Q: How Well Did the Istari Honor the Supposed Restrictions Placed on Them?
ANSWER: The Istari and the limitations supposedly placed on them should have been one of the Great Questions of Tolkien Fandom, but somehow everyone kind of went along with an essay fragment Christopher Tolkien published in Unfinished Tales of Númenor and Middle-earth. I received the following questions about the Istari in September 2023, and they reflect that attitude:
Since the Istari were instructed to veil their true power and to only act as guides to the Free People, was that something that Saruman still adhered to until the end or did he allow himself to go all out?
Do we have a consensus on the various events in which the Maiar in Lord of the Rings went all out? Did Gandalf still hold back when he was fighting the Nazgul or was that the full extent of his powers?
Gandalf suspected Sauron to be conjuring the snow storm on Caradhras, surely, Gandalf could have calmed the weather if he wanted to, right?
So let me address the canonicity of the assumptions behind these questions before I get to the questions themselves. There are multiple canonical views of Middle-earth (I mean, authorial canons – not fannish or scholarly defined canons):
- There is the Legendarium, which for all intents and purposes only existed in Tolkien’s thoughts.
- There is the canon of the 1st edition of The Lord of the Rings (plus the 2nd edition of The Hobbit)
- There is the canon of the 2nd edition of The Lord of the Rings and the 3rd edition of The Hobbit
- There is the Expanded Authorial Canon that includes both the published edition canons plus The Adventures of Tom Bombadil and The Road Goes Ever On
- And finally there is the Universal Authorial Canon that includes the Expanded Authorial Canon plus all the answers J.R.R. Tolkien provided to reader questions in his letters (whether published or not) and the interviews he gave (including to fanzines).
Anything that J.R.R. Tolkien did not publish in his lifetime falls outside these various levels or degrees of canonicity. That doesn’t mean they’re non-canonical works, but they represent incomplete or evolving modes of thought and experimentation that were inconsistent with each other, or the published works, or his Expanded or Universal answers. And some of those texts agreed with things Tolkien published in his lifetime.
These are important distinctions because for whatever reasons (including some beyond his control) J.R.R. Tolkien didn’t get any of those things found only in Unfinished Tales, The History of Middle-earth, and later works into publication during his lifetime. Sometimes he only intended these thoughts for himself, to help him see the greater story as he shaped the stories he wrote for publication. And I think those internal thoughts-on-paper deserve to be categorized in their own chapter in the book of Tolkien’s canonical levels. They have a canonical status unto themselves, even if we might not agree on where the boundaries should be drawn. I doubt Tolkien himself would have clearly seen all those boundaries, as he occasionally wrote complete stories that emerged from his experimental notes and annotations.
Even so, what we read in Unfinished Tales carries less weight than what we read in any edition of The Lord of the Rings or The Hobbit if there is no support or clear connection from the published books (any edition) to the [previously] unpublished notes, essays, and stories. And within that framework of Unfinished Tales itself we should strive to distinguish between what was essentially just a “note to self” and a story that might have been intended for publication somwehere, someday [perhaps in an unnamed, unfinished companion volume to The Lord of the Rings].
Tolkien described what he hoped to include in a “specialist volume” supplemental to The Lord of the Rings in Letter No. 187 (written in April 1956):
I am, however, primarily a philologist and to some extent a calligrapher (though this letter may make that difficult to believe). And my son after me. To us far and away the most absorbing interest is the Elvish tongues, and the nomenclature based on them; and the alphabets. My plans for the ‘specialist volume’ were largely linguistic. An index of names was to be produced, which by etymological interpretation would also provide quite a large Elvish vocabulary; this is of course a first requirement. I worked at it for months, and indexed the first two vols. (it was the chief cause of the delay of Vol iii) until it became clear that size and cost were ruinous. Reluctantly also I had to abandon, under pressure from the ‘production department’, the ‘facsimiles’ of the three pages of the Book of Mazarbul, burned tattered and blood-stained, which I had spent much time on producing or forging. Without them the opening of Book Two, ch. 5 (which was meant to have the facsimiles and a transcript alongside) is defective, and the Runes of the Appendices unnecessary.
But the problems (delightful if I had time) which the extra volume will set, will seem clear if I tell you that while many like you demand maps, others wish for geological* indications rather than places; many want Elvish grammars, phonologies, and specimens; some want metrics and prosodies — not only of the brief Elvish specimens, but of the ‘translated’ verses in less familiar modes, such as those written in the strictest form of Anglo-Saxon alliterative verse (e.g. the fragment at the end of the Battle of the Pelennor, V vi 124). Musicians want tunes, and musical notation; archaeologists want ceramics and metallurgy. Botanists want a more accurate description of the mallorn, of elanor, niphredil, alfirin, mallos, and symbelmynë; and historians want more details about the social and political structure of Gondor; general enquirers want information about the Wainriders, the Harad, Dwarvish origins, the Dead Men, the Beornings, and the missing two wizards (out of five). It will be a big volume, even if I attend only to the things revealed to my limited understanding!
The footnote reads: “Having geological interests, and a very little knowledge, I have not wholly neglected this aspect, but its indication is rather more difficult – and perilous!”
This “specialist volume” appears to be different from The Silmarillion, which Tolkien confirmed in Letter No. 247 (sent in September 1963) was “under contract”.
Someone once asked me if I thought Unfinished Tales was Christopher’s attempt to approximate that “specialist volume”. I’ve never thought so, as it includes texts that J.R.R. Tolkien didn’t even imagine in the 1950s (or earlier), and it excludes some of the texts JRRT alluded to in his letter. In fact, Christopher cited part of Letter No. 187 in Unfinished Tales but he never commented on his father’s intention or desire to create that “specialist” or “companion” volume. It was probably what Christopher might have called an “ephemeral idea”, fleeting and momentary in the scale of his father’s life (but – in my opinion – probably much more firmly established in JRRT’s thought than the idea that Gil-galad was Fingon’s son).
J.R.R. Tolkien wrote so many supplemental texts after 1956 that if they could all be published in some whole or complete form, they would require several books (and I mean without the editorial commentary provided by Christopher Tolkien, John Rateliff, and Carl Hostetter). Had he been capable of publishing The Silmarillion AND this “specialist volume” (or volumes) in his lifetime, I think J.R.R. Tolkien would have been forced to revise The Lord of the Rings and The Hobbit yet again. Maybe had he not drunk some wine while suffering from a gastric ulcer (he subsequently developed bronchopneumonia, which is what killed him) he could have lived a good many more years and accomplished more than he did.
And with that I finish my attack undermining the value of using Unfinished Tales to understand things in authorial canonically published Middle-earth.
Did Saruman follow the “rules” about revealing his full power until he died?
Technically, no.
This question is inspired by “II The Istari” as given in Unfinished Tales. Christopher introduced the essay with: “The fullest account of the Istari was written, as it appears, in 1954 (see the Introduction, p. 13, for an account of its origin). I give it here in full, and will refer to it subsequently as ‘the essay on the Istari.'”
This essay is thus contemporaneous with the 1st edition of The Lord of the Rings, so it’s reasonable to assume that it falls into one of the frameworks I provided above. And this is the relevant part of the essay:
…For with the consent of Eru they sent members of their own high order, but clad in bodies of as of Men, real and not feigned, but subject to the fears and pains and weariness of earth, able to hunger and thirst and be slain; though because of their noble spirits they did not die, and aged only by the cares and labours of many long years. And this the Valar did, desiring to amend the errors of old, especially that they had attempted to guard and seclude the Eldar by their own might and glory fully revealed; whereas now their emissaries were forbidden to reveal themselves in forms of majesty, or to seek to rule the wills of Men and Elves by open display of power, but coming in shapes weak and humble were bidden to advise and persuade Men and Elves to good, and to seek to unite in love and understanding all those whom Sauron, should he come again, would endeavour to dominate and corrupt.
So far as I know, Tolkien never wrote that Saruman revealed himself in some kind of “form of majesty”. Then again, JRRT never explained what that means. If Yavanna took the shape of a great tree, would that count? Or how about Ulmo walking toward the shore of Middle-earth like a great humanoid giant made of water? Or did they have to glow in some way?
On the other hand, Saruman took Isengard for his own and he began raising armies that he used to attack Rohan. Worse, he made his own ring of power to enhance his native strength – and presumably extend his will over other creatures. The hostile will that Aragorn, Legolas, and Gimli sensed while pursuing the Orcs over Rohan appears to be an example of Saruman breaking the rules.
I think once he decided to disobey the Valar he pretty much rationalized his way to doing anything he felt necessary to achieve his ends. For all we know – given enough time and the right reader question – J.R.R. Tolkien might have devised a scenario where Saruman took on a “form of majesty” for some purpose. But to the best of my knowledge there is no indication Tolkien took the character that far. And, really, the story doesn’t call for it.
Is there consensus on which Maiar “went all out” in LoTR?
I don’t know how such a consensus would be determined, given that Tolkien fandom consists of millions of people. At one time there were hundreds of online discussion groups (not including the thousands of blogs like this one which allowed comments) for Tolkien enthusiasts. Maybe there were thousands of online forums where Tolkien topics were discussed freely and liberally.
Of course, much of that discussion has now migrated to social media, and many younger fans now seem happy to just watch random videos purporting to explain Middle-earth (some of which do a pretty good job, although I can’t stand the awful music they use and the condescending narration – but I digress). I just don’t see how one could find a consensus on much of anything.
And Google sure as heck isn’t helping, given how a lot of the “answers” it provides to Tolkien questions now are just flat out wrong.
Could Gandalf Have Calmed the Storm on Caradhras?
I think – had he tried with his full power – Gandalf would have made the situation worse, and probably would have crossed the line. You wrote “Gandalf suspected Sauron to be conjuring the snow storm on Caradhras.” Well, what Gandalf implied was that the storm was serving Sauron’s purpose. Gimli made it sound like Caradhras had a will of its own. And some people believe it was Saruman who caused the storm.
I’ve kind of always favored the “Caradhras has a will of its own” view, although I’m not suggesting the mountain itself was sentient. But Sauron’s influence could manifest itself indirectly throughout Middle-earth without his having to know who was doing what. And to a lesser extent Saruman could have been doing the same thing in Enedwaith/Eregion. They both knew the Ring was fleeing Eriador.
All that said, if Gandalf had sought to impose his will – “calm the storm” – he either would have been engaging in a contest of wills with whatever spirit dominated the mountain or entering into direct conflict with either Saruman or Sauron. I can’t imagine any of those scenarios resulting in the weather settling down.
Did Gandalf Hold Back when Fighting the Nazgûl?
I believe so. We never really saw his full power, but he implied when describing his battle with the Balrog of Moria that they were not holding back. Certainly the Balrog wouldn’t have cared much about what the Valar wanted. But then, so far as we know, there were no witnesses to the Battle of the Peak. Hence, Gandalf wouldn’t be breaking the rules to use his full strength.
We did see an example of Gandalf using considerable power in front of many witnesses. That was when he broke the bridge in Khazad-dûm, dropping poor Fred into the chasm. And there were a few other incidents where Gandalf opened up and revealed greater strength than just some old guy muttering incantations for magic doors would have shown.
Then again, after Ilúvatar sent Gandalf back with greater strength and authority, Gandalf acted like he was still respecting the Valar’s rules but not really bound to them (in my opinion). The Valar’s plan had failed, so the whole issue was bounced upstairs and Gandalf was given new orders and quite possibly new rules of engagement.
Conclusion
Overall I think the Istari probably didn’t stay within the guidelines as established in the “II Istari” essay. Even Gandalf went above and beyond the limits of duty, but I think he was given special dispensation. By the time he was fighting the Balrog of Moria things were pretty desperate, and if Ilúvatar felt the need to send him back with greater power and authority, I’d say “desperate” only just begins to describe the situation.
The essay was composed after the main story so it seems to represent a bit of retconning on Tolkien’s part. I think he wanted to work out – at least for himself if not for the “special volume” – just how the Valar’s plan had failed and how the Istari had gone off the reservation. The essay establishes a set of working rules by which the characters can be judged.
What we don’t know is whether Tolkien had these rules in mind all along while writing the story or if he was, as I just said, “retconning”. Either way, you have to invoke the Uzi rule to make a case. So at best we can only guess at what he thought the rules were while writing the story.
See also
Could Gandalf Have Visited Middle-earth in the Second Age?
Did Gandalf Use All His Power when Battling the Balrog of Moria?
What Are Gandalf’s Great Deeds?
Why Couldn’t Anduril Have Hurt Gandalf as Narsil Had Harmed Sauron?
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Have you read our other Tolkien and Middle-earth Questions and Answers articles?
Surprised you didn’t mention Saruman’s breeding (and possible crossbreeding) of orcs as proof of his going off the reservation.
Sadly, with the absence of true canon for Middle-earth we are left with unrestrained fanon. Readers will take or leave what they like and reassemble it in whatever fashion they like. I doubt there is any way to stop it.
I think maybe Sauron stirred up the spirit of Caradhras in the same way that the Witch-king stirred up the Barrow-wights and Old Man Willow. That is, he didn’t try to command it so much as poke it with a stick. Maybe if Tom’s land had extended to Caradhras, he could have put it back to sleep like he did with the willow. Or maybe he would have seen it as being an unnatural corruption of nature by the Dark Lord. The Misty Mountains were, after all, originally raised by Melkor to hinder the travels of Oromë. Even in the Third Age, there seems to have been something vague sinister about them that wasn’t present in, say, the White Mountains of Gondor.
Regarding Saruman going “all out,” maybe he would have liked to, but he had been in human form for so long that he’d forgotten how. If, after his fall from grace, he’d had a couple hundred more years to practice, maybe his powers and his physical form would have been much different.
When fighting the Balrog Gandalf was up against a foe different from that of Sauron and maybe not in any accord with the Dark Lord whatsoever. Unlike orcs, Nazgul, trolls, etc. the Balrog was not subservient to Sauron in any way except by the implication of Sauron being Morgoth’s lieutenant. But even then Gothmog and the Balrogs seemed to answer directly to Morgoth and not Sauron.
So there could be the possibility that Gandalf was not prohibited from exercising full power against Durin’s Bane as the prohibition on revealing full powers seems to be specific to the efforts to counter Sauron and his armies while the Balrog was basically a singular loose end left over from the War of Wrath.
But another interesting example of Gandalf using his powers not mentioned was Gandalf’s battle with the Nazgul on Amon Sul. This confrontation is not described in real-time but is hinted at by Aragorn and the Hobbits seeing lightning flashes in the distant and finding scorch marks when they arrive there days later. Gandalf later confirms this in Rivendell but does not describe the battle. But apparently, similar to the Battle of the Peak, lightning was involved to some extent.
Very interesting discussion and good thoughts in the article.
I’d also say that the restrictions upon the Istari were not only moral, but also physical: this is, that their fanar as old men were imposed by the Valar, and the Istari could not leave them even if they wished. The case of Saruman is quite clear: if he joined the Enemy he was sent to fight against, he would no doubt have disobeyed the restriction of appearing as a mere old man. He never showed a magfinicent form, despite trying to extoll himself with titles and colorful robes. Maybe his obsession with the ring-making and the One Ring came from his desire of being able to create a new form in case his fragile form was eventually destroyed or collapsed by itself.
Gandalf used his physical form to the limits in the battle against the balrog, but never abandoned to the point of death. He was battling the balrog in first place as an emergent mission “off-limits” of his main quest, so he could have taken a better fana than an old man.
That or maybe both Gandalf and Saruman were unable to abandone their fanar by their own will because they had been using them for too long.
I don’t think I’ve ever seen the word fana/fanar before. Thanks for introducing it to me!
All your comments raise some interesting questions.