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