other primate researchers communicative precursors of human singing
that some of the behaviors typically and musical abilities (Wallin, Merker and
associated with religiosity were already Brown 2000; Molino 2000). The primates
present in our prehuman ancestors. Group have been selected for the ability to use
vocalizations such as singing and chanting, as verbal aggression, exemplified in screaming
well as drumming and dancing, are aspects of and shouting as part of intimidation displays
shamanic and religious rituals found in human used both within the group and to other
cultures throughout the world because they species, particularly predators. Primate calls
have deep evolutionary roots in homologous are emotive vocalizations that communicate
behaviors also found in other primates. to other members of the species and have
Parsimony suggests that we seek the origins motivational effects upon them. In these
of human ritual and religiosity in these vocalizations we see the precursor to singing
emotive expressive systems. and other forms of musicality that eventually
allowed for the more nuanced expression of
Group and Intergroup Ritual human emotions.
Processes in the Great Apes: Aggressive displays, such as bipedal
Baselines for Hominin Ritual charges and the shaking of branches, are
Commonalities in great apes’ displays widespread primate behaviors, including
indicate the presence of similar behaviors in those of the the great apes (Goodall
their common ancestors with the humans, 1986; Geissmann 2000). Gorilla calls often
the hominins. There are commonalities incorporate chest-beating, running through
among the great apes in these locomotor the foliage, and breaking branches. Among
displays involving kicking, stomping, shaking chimpanzees, the pant-hooting peak phase
branches, beating on the chest, ground, is generally followed with bipedal charging
or vegetation, and jumping and running displays. These are typified in chimpanzee
(Geissmann 2000). The vocalizations of (Pan troglodytes) behaviors described below;
gibbons and chimpanzees share functional Pan paniscus (bonobos) also engage in
commonalities as affective displays made vocalizations, drumming, and charging displays

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Michael Winkelman The Shamanic Paradigm 175

when defending their territory against other an auditory signal that allows dispersed
groups (De Waal 1997). The power derived members of a group to remain in contact
from these “noisy displays” is illustrated in with one another as they forage in separate
the case of the chimpanzee called Mike. Mike areas. Individuals can be identified by their
was a low-ranking male when he began using own distinctive patterns of drumming (rate
empty kerosene cans which he bounced and of drumming, length of episodes, the number
hit in front of him while making aggressive of distinctive beats, and their volume) allow
charges. These displays quickly catapulted for identification of specific individuals. An
him to alpha-male status without ever having outburst of drumming may take place when
to attack the other males (see Goodall 1986: a traveling party encounters a particular
426–7). tree, and females and youngsters may also
take part. Chimps (Pan paniscus) may use
Drumming drumming to protect their territory against
Wild chimpanzees (Pan troglodytes) often other groups, engaging in group shouting,
incorporate a variety of acoustic signals vocalizations, and aggressive displays with fast
into their aggressive charging displays, and loud “drumming” that they produce by
including drumming, which is typically beating and jumping up and down on tree
performed by males (Goodall 1986; Lawick- buttresses (De Waal 1997).
Goodall 1968). Drumming is a widespread These acoustic signals provide
mammalian adaptation with many features mechanisms to call on the support of other
as a conspicuous display with self- and members of the groups who can assist
other adaptive functions (see Randall 2001). in confrontations with chimpanzees from
Among chimpanzees, drumming is produced other communities (Arcadi et al. 1998).
mostly by striking the hands and feet against Vocalizations (and drumming patterns) are
the ground and trees, although sticks will also so unique as to permit identification of
be used to flail against objects. This hand- individuals both by other chimpanzees and
and-foot drumming of chimpanzees provides human listeners, based on characteristics
a system of long-distance communication in of the pant hoots, such as the frequency of
the low frequency sounds that they generate; the calls, the length of buildup phase, and
these are audible to humans at a distance of the rate of hoots (Reynolds 2005). Arcadi
up to one kilometer. While these acoustic (1996) suggests that the members of a
exchanges serve a practical purpose, there is single community modify their pant hoots
also a great deal of spontaneity and evident to resemble more closely the patterns of
satisfaction in these displays. their alpha male. This imitation leads to the
These drumming sessions are usually development of a unique community pattern
accompanied by choruses of pant-hoots, or “accent” that facilitates recognition of in-
providing a variety of contextual information. group members and avoidance of out-group
These drumming activities are carried members.
out during travel and in communicative
exchanges between individuals who
are outside of visual contact, providing

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176 The Shamanic Paradigm Michael Winkelman

Adaptive Features of Chimpanzee fusion, facilitating the individual re-


Threat Displays integration with the protective community
The varieties of contexts of threat displays
illustrate that they are general behaviors The calls, hoots, and aggressive bipedal
with multiple adaptive functions. These displays that the great apes use for a variety
displays occur in greetings, when separated of social purposes indicate they are hominin
individuals fuse back together in the larger universals and establish that our ancient
group; at copious food trees; at waterfalls; hominid ancestors also engaged in group
as “rain dances;” during all-night displays; in activities involving synchronous singing,
intergroup confrontations; and for release drumming, and dancing among members
of tension (Lawick-Goodall 1968; Reynolds of the group. This hominin ritual dynamic
2005). The loud vocalizations and the involved communal activities that both united
dramatic charging displays provide an the group and set them in contrast with
auditory beacon for those still distant from other groups. The many functional effects
the gathering site. The aggressive displays, of chimpanzee ritual indicate the adaptive
which can continue as darkness settles, functions that similar rituals provided for our
also serve to intimidate “others” in the ancient hominid ancestors.
darkness. These dramatic ritual expressions
are an important tool for reintegrating the Homologies of Chimpanzee
dispersed society into a single group and are Displays and Shamanic Ritual
manifested in dramatic chimpanzee chorus, A number of aspects of chimpanzee rituals—
concerts, and similar group displays. such as charging displays, stomping and
The threat displays of chimpanzees drumming, shaking branches, beating on the
provide a variety of functional adaptations: chest, ground, or vegetation, and jumping up
and down—reflect prior hominin adaptations
Establishing and maintaining status and that were incorporated into shamanic
order in society ritual activities. Notably, chimpanzees often
Protecting the group and individual, direct these activities not only toward the
including reduction of physical harm nearby members of one’s own group, but
Establishing and maintaining boundaries also to “no one,” and toward unseen others
between groups (i.e., other groups). These displays, and
Producing emotional synchrony within group vocalizations in particular, provide
the group and releasing frustration and an emotional communication system that
tension promotes social well-being, empathy, and
Protecting the group members from social and cognitive integration by enhancing
predators, exemplified in drumming and group cohesion and unity. Primate call and
striking with branches vocalization systems are preadaptations that
Providing a group identity, exemplified underlie the human capacities of song, music,
in the shaping of vocalizations to mimic and chanting (see Wallin et al. 2000). The
dominant group males, and use of music and song in shamanic activities
Creating an auditory beacon for group expands on these expressive modalities

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Michael Winkelman The Shamanic Paradigm 177

that further evolved as mechanisms dancing. The singing, chanting, and dancing
for communicating about an animal’s characteristic of human rituals have a
internal state and for enhancing group biological basis and deep evolutionary
synchronization and cooperation. Ritualized roots in the ritual calls, hoots, and group
synchronous group vocalizations are at the displays that animals use for a variety of
core of shamanic rituals, and as in nonhuman social purposes. These emotive vocalizations
primates, provides an expressive system for exhibited in loud calls and pant hoots have
communicating emotional states, motivating structural and behavioral similarities with
other members of the species, and managing human vocalizations that indicate that they
social contact and mate attraction. are the communicative precursors of human
Drumming and dancing, which are singing and musical abilities, vocalizations
universally associated with shamanism, have that provide information about internal
deep evolutionary roots as mammalian emotional states and external referents.
signaling mechanisms. Such vigorous activity These activities eventually united and
that signals one’s location to others—both integrated the group in the evenings,
allies and potential enemies—is seen as an providing protection by their intimidating
indicator of fitness, an indication of vigilance, sound. Vocalizations that were the
and a readiness to act. “An amazing variety precursors of singing and chanting were
of mammals produce seismic vibrations part of affective displays made during
by drumming a part of their body on a conditions of high arousal that helped to
substrate. The drumming can communicate maintain social contact through an emotive
multiple messages to conspecifics about communication system that signaled one’s
territorial ownership, competitive superiority, presence and emotional state to other
submission, readiness to mate, or presence members of the group (Brown 2000; also
of predators. Drumming also functions in see Oubré 1997). These illustrate basic
interspecies communication when prey adaptive mechanisms of ritual. The role
animals drum to communicate to predators of ritual as a form of intimidation of both
that they are too alert for a successful ambush” the immediately present “other” and the
(Randall 2001: 1). Drumming is a widespread unseen “other” is illustrated in the use of
mammalian communication mechanism used dominance displays in many contexts.
to convey information, a so-called “costly These threat displays used to intimidate
signaling mechanism” that displays fitness, other members of their group, other groups,
enhances the survival opportunities for kin and and even predators, illustrate how these
conspecifics, and reduces the individual’s need ritualized behaviors played adaptive roles
for more costly action. that were expanded in hominid evolution
The related display and vocalization to provide the basis for human ritual and
activities that have been observed among eventually religion.
the great apes, and the chimpanzees in
particular, establish that our common An Ethological Analogy
hominin ancestors also had social adaptations The presence of shaman-like collective ritual
involving excited synchronous singing and practices in prehistoric hominid cultures can

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178 The Shamanic Paradigm Michael Winkelman

be inferred from an ethnological analogy, one extensive drumming, dancing, and music,
in which similar elements in shamanic rituals extending them throughout the night. A
and those of the great apes attest to their number of factors underlie the evolution
ancient foundations. These similarities include of hominin ritual capacities into shamanism
and human religions (Winkelman and Baker
• the most dramatic ritual activity of the 2008). These developments of shamanism
community are beyond the scope of this article, but
have been examined elsewhere (Winkelman
• displays involving an upright posture 2010). I propose that the nocturnal timing
and charge of the rituals provided a zone for further
development. Night-time ritual allowed for
• aggressive display by a charismatic alpha an integration of the cognitive processes
male to manifest dominance involved in dreaming. Dream experiences,
combined with drumming, singing, and other
• emotional vocalizations that provide factors, eventually produced altered states of
information about individual states consciousness known as mystical experiences.
These ASC became central features of the
• drumming, including the use of hands new forms of ritual experience that were
and sticks at the focus of shamanism and its healing
practices. These experiences were enhanced,
• activities that unite and protect the perhaps even driven, by the capacity for
entire group, often oriented to a tree, mimesis, a by-product of bipedalism (see
and sometimes occurring at night Donald 1991, 2001), which provided an
expanded capacity for symbolism through
A significant aspect of the hominin heritage enactment. There was also an evolution of
that persisted in the shamans’ healing the human healing capacity (see Bulbulia
practices involves physical manipulations of 2006; McClennon 2002, 2006), derived from
the body, including massage. In the diagnostic the capacity for suggestibility (hypnosis)
phase the shaman may carefully inspect and the healing effects from the capacity
all parts of the body, prodding lumps and for music (see Crowe 2004). The most
abscess and cleansing them through a variety notable of the chimpanzee-human ritual
of procedures homologous with primate differences, however, involve the effects
grooming activities. These activities have of altered states of consciousness and the
correspondences with the well-known associated experiences of the soul and spirit
grooming behavior of primates. Such world. The factors, addressed below, on
behaviors have the ability to elicit the body’s which selective influences could have acted
opioid response (Dunbar 2004). to produce shamanism include extensions
Shamanism expanded these ancient of opioid bonding mechanisms; psychoactive
phylogenetic bases manifested in primate plants that were selected for enhanced use
and hominin ritual capacities into much of exogenous neurotransmitter sources; and
more prolonged display activities involving bipedalism and long-distance running which

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Michael Winkelman The Shamanic Paradigm 179

induced mystical experiences by unusual 2 Universals were inferred for a category of


manipulations of the autonomic nervous practitioners when the characteristics were
reported for 75 percent of more of the group
system (see Winkelman and Baker 2008; and the presence of information was significantly
Winkelman 2010). predicted by data-quality control measures
assessing the ethnographers’ extent of coverage
Conclusions and involvement with magico-religious practices.
Inferences about the past require models. In essence, universality of a feature was inferred
The ethnographic analogy provided many when most of the practitioners of a type had the
insights, using the models derived from characteristic in question, and its absence was a
reflecting of poor data available for the culture
societies at different levels of complexity (e.g. and its magico-religious practitioners.
hunter-gatherer vs. chieftains) to interpret
the use and meanings of past ar tifacts.
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