Tolkien:

 Faith, Modernism and the Critics

Much has and will continue to be written on Tolkien's views of modernism, faith, and its expressions in his works, and there are several books of interest that can be read on these topics.  Note too that Tolkien himself rejected the notion that one could glean the meanings of books based on a study of the lives of their authors.  Nevertheless, a better understanding of the authors views, beliefs, loves and hates might shed better light on the thematic elements of the story itself, although, admittedly, this does not take the place of reading the very story in question (a failure many critics were found guilty of and to which Tolkien was much chagrined). 

This essay is but a brief and somewhat imperfect overview on some of certain thematic subjects.  On this page, I recommend several books and online essays which provide a much more in-depth and fascinating look at these themes.  It is also important to note at the outset, as several others have, that Tolkien did not write an allegory or by any means set out to preach a message (see the Forward to LOTR), but rather to provide first and foremost an entertaining story that was likewise in and of itself meaningful, as he felt all good stories must in fact be.  This is not the same as setting out to preach a message or to purposefully convey a "meaning".  Tolkien acknowledged the story's "applicability" and hence it is on the subject of some of these applicable themes that this essay is provided here.

Modernism

Tolkien detested modernism in nearly all of its forms.  It's not accurate, however, to say that he was a luddite, or that he hated technology in and of itself, but rather that he saw the misuses of it very early on and the terrible repercussions it brought on (and was further capable of bringing on) Mankind.  From his own home town, he witnessed the ruination that came about at the start of the Industrial Revolution as once beautiful fields, streams and trees were ripped up and torn asunder and made over into air-and-water-polluting factories for the war machine that manufactured ways to destroy human life in ever greater numbers.  He saw men, women and children stripped of their humanity and turned into slaves for corporate greed, and watched as the proponents of the modernist movement propagandized this wanton degradation from their plush armchairs, misleading the masses into believing that this so-called 'progress' was good for society. 

In The Lord of the Rings, we're shown a profound contrast that exists between the Modernism (as represented in Mordor and Isengard) and the various societies that exist on Middle Earth: that of the Elves (as shown in Rivendell and Lothlorien), Hobbits (The Shire), noble Men (in Rohan and Gondor), and the Ents (Fangorn).  More accurately, within the dynamic of these cultures to their environments (and one another) do we see Tolkien's salient points on the nature of Good and Evil in the modern world.  But conversely, we are shown the realistic portrayal of modernist corruption taken (nearly) to its logical end and a fascinating look at the mindset of its active proponents.

Sauron and Saruman, the two main adversaries in The Lord of the Rings, appear in my estimation as flip sides of the same coin, bearing resemblance to the archetypes of Politician and CEO.  Sauron is clearly obsessed with power, but his designs are personal, to be wielded not only over lands and groups, but individuals.  Where his former master sought out destruction and ruination, Sauron's goal is different and in some ways more terrifying (for a fascinating study of the differences between Sauron and his former master Morgoth, please see The History of Middle-Earth, Volume 10: Morgoth's Ring). 

The symbol of the Eye perfectly illustrates Sauron's incessant need to 'see' everything that goes on in his dominion.  Yet it is only one eye.  Sauron's sight is not clear, for it is in fact focused on one sole objective, domination.  'In the Kingdom of the Blind, the One Eyed are Kings' is an applicable statement for Mordor, for what are Sauron's servants if not blind?  The Nazgul are literally blind, able to see only in the spectrum of the shadow world to which they mostly belong.  Devoid of substance (literally and figuratively) they are little more than extensions of their master, nine fingers to be wielded by the cruel will of the One Eye.  The Orcs are another example of blindness.  So entirely debased and corrupt as to be metaphorically blind to any concept of good and bad, right and wrong, they exist solely as hated and hateful thralls of their cruel maker and king (whom they themselves hate). 

Sauron as Politician

Fear and overwhelming might are Sauron's primary weapons in his battle for ultimate sovereignty, especially at the time of The Lord of the Rings, when the sides have become clearly polarized.  But as any crafty politician knows, they are but some of the weapons in an arsenal.  A millennia earlier, Sauron had the ability to take on a more pleasing form, and in this guise humbled himself to the superior forces of Númenor (an island city-state run by a powerful race of once-faithful men) who had come to Middle-Earth to dethrone Sauron.  Sauron soon rose from prisoner to councilor, and used deceit and pride to manipulate the Numenoreans into open war against the Valar (the angelic emissaries in charge of governing Middle-Earth).  Once achieved, Sauron would have sole power in Númenor (as he believed the Numenoreans would be wiped out).  His efforts had an unforeseen outcome, however, as Sauron failed to take into account the Supreme Authority of the Universe, whom the Valar called down upon their enemies.  The One caused a massive upheaval which destroyed the Numenorean traitors, along with Sauron's physical form-- for a time. 

Centuries later, Sauron returned.  Failing to learn from his last design, he disguised himself again, this time feigning  friendship with the various races on Middle Earth.  Cleverly, he offered them knowledge and power (for the Elves not of domination but of healing and of preserving things as they were) in the form of rings (which serves as the perfect metaphoric device of not only beauty and great worth but an intimate alliance).  The rings proved to be a trap, a means of ensnaring the leaders of the prominent races on earth.  With the One Ring Sauron secretly constructed, he would have had direct power and control over the Elves, Dwarves and Man.  Where men were concerned, his scheme in fact did succeed. 

The nine kings who took the rings succumbed to the power of the One Ring and became the Ringwraiths, entirely subject to his will.*  But once again, Sauron was blind to the fact that not all were as obsessed with power as he.  The Elves immediately discovered his purpose and hid the rings (thus they remained unsullied by him), and the Dwarves could not be controlled or seduced as Sauron thought (although their greed was exacerbated by the rings and in this way brought ruin upon themselves at Moria).  Sauron's plot foiled, he turned to open aggression, but in this he was once more overcome.  The Last Alliance of Men and Elves was formed to overthrow the Tyrant, and but for their courage Sauron would not have been thrown down. 

*There is a notable and interesting point in that Sauron never needed to ensnare or deceive the Orcs.  Orcs, by their exceedingly depraved attitudes and behaviors, served evil almost automatically when it was in existence and power (see Tolkien's essays on Orcs in The History of Middle-Earth Volume 10: Morgoth's Ring).  When not, the Orcs apparently seemed to serve their own wicked and selfish ends.  Thus, symbolically, Orcs represent that element of mankind that is foul, hateful, murderous and cruel.  Tolkien's conceptions of the Orcs seems to indicate that in fact they were bred from Elves and/or men in hatred and corruption (the Uruk-Hai were a cross of evil Men and Orcs).  These are the perfect tool for Sauron's schemes for mechanized order, as they are by their thoughts and actions, automatic servants of Evil.  In such a world as Sauron envisions, there is little room for anything that might threaten the political establishment.  Freedom of individuality or expressions of creative thought stand in opposition to the hierarchy and oppressive class structure where the prominent benefit on the backs of lower classes who's suffering and lives exist solely for the benefits of those on top.  Tolkien's Orcs therefore are man at his worst and most depraved and stand as polar opposites of the Elves who are man at his most noble, inspired and blessed.  This is of course as a general rule because some of the Elves did in fact "fall" - not in the sense that they became orcs (although those that were corrupted by Morgoth and Sauron did - or their offspring did), but in the sense that they lost their purity and righteous standing to the sins of pride, possessiveness and betrayal. 

Saruman as Politician and/or CEO

Saruman in many ways resembles a younger Sauron under the thrall of Morgoth.  He shares Sauron's disdain for what he deems are lesser beings in society.  Technology is his means by which efficiency is gained through the labor of those lower in rank.  He values that which is most useful to his own self-aggrandizement, namely, power, strength, speed.  Thus does Treebeard the Ent state accurately, "He has a mind of metal and wheels; and he does not care for growing things, except as far as they serve him for the moment."  Such slow-moving, natural processes cannot sate his impatient craving for immediate results and are thus only valuable as fuel for the machine. 

Saruman courts what he sees as the rising political power, Sauron, currying favor from him through imitation and catering of his needs, in this instance by providing an army and aiding in the war effort.  The creation of Saruman's army (the Uruk-Hai) inflates his already superior views of himself as the ultimate Manufacturer, Creator, Producer, failing to recognize that all he has done is twist and corrupt what was already there.  The Uruk-Hai are killing machines, born and bred for the sole purpose of destroying life.  To Saruman, they are the ultimate soldiers and the means by which he will not only survive the war, but ascend to power as well (overlooking the possibility of Sauron's seeing him as a potential threat to his position after he has ceased being useful).  But this is merely a cover for his own bid for power: Saruman is also searching for the Ring in the hopes that he will discover it before Sauron, and thus oust him from the throne and become the sole ruler of Middle-Earth himself. 

His thinking  is practical from a worldly standpoint, but also wicked and corrupt.  So what if it means destroying the lives of millions in the process?  It is akin to amoral science that 'experiments' in the name of Knowledge.  It is greedy corporate policies that pollute and murder in the name of the "bottom line".  Saruman says to Gandalf: "As the Power grows, its proved friends will also grow; and the Wise, such as you and I, may with patience come at last to direct its courses, to control it.  We can bide our time, we can keep our thoughts in our hearts, deploring maybe evils done by the way, but approving the high and ultimate purpose: Knowledge, Rule, Order; all the things that we have so far striven in vain to accomplish, hindered rather than helped by our weak or idle friends.  There need not be, there would not be, any real change in our designs, only in our means."  Gandalf, however, sees through this false reasoning (and his false use of the word 'we') to the real lust that lays at the root of Saruman's corrupted heart. 

The Downfall of the Strong and Ennoblement of the Weak

Saruman and Sauron's thinking reflects a short-sightedness, or a blindness, in several regards.  For one, their disdain for those of a "lesser" nature, causes them to fail to see certain developments which are potential threats to their plans.  Sauron cannot conceive the danger posed by a mere halfling, who he likely considers as silly, weak creatures of no-account, barely useful even as slaves.  Certainly, this is Saruman's views and one of the reasons that he cannot understand the mind of Gandalf, who he sees as having foolishly wasted time with such creatures.  Megalomaniacal and prideful, Sauron entirely fails to comprehend that anyone would act in a way different than himself.  The thought that someone would destroy the greatest weapon in existence is entirely alien to him.  That this weapon would be entrusted to a Hobbit (of all creatures) and brought into his domain is too absurd for imagining, and never does it enter into his thoughts until it is too late and it has occurred. 

Saruman too never conceives the possibility that the interminably, slow-moving, peace-loving Ents could pose a threat (similarly does Sauron fail to reckon with the Drúedain and their ability to help the Rohirrim in their time of greatest need).  But what a formidable threat they become when pushed to wrath!  At its end, The Lord of the Rings gives us a cathartic and uplifting joy in the triumph of the seemingly-weak over the overwhelmingly strong:  Two small and unassuming friends who's endurance and pity overcomes the might of a vast empire; Nature (as portrayed symbolically by the Ents), which strikes back against the mechanistic adversary that had ravaged it for so long; Companions of various races overcoming long-held views of superiority and prejudice and uniting to defend against Evil; A humble man who values peace and compassion triumphs over doubt and fear to ascend the throne and unite ancient divided kingdoms...

Thematic elements such as these give Tolkien's story its timely relevance and weight, and which helped The Lord of the Rings win several 'Best of the Century' book polls.  Aided by the film adaptations of Peter Jackson, Fran Walsh and Phillepa Boyens, Tolkien's books are gaining in even greater appeal and popularity.  But if Frodo and Sam are considered beloved heroes now, such was not the case at the time of the book's publication.

The Failure of the Critics

From a literary standpoint, Tolkien was at odds with his contemporaries.  The vogue among the literary establishment was the voyeuristic approach that modern novels took with characters that probed their intimacies and seemed to revel in their failings and imperfections (writers such as Evelyn Waugh who were being toted as among the most important literary figures of the day*).  Tolkien was far more well-read than many gave him credit for.  He was well aware of this modern trend but intentionally steered towards a different one. 

While not shunning the reality of failings in mankind (quite the opposite - his books demonstrate an utterly terrifying and bleak look at the results of such), he chose to focus more on mythic storytelling (Tolkien's concepts of the elements that make up a good story and the positive and profound effects of Eucatastrophe are better told in his short essays, 'Leaf by Niggle' and 'On Fairy Stories') for the purposes of the enjoyment of his readers, as well as their betterment, providing reminders of forgotten fundamentals: Hope, Joy and Redemption, means of attaining to the ideal by way of Virtue.  His methods, of course, were anathema to the literati who refused to see the forest for the trees.  The critics viewed Tolkien's fixation with archaic languages, monsters, and ancient mythological themes as puerile and stubbornly old-fashioned.  Fairy-tales, they deemed, belonged solely to the realm of children, and could not, nor should not be taken seriously by adults. 

On the release of The Lord of the Rings, the establishment of critics at the time went one of two ways.  One group believed that the book had to be an allegory for one thing or another (which is one reason Tolkien later added a Foreword explaining that his book was not allegorical and that he did not think in those terms).  The other half seemed to find in it nothing of worth or relevance.  In his Foreword, Tolkien addressed this, indicating that though not allegorical, indeed his story was applicable (which he explained might be confused with allegory, but was altogether different as "the one resides in the freedom of the reader, and the other in the purposed domination of the author."). 

Aside from being entertaining, amusing, exciting or moving, The Lord of the Rings was attempting to inspire.  His excellent essay, On Fairy Stories, brings out this point in his discussions on the positive elements that should exist in Fantasy tales: Recovery, Escape and Consolation, which he goes on to explain in depth.  Escape, in particular, he clarified was not the flight of the deserter but rather the escape of the prisoner -- and he penned this famous illustration to explain: "Why should a man be scorned if, finding himself in prison, he tries to get out and go home? Or if, when he cannot do so, he thinks and talks about other topics than jailers and prison-walls?"

* Although Ironically, Waugh's greatest and most well-known novel, Brideshead Revisited was disdained by critics and reviled as 'romantic', demonstrating just how narrow-minded, self-inflated and short-sighted the critics of Tolkien day actually were.

God and Faith in The Lord of the Rings

Tolkien's views on Government and Politics were another area where differed with many of his contemporaries,  as he was outspokenly not in favor of any of the ism's that people hailed as solutions to mankind's ills, recognizing immediately the inherent corruption and failings that plagued modern forms of government.  Tied strongly into this stance were his notions of Faith and Spirituality, which were under attack by an establishment that had mostly become atheistic or agnostic.  Yet in fact, if he hated the sin, he did not hate the sinner, as his friendship with C. S. Lewis attested. 

Very early on, Tolkien and Lewis sparred over matters of faith and Christianity.  Lewis, then agnostic, felt the Bible, like all myths, was essentially a lie, "although breathed through silver".  Tolkien countered that man created myths because he was created in the image of One who created them.  Thus, in myths was man's attempt to imitate God by creating as well.  The Bible remained the one expression of true myth because it sprang not from man, but from the One who created men, albeit through men.  Tolkien's conversations with Lewis profoundly affected his way of thinking, and he came to embrace Christianity, becoming one of its foremost apologists and writing several books that demonstrated a logical defense of Christian faith (as well as the much beloved Chronicles of Narnia series). 

Tolkien himself felt that his own writing was a means of serving his Creator.  Acting in the role of "sub-creator" Tolkien believed that he imitated God in creating what he called the "secondary-world," which reflected a love that God showed in His own Creation.  The heroes of Tolkien's "secondary world" were inspired by the spirit of 'doomed resistance' exhibited by the heroes of the ancient epics that he loved (such as in the Finnish Kalevela, Beowulf and the Norse Eldar Edda) who fought on without hope of future salvation.  At odds with the pagan beliefs inherent in those pre-Christian tales, Tolkien's own cosmology reflected a monotheistic truth. 

The first book of The Silmarillion, the Ainulindalë is the Genesis of the legendarium, elucidating the rebellion of one of the spirit creatures (Melkor) against the Creator.  Melkor goes about to bring ruination of the material world and corruption of the children of the One (named Eru or Ilúvatar a close resemblance to the name of the Biblical God Jehovah), setting all the events of The Silmarillion and The Lord of the Rings in motion.  Tolkien's pre-history of Middle-Earth imagines the existence of a noble and elegant race of beings known as the Elves, as well as a stout-hearted and hard-working race, the Dwarves (both essentially which can be seen as metaphors for different kinds of men).  Men themselves come on the scene in The Silmarillion as the second children of Ilúvatar already haven fallen (a much more in-depth exploration of this can be found in "Morgoth's Ring," volume 10 of the History of Middle-Earth series) and aid the Elves (many of whom are also fallen) in their endeavour against Morgoth (Melkor) and his minions in enormous battles that span an entire age.  By the time of The Lord of the Rings, Sauron has stepped in to continue Morgoth's work of corruption and domination.  

       "In my story I do not deal in Absolute Evil...  I do not think that at any rate any 'rational being' is wholly evil.  Satan fell.  In my myth, Morgoth fell before Creation of the physical world.  In my story Sauron represents as near an approach to the wholly evil will as is possible.  He had gone the way of all tyrants: beginning well, at least on the level that while desiring to order all things according to his own wisdom he still at first considered the (economic) well being of other inhabitants of the Earth.  But he went further than human tyrants in pride and the lust for domination, being in origin an immortal (angelic) spirit.  In the Lord of the Rings the conflict is not basically about 'freedom', though that is naturally involved.  It is about God, and His sole right to divine honour."

(Letter 183: The Letters of J.R.R. Tolkien)

Thus, God plays a prominent, if unseen, role in Tolkien's Lord of the Rings.  Religion is scrupulously not mentioned but Middle-Earth outside of Sauron who is attempting to elevate himself to the position of God, is a monotheistic world.  The intervention of God, though, is seen in the hand of Providence and via his emissaries.  The so-called Wizards are not men who study magic, but angelic messengers of  God who have been sent to Middle-Earth to aid the Free Peoples in their endeavour against Sauron.  Tolkien's epic thus elevates the struggle of Good versus Evil to a much more profound level than most fantasy books pretend.  But if it is more profoundly spiritual in its implications, it is also more acutely real, and thus Lord of the Rings is infused with a deep sorrow and grief that lingers long after the book has been read. 

When Gandalf indicates that "A great Shadow has departed," it is not "The" great Shadow.  Other dark times and powers are going to arise (Tolkien in fact began writing a sequel that would have addressed some of these but after a few pages abandoned it -- it can be found in Volume 12 of The History of Middle Earth series).  This is not entirely a hopeless view.  Ultimately, as in the Bible book of Revelation, we are told in The Silmarillion that Ilúvatar purposes to destroy Evil once and for all at the 'Ending of the World'.  So, The Lord of the Rings, and to a larger degree The Silmarillion, is in essence an eschatological work as it explores the concepts of Sin and Salvation, the origin and nature of Evil, and the themes of greed, power, pride, hope, courage and virtue. 

Applicability and Genius

Referring once more to the applicability of his work (as noted in his Forward), one of the finest elements of Tolkien's genius is that he allows his readers the freedom of application.  While the spiritual dimension of his work exists, it is subtle enough that it is never overpowering and never forced upon the reader, and each individual is free to take from it nothing more than a few hours of entertaining diversion (although in my own opinion this would be a shame).  No doubt, however, there are many who disdain his work precisely because of the inherent theology within it. 

The anti-hero is the icon of modern man.  Prideful, obstinately weak, lustful and profane.  Contrast that with any of Tolkien's protagonists, whether Elven, Human, Dwarven or Hobbit, who are almost paradigms of self-sacrifice, friendship, humility, gentleness and love, and yet remain "human" in the sense of having flaws and the possibility of giving in to temptation, but who struggle to not.  In fact, the metaphoric power of the One Ring (and to a lesser degree the Silmarils) is that it is in effect a means by which temptation is amplified towards each of the characters.  We are shown the effects that giving in to temptation has on those who choose this course.  The Ringwraiths and Gollum, in particular, are significant examples of those who've sacrificed their humanity to attain power or to satiate greed.