Maldon and Moria: on Byrhtnoth, Gandalf, and heroism in The Lord of the Rings (1).
Bruce, Alexander M.
"You cannot pass!" [Gandalf] said.
With a bound the Balrog leaped full upon the bridge. Its whip
whirled and hissed.
"He cannot stand alone!" cried Aragorn suddenly and ran
back along the bridge. "Elendil!" he shouted. "I am with
you, Gandalf!"
"Gondor!" cried Boromir and leaped after him.
At that moment Gandalf lifted his staff, and crying aloud he smote
the bridge before him. The staff broke asunder and fell from his hand. A
blinding sheet of white flame sprang up. The bridge cracked. Right at
the Balrog's feet it broke, and the stone upon which it stood
crashed into the gulf, while the rest remained, poised, quivering like a
tongue of rock thrust out into emptiness.
With a terrible cry the Balrog fell forward, and its shadow plunged
down and vanished. But even as it fell it swung its whip, and the thongs
lashed and curled about the wizard's knees, dragging him to the
brink. He staggered and fell, grasped vainly at the stone, and slid into
the abyss. "Fly, you fools!" he cried, and was gone. (Tolkien,
The Lord of the Rings [LotR] II:5 322)
SUCH IS THE FALL OF GANDALF at the bridge of Khazad-dum in The
Fellowship of the Ring, a powerful moment in The Lord of the Rings
wherein the fortunes of the Fellowship seem lost, their hearts and hope
diminished, and they must carry on without their original leader. And
this moment is not original to J.R.R. Tolkien but can be traced, as can
many of his characters and situations, to an Anglo-Saxon source.
This moment of two parties separated by a narrow bridge of course
brings to mind the Anglo-Saxon "The Battle of Maldon," the
poem that recounts in sometimes tragic, sometimes heroic language the
events at Maldon in AD 991, when an English force led by ealdorman Byrhtnoth fought--and lost to--a party of Vikings. As such, "The
Battle of Maldon" may easily be considered an analogue, a source
for the episode at the bridge of Khazad-dum, except that Tolkien adapts
the situation: he takes the occasion to "correct" the behavior
of the self-serving Byrhtnoth through the actions of the self-less
Gandalf. (2) The comparison--or rather, contrast-between the two leaders
has not gone unnoticed, as Janet Croft recently (2004) noted in her War
and the Works of J.R.R. Tolkien (93-94). Yet Tolkien's exploration
and adaptation of the issues presented in "Maldon" extends
beyond the inclusion of an analogous moment of a hero at a bridge.
Though Tolkien critiques one aspect of "Maldon" through
Gandalf's actions, elsewhere in The Lord of the Rings he celebrates
the Germanic heroic code as so powerfully stated in the Anglo-Saxon
poem. In a way, Tolkien takes the mixed message of
"Maldon"--with its positive and negative exempla of heroic
action--and shapes a unified presentation of heroic responsibilities in
The Lord of the Rings.
Let us begin with the parallels of situation. According to the poem
"The Battle of Maldon," a force of Vikings occupied Northey
Isle in the estuary of the river Blackwater along the southeast coast of
England. (3) These Vikings, led by a certain Olaf, were bloodthirsty,
vicious, trained to kill. They had come to collect tribute--given
voluntarily or not. Facing them across the river were the English, led
by Byrhtnoth; with him are some who are indeed well trained in war but
mostly men who are untrained, as early in the poem Byrhtnoth must show
them "hu hi sceoldon standan and pone stede healdan [...] hyra
randan rihte heoldon, / faeste mid folman, and ne forhtedon na"
("how they should form up and hold the position," how to
"hold their shields properly, / firmly with their fists, and not be
at all afraid") (19-21). (4) Joining the island to the mainland is
a causeway or land bridge accessible only at low tide, and so narrow
that three men alone can guard it successfully.
Now the scene within The Fellowship of the Ring: the party has been
detected by orcs just shy of the eastern gates of Moria; they have to
race through the halls until they finally reach the bridge of
Khazad-Dum, which is so narrow that "[t]hey could only pass across
it in single file." The Fellowship races across, so that we have on
one side the orcs, bloodthirsty, vicious, trained to kill, and on the
other the Fellowship, among whose number are indeed warriors but also
those who have little experience in war.
And of course there is a Balrog on the side of evil. Upon first
seeing the Balrog just before crossing the bridge, members of the party
lose hope; Legolas and Gimli are nearly paralyzed with fear, and even
Gandalf "faltered and leaned heavily on his staff [saying]
'What an evil fortune! And I am already weary'" (II:5
321). It takes the heroic voice of Boromir's horn to bring the
party back to its senses and they cross the bridge (5)--all but Gandalf.
The Balrog turns Gandalf's focus from escape to confrontation.
Obviously, challenging and defeating the Balrog would better insure the
Fellowship's escape and safety. Yet the scene assumes a more cosmic
importance, as Tolkien's language allows us to see the fight
between wizard and monster as a greater contest between the powers of
good and evil. The struggle is presented in clear terms of
"light" and "dark": Gandalf
orders the Balrog to "Go back to the Shadow!" and thwarts
its "dark fire" with the "white fire" of Glamdring
(322). The evil the Balrog embodies must not be left unchallenged and
unchecked--even if confronting it will mean death.
So too did the Vikings have to be confronted and stopped or they
would be free to raid elsewhere in England. Certainly the conflict
between the English and the Vikings lacked the cosmic overtones of
Gandalf's battle with the Balrog: the Vikings were not demons conjured by the powers of darkness but mere mortals. Yet they were
particularly bloodthirsty and violent mortals who were very skilled in
their arts of war. They did pose a genuine and immediate threat to the
English--so they had to be challenged, as "The Battle of
Maldon" chronicles. The poem suggests that the mostly untrained
English forces, once they perceived the full nature of the Viking
threat, indeed did feel despair and fear, just as the members of the
Fellowship despaired upon seeing the Balrog. Byrhtnoth attempts to ease
his men's fears with his bold stance and language, as in his
disdainful reply to the Vikings' demand for tribute: "Ne
sceole ge swa softe sinc gegangan: / us sceal ord and ecg aer geseman, /
grim gudplega, aer we gofol syllon" ("You will not gain
treasure so easily: / spear and sword must first arbitrate between us, /
the grim game of battle, before we pay tribute") (59-61). Then
Byrhtnoth commands three trained warriors to guard the bridge and keep
the Vikings from assaulting the English. Those three--Wulfstan,
AElfhere, and Maccus--"noldon aet pam forda fleam gewyrcan, / ac hi
faestlice wid da fynd weredon / pa hwile pe hi waepna wealdan
moston" ("refused to take flight from the ford; / rather they
defended themselves staunchly against the enemy / for as long as they
could wield weapons") (81-83). They give the English a chance for
survival, for in fact they are so effective that the Vikings had to
change tactics:
Pa hi paet ongeaton and georne gesawon,
paet hi paer bricgweardas bitere fundon,
ongunnon lytegian pa lade gystas:
baedon paet hi upgangan agan moston,
ofer pone ford faran, fepan laedan.
(When [the Vikings] recognized and saw clearly
that they had come up against unrelenting guardians of the
causeway there,
then the hateful visitors started to use guile:
they asked to be allowed to have passage,
to cross over the ford, to advance their troops.) (84-88)
And that is where the tide turns, for Byrhtnoth agrees to their
request--he allows them to come to the English shore. As the poem reads,
"Da se eorl ongan for his ofermode / alyfan landes to fela lapere
deode" ("Then because of his pride the earl set about /
allowing the hateful race too much land" (89-90). Byrhtnoth yields
his position, allows the Vikings to cross, and the slaughter of the
English ensues. According to the poem, Byrhtnoth is among the first to
be killed, and he dies with a prayer in which he thanks God "ealra
paera wynna pe ic on worulde gebad" ("for all the joys which
[he] experienced in this world") and asks God to "minum gaste
godes geunne" ("grant grace to [his] spirit") (174-176).
In Fellowship, Gandalf has assumed in part the role of the three
defenders who block the causeway but more the role of Byrhtnoth--or of
the role Byrhtnoth should have played. He issues a challenge to the
Balrog, just as Byrhtnoth challenged the Vikings. He holds off the
Balrog's first attack, as the three Anglo-Saxon defenders held off
the Vikings. And then the parallel ceases, for Gandalf does not yield
his position. He personally stands his ground and saves the party by
destroying the bridge and casting the Balrog into the abyss--though he
himself is unwillingly dragged down in the process. His final words: no
prayer, no consolation, no lamentation, just an order: "Fly, you
fools!" for they are indeed fools not to act on the occasion and
flee immediately.
So why did Byrhtnoth change the rules? The Old English reads
"for his ofermode." That word ofermod has prompted a variety
of translations. They all center on pride, but they differ in the degree
of pride, whether it is best understood as clearly negative, perhaps
even to the point of sinful pride ("heart's arrogance" or
"insolence") or something less negative and potentially even
positive, such as "over-confidence" or "excessive
spirit." (6)
Tolkien knew what he thought of ofermod. He does not excuse or
apologize for Byrhtnoth, as he reveals in his 1953 "The Homecoming
of Beorhtnoth Beorhthelm's Son," which is actually a play plus
two essays. Tolkien begins with an introductory essay,
"Beorhtnoth's Death" (with background on the battle and a
description of the setting and action of the play), then has the play as
named, before closing with the critical essay "Ofermod." In
"Homecoming," Tidwald, an older veteran-turned-farmer, and the
young Torhthelm (the son of a poet who considers himself a poet) are
sent to collect the body of Beorhtnoth for burial. Contemplating the
events of the battle, Tidwald comments on the fall of the ealdorman:
Alas, my friend, our lord was at fault,
or so in Maldon this morning men were saying.
Too proud, too princely! But his pride's cheated,
and his princedom has passed, so we'll praise his valour.
He let them cross the causeway, so keen was he
to give minstrels matter for mighty songs.
Needlessly noble. It should never have been:
bidding bows be still, and the bridge opening,
matching more with few in mad handstrokes!
Well, doom he dared, and died for it. (16)
Tidwald's comments may strike us as harsh and overcritical,
but as Tolkien argues in the essay "Ofermod,"
Beorhtnoth's actions clearly warrant criticism, not sympathy. In
Tolkien's words, Beorhtnoth suffered from "excess," a
character trait that had to be tempered. Tolkien explains
"excess":
[The] element of pride, in the form of the desire for honour and
glory, in life and after death, tends to grow, to become a chief
motive, driving a man beyond the bleak heroic necessity to
excess--to chivalry. "Excess" certainly, even if it be approved by
contemporary opinion, when it not only goes beyond need and duty,
but interferes with it. ("Homecoming" 22)
Tolkien offered Beowulf as an example to illustrate what
constitutes "excess"--and what the wages of excess are. When
Beowulf fought Grendel for personal glory (even making sure it was a
"fair fight" so there would be no question as to his deserving
credit), he does not commit any sin of "excess" for
"Beowulf has no duty to the Danes, he is still a subordinate with
no responsibilities downwards" and in fact his success will add
"credit to the lord of his allegiance, Hygelac." At the end of
the poem, Beowulf does exhibit the sin of excess when he personally
challenges the dragon that threatens his land and people, the Geats. At
that point in his career, Beowulf did have "responsibilities
downward"; his entire people needed him alive as their lord and
leader. But he ignored these responsibilities, gave in to excess, and
gained victory only "by the loyalty of a subordinate," Wiglaf
("Homecoming" 22-23). And of course Beowulf dies and his
leader-less people are shortly erased from history by Swedes, Franks,
Frisians--the very tribes Beowulf had kept at bay.
Tolkien thought "Maldon" thus offered "severe
criticism" (24; emphasis his) of Beorhtnoth--to the point we should
find him guilty of sinful "excess." His responsibilities
downwards to his men (and for that matter upwards to his own lord
Aethelred, who would, we assume, have preferred the slaughter of the
Vikings to the loss of an ealdorman and his men) should have weighed
more upon him than his own desire to "give minstrels matter for
mighty songs." Tolkien continues: "Beorhtnoth was chivalrous rather than strictly heroic. Honour was in itself a motive, and he
sought it at the risk of placing his heordwerod, all the men most dear
to him, in a truly heroic situation, which they could redeem only by
death. Magnificent perhaps, but certainly wrong. Too foolish to be
heroic. And the folly Beorhtnoth at any rate could not wholly redeem by
death" (24).
As if to emphasize the extent of Beorhtnoth's
"folly," Tolkien provides the figure of Gandalf at the bridge
of Khazad-dum as a model of correct behavior. Gandalf understood his
responsibilities. He had responsibilities "downward" to the
Fellowship; they needed an opportunity to escape, and he fought to give
them that opportunity. And on a grander scale he had responsibilities
"upward" to the greater common good. Just as Byrhtnoth was
bound to his lord AEthelred and to the security of England, so too is
Gandalf the Maia bound to the Valar and to the security of Middle-earth.
So Gandalf fought the Balrog not just for the Fellowship's benefit
but for the benefit of all Middle-earth: the creature of evil formed by
the ancient enemy Morgoth had to be destroyed. Nor did he commit
Byrhtnoth's sin of excess by challenging the creature for his own
glory; as Croft has stated, "[h]is ego did not enter into the
equation" (94). There is no hint that he sought battle so that he
might "give minstrels matter for mighty songs." Certainly such
songs were possible--we need think only of the account of the battle
between Glorfindel and a Balrog as told in "The Fall of
Gondolin" from The Book of Lost Tales Part 2 (194-97), and in fact
the Elves of Lorien may well have sung of Gandalf's battle in their
lamentations--but we cannot be sure, for Legolas "would not
interpret the songs" (LotR II:7 350). What is clear from the scene
on the bridge is that Gandalf faced the Balrog neither for fame nor
heroism but out of his immediate need to defend the Fellowship,
especially those who did not know the arts of warfare and should not be
sacrificed, and out of his greater duty to fight against the forces of
evil.
With this argument that Tolkien used Gandalf at the bridge to
demonstrate what Beorhtnoth should have done, I do not mean to suggest
that Tolkien meant to condemn the entire message of "The Battle of
Maldon." Far from it. In fact, Tolkien shared in his
"Ofermod" essay how much the heroic language resonated with
him; he wrote, "The words of [the veteran retainer] Beorhtwold [at
lines 312-313; "Maldon" names him Byrhtwold] have been held to
be the finest expression of the northern heroic spirit, Norse or
English; the clearest statement of the doctrine of uttermost endurance
in the service of indomitable will" (21). The Anglo-Saxon
sentiment, Tolkien argues, "appears in this clarity [in
'Maldon'] [...] precisely because it is put in the mouth of a
subordinate, a man for who the object of his will was decided by
another, who had no responsibility downwards, only loyalty upwards.
Personal pride was therefore in him at its lowest, and love and loyalty
at their highest" (22). Those lines stand out to any who have given
the poem even a cursory reading: "Hige sceal pe heardra, heorte pe
cenre, / mod sceal pe mare, pe ure maegen lytlad" (312-313).
Tolkien placed his translation of them into the mouth of Torhthelm in
"The Homecoming of Beorhtnoth": "Heart shall be bolder,
harder the purpose, / more proud the spirit as our power lessens!"
(19). To be fair, the fact that Torhthelm speaks those lines presents
some challenge; Tom Shippey, notably, does not believe that
Tolkien's character Torhthelm speaks for Tolkien himself. In The
Road to Middle-Earth and, more extensively, in "Tolkien and
'The Homecoming of Beorhtnoth,'" Shippey argues that
Torhthelm is a poor spokesman for the heroic as he himself is cowardly,
given to empty boasting, and murderous (7-8); so negative is the
depiction of Torhthelm that having him speak the translation of lines
312-313 of "Maldon" amounts to an attack on the heroism
outlined in those very lines--lines that Tolkien "did not
like" (13). Shippey points out that Torhthelm cannot truly
understand the lines for he speaks them half-asleep (14); in a similar
way, Shippey continues, people of Tolkien's own day had only
half-understood the call of heroism, that they had misappropriated the
lines and must be corrected:
I am sure that Tolkien was also thinking in a way of the resurgence
of self-consciously Nordic or Germanic attitudes in Nazi Germany.
He felt that the heathen spirit of the Vikings and the berserks had
come back in his own time, and had to be fought again. To fight it
[...] [h]e had in fact to take the northern heroic spirit and
sacrifice it. That was what he was doing in "The Homecoming of
Beorhtnoth." (15)
However, Shippey's argument that Tolkien "did not
like" lines 312-313 and their expression of Germanic heroism must
be balanced by the fact that Tolkien repeatedly and positively wove the
message of those lines into The Return of the King, even to the point of
quoting his translation of the lines essentially verbatim.
Again, Tolkien had considered these lines from "Maldon"
to be "the finest expression of the northern heroic spirit."
He had earlier (1936) outlined this "northern heroic spirit"
in his landmark essay "Beowulf: The Monsters and the Critics"
wherein he defined his Northern "theory of courage" as the
"creed of unyielding will"--the ability to face imminent death
with a resolution and strength of spirit that refuses to see death as
defeat (70). It is this sort of courage that drives a number of
characters in The Lord of the Rings. For example, in The Return of the
King Eowyn and Merry face the Witch-King to protect the fallen Theoden;
later, Aragorn chooses to lead his reduced forces right to the very
gates of Mordor expecting death but not defeat, for he knows he is
giving Frodo more time to destroy the Ring. More specific to the episode
at the bridge of Khazaddum, by surging forward to protect Gandalf
(unsuccessfully), Aragorn and Boromir display the "positive and
heroic values of love and loyalty for his lord [...] by a subordinate
warrior" (Chance 79). As Robert Boenig, Steven Deyo, and John
Holmes have noted, Aragorn and Boromir are acting just as
Byrhtnoth's faithful retainers AElfwine, Offa, Leofsunu, Dunnere,
and Byrhtwold acted; they are seeking to fulfill their obligation to
their leader, fighting for him even unto death. (7) To their credit,
Aragorn and Boromir are saved the shame of "allowing" their
lord to die, for before falling Gandalf releases them from their duty to
die in his service with the command, "Fly, you fools!"
Tolkien makes his point about valuing the heroism of the North as
expressed in "Maldon" even clearer by incorporating echoes and
variations of Byrhtwold's definition of heroism into the passages
describing Frodo and Sam's journey through the desolation of
Mordor. In their approach to Mount Doom across the plain of Gorgoroth,
Sam comes to terms with the reality of their situation: "Never for
long had hope died in his staunch heart, and always until now he had
taken some thought for their return. But the bitter truth came home to
him at last: at best their provision would take them to their goal; and
when the task was done, there they would come to an end, alone,
houseless, foodless in the midst of a terrible desert. There could be no
return" (LotR VI:3 912-13). But after considering their imminent
death, Sam feels not defeated but resolute: "But even as hope died
in Sam, or seemed to die, it was turned to a new strength. Sam's
plain hobbit-face grew stern, almost grim, as the will hardened in
him" (913). Sam refuses to give into despair, for "[h]is will
was set, and only death would break it" (919). We can compare
Sam's stern, grim countenance and hardened will to Byrhtnoth's
"Hige sceal pe heardra, heorte pe cenre." Nor is there ofermod
but rather mod in Sam's response, that sense of absolute dedication
to a cause greater than his own glory or fortune--that love and loyalty
Tolkien valued. (8) And while the focus is much more on Sam at this
moment, Tolkien does note that in that dark, hopeless time,
determination grows in both Frodo and Sam, just as it did in old
Byrhtwold, for even as the hobbits' "strength lessened"
(or "maegen lytlad"), "their wills did not yield, and
they struggled on" (914, 918).
Thus in The Lord of the Rings we can see that Tolkien presents a
unified perspective on heroism rather than the mixed commentary found in
"The Battle of Maldon," with its examples of flawed heroic
spirit in Byrhtnoth (at least in Tolkien's eyes) and of true heroic
spirit in Byrhtwold and the other faithful retainers such as Offa,
Leofsunu, and Dunnere. Gandalf acts as Byrhtnoth should have acted--to
save his loyal companions, not to jeopardize them; Frodo and Sam enact
the very words of Byrhtwold as they make their way through the plains of
desolation and despair. And through Tolkien's powerful characters
and moments we have a more profound sense of the heroic spirit--or of
heroic responsibilities--and are emboldened to hold fast in mind and
will ... even when the Balrog comes.
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(1) A version of this essay was read at the 40th International
Congress on Medieval Studies held at Western Michigan University,
Kalamazoo, in 2005. My thanks to Douglas Anderson, Verlyn Flieger, and
Marjorie Burns for their constructive comments at that conference.
Marjorie Burns also kindly let me see portions of a proof copy of her
forthcoming Perilous Realms.
(2) I do not mean to suggest that "The Battle of Maldon"
is the one and only source for the episode at the bridge of Khazad-dum.
David Day in Tolkien's Ring (35) and Marjorie Burns in her Perilous
Realms (58-59) point out that Tolkien's bridge is closely related
to Bifrost, the rainbow bridge of Norse mythology, across which the fire
giant Surt comes to battle Freyr in the battle of Ragnarok. In that
battle, Odin, leader of the Norse gods (and a figure on whom Tolkien
modeled, at least to some degree, the character Gandalf), also perishes;
see Snorri Sturluson, Edda 52-55. Gandalf's language may even
reflect the orders reportedly given to the French at the Battle of
Verdun in June 1916; they were told "Vous ne les laisserez pas
passer, mes camarades" ("You will not let them [the Germans]
pass, my comrades!") (Historique du 25eme Bataillon de Chausseurs a
Pied pendant la Grande Guerre).
(3) The river is named the "Panta" in the poem, but other
documents, including The Anglo-Saxon Chronicle and The Life of Saint
Oswald, help us identify the "Panta" as the
"Blackwater." Such documents also help identify the names of
the people involved; see Bately, "The Anglo-Saxon Chronicle"
and Lapidge, "The Life of Saint Oswald." Tolkien may have had
the "Blackwater" in mind when drafting the chapters on Moria,
for according to The Treason of Isengard, the river Silverlode was for a
while the "Blackroot" (see 166-67 and 174, note 22).
Additionally, that volume of The History of The Lord of the Rings
clarifies that Tolkien had drafted portions of "The Homecoming of
Beorhtnoth" some twenty years before the work was published;
Christopher Tolkien writes,
On the back of the page [of a draft of a section C. Tolkien calls
"Bilbo's Song at Rivendell"], with every appearance of having been
written at the same time, is a section of a dramatic dialogue in
rhyming verse that preceded by more than twenty years The
Homecoming of Beorhtnoth Beorhthelm's Son in Essays and Studies,
1953. The Englishmen who took the body of Beorhtnoth from the
battlefield at Maldon are here called Pudda and Tibba.--Panta (Old
English) is the river Blackwater. (106n10)
(4) Text and translation of "The Battle of Maldon" by
Donald Scragg in The Battle of Maldon AD 991, 1-36. Line numbers will be
noted within the body of the essay.
(5) Further connecting the bridge of Khazad-dum with the battle of
Ragnarok is Boromir's blowing of his horn; at Raganarok, Heimdall
blew his horn Giallarhorn to warn the Norse gods (Snorri Sturluson 54).
(6) For example, Alexander translates ofermod as "heart's
arrogance" (104); Donaldson, as "overconfidence" (106);
Gordon, as "pride" (330); Hall, as "pride,
insolence" (257); Hill, as "pride" (117); Muir, as
"excessive spirit, pride, arrogance, over-confidence" (138);
Pope and Fulk, as "pride, overconfidence" (202); and Scragg,
as "pride" (21). Matto proposes a more psychological and
neutral reading, that Byrhtnoth allowed his mod or emotions to exceed
(or "go ofer") "the firmness of his outer mind"
(70).
(7) See Boenig 11, Deyo 60, and Holmes 251-53. Dunnere's brief
lines encapsulate the self-sacrificing sentiment of the loyal retainers:
"Ne maeg na wandian se pe wrecan penced / frean on folce, ne for
feore murnan" ("He must never flinch who thinks to avenge /
his lord in this body of men, nor be anxious about life") (258-59).
(8) Clark has noted that in deciding to rescue Frodo from the orcs
at the tower of Cirith Ungol, "Sam unconsciously models his
intended course of action on the heroic deaths of the heroes remembered
in the song or poem Maldon" (46).