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Dwarves in Middle-earth

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"Khazad" redirects here. For the block cipher, seeKHAZAD.

In thefantasyofJ. R. R. Tolkien,theDwarvesare a race inhabitingMiddle-earth,the central continent ofArdain an imagined mythological past. They are based on thedwarfs of Germanic mythswho were small humanoids that lived in mountains, practisingmining,metallurgy,blacksmithingandjewellery.Tolkien described them as tough, warlike, and lovers of stone and craftsmanship.

The origins of Tolkien's Dwarves can be traced to Norse mythology; Tolkien also mentioned a connection with Jewish history and language. Dwarves appear in his booksThe Hobbit(1937),The Lord of the Rings(1954–55), and the posthumously publishedThe Silmarillion(1977),Unfinished Tales(1980), andThe History of Middle-earthseries (1983–96), the last three edited by his sonChristopher Tolkien.

Characteristics

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Tolkien found dwarves inNorse mythology.[1]Here the godThortalks to thedwarfAlvissto prevent him from marrying his daughterÞrúðr;at dawn Alviss turns to stone. Drawing byW. G. Collingwood,1908

ThemedievalistCharles Moseleydescribed the dwarves of Tolkien's legendarium as "Old Norse"in their names, their feuds, and their revenges.[2]In the appendix on "Durin's Folk" inThe Lord of the Rings,Tolkien describes dwarves as:

a tough, thrawn race for the most part, secretive, laborious, retentive of the memory of injuries (and of benefits), lovers of stone, of gems, of things that take shape under the hands of the craftsmen rather than things that live by their own life. But they are not evil by nature, and few ever servedthe Enemyof free will, whatever the tales ofMenalleged. For Men of old lusted after their wealth and the work of their hands, and there has been enmity between the races.[T 1]

The J. R. R. Tolkien Encyclopediaconsiders Tolkien's use of the adjective "thrawn",noting its similarity withÞráinn,a noun meaning "obstinate person", and a name found in theNorselist of Dwarf-names, theDvergatalin theVöluspá.Tolkien took it for the name, Thráin, of two ofThorin Oakenshield's ancestors. It suggests this may have been aphilologicaljoke on Tolkien's part.[1]

Dwarves were long-lived, with a lifespan of some 250 years.[T 1]They breed slowly, for no more than a third of them are female, not all marry, and they have children only late in life. Tolkien names only one female, Dís, Thorin's sister.[T 2]They are still considered children in their 20s, as Thorin was at age 24;[T 3]and as "striplings" in their 30s. Despite his young age,Dáin Ironfootwas 32 when he killedAzog,theorcchieftain ofMoria.[T 1]They had children starting in their 90s.[T 1]


Durin's Folk, showing the Dwarvish tendency to have few children (and fewer daughters)[T 1][a]
Durin I...
Durin VI		Dwarves of
Moria
Náin I
Thráin I
Thorin I
Glóin
Óin
Náin II
Dáin IBorin
FrórThrórGrórFarin
Thráin IINáinFundinGróin
Dís
(♀)		Thorin II
Oakenshield		Dáin II
Ironfoot		Dwalin,
Balin		GlóinÓinOri,
Dori,
Nori		Bifur,
Bofur,
Bombur
Fili,
Kili		Thorin III
Stonehelm		Gimli
Durin VII

The Dwarves are described as "the most redoubtable warriors of all the Speaking Peoples"[T 4]– a warlike race who fought fiercely against their enemies, including other Dwarves.[T 5]Highly skilled in the making ofweapons and armour,their main weapon was thebattle axe,but they also usedbows,swords,shieldsandmattocks,and wore armour.[T 6]

Saurongaveseven Rings of Powerto Dwarf lords. The Rings caused them to be wrathful and greedy for gold, but they were not brought under Sauron's domination,[T 7]nor did they gain longer life.[T 1]Eventually all seven Rings were destroyed or reclaimed by Sauron.[T 7]One of the rings was given to Durin III, and passed down toThrór,who gave it to his son Thráin II, father ofThorin Oakenshield.Sauron captured Thráin and took the ring from him in the dungeons ofDol Guldur.[T 1]

Origins

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Further information:The Silmarillion

The Dwarves are portrayed inThe Silmarillionas an ancient people who awake during theYears of the Trees,after theElvesat the start of theFirst Age,but beforeMenwhen the Sun and Moon are created. TheValaAulë,impatient for the arising of theChildren of Ilúvatar,creates the sevenFathers of the Dwarvesin secret, intending them to be his children to whom he could teach his crafts. He teaches themKhuzdul,a language he had devised for them.Ilúvatar,creator ofArda,is aware of the Dwarves' creation and sanctifies them. Because they had been made by a Vala, Dwarves lacked souls until granted them by Ilúvatar.[3]Aulë sealed the seven Fathers of the Dwarves in stone chambers in far-flung regions of Middle-earth to await their awakening.[1][T 8]

The petty-dwarf Mîm may derive from the shrunken figure ofMime,[2]here shown cowering behind the celebratingSiegfriedinWagner's operaDer Ring des Nibelungen.Illustration byArthur Rackham,1911

Each of the Seven Fathers founds one of the seven Dwarf clans. Durin I is the eldest, and the first of his kind to awake in Middle-earth. He awakens inMount Gundabad,in the northernMisty Mountains,and founds the clan of Longbeards (Durin's Folk); they found the city ofKhazad-dûmbelow the Misty Mountains, and later realms in theGrey MountainsandErebor(the Lonely Mountain). Two others lie in sleep in the north of theEred Luinor Blue Mountains, and they found the lines of the Broadbeams and the Firebeards. The remaining four clans, the Ironfists, Stiffbeards, Blacklocks, and Stonefoots come from the East.[T 4]After the end of the First Age, the Dwarves spoken of are almost exclusively of Durin's line.[T 9]

A further division, the even shorterPetty-dwarves,appears inThe Silmarillion[T 10][4]andThe Children of Húrin.[T 11]Moseley likensMîm,the last known Petty-dwarf, to the similarly namedMimefrom theNibelungenlied.[2]

Artefacts

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Mining, masonry, and metalwork

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Further information:Named weapons in Middle-earth

As creations of Aulë, they are attracted to the substances of Arda. They mine and work precious metals throughout the mountains of Middle-earth. They are unrivalled in smithing, crafting, metalworking, and masonry, even among theElves.The Dwarf-smith Telchar is the greatest in renown.[T 12]They build immense halls under mountains for their cities. They build many famed halls including theMenegroth,Khazad-dûm,andErebor.[T 5]Among the many treasures they forge are thenamed weaponsNarsil,the sword ofElendil,theDragon-helm of Dor-lóminand the necklace Nauglamír, the most prized treasure inNargothrondand the most famed Dwarven work of the Elder Days.[T 13]InThe Hobbit,Thorin gives Bilbo aMithrilcoat of linked rings ofmail.[T 14]

Language and names

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Main articles:KhuzdulandCirth
Tolkien invented parts ofMiddle-earthto resolve the linguistic puzzle he had accidentally created by using different European languages for those of peoples in his legendarium.[5][T 15]

In Grey-elvish orSindarinthe Dwarves are calledNaugrim( "Stunted People" ),Gonnhirrim( "Stone-lords" ), andDornhoth( "Thrawn Folk" ), andHadhodrim.InQuenyathey are theCasári.The Dwarves call themselvesKhazâdin their own language,Khuzdul.[T 16]Khuzdulis created for them by Aulë, rather than being descended from an Elvish language, as most of the languages ofMenare. They write it usingCirthrunes,a writing system originally created by Elves in Beleriand to write Sindarin, and later more fully developed by Daeron, an Elf of Doriath. The Cirth runes are adapted by Dwarves for writing Khuzdul.[6]The Dwarves keep their language secret and do not normally teach it to others, so they learn bothQuenyaandSindarinto communicate with the Elves, especially theNoldorandSindar.By theThird Agethe Dwarves are estranged from the Elves and no longer routinely learn their language. Instead, they mostly use theWestronor Common Speech, a Mannish tongue, in communicating with other races.[T 5][T 17]

Each Dwarf has two personal names, a secret or "inner" name in Khuzdul, which is used only among other Dwarves and is never revealed to outsiders, and a public "outer" name for use with other races, taken from the language of the people amongst whom the Dwarf lives. For example, the Dwarves of Moria and the Lonely Mountain use outer names taken from the language of the Men of the north where they lived.[T 16]

In reality, Tolkien took the names of 12 of the 13 dwarves – excludingBalin– that he used inThe Hobbitfrom the Old NorseVöluspá,long before the idea of Khuzdul arose.[1][7]When he came to writeThe Lord of the Rings,in order to explain why the Dwarves had Norse names, he created an elaborate fiction that many of the languages used in the book were "translated" into real-life languages for the benefit of the reader, roughly retaining the relationships of the languages among themselves. Thus, Westron was translated into English, the related but more archaic language of the Rohirrim was translated into Anglo-Saxon (Old English), and the even more distantly related language of Dale was translated into Norse. It is possible that the problem of explaining the Dwarves' Norse names was the origin of the entire structure of the Mannish languages in Middle-earth along with the fiction of "translation".[8]

Calendar

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Tolkien's only mention of the Dwarves' calendar is inThe Hobbit,regarding the "dwarves' New Year" orDurin's Day,which occurs on the day of the last new moon of autumn.[T 18]However, in his first drafts of the book, Durin's Day was thefirstnew moon of autumn. After he had finished writing the book, Tolkien went back and changed all occurrences of the date to the last new moon, more in keeping with the real-worldCeltic calendar,but overlooked one mention in Chapter IV, which still named the date as the first new moon.[T 19]Tolkien never noticed this inconsistency, and it was not corrected until the 1995 edition of the book.[9]The astronomerBradley E. Schaeferhas analysed the astronomical determinants of Durin's Day. He concluded that – as with many real-worldlunar calendars– the date of Durin's Day is observational, dependent on the first visible crescent moon.[10]

Concept and creation

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Norse myth

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Further information:Tolkien and the Norse

In Tolkien'sThe Book of Lost Tales,the very few Dwarves who appear are portrayed as evil beings, employers ofOrcmercenaries and in conflict with theElves—who are the imagined "authors" of the myths, and are therefore biased against Dwarves.[1][T 20][T 21]Tolkien was inspired by thedwarves of Norse myths[11][12]and of later Germanic folklore (such as that of theBrothers Grimm), from whom his Dwarves take their characteristic affinity with mining, metalworking, and crafting.[13][14]

Jewish history

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InThe Hobbit,Dwarves are portrayed as occasionally comedic and bumbling, but largely as honourable, serious-minded, and proud. Tolkien was influenced by his own selective reading of medieval texts regardingJewishpeople and their history.[15]The dwarves' characteristics of being dispossessed of their homeland inErebor,and living among other groups but retaining their own culture, are derived from the medieval image of Jews,[15]while, according to the Tolkien scholarJohn D. Rateliff,their warlike nature stems from accounts in theHebrew Bible.[15]Medieval views of Jews also saw them as having a propensity for making well-crafted and beautiful things,[15]a trait shared with Norse dwarves.[12][16]The Dwarf calendar invented forThe Hobbitreflects theJewish calendar'sRosh Hashanahin beginning in late autumn.[15][17]

Tolkien's use of Jewish history for his Dwarves[15]
Aspect Historical element Application to Dwarves
Dispossession of homeland Jewish diaspora Living in exile fromMoriaandErebor,retaining own culture
Warlike nature Medieval image of Jews Warlike Dwarves
Skill Medieval image of Jews Propensity for making well-crafted, beautiful things
(like Norse Dwarves, too)
Jewish calendar Rosh Hashanah,the Jewish New Year (September/October) Dwarves' new year is in late autumn
Private language Medieval Jews spokeHebrew-derived languagealongside local languages Dwarves spoke "Semitic"[18]Khuzdulamongst themselves, shared language (Westron) to others[T 22]

Semitic-style language

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Further information:Khuzdul

InThe Lord of the Rings,Tolkien continued the themes ofThe Hobbit.When giving Dwarves their own language,Khuzdul,Tolkien decided to create an analogue of aSemitic languageinfluenced byHebrewphonology.Like medieval Jewish groups, the Dwarves used their own language only among themselves, and adopted the languages of those they live amongst for the most part, for example taking public names from the cultures they lived within, whilst keeping their "true-names" and true language a secret.[15]Tolkien further underlined thediasporaof the Dwarves with the lost stronghold of the Mines ofMoria.Tolkien elaborated on Jewish influence on his Dwarves in a letter: "I do think of the 'Dwarves' like Jews: at once native and alien in their habitations, speaking the languages of the country, but with an accent due to their own private tongue..."[T 22]In the last interview before his death, Tolkien said "The dwarves of course are quite obviously, wouldn't you say, that in many ways they remind you of the Jews? Their words are Semitic, obviously, constructed to be Semitic."[18]This raises the question, examined by Rebecca Brackmann inMythlore,of whether there was anelement of antisemitism,however deeply buried, in Tolkien's account of the Dwarves, inherited from English attitudes of his time. Brackman notes that Tolkien himself attempted to work through the issue in his Middle-earth writings.[19]

The philologistHelge Fauskangeranalyses Khuzdul, finding in it features ofSemitic languages.[20]

Helge Fauskanger's analysis ofSemitic featuresof the Dwarves' language,Khuzdul[20]
Element Description Example
Word stems Not pronounceable words, onlyconsonants R-Kh-S "Orc-"
Parts of speech Nouns, verbs etc formed by insertingvowelsinto word stems; sometimes with doubling of a consonant Rukhs"Orc";Rakhâs"Orcs"
Construct state Word before noun taken asgenitival,
i.e. X Y = "The X of Y", "Y's X"		 Baruk Khazâd!"Axes of the Dwarves!"
Nominal sentence Verb "to be" can be implicit Khazâd ai-mênu!"The Dwarves [are] upon you!"

Spelling

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The original editor ofThe Hobbit"corrected" Tolkien's plural "dwarves" to "dwarfs", as did the editor of thePuffinpaperback edition.[T 23]According to Tolkien, the "real 'historical' plural" of "dwarf" is "dwarrows" or "dwerrows".[21]He described the word "dwarves" as "a piece of private bad grammar".[T 24]In Appendix F ofThe Lord of the Rings,Tolkien explained that if people still spoke of "dwarves" regularly, English might have retained a special plural for the word "dwarf", as with the irregular plural of "goose", "geese".[T 16]Despite his fondness for it,[T 16]the form "dwarrow" only appears in his writing as "Dwarrowdelf" ( "Dwarf-digging" ), a name for Moria. He used "Dwarves", instead, corresponding to his "Elves" as a plural for "Elf". Tolkien used "dwarvish"[T 25]and "dwarf(-)" (e.g. "Dwarf-lords","Old Dwarf Road ") as adjectives for the people he created.[T 16]

Adaptations

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Films

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GimliinRalph Bakshi'sThe Lord of the Rings(1978) voiced byDavid Buck

InRankin-Bass'1977 animated film adaptationofThe Hobbit,Thorin was voiced byHans Conreid,withDon MessickvoicingBalin,John StephensonvoicingDori,Jack DeLeonvoicingDwalin,Fíli,Kíli,Óin,Glóin,Ori,Nori,Bifur,andBofur,andPaul FreesvoicingBombur.[22]

InRalph Bakshi's 1978 animated filmThe Lord of the Rings,the part of the DwarfGimliwas voiced byDavid Buck.[23]

InPeter Jackson'slive actionadaptation ofThe Lord of the Ringsfilm trilogy,Gimli's character is from time to time used as comic relief, whether with jokes about his height or his rivalry with the elfLegolas.[24][25]Gimli is played byJohn Rhys-Davies,who gave the character a "Welsh-derived" accent.[26]

In Jackson'sthree-film adaptationofThe Hobbit,Thorin is portrayed byRichard Armitage,withKen Stottas Balin,Graham McTavishas Dwalin,Aidan Turneras Kíli,Dean O'Gormanas Fíli,Mark Hadlowas Dori,Jed Brophyas Nori,Adam Brownas Ori,John Callenas Óin,Peter Hambletonas Glóin,William Kircheras Bifur,James Nesbittas Bofur, andStephen Hunteras Bombur. Jackson's films introduce a story arc not found in the original novel, in which Kili and the ElfTauriel(a character also invented for the films) fall in love.[27]

Role-playing games

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Dwarves at theCouncil of ElrondinPeter Jackson'sThe Fellowship of the Ring

InIron Crown Enterprises'Middle-earth Role Playing(1986), Dwarf player-characters receive statistical bonuses to Strength and Constitution, and subtractions from Presence, Agility and Intelligence. Seven "Dwarven Kindreds", named after each of the founding fathers—Durin, Bávor, Dwálin, Thrár, Druin, Thelór and Bárin—are given inThe Lords of Middle-earth—Volume III(1989).[28]

InDecipher Inc.'sThe Lord of the Rings Roleplaying Game(2001), based on the Jackson films, Dwarf player-characters get bonuses to Vitality and Strength attributes and must be given craft skills.[29]

In the real-time strategy gameThe Lord of the Rings: The Battle for Middle-earth II,and itsexpansion,both based on the Jackson films, Dwarves are heavily influenced by classical military practice, and use throwing axes, war hammers, spears, and circular or Roman-style shields. One dwarf unit is the"Phalanx",similar to itsGreekcounterpart.[30]

Footnotes

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  1. ^Names in italics in the family tree areThorin and his companyfromThe Hobbit.

References

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Primary

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  1. ^abcdefgTolkien 1955,Appendix A, part 3, "Durin's Folk"
  2. ^Tolkien 1996,"The Making of Appendix A": (iv) "Durin's Folk"
  3. ^Tolkien 1937,ch. 1 "An Unexpected Party"
  4. ^abTolkien 1996,part 2, ch. 10 "Of Dwarves and Men"
  5. ^abcTolkien 1977,ch. 10 "Of the Sindar"
  6. ^Tolkien 1937,ch. 15 "The Gathering of the Clouds"
  7. ^abTolkien 1977,Of the Rings of Power and the Third Age
  8. ^Tolkien 1977,ch. 2 "Of Aulë and Yavanna"
  9. ^Tolkien 1954a,book 1, ch. 2 "The Shadow of the Past"
  10. ^Tolkien 1977,ch. 21 "Of Túrin Turambar"
  11. ^Tolkien 2007,ch. 8 "The Land of Bow and helm"
  12. ^Tolkien 1977,ch. 2 "Of Aulë and Yavanna"
  13. ^Tolkien 1977,ch. 22 "Of the Ruin of Doriath"
  14. ^Tolkien 1937,ch. 13, "Not at Home"
  15. ^Carpenter 2023,#144, toNaomi Mitchison,25 April 1954
  16. ^abcdeTolkien 1955,Appendix F,"On Translation"
  17. ^Tolkien 1955,Appendix F,"Of Other Races"
  18. ^Tolkien 1937,ch. 3 "A Short Rest"
  19. ^Tolkien 1937,ch. 4 "Over Hill and Under Hill": "They had thought of coming to the secret door in the Lonely Mountain, perhaps that very next first moon of Autumn 'and perhaps it will be Durin's Day' they had said."
  20. ^Tolkien 1984,"Gilfanon's Tale"
  21. ^Tolkien 1984,"The Nauglafring"
  22. ^abCarpenter 2023,#176 toNaomi Mitchison,8 December 1955
  23. ^Carpenter 2023,#138 toChristopher Tolkien,4 August 1953
  24. ^Carpenter 2023,#17 toStanley Unwin,15 October 1937
  25. ^Tolkien 1937,Preface

Secondary

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  1. ^abcdeEvans, Jonathan(2013) [2007]. "Dwarves". InDrout, Michael D. C.(ed.).The J. R. R. Tolkien Encyclopedia.Abingdon, England:Routledge.pp. 134–135.ISBN978-0-415-86511-1.
  2. ^abcMoseley, Charles(1997).J. R. R. Tolkien.Oxford, England:Oxford University Press.p. 32.ISBN978-0-746-30763-2.
  3. ^Reinders, Eric (2024).Reading Tolkien in Chinese: Religion, Fantasy, and Translation.Perspectives on Fantasy series. London, UK:BloomsburyAcademic. p. 98.ISBN9781350374645.
  4. ^Rateliff 2007,Volume OneMr. Baggins,p. 78
  5. ^Shippey, Thomas(1982).The Road to Middle-Earth.New York City:Grafton(HarperCollins). pp. 131–133.ISBN0261102753.
  6. ^Noel, Ruth S. (1980).The Languages of Tolkien's Middle-earth.Boston, Massachusetts:Houghton Mifflin.Part 1, ch. 5, "The Languages of Rhovanion", pp. 30–34.ISBN978-0395291306.
  7. ^Rateliff 2007,Volume 2Return to Bag-End,Appendix 3
  8. ^Tolkien 1996,p.71
  9. ^Rateliff 2007,Volume 1Mr. Baggins,p.124
  10. ^Schaefer, Bradley E.(1994). "The Hobbit and Durin's Day".The Griffith Observer.58(11). Los Angeles, California:Griffith Observatory:12–17.
  11. ^Shippey, Thomas(2001) [2000].J.R.R. Tolkien: Author of the Century.London, England:HarperCollins.pp. 14–17.ISBN978-0-262-10401-2.
  12. ^abBurns, Marjorie J.(2004). "Norse and Christian Gods: The Integrative Theology of J.R.R. Tolkien". InChance, Jane(ed.).Tolkien and the Invention of Myth: A Reader.Le xing ton, Kentucky:University Press of Kentucky.pp. 163–178.ISBN0-8131-2301-1.
  13. ^Ashliman, D. L."Grimm Brothers' Home Page".pitt.edu.Pittsburgh, Pennsylvania:University of Pittsburgh.
  14. ^McCoy, Daniel."Dwarves".Norse Mythology.
  15. ^abcdefgRateliff 2007,Part OneMr. Baggins,pp. 79–80
  16. ^Poetic Edda,translated byHenry Adams Bellows.
  17. ^Eden, Bradford Lee(2014).The Hobbit and Tolkien's Mythology: Essays on Revisions and Influences.Jefferson, North Carolina:McFarland.p. 40.ISBN978-0-7864-7960-3.
  18. ^abLebovic, Matt (11 December 2013)."Are Tolkien's dwarves an allegory for the Jews?".The Times of Israel.Archivedfrom the original on 13 December 2013.Retrieved13 March2023.Tolkien spoke about the Jewish-dwarvish connection during a BBC interview. 'I didn't intend it, but when you've got these people on your hands, you've got to make them different, haven't you?' said Tolkien during the 1971 interview. 'The dwarves of course are quite obviously, wouldn't you say that in many ways they remind you of the Jews? Their words are Semitic, obviously, constructed to be Semitic.'
  19. ^Brackmann, Rebecca (2010).""Dwarves are Not Heroes": Antisemitism and the Dwarves in J.R.R. Tolkien's Writing ".Mythlore.28(3/4).Mythopoeic Society.article 7.
  20. ^abFauskanger 2018.
  21. ^"Dwarf".Online Etymology Dictionary.Retrieved6 April2018.
  22. ^"The Hobbit (1977 Movie)".Behind the Voice Actors.Retrieved17 June2022.
  23. ^Beck, Jerry (2005).The Animated Movie Guide.Chicago, Illinois:Chicago Review Press.p. 154.ISBN978-1-56976-222-6.
  24. ^Flieger, Verlyn(2011)."Sometimes One Word Is Worth a Thousand Pictures".In Bogstad, Janice M.; Kaveny, Philip E. (eds.).Picturing Tolkien.Jefferson, North Carolina:McFarland.p. 48.ISBN978-0-7864-8473-7.
  25. ^Croft, Janet Brennan(February 2003)."The Mines of Moria: 'Anticipation' and 'Flattening' in Peter Jackson'sThe Fellowship of the Ring".Southwest/Texas Popular Culture Association Conference, Albuquerque.Norman, Oklahoma:University of Oklahoma.Archived fromthe originalon 31 October 2011.
  26. ^Sibley, Brian(2013).The Hobbit: The Desolation of Smaug Official Movie Guide.HarperCollins.p. 27.ISBN978-0007498079.John Rhys-Davies' distinctive Welsh-derived accent for Gimli was adopted by New Zealanders John Callen and Peter Hambleton in portraying characters who are Gimli's father [Gloin] and uncle [Oin].
  27. ^Sims, Andrew (5 June 2013)."'The Hobbit: The Desolation of Smaug': First look at Evangeline Lilly as new character Tauriel ".Hypable.Retrieved20 August2013.
  28. ^Lords of Middle-earth.Vol. III. New York City:Berkley Publishing.1989.ISBN978-1-55806-052-4.OCLC948478096.
  29. ^Long, Steven (2002).The Lord of the rings roleplaying game: core book.Decipher.ISBN978-1-58236-951-8.OCLC51570885.
  30. ^"Battle for Middle-earth II - The Dwarves".IGN.Retrieved26 July2020.

Sources

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