UDK 903'i"63i/634":29i.37:i59.96i
Documenta Praehistorica XXXIII (2006)
Shamanic and/or cognitive evolution
Mihaly Hoppal
Institute of Ethnology, Hungarian Academy of Sciences, Budapest, Hungary
hoppal@etnologia.mta.hu
ABSTRACT - Many misconceptions have been associated with shamanism. Recent studies, however,
show a way to reinterpret basic concepts concerning shamanism. New field data from ethnology/
anthropology, and studies on cognitive evolution have provided new results to enable a reconstruc-
tion of some mechanisms which contributed to early developments in the social life and intellectual
history of prehistoric people. Shamanic healing methods, simple rhythmic and motor patterns and
visual/symbolic representations are the focus of this analytical paper.
IZVLEČEK - Šamanizem je bil pogosto predstavljen napačno. Novejše študije ponujajo reinterpreta-
cije temeljnih konceptov šamanizma. Rezultati novejših raziskav na področju entnologije/antropo-
logije in kognitivnega razvoja omogočajo pojasniti mehanizme, ki so prispevali k zgodnjemu soci-
alnemu in inteluktualnemu razvoju človeka v prazgodovini. V razpravi se ukvarjamo s šamanistič-
nimi metodami zdravilstva, ritmičnimi in motoričnimi vzorci ter vizualnimi in simbolnimi pred-
stavami.
KEY WORDS - shamanic initiation; hunting; singing; visual symbolism; rock art; community rituals
In this essay, I should like to present and test some
hypotheses which I have put together concerning
the origin of shamanism. This is important because
there are a great number of misconceptions concer-
ning shamanism in general and about its early form
in particular. But as an anthropologist I want to learn
more about Neolithic Eurasia from archaeology and
archaeologists, and about recent findings and the-
ories on the prehistoric cognitive (r)evolution used
in the discipline neighbouring anthropology.
From a methodological point of view it is rather risky
to attempt a reconstruction of early forms of cogni-
tive evolution. That is why we shall not operate with
similarities or analogies, but simpler behaviour like
hunting, singing, dancing, initiation, healing, etc.
These are functions hypothetically in use in early Pa-
laeolithic times and also used up to now by those
shamans I have met.
Initiation Rituals in Hunting Communities
The human need to find food to eat, the so-called ali-
mentary instinct, has always been a basic human
need. It means that the first human(oid) communi-
ties needed skilled hunters, and hunting became a
more and more complex action, or even a series of
linked actions. Cooperation in hunting became com-
mon and important in order to have enough food.
The same happened in gathering. In order to obtain
food, they became acquainted with a great number
of edible plants, and also herbs with healing proper-
ties, toxic plants, and even hallucinogenic species.
Andrej Wiercinski, a Polish archaeologist, developed
a model of initiation of a shamanistic type which is
relatively unknown, in spite of the fact that it was
published in 1989. Let me quote his ideas here:
"Intensification of gathering and hunting among
the nomadic groups, bearing the character of a
joint family, led to a clearer division of biocultural
roles between the two sexes and different age cate-
gories. Women, bearing children and protecting
young offspring, although helped by older children,
were mainly concerned with gathering around a
temporary place of stay, taking care of the fire, and
preparing food; whereas, men were undertaking
distant hunting expeditions. Their life was full of
dangerous events which demanded comprehensive
and detailed observation of their environment, the
fauna and the flora, the landscape, weather, and
the sky. All the data had to be correlated with one
another in meaningful mnemotechnical whole,
taking into consideration symptomatic signals
(cracks of twigs, sounds and trails of animals, etc.).
This paves the way for the cognitive development
and for thinking, based on figurative analogizing.
Hence comes an additional problem as to an inter-
generation transfer of quite extensive knowledge
about the environment, tool production, and hun-
ting behavior. Next, the hunter must have had at
his command a very efficient human organism
which could endure physical exhaustion, thermal
extremities, hunger, pain, fear, etc., and he had to
develop his volitional motivation (self-control). Fi-
nally, the hunting expedition demanded a coordi-
nated and self-sacrificial cooperation of all the
members of one sex, and age groups variously re-
lated to one another. It also demanded the forms
of behavior directed towards the obligatory altru-
ism. This is why the upbringing and training of a
skilled hunter should, on the one hand, cover an
intergeneration transfer of the knowledge about
the surrounding and of the hunting craft and, on
the other hand, comprehensive perceptive and en-
durance tests. A complex model of the origin of
shamanism is shown in the following diagram."
(Wiercinski 1989.22)
Initiation was (and still is) an important social func-
tion which made individuals mature enough for the
daily fight for survival and made them more able
to endure pain, fatigue, hunger, etc. Initiation rituals
forge communities more powerfully, since their par-
ticipants accumulate more strength than they had
before.
Exactly because of the highly complex and extremely
difficult initiatory process, those who pass it succes-
sfully, eventually become leaders of a group. As we
know from our ethnological cross-cultural research
the shaman was (and still are) the informal group
leaders who provide protection for the group at a
Diagram 1. Wiercinski's model of shamanic initiation.
physical level, and as a charismatic individual, was
the opinion leader in spiritual matters. As Michael
Winkelman puts it: the shaman led the most impor-
tant group activities, an all-night community gathe-
ring for healing which provided a direct encounter
with the spirit world. Drumming and dancing ecsta-
tically, the shaman recounted a dramatic encounter
with spirit forces. After collapsing from exhaustion,
the shaman entered into a phase of 'soul flight' or
'soul journey', in which the shaman experienced en-
tering the spirit world to do battle with evil forces.
If successful, the shaman was able to ward from the
attacks of sorcerers, or recover the patient's soul from
the spirits that had taken it (Winkelman 2002.72).
As psycho-biological understandings of mystical and
religious states of consciousness have developed, sha-
manism has emerged as humanities' original 'neuro-
theology (as Winkelman 2004 labelled it in one of
his papers), and bio-psychosocial healing practice.
He proposed that shamanism contributed to human
social and cognitive evolution by providing mecha-
nisms for enhancing symbolic thought, and manipu-
lating and integrating the functional systems of the
brain. He has outlined this neurological basis for sha-
manism in Shamanism: The Neural Ecology of Con-
sciousness and Healing (Winkelman 2000).
The universals of shamanism present a challenge to
the rationalistic view that these practices are delu-
sional. The universal principles of shamanism reflect
an underlying biological basis that provides adaptive
mechanisms that have made shamanism a central
cultural institution of thousands of cultures and
across tens of thousands of years. This widespread
distribution of shamanism reflects its adaptive va-
lue. The first and most important (and thoroughly
studied) social function of shamans was healing.
Healing and Music
Recently there have been new studies which em-
phasised the shamanic origins of music and healing
(Hoppäl 2002). The very first element of any heal-
ing seance is that the shaman(ess) calls on his/her
helping spirits. In most cases this happens through
song, and the invocational melody is usually accom-
panied by some kind of instrument.
The most reliable descriptions of Siberian shamanic
rituals come from researchers who are themselves
members of the nation in question and, what is more
important, still live among their own people. Leonid
Lar is a Nenets researcher who answers the above
description and who has published several volumes
of text collected during field work. In one of these he
gives an authentic explanation of the role of shama-
nic song in rituals:
"An indispensable part of the shamanic seance is
the shamanic song. The shaman used to call his
helping spirits in song, and talked with them in
song, accompanying the whole process on his
drum"	(Lar 1998.39)
The Nenets believed that, together, the sound of the
drum and the song of the shaman were able to invite
the benevolence of the helping spirits and that, on
final balance, this had a positive influence on the out-
come of the entire seance.
During the healing seance, they had to find out the
reason for the illness, which is why the shaman had
to make a symbolic journey through both the 'upper'
and the 'lower' worlds (Kazakevitch 2001) in order
to bring back from either of these places the soul of
the sick person. This journey was described in detail
in the songs, and the song also included naming
the helping spirits that they had invited and those
that actually came. The tunes of the spirits were dif-
ferent from each other and were easily distinguished
both on the basis of the melody's structure and of
rhythm (Seykin 1996; 2000). Onomatopoeia was a
distinguishing feature of these songs, as they repre-
sented animal-shaped helping spirits (e.g. the bear,
the loon, the reindeer or the moose) through imita-
ting the characteristic sounds they make (Dobzhan-
skaya 2002.84). Onomatopoeia is actually the begin-
ning of music, the first appearance of the musical abi-
lity of man. According to ethno-musicologists, in this
fashion the songs of shamans retain memories from
the times of the original emergence of music (Rouget
1985). An important characteristic of healing shaman
music is that, besides the helping spirits, the indivi-
dual shamans themselves each have their own dis-
tinguishing tune, sometimes more than one, and this
is the case in distant South America as well as in Eu-
rasia (Walker 2003).
Thus it is hardly surprising that the power of indivi-
dual shamans was measured by the number of songs
they knew. In other words, the shaman's power lay
in his songs, and the power of the instruments was
only an additional force. This is the impression I re-
ceived when in February 2003 I saw a Daur shama-
ness (Hoppäl 2005) who, after the healing seance,
went on singing to the patient for a long time, giv-
ing instructions and advice to the young girl, who
hearing the dramatic song, sobbed and received the
healing song kneeling and bowing to the ground. My
impression was that the healing power emanated
from the singing voice (Newman 1998.267-272),
and from drumming (Harner-Tryon 1992).
Repetition and Rhythm
There is another important element we must men-
tion when talking about music in shamanism, and
this is the fact of repetition. Films about the last sha-
mans of the Nganasan people who live in the far
north show quite clearly that one of the most impor-
tant potent features of shamanic song is repetition.
Among the Nganasan, who live on the Taymir Pen-
insula, this was the task of the shaman's assistant
(touptusi). Let us quote Carolyne Humphrey's evoca-
tive lines on this phenomenon, in connection with
Daur shamanic song.
"The refrains, which had to be repeated by com-
petent assistants leading the whole audience, were
essential to raise the shaman's soul energy. The
shaman's body channels were opened by means of
the smoke of a sacred plant to enable soul energy
to travel out and spirit energy to come in. Rhyth-
mic words, melody and vibration inspired soul
energy."	(Humphrey 1996.234)
In some ways the same idea is referred to by a Finish
ethno-musicologist in an article analysing Selkup
shamanic songs. 'Shaman songs have somewhere an
element of recurring pulse structure' (Niemi 2001.
156), which eventually lead to the production of en-
dorphins in the human body (Prince 1982). This is
the hypothesis that recent research on the cognitive
evolution of our Paleolithic ancestors has been aim-
ing to substantiate (Mithen 2006). It is interesting to
quote an American researcher:
"A range of evidence indicates that shamanistic ele-
ments were already part of the cultural practices of
the Middle Paleolithic. This evidence includes: 1.
the homonids basis of chanting, music and psycho-
emotional group ritual activities based in mimetic
capabilities, and 2. the soul of shamanic practices
in meeting a number of individual and societal
needs for shared identity and communication.
Music's effects include the induction of slow-wave
brain wave patterns typical of other altered states of
consciousness. Music's adaptive role includes its abi-
lity to promote group cohesion and co-ordination,
enhancing synchronomy and co-operation among
group members." (Winkelman 2002.78-79)
In other words, the groups of humans who banged
bones together, hitting on a joint rhythm (Frolov
1988.3), were practicing simple forms of co-operation
with the leadership of their shamans. Joint dances
and collective drumming represented another deve-
lopmental step, which led to the further development
of cognitive structures - in other words when they
were able to distinguish different rhythms by the 'mu-
sic modules' within the brain (Mithen 2006.64).
Visual Representations of Cognitive Evolution
The purpose of our study is to offer a survey of re-
cent research which deals with the signs of rock art
and their symbolic meanings. Anthropological and
archaeological approaches differ from each other;
hence it is instructive to become acquainted with the
views of groups of researchers, their methodological
differences and the configurations of their results.
Theoretically, we have a relatively large corpus of
signs in rock drawings available to us; but there are
few types, a fact that makes it difficult to understand
their meanings and the functions (Hoppäl 2003).
If we look carefully at the features of the Neolithic
rock art of North Eurasia, and within this, of Western
Siberia, we can see that - as in Paleolithic art - the
main subject is the animals. Two Russian Scholars
(Okladnikov and Martynov 1972) have confirmed
that this kind of art is typified by a lively realism.
However, in the Bronze Age a completely new me-
thod of images came into existence; these two au-
thors stress that at the end of the Neolithic and in
the Bronze Age, the use of signs steadily increased,
as did the role of symbols; and the art of this period
is filled with abstract and conventional symbols. The
meaning of the earlier pictures was obscured and the
early images were used as signs, and symbols. How-
ever, the analysis of the symbols of that period, an
attempt to unravel their meanings, raises a number
of difficulties. At this point we must make a brief de-
tour into the concepts of sign and symbol.
It is worth re-examining the theory which proposes
that the development of art in general moves from
a realistic picture to an abstract symbol, a theory to
which experts in prehistoric art so often refer. Au-
thors of some publications have taken the position
that in the use of signs people developed various
types of signs successively, which was not along a
simple line of development. In other words, the 'in-
vention' of the symbol can be traced back to a much
earlier age than the Neolithic (Wiercinski 1983). Pa-
laeolithic 'realism', which includes some really mar-
vellously faithful 'drawings' in cave paintings can not
be placed in direct contrast to the use of simple gra-
phic signs, since in the cave art a whole range of sym-
bolic representations can be found, the most impor-
tant of which is hunting magic. The latest research
testifies to the clear existence of sign systems even
in the early Palaeolithic.
Okladnikov and Martynov state that Siberian rock
drawings used many signs which were inherited
from their ancestors; this becomes even clearer in
the light of Alexander Marshack's research. He is
concerned with the use of symbols at the end of the
Palaeolithic, and the first appearance of recognisable
pictograms on the basis of archaeological findings.
He revealed scratches that recall fish shapes on the
smallest objects (e.g. mammoth tusk fragments). He
believes that these drawings should not be seen as
artistic, but as the beginnings of a cognitive process
(Marshack 1972); this led people to recognise the
motif-character of simple zig-zag lines, and later, for
example, that the repetition of the seasons could be
well illustrated with the help of such signs. These
scratches could be, according to these hypotheses, a
record of the first prehistoric calendar. The common
method of perception, the conscious use of symbol,
the identified motifs and the repeated movements,
lead to the development of a capacity for abstraction,
and over a long period to the formation of the cave
and rock art in Siberia.
For the Russian authors, the above arguments about
the early development of art undoubtedly suggest
an aesthetic attitude in which realism is on a 'higher
scale' than symbolic art. At the same time, symbolic
signs were an important step in the development of
human ability - the creation of symbols is one of the
proofs of the capacity for abstract thought. The con-
scious use of signs is an important point in the intel-
lectual development of human beings. Therefore it is
not surprising that in recent years there have been
many studies which examine the art of the earliest
times in terms of the use of signs and symbols (Lewis-
Williams 2004). The possibility for a semiotic inter-
pretation emerged based on the obvious idea that
the rock drawings at the time they were made were
signs which, as in almost every picture, were inten-
ded to communicate, to indicate something to others,
to members of the community. Our task is thus to
understand and explain this ancient sign language
(Hoppäl 1992).
There is another approach which also contributes to
the explanation of the formation of the early use of
signs. Neolithic people - and their ancestors and
hunter successors even until today - met signs in
their most simple form every day: the footprints of
animals when they were hunting. In the language of
semiotics this sign of type is known as an index, a
sign which is immediately connected or connects
with the signified object - the foot print signifies the
animal itself. Naturally this goes further - these tra-
ces have extraordinary characteristics; that is, they
convey information about the animal to those who
know how to read them (for example, the weight,
sex, size and age of the animal). We could say that
this simple group of signs was of great iconic impor-
tance, which contributed to a great extent to the for-
mation of sign usage, and to the recognition of the
iconic character of signs.
The appearance of footprints or handprints - or dra-
wings representing them - in rock art possibly had
a magical significance, too; however, we believe that
it is better to see them as the development of human
cognitive capabilities (Marshack 1972). In terms of
semiotics the sign is more iconic - that is, it is simi-
lar to the object in at least some details - but it has
broken away from it; that is, not the whole figure
is depicted, but a detail only, the form or print of a
hand. We could say that this type of sign is half way
to being a symbol - in other words, an arbitrarily se-
lected symbol. That this truly came about at the end
of the Neolithic period, the transition period to the
metal age (that is at the turn of the first millennium
BC) as Okladnikov and Martynov believe is yet to be
confirmed.
Apart from the earlier mentioned indices (eg. the
footprint), signs which are based on the similarity
between the sign and the signified object are iconic,
while the third main sign type is the group of sym-
bols which are made up of completely arbitrarily se-
lected signs, the use of which established a prelimi-
nary (tacit) agreement among the members of the
community. Clearly this supposes the most develo-
ped and conscious use of signs. This all means that
this knowledge came to humanity very early. So, for
example, symbolic scenes of reproduction - recogni-
sable precisely because of their iconic features -
were drawn very early. With the help of these signs
they believed they could ensure fertility and an abun-
dance of game. We can say that the people of prehi-
story were not just 'naive' materialists, but conscious,
sign using social beings. V. N. Toporov, on examining
the rock paintings of the late Stone Age, wrote about
the use of symbols by Palaeolithic people as if they
were the beginning of the appearance of poetic sym-
bols. He looked at Western European cave painting,
the art of 'underground sanctuaries', where the no-
tion of the power of signs was developed during sac-
red-ritual activities by ancient peoples. The emer-
gence of the sign of the sun, which is everywhere
circular, and its connection with other depictions, is
the first obvious clue that its objective was to medi-
ate some sort of more complicated message (Topo-
rov 1976).
Returning to the deer and sun mythology connec-
tion, it could be said that the golden sun-deer motif
was in all probability significant for early nomads,
but the rock drawings indicate that, although the
original root and formation of the symbol goes back
to Neolithic Siberian culture, it spread and survived
to become a product of the Bronze Age. Okladnikov
and Martynov (1972.226) see that Neolithic peoples
did not personify the sun - in the Siberian rock art
the sphere of the sun and elks are usually separate,
although in one case, precisely on the shaman drum-
mer drawing, the symbol of the sun appears on the
back of an elk cow.
The sun-deer - whether elk or reindeer - was a fre-
quent feature and remained in Siberian mythology
(Martynov 1991). A depiction of it can be seen on a
rock beside the Tom River - its monumental propor-
tions seem to be a projection of the earthly and up-
per worlds in the form of a deer. With the help of
the Siberian Tagar Culture's bronze (and gilded) deer
it is possible to date fairly accurately this huge rock
drawing to about the V-IV century BC. This is the
period when the ancestors of the Hungarians ap-
peared on the southern steppes of Siberia in a wave
of nomadic horsemen. However little we know about
the living areas and shelters of our ancestors in those
times, the Tom River rock drawings, along with the
Tagar culture objects, precious objects that survive,
are important structural elements in the reconstruc-
tion work of the Ob-Ugrian, and more generally, Si-
berian mythology. An important task in the next de-
cades will be to reconstruct the mythology within
one big language family, namely of the Uralian peo-
ples in the Siberian area; in this task the religious
notions of far distant territories are possibly of use
(see Siikala-Napolskikh-Hoppal eds. 2006).
In the reconstruction of the conceptual systems of
the people who did the rock drawings, the beliefs,
myths and legends of still surviving ancient Siberian
peoples will play an important part. Russian resear-
chers have used this method to reconstruct the ori-
gins of the history and folklore traditions of extinct
peoples. But this method and practice must be used
only on condition that it is understood that spiritual
traditions have changed, albeit slowly, over centu-
ries and indeed millennia, and that is why the rem-
nants of these mythologies must be used with reser-
vations, and undergo strict scrutiny (Crook 1999).
Rock Art and Community Rituals
The Neolithic art of the Siberian hunters was conse-
quently a continuation, under new historical condi-
tions, of the basic traditions of Paleolithic realistic
art. It absorbed the artistic attainments of the prece-
ding era. Here we find representation of animals in
profile, a convention that was formulated in Paleoli-
thic art.
It must be emphasized that the basis of Asiatic
thought and style remained as before in the north
Asiatic Neolithic, because the basic economy and
way of life of the hunters changed little. True, there
were external discontinuities at the beginning of the
Holocene. Glaciers and mammoths disappeared; the
Siberian forests filled with moose, and the tundra
with reindeer. Hunting conditions changed. But hun-
ting remained the basis of the North Asiatic foraging
economy.
The Neolithic art of Northern Asia which has survi-
ved to our times is represented basically by three
creative genres: ornamentation, sculpture, and nu-
merous depictions on cliffs. The subjects of this art
reflect the economic evolution of this era and as a
whole have the following fundamental characteris-
tics: (1) animals take a primary role in petroglyphs,
while people are clearly secondary; (2) an interest-
ing combination of live, dynamic realism and con-
ventionalism may be observed in the artistic com-
munication of images; and (3) the ideational, seman-
tic bases of this art constitute the world outlook of
hunters and primitive hunting magic.
In Neolithic antiquity, cliffs were cult sites, 'clan san-
ctuaries' (Martynov 1991.12). At their foot, on a
stone ledge, the ancient hunters evidently conduc-
ted clan festivals in honour of their ancestors, spi-
rits protecting the clan animals, and the omnipotent
sun. They represented the reproduction of animals,
scenes of successful hunts, and the gaining of spirit
favours in religious spectacles, dances, and songs.
Evidently these festivals ('animal ceremonialism', see
Siikala 1984) took place in the spring, since concen-
tric circles representing the sun are found among the
drawings (see Okladnikov and Martynov 1972.155).
The drawings, pecked by an able human hand and
incised into the rock, are simple and truthful. They
transmit in lively fashion the image of the taiga dwel-
ler, the mighty moose. In these drawings, the ani-
mal's fundamental features - the immense chest, the
characteristic hump of the muzzle, the fleshy lips, the
long thin legs, and the distinctive beck hump - are
brought out with amazing skill. Many drawings are
distinguished by masterly execution. Among them
are the remarkable depictions of lightly, timidly trea-
ding moose, and of bounding deer on the upper rock
of the Tom River assembly. On this upper rock, too,
are pecked drawings of an owl and a crane. These
are so accurate and precise that even their feathers
can be discerned.
In this essay we have examined some phenomena of
community rituals, especially healing ceremonies
which are considered neuro-biologically mediated,
complex forms of social bonding. Recent studies in
medical anthropology have pointed out that ritual
therapeutic experiences rely on patients' own heal-
ing processes by means of various altered states of
consciousness that healers are able to control. "Ri-
tual trance invariably occurs in social context, and
the healer's personality and the expectations of the
community are profoundly involved in the induc-
tion of altered states of consciousness. Trance state
is regarded as a result of the mobilisation of endo-
genous opiates, as an activation of the organism's
defensive mechanisms in face of the stress of cere-
monial. On the other hand, there is a growing body
of evidence that opiate mechanisms are involved
in social behaviour as well, especially in symbiotic
bonds. It is suggested that this is the neurobiologi-
cal reason why attachment facilitates trance induc-
tion." (Frecska and Kulcsär 1989.84). The homeo-
static role of social relationships as a powerful regu-
lator also played an important role in periodically
reinforcing social relations within the community of
our ancestors in prehistory.
The presence of a community in shamanic healing
practices produces therapeutic effects at psychologi-
cal, social and physiological levels. The communal
activities elicit psychosocial support and the mamma-
lian attachment system, provoking the release of en-
dogenous opiates. These endogenous opiates provide
direct stimulation of the immune system, enhance
feeling of well-being, and intensify group bonding
experiences. Shamans use ritual activities and sym-
bols to elicit physiological and emotional responses
and produce healing. The activation of the opioid
system produces euphoria and a sense of belonging,
enhancing coping skills, the maintenance of bodily
homeostasis, tolerance of stress and group psycho-
biological synchronization. This enhancement of com-
munity synchronization promotes identification with
others and the development of an integrated sense
of self (Winkelman 2004.6).
Community relations have been reinforced, enhan-
ced, which evidently means a kind of psycho-biologi-
cal therapy, group therapy which also had positive
effects on individuals. Cyclical rituals and the special
ritual use of plant hallucinogens stimulated the emer-
gence of shamans (Ripinsky-Naxon 1998.148), evi-
dently based on a shamanic cognitive revolution.
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