Shamanism Theory and The Early Chinese W
Shamanism Theory and The Early Chinese W
Shamanism Theory and The Early Chinese W
Early Chinese Wu
Thomas Michael*
*Thomas Michael, Department of Religion, Boston University, 145 Bay State Road, Boston, MA
02215, USA. E-mail: [email protected].
Journal of the American Academy of Religion, September 2015, Vol. 83, No. 3, pp. 649–696
doi:10.1093/jaarel/lfv034
Advance Access publication on July 5, 2015
© The Author 2015. Published by Oxford University Press, on behalf of the American Academy of
Religion. All rights reserved. For permissions, please e-mail: [email protected]
650 Journal of the American Academy of Religion
1
For discussions of the earliest forms of the graph wu, see Chen (1936: 536–538), Chang (1994:
11–12), Allan (1991: 77), McCurley (2005: 136), and Li (2001: 44–46). Keightley (1998: 765),
however, writes, “Because I do not believe that oracle-bone graph , which is often read as wu 巫,
referred to ‘shaman’ or ‘spirit medium,’ I do not consider the Shang use of the term relevant to the
present enquiry.” Boileau (2002: 354–355) provides a precise summary of the meaning of this graph,
namely as a spirit, a sacrifice, a form of divinization, and a living human being.
2
Mathieu writes, “However, shamanism pursued an autonomous existence in the countryside up to
contemporary times, as one sees in the studies by de Groot [1910: 1187–1341] and Doré [1911–
1938]” (1987: 23). For more on the political fortunes of the wu in the Ming (1368–1644) and Qing
(1644–1911), see Sutton (2000); for the wu in Communist China, see MacInnis (1989); for the wu in
contemporary China, see Anagnost (1987).
Michael: Shamanism Theory and the Early Chinese Wu 651
3
Qu Kezhi (1930), Li Anzhai (1931), and Chen Mengjia (1936), cited in Tong (1995: 180–181).
Notice that the studies by Qu and Li predate by some five years Chen’s study, who has received the
lion’s share of recognition by Western scholars.
4
Chen writes, “The ancient Chinese religious leaders were also the political leaders; when primitive
society changed from matriarchy to patriarchy, the males [namely the male wu] took charge of
political and military authority” (1936: 533).
5
Li writes that the wu “developed from private wu to official wu. After they had been given official
posts, they developed into the leaders of the community. Along with the increase in their authority,
they became chiefs, and finally, kings—this is the origin of chiefs and kings” (1931: 42). Chen
continues this line of thinking: “The chiefs of the wu evolved into kings as political leaders” (1936:
535).
652 Journal of the American Academy of Religion
scholars of ancient China agree that the king himself was actually head
shaman” (1983: 45), but Chang himself was the first Chinese scholar to
apply the terms “shaman” and “shamanism” to the wu after the publication
of Mircea Eliade’s study that appeared in English in 1964.6 More recently,
two studies by Tong Enzheng (1995, 2002) have presented the most com-
prehensive articulation of this approach to the wu as shaman-kings.
In the Western academy, the first attempt to identify the wu as
shamans was put forth by L. C. Hopkins (1945). Being an early pioneer
in this endeavor to identify the wu with shamans (some six years before
the French publication of Eliade’s work; he also appears not to be familiar
with the Chinese scholarship discussed above), he just did not have a
lot to work with.7 Edward Schafer’s (1951) study was next in the line of
6
Puett writes, “Chang did not indicate which scholarly definition of shamanism he had in mind in
making these arguments, but he did occasionally refer to Eliade. Moreover . . . Chang’s
interpretation of a shamanistic cosmology is identical to Eliade’s” (2002: 34).
7
Hopkins writes, “The Shaman or Wizard of the proto-historic Orient, his vocation, his reputation,
his strange psychosis, and his place in the community, are not all those written in the chronicles of
the Works of de Groot and Shirokogoroff?” (1945: 3). Nowhere in this work does he explore the idea
of the shaman or shamanism or explain why he makes this identification.
8
As Boileau points out (2002: 351), Schafer made one cross-cultural comparison: “After the Chou
dynasty, the female shaman . . . was forced into sub rosa channels for the practicing of her magic
arts, analogously to the witch of medieval Europe” (1951: 134).
9
Actually, Bodde (1961) could be claimed to be the first scholar to have seriously, albeit very
briefly, applied Eliade’s theoretical apparatus to the early Chinese wu, but as it seems that his ideas
only become relevant in another context of this debate, I reserve comments on him for a later section
of this study.
Michael: Shamanism Theory and the Early Chinese Wu 653
10
Citing Eliade’s work, he writes, “Indeed the functions of Chinese wu were so like those of
Siberian and Tunguz shamans that it is convenient (as has indeed been done by Far Eastern and
European writers) to use shaman as a translation of wu” (Waley 1956: 3).
11
And he does nothing to dispel this “source of confusion”: “‘Shamanism’ is a word invented by
nineteenth-century anthropologists from the Tungusic word shaman. Modern anthropologists have
exercised their proprietal right to define it in various ways, generally rather narrowly, but in popular
usage it has come to apply to a rather wide range of religious beliefs and practices for which old-
fashioned terms like ‘animism’ and ‘sorcery’ are felt to be inadequate or unsuitably patronizing”
(Hawkes 1985: 43). One is here reminded of Geertz’s famous statement on the “insipid” nature of the
category “shamanism” (1973: 122).
654 Journal of the American Academy of Religion
12
Chen (1936) should head this list, but since neither the term “shaman” nor “shamanism” was
available to him at the time of his writing, he of course did not make the connection.
Michael: Shamanism Theory and the Early Chinese Wu 655
13
On this note, Humphrey writes, “We should try to discover what shamans do and what powers
they are thought to have, rather than crystallize out a context-free model derived from images they
may or may not use” (1996: 192). Although Humphrey was discussing the living shamans available to
her at the time of her fieldwork, I am less interested in locating specific shamans than I am in
investigating the primary characteristics of the textual representations of the early Chinese wu. But
the idea of eschewing any of those essential qualities of the shaman and shamanism that cannot be
identified with actual evidence, literary or ethnographic, as the case may be, still holds.
656 Journal of the American Academy of Religion
All too often writers who deny the existence of shamanism in China do
so on the grounds that the shaman is nowhere to be found; Keightley
writes that the character of the wu in the “Chuyu, xia” “does not seem
markedly shamanistic. . . . On the contrary, these religious practitioners
are described in terms suited to a perspicacious and reverential sage”
(1983: 8).
About the socio-historical existence of shamans in early China, all
that we have at our disposal are the records, literary or otherwise, of
something that we may or may not construe as shamanism.14 Still, one
expects that if shamanism existed in early China, it would closely resem-
ble recognized forms of Siberian or Central Asian shamanism known
from eighteenth-, nineteenth-, and twentieth-century fieldwork,15 al-
14
It is this absolute absence of ethnographic possibility that allows the study of early Chinese
shamanism to be the object of such extremely divergent conclusions. Atkinson writes, “Most items by
anthropologists are ethnographic and focused on single cultural traditions. . . . Such scholarship has
had insufficient impact on the wider field of shamanic studies, which features general theorizing,
model-building, and self-actualization. . . . Without an ethnographic counterweight this literature
slips quickly into unwarranted reductionism and romantic exoticizing of a homogeneous non-
Western Other” (1992: 308–309).
15
Boileau brings this point home: “Arthur Waley also translates ‘wu’ as ‘shaman,’ referring directly
to Siberian shamanism. He was followed by numerous scholars who used comparatism to
demonstrate that a form of religion present primarily in Siberia and still observed today is a reliable
explanatory tool for Shang and Zhou civilization” (2002: 351).
16
Hutton provides a lengthy excerpt of what appears to be the earliest eyewitness account, written
by one Richard Johnson, of a Siberian shamanic séance that is dated to 1557 (2001: 30–32).
17
This notion that the Siberian shaman demonstrates the pure shamanism against which all other
shamanisms are to be gauged is, arguably, the most important legacy bequeathed by Eliade. “In the
dim, ‘confusionistic’ mass of the religious life of archaic societies considered as a whole, shamanism—
taken in its strict and exact sense—already shows a structure of its own and implies a ‘history’ that
there is every reason to clarify. Shamanism in the strict sense is pre-eminently a religious
phenomenon of Siberia and Central Asia. . . . [Shamanism] has had its most complete manifestation
in North and Central Asia, [and] we shall take the shaman of these regions as our typical example. . . .
But this Central Asian and Siberian shamanism has the advantage of presenting a structure in which
elements that exist independently elsewhere in the world . . . are here already found integrated with a
particular ideology and validating specific techniques” (1964: 4–6). Note here that Eliade has
presented and connected two separate ideas about Siberian shamanism that has had a lasting impact
on the history of shaman studies, including those by sinologists: first, of all shamanisms found in the
world today, only Siberian shamanism demonstrates a pure shamanism; second, Siberian shamanism
most closely approximates archaic shamanism and represents the shamanic “substratum” of archaic
religion (1964: 6). For a theoretical critique of these notions of Eliade’s Siberian shaman, see Kehoe
(1996, 2000). For a corrective study of Siberian shamanism that gives a historical critique of these
notions, see Hutton (2001).
Michael: Shamanism Theory and the Early Chinese Wu 657
18
As mentioned in the previous note, the earliest records of Siberian shamanism can be solidly
dated to only the sixteenth century, a far cry from the Stone Age. There are, as far as I know, only two
other contenders for the honor of being the earliest records of shamanism: prehistoric rock art
exemplified in the cave-paintings of Lascaux and Trois Frères, and ancient Greece. First, prehistoric
rock art is not written and, further, there is anything but consensus that the paintings are shamanistic
(see, for example, Bahn 2001; Diaz-Andreu 2001; Francfort 2001; Klein et al. 2002; Guthrie 2006).
Second, shamanism as a potent force in ancient Greece was presented most enthusiastically in Dodds
(1973 [1951]: 135–156), but this shamanic hypothesis has had very little traction; Hadot wants to
define shamanism as “a certain ritual conduct linked to concrete situations. It is obvious that, in the
Greek philosophical tradition, one can find no trace of this shamanic ritual conduct” (2001: 399).
Puett (2002: 83–94) also challenges the hypothesis of Greek shamanism.
19
As Keightley also rightfully points out, “There may well be ‘many kinds of shamanism’ . . . and,
if so, that makes it all the more important to specify in each case precisely what definition one is
using. Whether these different ‘shamanisms’ can then be related to one another in any meaningful
way always needs to be demonstrated. And the unexamined use of the term should always be a
warning flag, alerting us to the dangers of lapsing into an academic trance as we make our own
attempt to communicate with ‘other,’ unseen realms” (2002: 409).
20
Four works stand out for their comprehensive treatment of the historical construction of these
two terms: Flaherty (1992); Narby and Huxley (2001); Znamenski (2007); and Tomášková (2013).
21
By far the best resource for such scholarly work is Shaman: Journal of the International Society
for Shamanistic Research, launched in 1993.
658 Journal of the American Academy of Religion
22
This indeed is Eliade’s method whereby he designates what he finds to be the essential traits of
the shaman and shamanism (calling, initiation, soul-flight, axis mundi, etc.) and then attempts to
locate them in the archaic mind of homo religiosus. Remarking on “Pre-Columbianists’ willingness to
create new criteria for shamans whenever Eliade’s model fails to work for them” (2001: 218), Klein
et al. write, “Despite Furst’s attempt to redefine shamanism so that it could be found in the Americas,
the new criteria he produced are as unreliable as Eliade’s” (2001: 213).
23
Winkelman is a major spokesperson for this view: “It is argued that shamanism is found
throughout the world because it derives from an ecological adaptation of hunting and gathering
societies to biologically based altered-state-of-consciousness potentials. Agriculture and political
integration are shown to cause the transformation of the shaman into other types of magico-religious
healing practitioners, labeled in this study as shaman-healers, healers, and possession-trance
mediums” (1990: 308).
24
Although Klein et al. do not specifically mention this, I would argue that the most radical
element of these redefinitions of Eliade’s shaman found in the scholarly literature is the association or
even identification of shamans with kings; Eliade himself never made this identification. This seems
to me to lie at the heart of what Klein et al. (2001) call “shamanitis” in relation to the pre-
Columbianists that she takes to task, and this is also what I find to be the weakest, even the fatal,
element of Chang’s ideas about ancient Chinese shamanism.
Michael: Shamanism Theory and the Early Chinese Wu 659
25
Klein et al. continue: “Most importantly, what do these imprecise words really signify today, and
why is that meaning so important to so many of us? We suggest that the best way to answer this
question is to ask what words and concepts the words ‘shaman’ and ‘shamanism’ allow the scholar to
avoid. If we perceive certain individuals as primarily religious practitioners, for example, the label
‘shaman’ allows us to avoid referring to them as priests. Most academics have a general notion of
what the distinction between a shaman and a priest theoretically entails” (2001: 219). They relate the
same separation to the shaman and the magician, the doctor, and the king. What they are trying to
get at is, first, the question, not of what a shaman is, but rather who is not a shaman, and, second, is it
possible for a shaman to no longer be a shaman; this latter question is quite central for any position,
for or against, that sees other religious and political functionaries as emerging from the archaic
shaman. This again is a central consideration for any discussion of shamanism in early China.
26
In fact, the first published appearance of the term shaman appears to be found in the
autobiography, first published in 1672, of one Avvakum Petrovich, in which he writes of his
experiences in exile in Siberia (as pointed out in Hamayon 1993: 4; Pascal 1938 has translated the
autobiography into modern French, part of which is excerpted in Narby and Huxley 2001: 18–20).
660 Journal of the American Academy of Religion
Hutton singles out the 1692 account of a Siberian shaman written by Nicholas Witsen “that
popularized the term ‘shaman’ among Europeans” (2001: 32). For the further account of the
European adoption of the term in the eighteenth century, see Flaherty (1992); Znamenski (2007);
and Tomášková (2013).
27
Winkelman points this out: “Terms that are etymologically similar to the Tungusic saman (e.g.,
csaman, sama, shaman, khaman, śam, csam, kam, xam, xamma-, and xamsa) are widely dispersed in
the languages of Siberia, as well as in Asia and even in ancient Indo-European languages (e.g., śaman,
śramana, samâne, saga, and wissago)” (2013: 47). For more on the slightly different types of social
participants in these Tungus-related societies, see Shirokogoroff (1935), Dioszegi and Hoppál (1978),
and Hutton (2001). Over and beyond the Tungus-related societies, Hutton writes: “[Shaman] was not
the word which would have been used of such figures by the great majority of native Siberians:
among the Turkic-speaking peoples the equivalent term was kam, among the Samoyed-speakers
tadibei, among the Sakha oyun, among the Buryats bö, among the Koryaks enelan, and so forth”
(2001: 47). See also Eliade (1964: 4).
28
To better grasp the range of inclusions in this last phase, I find it helpful to speak of indigenous
traditional shamans, indigenous neo-shamans, and non-indigenous neo-shamans. By “indigenous
neo-shamans,” I mean those people in foreign countries with a history of shamanism who cater to
Western tourists; by “non-indigenous neo-shamans,” I refer to those people in modern first-world
countries who seek to have shamanic visions through altered states of consciousness with the goal of
self-knowledge; Harner (1990) is the classic text for this. The birth of both forms of neo-shamanism
can be dated to May 15, 1957, which marks the publication by R. Gordon Wasson, “Seeking the
Magic Mushroom,” in Life magazine; the article documents his “journey” under the supervision of
the indigenous traditional shaman Maria Sabina (excerpted in Narby and Huxley 2001: 141–147).
Some twenty years later, Maria Sabina was recorded as saying, “It is true that Wasson and his friends
were the first foreigners who came to our village in search of the sacred children, and who did not
take them to heal from an illness. Their reason was that they wanted to find God. Before Wasson,
nobody took the mushrooms simply to find God. One had always taken them to heal the sick”
(excerpted in Narby and Huxley 2001: 167).
Michael: Shamanism Theory and the Early Chinese Wu 661
clarity has given rise to the very interesting debates in which the intellec-
tual authority to have the term shaman refer in any one of these four
ways is presently being argued.29
Many scholars today with a good awareness of geographical and eth-
nographical differences who strive for accurate cultural specificity use the
term shaman not to refer to an ideal figure, but to particular types of
social actors fulfilling socially recognizable roles (to be understood at
least partially in the theatrical sense); Laurel Kendall writes, “There is
irony in Western theater’s having sought its reflection in ethnography
before anthropology was prepared to confront the subjects of its own
musings in theater. . . . Walter Borgoras’s turn of the century account of
29
Kehoe provides a similar understanding for the concept of shamanism: “‘Shamanism’ has come
to be used to refer to: (1) Its original reference, a religious complex in Siberia centering on the
Tungus-Evenki trained practitioner utilizing drum and chant to create an altered state of
consciousness believed to enable the practitioner to divine and to negotiate in the spirit world for
desired effects. . . . (2) Religious practice opposed to historical Western religions, featuring ecstatic
states (trance, possession) and emphasizing individuals’ subjective calling by spirits as contrasted to
the literate religions’ formal ordination of practitioners. . . . (3) A primordial or primeval religion, or
type of religious leader, supposed to have persisted since the Paleolithic among primitive hunter-
gatherer/nomadic peoples. . . . (4) Techniques of altering consciousness, in contemporary Western
societies no longer necessarily yoked to religious beliefs. . . . Contemporary ‘shamanism’ may be
used to heal or for self-expression” (1996: 377).
30
Hultkrantz was instrumental in directing scholars of shamanism coming after Eliade back into
the actual social history of shamans, because he was among the first (and the best) to approach the
shaman in terms of a social actor fulfilling a social role for the members of his or her society (1973,
1996). The works of two other scholars also stand out for their ability to demythologize the shaman,
Lewis (1989) and Hamayon (1990, 1996). Although somewhat dated, Atkinson discusses all of these
works up to 1992; she writes, “Much valuable ethnographic work on shamans is not billed as such
but is contained in monographs with titles that give no hint of a shamanic focus except perhaps to an
area specialist. . . . Newer ethnographic writings offer an important corrective by underscoring the
connections of shamanic practices to local, regional, national, and transnational contexts. They also
call attention to some of the culture-bound assumptions Euroamerican scholars and their audiences
have brought to the study of shamanic traditions” (1992: 308–309). See also Demanget (2001).
662 Journal of the American Academy of Religion
31
In this vein, Taussig (1987) provides the most subtle yet devastating critique of shamanism to be
found in print, with Kehoe (2000) coming in at a close second. Both of these works seem to take
Geertz’s famous comment as their starting point: “the individuality of religious traditions has so often
been dissolved into such desiccated types as ‘animism,’ ‘animatism,’ ‘totemism,’ ‘shamanism,’
‘ancestor worship,’ and all the other insipid categories by means of which ethnographers of religion
devitalize their data” (1973: 122).
32
Lewis understands shamanism much along these same lines as “protest movements” (1989: 26,
107–113), but, since such protest movements are not exclusively tied to imperialism but arise from
numerous styles of protest from gender to class to ethnicity, he finds shamanism to be pervasive
throughout many different societies.
33
Atkinson writes, “ASC . . . has been the buzzword in interdisciplinary studies of shamanism
over the last decade. . . . Whereas earlier scholars of religion had defined shamanism in ways that
incorporated cultural understandings of shamans and their followers, behavioral scientists skeptical
about the ontological basis of spirit worlds have epistemological bedrock in the concept of altered
psychological states” (1992: 310). See Noll (1985, 1987).
Michael: Shamanism Theory and the Early Chinese Wu 663
34
Although Eliade did not make the move to see the emergence of separate religious and social
functionaries from an archaic shamanism, he often condemned what he found in modern
manifestations of shamanic activity and possession as “the decadence of shamans” (1964: 67 and
passim). La Barre is arguably the most well-known spokesperson of the shaman as the source of later
religious functionaries; he writes, “The world’s oldest profession is that of the shaman or first
professional, the shaman is ancestor not only to both the modern medicine man or doctor and the
religious priest or divine, but also ancestor in direct lineage to a host of other professional types. It
would seem odd that both the doctor, the most secular-minded, and the divine, the most sacred-
minded of modern helpers of people, should derive from the same source. But we can readily
understand the seeming paradox when we recognize the basic nature and function of the primitive
medicine man of shaman” (1979: 7). This position was whole-heartedly embraced by Winkelman
(1990) and Harner (1990). Although the combination of the idea of ASC with that of shamanism is
pervasive in modern writings that see shamanism actively present throughout the world, McKenna
(1992) is arguably the leading spokesperson for this.
35
I am not implying that socially recognized shaman figures from other cultural areas not
separately designated here do not demonstrate performances of the séance event, or that they do not
have shamanism.
664 Journal of the American Academy of Religion
I suggest that there is no easy way out of using the term “shaman” to
comparatively label these culturally distinct shaman figures named above,
and the term “shamanism” as a geographical and theoretical category
that allows us to organize certain representations cohering around séance
events shared cross-culturally that indicate direct communication
between human beings and bodiless beings for the benefit of the commu-
nity. In a sense, since the application of the term shamanism has become
embedded in our way of speaking, it is probably too late to coin new
terms such as angatkutism, payeism, or wuism.36 Doing away with the
singular and essentialized notion of “the shaman” while recognizing
differences among even local shamans within each cultural area can allow
36
The term wuism, nonetheless, was De Groot’s favored term (1910); scholars who have written on
the Chinese wu since then, however, have refrained from keeping it.
Michael: Shamanism Theory and the Early Chinese Wu 665
37
Certainly, the foremost voice on how and why scholars rely on “the imagination” in the
construction and management of religious categories is J. Z. Smith (1988).
666 Journal of the American Academy of Religion
38
As Klein et al. (2001: 388; 2002: 213) pointed out, some scholars do modify, even if subtly,
Eliade’s definition and characterization of the shaman in ways that allow them to fit their own
readings of their materials into the shamanism category; this would be less problematic if they did
not take constant recourse to Eliade’s Siberian shaman, but doing that would run the risk of
formulating ever new and ever more idiosyncratic definitions and characterizations of shamanism.
39
Kitagawa presented an early effort to differentiate traditions of shamanism, and he came up with
two: “While there is no unanimity among scholars regarding the definition of ‘shamanism,’ it usually
is used with reference to a characteristic religious phenomenon of Siberian and Ural-Altaic peoples.
According to the Siberian prototype, the shaman is believed to have the ability, by virtue of certain
techniques of ecstasy, to cure the sick and to escort souls of the dead to the other world. On the other
hand, in another tradition, that of Southeast Asia and Oceania, the shaman serves primarily as a
medium while possessed by gods or spirits” (1977: 360). Keightley made much of Kitagawa’s
distinction, but he is, as far as I know, the only other scholar to talk about shamanism in this way.
More commonly, scholars differentiate, to a lesser of fuller degree, shamanism as such from
possession.
40
Chang’s (1983, 1994) arguments remain the most influential for those affirming pervasive
shamanism in early China; Puett writes, “Chang did not indicate which scholarly definition of
shamanism he had in mind making these arguments, but he did occasionally refer to Eliade” (2002:
34), and Keightley adds, “Chang evidently had (Eliade’s) definition of shamanism in mind when he
referred to the shamans as ‘religious personnel equipped with the power to fly across the different
layers of the universe’” (1998: 678). Keightley, on the other hand, whose arguments themselves
remain the most influential for those denying pervasive shamanism in early China, also assesses its
presence in part by recourse to Eliade’s ideal Siberian shaman, and in part by recourse to Kitagawa’s
notion of Southeast Asian shamanism (1983: 4–5; 1998: 770–771). Boileau, following Keightley,
firmly denies shamanism in early China based on his assessment of the materials in relation to the
Michael: Shamanism Theory and the Early Chinese Wu 667
Siberian shaman; he writes, “In order to understand whether Chinese wu possessed characteristics
akin to those of the Siberian shaman, Shang and Zhou texts will now be examined” (2002: 354).What
is missing in studies such as these is any notion of a shamanism with Chinese characteristics that
approaches it on its own terms without assessing it based on any essentialized ideal, Siberian or
otherwise. This does not, however, require that comparison should be dismissed, but it does suggest
that comparison should be value-neutral.
41
Cook attributes this to what she calls the Northern Bias: “The Northern Bias derives both from
the Chinese reverence for the written words of antiquity and from the fact that the most ancient of
surviving historical texts were written by court scholars with northern roots. As Confucianism was
established as state orthodoxy . . . these texts were adopted as classics and became the foundation for
Chinese historical consciousness. Since these texts framed the past in terms of three northern
dynasties—the Xia, the Shang, and the Zhou—southern contributions were ignored” (1999: 2).
42
Arguably the first modern sinologist to have attended to the religious differences of different
ethnicities was Eberhard (1968; original German edition 1943). Neither Chang nor Keightley can be
said to have left behind this monolithic vision in their studies of the religion of the Shang Dynasty,
but in their defense they relied on the limitations of what the archaeological record made available to
them at the time. Although some modern scholars have attended to the variety of early Chinese
religious practices and traditions (Harper 1995, 1999; Poo 1998), they tend to do so without
distinguishing local or cultural differences.
43
Hawkes was among the first Western sinologists to have taken the two-culture theory seriously,
specifically for introducing his translation of the Chuci, The Songs of the South; he writes, “‘Northern’
and ‘Southern’ are relative terms and therefore apt to be misleading. The people who produced the
songs of the Shi jing . . . certainly did not think of themselves as Northerners, though they lived in
what we should nowadays call North China: the North China Plain and the loess plateau to the west
of it. On the other hand, they would certainly have regarded the Chu noblemen who wrote the Chu ci
poems . . . as Southerners, though the kingdom of Chu occupied what to us is Central China: the
lakelands of the central valley of the Yangtze and the lands traversed by its tributaries, the Han and
the Xiang” (1985: 15–16).
668 Journal of the American Academy of Religion
44
The massive study by Zhang (1994) is entirely cogent on this topic, and it paves the way for
future Western studies on shamanism in early China.
Michael: Shamanism Theory and the Early Chinese Wu 669
45
Although Boileau, citing Hamayon (1990), writes, “The two models . . . do not correspond to
societies existing in two chronologically different stages: these different societies co-exist in the same
area at present” (2002: 352), Hamayon makes it clear that the first type predates that of the second.
Nonetheless, when Hamayon speaks of “the most archaic societies, those of the forest” (1990: 730 and
passim), her usage does not refer to the Stone Age. She also skirts the issue of whether or not this
shamanism of the “most archaic societies” is a universal feature of all archaic societies.
46
Next to being “a constitutive part of social organization” for non-centralized societies, Hamayon
writes that “the shamanic institution is in charge of the regular life-giving rituals, destined to ensure
the reproduction of society and of its natural resources” (1996: 77); by a small extension, I construe
this to cover both social subsistence and public health.
47
While not directly naming this as shamanic authority, Hamayon writes, “Usually a successful
practice is the condition for a shaman to be recognized as such. He may be deprived of his social role
670 Journal of the American Academy of Religion
for lack of efficacy” (1993: 15). For her, acquiring shamanic authority is based on the shaman’s ability
to take up the shamanic role and perform it well, rather than on the efficacy of the shaman’s trance.
Lewis also understands shamanic authority to be based on public recognition of it, except he bases
success on the efficacy and depth of the shaman’s trance: “If, for example, a family head becomes
regularly subject to strikingly histrionic trances, which are interpreted as signs of divine possession,
and builds up a reputation for great divinatory powers . . . then he is likely to acquire renown at a
wider and lineage level” (1989: 136).
48
Here again I want to point out the misguided notion of the shaman-king that has played such an
important role in both Mesoamerican and Chinese studies of “archaic” shamanism, and reiterate
once again that Eliade never took the step of seeing the shaman as a wielder of political power. The
comments of Marcus are on the mark here: “When scholars call rulers ‘shaman-kings’ and discuss
their ‘mystical powers,’ they draw on a third inappropriate assumption: that the powers of kings is
based on contacting spirits and on mediating between the supernatural and human worlds.
Nonsense. . . . ‘Power’ is the ability to get people to do what they do not want to do, and it emanates
not from a trance but from the military, economic, judicial, and legal arms of the government” (2002:
409).
49
This is readily marked, in many cases, by writing; Hamayon notes, “Shamanic practice (is) an art
to exercise, as opposed to a liturgy to apply. . . . It appears as a deliberate refusal of dogmatism.
Shamanic societies, and shamans in non-shamanic societies, reject the use of writing for strictly
shamanic matters; this goes together with the absence of a church or clergy. On the whole,
shamanism seems to refuse its own codification” (1996: 88).
Michael: Shamanism Theory and the Early Chinese Wu 671
50
She describes two distinct varieties of shamanism that she locates in the regions of North Asia:
“(Patriarchal shamanism) concerned shamanic involvement in the symbolic reproduction of the
patrilineal lineage, clan, or polity. . . . This version focused on sky-spirits. . . . (Transformational
shamanism) operated by participation in all the forces thought to be immanent in the world. . . .
Rituals were performance-centered rather than liturgy-centered [as with the first variety]” (1996:
199–200).
672 Journal of the American Academy of Religion
51
Hamayon’s insight is that the free exercise of shamanic authority occurs only in non-centralized
societies and that this authority radically diminishes when such societies come into the orbit of
centralized authority. Lewis’s insight is that shamanism is also always available as a source of protest
or resistance to the exercise of authority against one’s in-group. This again raises the haunting
question: are these two forms of shamanism the same or different?
52
Which is not to say that they did not consider it, nor is it to say that other scholars have not
considered it, but there just is not a lot to work with in terms of the archaeological record; Keightley
seems to hit the right note where he mentions “shamanism’s diminishing role in the late Shang”
(1998: 827) that “had probably been taking place ever since the founding of the dynasty” during the
first formations of centralized authority, in which he mentions “older practices, exemplifying the link
between trance and social structure [that] may well have derived from shamanistic practices that had
flourished at an earlier, pre-agrarian, hunter-gatherer stage of social development” (1998: 820). The
implication is that before the establishment of centralized authority, shamanic authority was the
norm. The question that is being begged here is the issue of archaic shamanism: Is it universal? Did
China have it? If so, did its ancient shamanic authority transform into centralized authority or are
they two entirely different forms of authority, radically inimical to each other with the former
displaced by the latter? I follow Hamayon.
Michael: Shamanism Theory and the Early Chinese Wu 673
53
Early Chinese myths of the creation of the world were eventually recorded, but not until the
Warring States, and the first textual indications of them are found in the Daodejing; see Michael
(2005, 2015). For more on the myths of the origins of Chinese civilization, see Lewis (2006, 2009);
Goldin (2008).
674 Journal of the American Academy of Religion
Nong, Zhu Rong, Gong Gong, or Huang Di) and the Five Emperors
(variously listed as Huangdi, Shao Hao, Zhuan Xu, Di Ku, Yao, Shun, or
Yu), and although the lists were fluid until the Han Dynasty, the template
of Three Augusts and Five Emperors was a defining feature of Chinese
mythology. The long lives of the Augusts and Emperors sequentially span
from the beginning of the third millennium to the founding of the Xia
Dynasty, at which point the line of the Three Augusts and Five Emperors
gives way to the dynastic lines of emperors (from Xia to Shang to Zhou).
These myths altogether account for every single year from 2852 BCE, the
date of first year of Fu Xi, to 1046 BCE, the first year of the Zhou (when
myth merges into history). These myths provide not only the traditional
54
This is Mathieu’s position: “The distribution of cults in ancient China allows us to imagine that
shamanism was not limited to a precise geographical region. Everything in fact leads us to suppose
that in spite of local variations, tied to the local flora and fauna, but also to the particularities of the
tribes, this practice covered the entirety of the Chinese territories in antiquity” (1987: 13).
55
This is Loewe’s position: “The shamans were not only concerned with invoking spirits and acting
as intermediaries between gods and men; they also possessed specialist powers as physicians who
could prevent or heal diseases. They could also stimulate fertility and assist in childbirth. They could
sometimes bring down spirits by means of impersonation; they performed ritual dances to promote
marriage, and by dance and music they invoked rain. They may have even have made themselves
invisible as part of the invocation, during which they would hold or brandish instruments or symbols
of jade” (1982: 104).
56
This is Mair’s position: “It has been customary for students of Chinese civilization to translate wu
as ‘shaman,’ but this is wrong on several counts. In the first place, the shaman was the leading
representative of a specific type of religious system practiced by Siberian and Ural-Altaic peoples
[citing Eliade]. Perhaps the most characteristic feature of this tradition was the shaman’s ecstatic
trance-flight to heaven during initiations and other rituals. The shaman also served the community as
a whole by retrieving the errant souls of sick people and escorting the spirits of the dead to the other
world. This is in contrast to the wu who were closely associated with the courts of various rulers and
who were primarily responsible for divination, astrology, prayer, and healing with medicines. Since all
that we know of the wu markedly distinguishes their role in Shang and Zhou society from that of
shamans in the communities where they were the most important spiritual leaders, it would seem
that we should seek a new translation of the term. I should like to propose that an exact equivalent of
wu is ‘magician’ or, better still, ‘mage’” ( 1990: 35).
Michael: Shamanism Theory and the Early Chinese Wu 675
nor denies shamanism in China.57 For this article, I focus on the first and
third positions, taking the first to represent full affirmation and the third
to represent full rejection.
Over and above the theoretical issues at stake in modern shamanism
studies, there remain a certain cluster of reasons specific to sinology that
can help explain the diversity of these positions on early Chinese shaman-
ism. These are what I call the Confucian Bias, the Eliadean Bias, and the
Text-choice Bias.
The majority of writings that have survived from early China, from in-
scriptions on bone and bronze to calligraphy on silk and slips, were over-
whelmingly produced by the literate members of the northern Zhou
57
This is Falkenhausen’s position: “One should emphasize, furthermore, that ‘shamanism’ is not a
particular kind of religion, but a religious technique that can be—and has been throughout history—
employed in the service of the most diverse theologies. . . . The subject of ‘shamanism’ in ancient
China remains deeply controversial. Although I remain unconvinced by overly enthusiastic
treatments . . . I also cannot help finding deep conceptual flaws in those assessments . . . that
downplay or completely deny its relevance to understanding ancient Chinese religious practices”
(2006: 47).
58
Harper (1995, 1999) and Poo (1998) provide studies of early Chinese records that prove the
exceptions to this rule.
676 Journal of the American Academy of Religion
the court, rather than to the popular masses (Mungello 1989; Jensen
1997). One can imagine that they had little appetite to contend with the
popular religions at the grass-root levels of Chinese society, infused as
these were with practices that smacked of European paganism. This
Confucian Bias was later to be absorbed by the nineteenth- and twenti-
eth-century Western missionaries and sinologists in China, who also hes-
itated to attend to Daoism and Buddhism in their popular forms, much
less the popular, local religions centering on the wu.59 With the advent of
Maoist China and the concomitant exodus of Western missionaries and
sinologists from China, the following generations of sinologists holding
academic positions in Europe and America also did not share a great in-
terest in studying Chinese popular religion.60
59
Girardot (2002) has given the story of one of these giants of nineteenth-century sinology, James
Legge. There were notable exceptions to the Confucian Bias during this period, including De Groot
(1910), Granet (1926), and several studies published in the 1920s by Maspero (1971).
60
Although there were notable exceptions here as well, and Welch (1967) is an outstanding
example.
Michael: Shamanism Theory and the Early Chinese Wu 677
he did not associate them with the wu: “Doubtless the wu was not exactly the
same as a shaman; but he incarnated the spirits. . . . It is with incarnating
ghosts that ‘possession’ proper begins” (1964: 454). By wu, he specifically re-
ferred to “the exorcists, mediums, and ‘possessed’ persons . . . [who] repre-
sent the aberrant shamanic tradition” (1964: 450). Shamanism was a heroic
venture, and possession was a decisive manifestation of its decadence.
Defining shamanism as a “technique of ecstasy” (1964: 4) whereby
the soul “is believed to leave the body and ascend to the sky or descend to
the underworld” (1964: 5), then possession is not that, and sinologists
who deny pervasive shamanism in early China often base their claim on
this distinction. Separating shamanism from possession changes the very
61
Falkenhausen is very careful about ascribing even possession to the wu: “While the Zhou li is,
thus, quite explicit about who the Spirit Mediums are and what they do, the text never indicates how
they interacted with supernatural powers” (1995: 294). He goes on to say that the reason that
traditional Chinese commentaries “failed to mention explicitly the fact that the Spirit Mediums go
into trance [and become possessed] was because they thought this obvious, and because their readers
would have had ample opportunity to observe mediumistic phenomena in the field” (1995: 395). In
another piece, he does say that “I find it quite conceivable that pre-reform sacrifices [referring to ‘the
Late Western Zhou ritual reform’] included communion with the spirits by a medium in a trance”
(2004: 476). Keightley gives his stamp of approval to this reading suggested by Falkenhausen, if and
only if there was no possession of the wu (1998: 818, 827). While neither definitively affirming nor
denying possession (yet remaining very open to the possibility of it), note that the question of
shamanism has now become the question of possession. For a similar treatment that rejects
shamanism but affirms possession in twelfth-century China, see Davis (2001).
678 Journal of the American Academy of Religion
that the spirits were said to have descended to them. . . . There is no talk
here of the kind of trance, possession, or fresh insight generally associated
with shamanism” (Keightley 1983: 8–9). Puett (2002: 80–121), finally,
denies shamanism to early China on more general grounds by affirming
that the belief systems of early China were committed to radical views of
spiritual transcendence in which there was no space for humans and
spirits to meet; the worldview of early China was not constructed of three
separate realms connected by an axis mundi, a staple of Eliade’s Siberian
shamanism, so neither shamanism nor possession could have existed in
early China.
Modern shamanism theory has not been content to maintain the
62
Note that his definition of shamanism is still built on the notion of ecstasy and trance: “Ecstasy . . .
should be interpreted as a state of trance, a psychogenic, hysteroid mode of reaction that forms itself
according to the dictates of the mind and that evinces various depths in various situations. It thus
swings between frenzy and hilarious rapture on one hand, death-like comatose passivity on the other,
and a mild inspirational trance in between” (Hultkrantz 1973: 28). Notions of trance and ecstasy,
which have of late given way to notions of ASC, are such a central feature of definitions of shamanism
that it is useless to single them out. Hamayon has provided a radical critique of these terms: “Most
definitions and descriptions of shamanism contain terms such as ‘trance’ and ‘ecstasy,’ and place
shamanism in the same category of religious phenomena as spirit possession. . . . However, the
meaning of these terms is rarely specified, nor is their use usually justified, as though their
appropriateness had been established in advance once and for all” (1993: 3–4). Note her recognition
that modern shamanism theory has collapsed many of the differences injected by Eliade into the
space between shamanism and possession.
Michael: Shamanism Theory and the Early Chinese Wu 679
63
“In antiquity, humans and spirits did not intermingle. . . . [Humans] were concentrated, reverent,
loyal, and correct. Their knowledge could bring close what is appropriate above and below. . . . Because
they were thus, the luminous spirits were able to descend into them. The men into whom the spirits
descended were called xi, and the women were called wu. They established the sites and positions in
hierarchical order for the spirits, and also made for them appropriately colored vessels and seasonal
garments. After that, they ordered the descendants of the former sages . . . to be priests. They ordered
the descendants of the famous clans . . . to be temple officers” (Zuo 2005: 274–276).
Michael: Shamanism Theory and the Early Chinese Wu 681
finds in this solid textual evidence of the ecstatic flight of the archaic
shaman.64 As for the next line, “intelligent shen [spirits] descended into
them; if a shen thus settled in a male person, this was called a hih [xi],
and if it settled in one of the other sex, this was called a wu” (1964: 452),
Eliade makes a radical distinction between male xi and female wu, and he
identifies archaic shamanism with the former (and possession with the
latter)65; that was a heroic shamanism that “very soon gave way to many
parallel experiences that finally faded into the mass of ‘possessions’” (1964:
452). With this, we have all three of Eliade’s primary claims: a universal
and archaic shamanism that includes China, the distinction between sha-
manism and possession, and the denial of shamanism to the wu.
64
Literally, “Their/ knowledge/ could/ above/ below/ (bring close/ appropriate).” As Bodde writes,
“In his Le chamanisme, pp. 396–97, Eliade has also discussed this second text [the “Chuyu, xia”],
basing himself, however, on an inexact translation which has led to certain misunderstandings on his
part” (1961: 393). He relied on De Groot’s translation (1910: 1190–1191), which put the last two
words, bi yi, as the first two words of the next sentence. The idea behind this misreading has
continued to lead scholars such as Chang (1983) and Tong (2002) into what Falkenhausen has called
“overly enthusiastic treatments” (2006: 47) of early Chinese shamanism in the “Chuyu, xia.” Note
that this misreading still survives in some contemporary translations; see, for example, Lin, who does
account for the last two words: “ . . . [they] knew how to ascend and descend and make
comparisons” (2009: 401).
65
“But if all this seems to confirm the existence of a ‘male’ shamanism in the protohistorical
period, it does not necessarily follow that shamanism of the wu type—which strongly encouraged
‘possession’—is not a magico-religious phenomenon dominated by women” (1964: 452).
66
For Eliade, “the fall” refers to a mythic time when heaven and earth were closely situated next to
each other and it was much easier for shamans, or even all people, to ascend to heaven, but due to
some ritual fault on the part of those early shamans, they separated and it was only the shamans who
could ascend to the heavens by way of ladders or rainbows or bridges or trees or mountains (the axis
mundi); Eliade writes, “Though indirectly, these myths refer to a time when communication between
heaven and earth was possible; in consequence of a certain event or ritual fault, the communication
was broken off; but [shamans] are nevertheless able to re-establish it. This myth of a paradisal period
brutally abolished by the ‘fall’ of man will engage our attention more than once in the course of our
study; it is in one way or another bound up with certain shamanic conceptions” (1964: 133).
682 Journal of the American Academy of Religion
used Bodde’s translation of the line qi zhi neng shang xia bi yi, “[They]
make meaningful collation of what lies above and below” (Bodde 1961:
392; Chang 1983: 44), rather than provide his own translation which in
all likelihood would have read it to refer to ecstatic flight. Where Chang
most significantly goes beyond Bodde is in his injection of the political
into his reading of the “Chuyu, xia”: “This myth is the most important
textual reference to shamanism in ancient China, and it provides the
crucial clue to understanding the central role of shamanism in ancient
Chinese politics” (1983: 45). Chang sees here an archaic shamanism that
he identifies with the wu (the same archaic shamanism that Eliade identi-
fied only with the xi), and because the wu as shamans enjoyed ecstatic
flight, they were uniquely qualified to become rulers: “Heaven is where all
67
This is the view held by Childs-Johnson and Tong. Childs-Johnson writes, “The evidence for the
king’s role as shaman priest in invocation rites, in particular, and his singular power of spirit
communication with Shang Di and godlike royal ancestors strongly supports the interpretation that
Michael: Shamanism Theory and the Early Chinese Wu 683
Shang art and religion were based on an earlier tradition of shamanism” (1995: 91). For his part,
Tong makes extraordinary use of the “Chuyu, xia” as a historical record documenting the birth of
Chinese civilization: “The events described in this passage [from the “Chuyu, xia”] thus occurred
precisely on the eve of the emergence of civilization and state in North China. It is clear that wu
formed an important component in the dominant groups of that time” (2002: 44). He uses the
“Chuyu, xia” to construct an exhaustive picture of an original archaic shamanism that transformed
into a royal shamanism that, in turn, further transformed into the major cultural components of
Chinese culture, including writing, astronomy, calendrics, healing, music, law, the performing and
visual arts, and myth and legend, as well as the various key functionaries of religion and politics.
68
This is the view held by Puett and Pankenier. Puett writes: “I will follow David Keightley in
arguing that the passage [from ‘Chuyu, xia’] in fact has little to do with shamanism. Indeed, far from
referring to a mixing of humans and spirits, the text is explicitly oriented toward defining humans
and spirits as, normatively, separate. . . . Clearly, this is far removed from shamanism. The text is not
describing the descent of spirits into humans, and its only reference to humans ascending is a
negative one: it argues against any such attempt. Contrary to Chang’s interpretation, the text is
claiming that spirits and humans should be separated” (2002: 105–107). Pankenier writes: “I suggest
that the ‘Chuyu’ passage, rather than providing a clue to the central role of shamanism in ancient
Chinese politics, actually accounts for the co-optation and subsequent decline of actual shamanistic
practices among the ruling elite as a consequence of the development of a new kind of esoteric and
highly specialized knowledge of heaven perhaps more commensurate with centralized state
formation” (1995: 151).
69
Sukhu writes with Keightley at least partly in mind: “There are some sinologists, however, who
subscribe to a much narrower conception of shamanism, according to which shamans practice
intentional spirit possession. They object to translating wu as shaman on the grounds that wu were
not possessed by spirits. This opinion is based on a faulty understanding of ancient sources” (2012: 75).
70
Might we see in this a famous trait of shamanism, namely the selection of the future shaman by
the spirits? Keightley, however, reads this as describing their moral and bureaucratic excellence, and
their devotion to the court (1989: 8).
684 Journal of the American Academy of Religion
ritual event upon which the rest of the text is based. It is, therefore, easy
to see why its meaning has been contested, and I translate it as “the numi-
nous spirits descended into them.”71 The text continues: “They estab-
lished the sites and positions in hierarchical order for the spirits, and also
made for them appropriately colored vessels and seasonal garments.” If
the spirits descended into them, then the reason for the wu to prepare the
ritual arena and make these garments is obvious: they were individually
responsible for contacting and serving the spirits using their specific
means of calling each individual spirit down into them, during which
time they wore the sacred garments favored by that spirit.72 After de-
scending into them, the spirits, through the mouths and bodies of the wu,
then gave instructions about the way to prepare “the sites and positions”
71
Bodde translates the phrase as “the spirits would descend into them” (1961: 390), marking the
spirits’ taking possession of the wu. Keightley translates it as “the spirits descended to them” (1989:
12), describing the arrival of the spirits to the ritual arena where “them” refers to the wu acting as
ritual specialists without being taken possession of. He finds a passage in the Zuo Zhuan that uses the
exact same phrase, in which the context makes it clear that the spirits descended to a certain state
only to witness its activities. About the passage at hand, he writes that the spirits “were descending in
order to receive sacrifices in the proper, unmixed-up way from the perspicacious practitioners [the
wu] who understood the importance of good order. There is no evidence of possession, ecstasy, or
flight” (1989: 13). Puett affirms this reading: “This is the passage that Bodde read as ‘the spirits would
descend into them’ and that Chang used to build his argument for shamanism. In fact, however, the
wording jiang zhi simply means ‘to descend and arrive’—which is exactly what spirits are supposed
to do when effective ritual specialists entice them with the proper blandishments” (2002: 107).
Keightley’s refusal to read possession or shamanism into the phrase was not without traditional
Chinese commentarial precedent, although Lin (2009: 397–399) argues that Zheng Xuan, the great
Han Dynasty commentator who did discuss this passage in his commentary to the Zhouli, clearly
read this phrase to mean possession. In his study of the Chuci, Sukhu demonstrates how the verb
jiang was reinterpreted by Wang Yi in his commentary to the “Lisao” to mean “descending (from the
body of my mother),” in other words to be born (2012: 36), and he attributes this reworking of the
meaning of jiang to the Confucian commentarial tradition’s distaste for possession. Citing several
instances of jiang referring to possession in early Chinese texts, he writes, “In classical Chinese, spirit
possession is usually indicated in sentences where a spirit is the subject of the verb ‘to descend’ ( jiang
or xia) and the object is a person. . . . Here [citing Hanshu 25] again the state of possession is
described with a verb meaning ‘to descend upon’ and a direct object, zhi, or ‘her.’ A similar formula is
used in the Guoyu [‘Chuyu, xia’] in the earliest extant, and most frequently cited, account of what
happens to people who become wu. That text tells us that ming shen jiang zhi ‘the bright spirits
descend on them,’ which is to say the spirits possess them” (2012: 76).
72
The “Chuyu, xia” nowhere mentions music, but it is not difficult to imagine that it too had a
central role in the séance; Rouget writes, “Let us say that, in possession, music is the condition sine
qua non of the trance experience. This is so for two reasons. First, because possession trance is a
change of identity, because that change of identity has no meaning for the subject unless his new
identity is recognized by everyone, and because it is the music that signals it. Second, because this
new identity must be manifested and because dance is (usually with costume, but not always) its
principal and frequently sole expression” (1985: 324). I am persuaded this is also the reason for the
special attention that the text gives to “the sacred garments” worn by the wu during the possession
period.
Michael: Shamanism Theory and the Early Chinese Wu 685
73
Although the grammar of these two sentences is identical, Keightley translates them somewhat
differently; for the first he writes: “After that, if there were descendants of those former sages . . . one
made them Invocators,” and for the second: “By employing the descendants of famous clans, those . . .
became Temple Officers” (1989: 36). In Keightley’s translation, it is unclear by whom or whose
authority the priests and temple officers were named to their positions, because they were the
descendants of the same wu, where he takes er hou to mean generations later.
74
Rouget writes, “During trance, the subject is thought to have acquired a different personality: that
of a god, spirit, genius, or ancestor . . . who has taken possession of the subject, substituted itself for
him, and is now acting in that subject’s place. . . . For a longer or shorter period the subject then
becomes the god. He is the god. We can call this possession in the strict sense of the word” (1985: 26).
686 Journal of the American Academy of Religion
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