We might say the first scientist who brought the issue of the Archetypes to the field of the science of psychology was Dr Carl Gustav Jung. He performed very comprehensive studies on the subject of archetypes not only in religious and mythological issues, but also dreams.
Arash Javanbakht MD (Iran)
Dept. of Vice President for Research,
Mashhad University of Medical Sciences, Iran.
Address: No 180, Banafsheh St, Sajjad Blvd, Mashhad, Iran.
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Introduction
We might say the first scientist who brought the issue of the Archetypes to the field of the science of psychology was Dr Carl Gustav Jung. He performed very comprehensive studies on the subject of archetypes not only in religious and mythological issues, but also dreams. Archetypes are some permanent and very important elements of the man's psyche that can be found in all nations, civilizations, and even primitive tribal societies of all times. According to Jung, archetypes "are not disseminated only by tradition, language, and migration, but ...they can re-arise spontaneously, at any time, at any place, and without any outside influence" (1). An archetype is a universal form or predisposition to characterize thoughts or feelings (2), an unlearned tendency to experience things in a certain way (3). Jung points out that: " 'Archetype' is an explanatory paraphrase of the Platonic eidos. For our purposes this term is apposite and helpful, because it tells us that so far as the collective unconscious contents are concerned we are dealing with archaic or I would say primordial types, that is, with universal images that have existed since the remotest times... The archetype is essentially an unconscious content that is altered by becoming conscious and by being perceived, and it takes its colour from the individual consciousness in which it happens to appear" (4). Archetype is not a picture, but rather the tendency to form a picture in typical ways; in the other words, a mental model made visible. (5) An archetype is believed to evoke powerful emotions in the reader or the audience because it awakens a primordial image of the unconscious memory and that is why the myths, legends, or even movies (such as the Star Wars) that are based on the archetypes can attract and arise the attention and feelings of the readers or the audience so much. Jung believed that the unconscious section of man's psyche makes the scenario of a dream, a legend or a myth as a the reflection of the psychic elements and process of growth. According to his idea, the human psyche shows its process of growth and evolution in a visible and understandable shape for the conscious mind in myths and legends.
A very interesting legend that is highly archetypal and symbolic is the legend of The Lord of the Ringsthat is the subject to this article. Through this article I will try to discuss the symbolism of four major archetypes of the Self, Hero, Anima, and Shadow as the elements of the psyche in the legend of The Lord of the Rings very briefly:
Self
Gandalf the Wizard: The whole story begins with the entrance of "Gandalf the gray" as a symbol of the Self that bears a message and tells the truth about the ring. Just as in many other myths, this is the Self which comes for a short period in the beginning and provokes the journey and calls the Heroes for the quest. Then he disappears from the sight of the Heroes and goes to the dungeon of the Saruman who will be talked about as a symbol of the shadowed Self!
Then he comes back and leads the fellowship through their hard journey and has to lead them to the gate of the Moria mines. Here we see he has a crystal on his staff that lights up the dark of Moria as a symbol of the blessed light of the Self that we see in the legends.
A very important part of his story is his confrontation with the monster Balrog in the dark of the Moria mines. It is very interesting to see that his fear and refusal to choose the path of journey through the mines is the fear of the whole psyche for encountering the troubles of the internal journey because the pathway of psychic growth and evolution is through pain and suffering and it bears many dangers and hazards for the totality of the psyche. Dr. Jung in his book Psychology and Alchemy notes the instinctual fear of this journey because of its hazard of disintegration for the whole psyche. (6) He brings an example from the Rosarium Philosophorum that says: "Nonnuli perierunt in opere nostro". There are also other alchemical notes about the severe difficulty of the pathway. (7) But Gandalf finally has to accept the fate.
In the dark of Moria (which can be discussed in more detail in other articles as a part of the psychic journey through the deep darkness of the unconscious [Descent of Jesus, Jonah to the belly of the fish, Joseph to the well, and the journey of Hercules in the dark sea during the night]) (8) (9) (10), through the dark of unconsciousness the fellowship encounters the dark fiery monster of Balrog. Here Gandalf has to fight the creature and he falls down the Abyss, a journey through the Hades or hell, which is needed in the way of growth. Through this falling down deep to the dark of unconsciousness and through struggling with the fire of Balrog, Gandalf grows and the fire purifies him to the "Gandalf the White". This reminds us of the notes of ancient Alchemists about the purifier and cleaner nature of fire (You have to pass through the fire to get purified) and also of the descent of Jesus through hell in the Apostles. King David wrote "For great is thy mercy toward me: and thou has delivered my soul from the lowest hell." (11) It is also written in the Holy Quran of Muslims that "Not one of you but will pass over it (originally: through it [hell]). This is a decree which must be accomplished."(12). Finally Gandalf defeats the Balrog and they fall on the rocks covered by white snow (in the movie) as another sign of the victory of the light forces.
After his purification and growth, Gandalf appears to the Heroes Legolas, Aragon, and Gilmi (I will discuss them later) in the dark and unknown forest of Fangorn (Resurrection of the Christ, exit of the Jonah from the belly of the fish). It is a common happening in myths that the Self appears in places like the forest or seaside that are the symbols of the unconscious. Jung notes a story from Quran that Moses met a wise man from god at the seaside: " Behold, Moses said to his attendant, 'I will not give up until I reach the junction of the two seas or (until) I spend years and years in travel.' But when they reached the Junction, they forgot (about) their Fish, which took its course through the sea (straight) as in a tunnel. , ... So they found one of Our servants, on whom We had bestowed Mercy from Ourselves and whom We had taught knowledge from Our own Presence" (13) When the Heroes risk entering the dark of unconsciousness in order to save the other parts of the psyche (lostHobbits) they face the Self.
Another task of Gandalf is to heal the diseased king of Edoras, Theoden that I will discuss as an unrevealed part of the Self, which is still covered by shadow (Poisoned by Sauron).
The other very important appearance of Gandalf the White as the main part of the Self is when the dark forces in the battle of Rohan are defeating the forces of light. As Jung notes, the Self appears and helps the whole psyche in the very difficult and breaking psychic situations, the light comes in the very dark! (14)
A notable point about Gandalf's appearance in that breaking situation of war is that he comes after the forces of light (Aragon, Theoden, Legolas...) decide to go out and fight until death: "For death and glory!" It means in the breaking parts of the psychic evolution, the Self appears and helps when there is no other hope and the conscious (Hero) takes the risk for his life and faces directly the darkness and danger. It shows the need of a conscious decision to face the trouble as a condition for the Self to appear.
Elrond, king of the Elves: He is another symbol of self with the magical nature (He is an Elf). He has more relation to Arwen (to be discussed later) as the symbol of the Anima rather than of consciousness. This fact makes his role - as another layer of the Self -different from the role of Gandalf as having more contact with the conscious part (Heroes).
Theoden, king of Edoras: It is not easy to call him a symbol of the Self, but he has signs that makes me think so. He is the diseased king of Rohan whose brain has been troubled and poisoned by Saruman (A force of darkness). He is standing at the edge between two similar symbols on the two sides: He is a king and has been a good person relater to the enlightened Self (Gandalf) and his brain is diseased by Saruman the Wizard (who will be discussed later as a shadowed Self). Better say, he is a symbol of an unrevealed part of the Self, which is still covered by shadow side. He represents the diseased king of the stories of Alchemists or the sleeping prince in the dark deep of the sea asking for help, saying: "The one who saves me from the Abyss, I will guide him to treasures." Let us suppose that Theoden is a still dark part of the Self that will be cleaned from the effect of Shadow by the light part of the Self (Gandalf) with the help of consciousness (Aragon and others).
We can find some other symbols of the Self in the legend such as the magical sword given to Frodo by Bilbo that alarms Frodo to danger by its blue light during the hazards, or the light of "Earendil" given to Frodo by Galadriel the Elf queen ow which she says: "May it be a light for you in dark places, when all other lights go out" which is an exact definition for the Self! Another is the crystal that Gandalf puts on his staff to light up the dark of Moria. As we know it is very common for the Self to appear as lights, gemstones, crystal balls, and magical swords.
Another appearance of the Self is when Arwen (the Elf princess) -holding the wounded Frodo- is flying from the Black Riders (that want to catch Frodo) while she reads a spell and when the river attacks the Black riders.
Finally let us call the evil Saruman (the wizard serving the Sauron) and his crystal ball "Palantir" as the symbols of dark and shadowed Self that are on the other side of the white Self (more later).
Hero
In almost all legends, role of Heroes is very prominent and they are supposed to overcome the forces of darkness (Shadow) by the guidance and help of the Self and by the assistance and help of the Anima. Heroes in this legend reflect the symbolism of the conscious part of the psyche.
Frodo Baggins : Frodo's task as a Hero is very complex in the legend as the ring bearer. He is not as powerful and glorious as the common Heroes of other legends but as Galadriel the Elf says, "Even the smallest person can change the course of the future". Frodo's weaknesses make him very similar to the real Heroes in psychology (the conscious).
Frodo is a Hobbit and Hobbits are in a lower level than the humans and the elves (other parts of the consciousness) since the Hobbits are more fearful and more conservative besides possess less power in comparison. They are shorter than others that will hold them closer to the earth (symbol of the unconscious). Besides, they have pointed ears that position them on the edge of the unconscious in comparison with men, and they never wear shoes and are shorter: they are therefore lower and closer to the more primitive parts of the psyche.
Aragon: He is a human and is much more similar to the Heroes of the legends than Frodo and is more powerful and braver and he is present in all the battlesindicating perhaps the necessity for the action of the conscious psyche in all struggles with the Shadow. His love with Arwen the Elf (as Anima) makes him more similar to a typical Hero. Since he is a human, he doesn't have magical powers or characteristics of the other fellows that are related to the elements of unconscious; he is more linked to reality and owns more real powers. These all let us suppose him as the pure conscious part of the psyche in contrast with Frodo and Legolas who are on the border of the conscious and unconscious. Since he is completely conscious, he is the only one who doesn't kneel in front of the Gandalf the White in the Fangorn forest when he, Gimli the dwarf, and Legolas meet Gandalf the White for the first time.
Legolas the Elf : His being an Elf links him more to the higher levels of consciousness on the border of higher unconscious rather than Frodo who is more connected to the lower levels and more primitive parts of the unconscious (Although both are mainly conscious, but not as much as Aragon).
Legolas's very sharp vision and his Elfish features put him on a border between the consciousness of Aragon and the Self (Gandalf) as a high and enlightened figure of the unconscious; Frodo, on the other hand, is on the border between the conscious (Aragon) and the shadow and more instinctual parts of the psyche. (Legolas never goes wrong, but Frodo sometimes is in hazard of surrendering to the Shadow)
These three Heroes form a comprehensive feature of the Hero with his connections with the dark (shadow) and light (Self).
In this article I am not going to discuss Gilmi the dwarf as another member of the fellowship, one who may be in a lower level than Frodo. (Dwarves are great miners who work in the mines under the ground (unconscious). Since dwarves are short creatures and live and work in the underground mines, it makes me think that they might be related to the Cabires of Goethe's "Faust" that interested Jung in Psychology and Alchemy
Anima
Anima is present in almost all legends and represents the unconscious identity of the man's psyche. Anima is defined as the traces of feminine character hidden in the man's unconscious that is supposed to get rid of the dark of Shadow as a task of the conscious Hero in the process of individuation. The Anima also helps and saves the Hero in many difficulties as we see when Arwen saves Frodo from Black Riders.
In this article I will discuss two symbols of Anima in the legend: Arwen and Galadriel who are both Elves and who represent the unconscious character of the Anima.
Arwen: A beautiful Elf who is in love with Aragon (Hero). This love is a main element of almost all legends and myth as the tendency of the two sides of the man's character to join, as the instinctual affinity of conscious and unconscious identities.
Arwen also takes part in a very severe section of the story when she saves the lower part of the Hero (Frodo) from Black Riders (Shadow) by the help of the Self (Self appears here once as the water of the river that attacks the Black Riders in the shape of white horses when Arwen reads and casts a spell, and again as Elrond the Elf who heals Frodo) while Aragon (totally conscious Hero) is not able to save Frodo from the Riders.
Arwen is an Elf and her mysterious and supernatural features and powers symbolize her links to the unconscious and the Self (She is a symbol of developed Anima which is purified of the effects of Shadow).
Galadriel: An Elf who is the grandmother of Arwen and links her to the deeper layers of the unconscious and maybe to the parts that are called the collective unconscious by Dr. Jung!
She has special features and powers like the ability to reading other's minds and she also has a mirror that shows the future and the past. These features connect her as a symbol of Anima more to the Self than Arwen.
Although she is developed and linked to the Self, she still has to fight and resist against the Shadow in the scene of the story in which she feels a severe tendency towards the evil ring in the hand of Frodo; a test that she passes!
Shadow
There are many creatures on the side of shadow in the legend. Some completely belong to the Shadow side (Like Sauron and the Orcs), and some belong to the other archetypes that are contaminated and corrupted by shadow:
Sauron : Sauron is the deepest part of the Shadow; he is Satan himself. Since Sauron belongs to the deepest parts of unconscious Shadow, he is more and more vague and unknown. Sauron rules all the forces of the dark side but since he is in the deepest of the unconscious, he has no close contact with the conscious and he fights the Heroes with his forces that are in the more superficial layers of the Shadow. It is the deepest evil desire in the legend, which rules other acting elements of the Shadow side that are in more contact with the conscious and interact more with it.
Since it is the deepest part of Shadow (Let me call it collective unconscious Shadow, the Satan of the religion and mythology), the conscious aspects (Aragon, Frodo...) have less direct contact with it in the beginning and middle of the adventure. For before facing Sauron, consciousness has to solve its conflicts with the more superficial levels of the Shadow that are more accessible to the Hero (conscious) like the Orcs, the Watcher serpent at the gate of Moria, etc.
A very prominent presentation of Sauron is his eye that sees almost everything and everywhere (every part of the psyche from the deep of the Shadow side). This reminds me of a verse of the Holy Quran that says: "O children of Adam, let not the devil seduce you, ... He surely sees you, he as well as his host, from whence you see them not." (15) Like Satan, Sauron cannot force you, but he can seduce you to do wrong! (Quran: "But he had no authority over them,- except that We might test the man who believes in the Hereafter from him who is in doubt concerning it: and thy Lord doth watch over all things.") (16)
The Nine Ring wraiths : I prefer to put them in the deepest of the Shadow side after Sauron. These "Black Riders" that are also called Nazguls, wear black cloaks (another sign of unconscious Shadow) and are invisible and can only be seen because of their clothing. This feature (their being invisible) makes us believe that they are more unconscious than the Orcs or other Shadow side characters.
Nazguls are the direct soldiers of Sauron and are at the second level after him. They ride black horses or flying dragon-like creatures and do not walk on feet (That shows their more supernatural [unconscious] and forceful identity).
They are on the edge between the material world and supernatural immaterial world. This makes me think they are on a border between the collective unconscious Shadow and the personal Shadow!
Nazguls have a keen sense of smell and extremely poor vision (17) that represents their association with more primitive elements of the psyche.
Saruman : He is a White Wizard who is corrupted by the dark side. Since he is a Wizard, he must belong to the Light side, but he completely serves the dark Sauron. This fact makes his identity more complex to the audience. These contraries helps me conclude that he is a completely Shadowed SELF!
Previously I discussed the situation of Theoden the king of Edoras whose brain was poisoned by the dark side as an unrevealed and diseased part of the Self that needed to get rid of the Shadow. Sauron is also corrupted by the Shadow side, but there is no way back for it; It is a thoroughly Shadowed Self. He may belong to the other dark side of the Self. The destructive dark side of the Self is discussed more by Dr. Jung in Man and his Symbols. (18)
Watcher in the Water : This serpent lives under the water beside the gate of Moria where the dangerous journey through the mines of Moria begins. His being called "The Watcher" reminds me of the verse of the Quran about Satan once more. (15) Although it is part of the Shadow, its presence is needed for the evolutionary growth process because when the fellowship knows about the dangers in Moria, they decide to get back (And stop the process of growth!); But the Watcher serpent blocks their way back and make them escape from it into the Moria and continue their needed adventure. It is hidden in the water of unconscious and the Heroes must not awaken this more superficial layer of the Shadow by troubling the water (Its awakening may result in Alcoholism or extreme sexual activity of the person).
It is interesting that this serpent grabs Frodo who -as I mentioned before- is more linked to the lower and primitive layers of consciousness rather than Aragon and Legolas.
Balrog : I discussed this test of the Self before. It is interesting that this creature isnot able to speak (It is one of the rare pictures of the Shadow side that does not speak). The mute condition relates Balrog to more primitive and basic layers of the unconscious.
Orcs and Uruk-Hai : These are acting soldiers of the Shadow. These creatures are in closer contact with the conscious part of the psyche (the Heroes) in the battles. They have bodies and are more similar to men and Elves than other subtypes of the Shadow I discussed before which puts them at the most superficial layers of the Shadow at its border with the conscious. They even have blood like humans (which is black and reminds os of their being shadowy and unconscious). They are very primitive desires and fears which are bred from the earth of unconscious. Besides, since they are more revealed to consciousness and are more known by it, they are the weakest elements of the Shadow against the power of the Heroes. A Hero can easily kill an Orc or an Uruk-Hai, but the problem about these primitive instincts and fears as parts of the Shadow is their vast number, their populationtens of thousands! It is their number that makes the task of the Hero difficult against them.
Orcs that are made only by Sauron are weaker and also more susceptible to the Light (of the Self and consciousness) that weakens them.
In contrast, the Uruk-Hai that are bred by Saruman are a new generation of Orcs, a result of the companion of the Shadow (Sauron) and the corrupted Self (Saruman). This friendship between Sauron and Saruman in creating the Uruk-Hai makes them more complex and more powerful than the Orcs and also resistant to the Light!
The Uruk-Hai complexity increases when we hear that Saruman says that Uruk-Hai are made out of the Elves taken by the dark powers! They are tortured and ruined Elves fallen in battle with the Shadow and swallowed by the Shadow.
Finally, they are the symbol of the Shadow of darkness (made by Saruman the Wizard) over almost all parts of the psyche such as the Self, the conscious Hero (One of the Uruk-Hai kills Boromir the human who was a partner of the fellowship as a Hero), and the Anima and Animus (the corrupted and evil transformed Elves). The Uruk-Hai may be the equivalent of psychosis!
In this article I tried to discuss very briefly the footsteps of the psychological archetypes in the legend of The Lord of the Rings. Presence of these archetypes in almost all the myths is because they (as important main elements of the psyche) reflect their interaction and growth in the human art and mental products such as stories, myths, and movies. The legend of The Lord of the Rings is a complex and well-prepared story where we can find the reflection of several human psychic archetypes and of the steps of psychic archetypal evolution. A special character of this legend in comparison with many other mythological stories is that Tolkein is not satisfied by creation of just one character for each archetype, and through his legend we meet different characters for different layers of each archetype that makes this legend an exception. We can also find several symbols and faces for psychic situations and complexes through their evolution in the legend.
This article discussed very briefly some of the main archetypes and some other articles and books can be written on the issue of the symbolism of the other archetypes, complexes, and stages of the psychic evolution through the process of "Self Actualization" or individuation in the legend and in the excellent movie of The Lord of the Rings. Several questions must be noted as possessing more detailed symbolism: Sauron, Balrog, Saruman, Bilbo the Hobbit, other Hobbits as the friends of Frodo, Celebron the Elf, Elrond the king of the Elves, Boromir the human who dies as a member of the fellowship (Is he the son of the king that is eaten by the king in the alchemical books?), the Ents, and the very interesting creature Gollum who walks (better say crawls) on the border of consciousness and unconsciousness, and also on the border of the Shadow and the Hero!
Numbers in the legend might also be discussed (that would have been very interesting to Dr. Jung!) such as the number of the members of the Fellowship, the Black Riders, the kings, the humans, elves, and the Hobbits in the fellowship, and etc.
© Arash Javanbakht 2003.
References:
1- Jung, Carl G, The Archetypes and the Collective Unconscious, Trans. R. F. C. Hull, 2nd ed. New York: Princeton University Press, 1969, P: 79.
2- Hynan, Michael T., course of Personality theories, Personality Theory 820.407 Se 001 Spring, 2003, Chapter 3, Jungian analysis, University of Wisconsin -Milwaukee.
3- Boeree, George, Introduction to C.G. Jung, Archetypes, 1997
4- Jung, Carl C. The Archetypes and the Collective Unconscious. Trans. R. F. C. Hull. 2 nd ed. New York: Princeton University Press, 1969, pp: 4-5.
5- According to Goodman and Kemeny in Senge et al. (1994, p. 164)
6- Jung, C.G. (1968). Psychology and Alchemy, 2nd Edition. (Collected Works of C.G. Jung, Vol. Ch IV, Myth of Hero.
7- Allegoriae Super Librum Turbae, Art. Aurif., I, pp. 139ff
8- Acts 3:15; Rom 8:11; I Cor 15:20; cf. Heb 13:20
9- Matthew, Mat. 12:40 (KJV)
10 - Quran, Joseph (Yüsuf), 12: 15
11- Psa. 86:13 KJV
12- Quran, 19:71
13- Quran, 18: 60-65
14- Art, Aurif, II, p.243: "Et invenitur in omni loco et in quolibet tempore et apud omnem rem, cum inquistitio aggravat inquirentem"
15- Quran, 7:27
16- Quran, 34:21
17- http://www.lordoftherings.net/guide/index_ring.html
18- Jung, C.G., et al (1997), Man and His Symbols, Ch 3, Contact with the Self.
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