The Vinaya Discipline of Buddhist Monasticism

The Vinaya Discipline of Buddhist Monasticism
Robert A. F. Thurman
Amherst College (unannotated talk)
1982

The Buddhist Vinaya is a textual and preceptual institution that has guided the individual and communal life of monastic Buddhists for over 2, 500 years in a great variety of cultures. It is by no means absolutely fixed and invariant in all times and places in all its details, and it was not set forth as a unified set of rules by the Buddha himself, although its main outlines have remained unchanged, and its growth is intimately associated with the deeds and statements of the Buddha. It is a set of action guides, for sure, including mental and verbal with physical acts, though emphasizing the physical interactive life of the monk in the monastic and lay environments. These action guides have a legal element, in that they are enforced by the authority of the collective Samgha, or monastic community, as rep[resented by its councils of elders, originally by the Buddha. They have a religious element, in that adherence to them is considered conducive and often indispensable in attaining the summum bonum of the religious life, that is Nirvana.

And they have a moral element in that they present rationally justified guide-lines for the individual monk's making of ethical choices between actions that impinge on the welfare of others. But I do not want to jump into a theory of just what exactly is the MAG/LAG/RAG equation or proportion here; rather I want to give an outline of the rules of the Vinaya, discuss their origins within the particular historical context, describe their function within the system of spiritual education called the Buddha Dharma, trace certain patterns of change they have exhibited within differing social situations, trace their pattern of impact on those social situations, and then hopefully suggest certain evaluative insights. In the early portion of the paper, I will be heavily reliant on the recent excellent work by our colleague John Holt, who we had hoped would be with us today. In the later sections I will rely on a variety of historical sources, as well as on later Buddhist texts.

The Buddhist Canon is divided traditionally into Three Baskets ( pitaka); those of Vinaya, Sutra and Abhidharma, which we might loosely render as Discipline, Sermon (or Scripture), and Science. These Three Baskets constitute the Doctrinal Dharma, which corresponds to the Three Spiritual Educations ( abhisiksa), which constitute the Experiential or Practical Dharma. These three are Spiritual Ethics, (adhisila), Spiritual Meditation ( adhicitta), and Spiritu Wisdom (adhiprajna).

To show these relationships in tabular form: Buddha Dharma Agama-dharma Adhigama-dharma Vinaya-pitaka Adhisila-siksa Sutra-pitaka Adhicitta-siksa Abhidharma-pitaka Adhiprajna-siksa From this table it can be clearly seen that the Vinaya-discipline corresponds to the education in spiritual ethics. It is interesting to relate these two triads with the classic Buddhist triad of evolutionary action ( karma), physical, mental, and verbal, which in some respects can be seen to correspond one-two-three with the two triads. This is too complex just to leave at that, and traditional sources do not do so, but there is some sense of emphasis in each section on the corresponding level of action.

Sanskrit vinaya comes from the verb root/n i to lead, with the prefix vi- away from, hence connotes "leading away", presumably from worldly ignorance, passion, and aversion. It is thus rightly understood by Holt and others as "discipline", but to do it full justice it might be more formally rendered "transcendent discipline", to distinguish it from the numerous worldly disciplines which intend to lead a disciple into something, into obedience to a religious, military, or other social order. Thus, the Vinaya system of action guides must be understood as oriented in its main thrust to the de-conditioning of its disciple - as the rule of a de-conditioning conditioning program. It is a rule for a transcending ethic (adhi-sila), not a pattern maintaining ethic. This primary emphasis on transcendence rather than obedience helps to explain the rather odd way the Vinaya is set forth, rather un-systematically, as we shall see below. That is, it does not spring from the authority of the Buddha in the form of a n unquestionable set of dogmas to which the disciple must merely conform to be saved. It springs from the enlightenment experience of the Buddha, the deathless Nirvana, to which the disciple himself or herself may be confident of entry; and it gradually, organically assumes the form of the institutional, social door of entry to that experience, that spiritual state, that higher world. This is to be borne in mind as we examine the literature and its rules.

In the Theravada Vinaya, there are 227 rules of conduct, arranged in seven groupings, the majority of which are phrased in negative terms, as offences which entail certain penalties. The different enumerations in the different schools derive mainly from the last section of "educative precepts", and involve relatively minor rules. All the systems have only four major transgressions, called "defeats", which lead invariably to expulsion from the Community. These four, indeed can be seen as the core of the Vinaya/Discipline. Their observance involves the monk's maintaining chastity, poverty, non-violence, and non-pretension 9we may note immediately the absence of 'obedience' as a major virtue). These four defeats thus represent the behavioral boundaries of actions that directly result from the major passions that the Buddha Dharma identifies as the cause of the suffering of samsara, the unenlightened life-cycle; the three poisons of delusion, greed, and hatred. The fourth defeat is a special type of lying that is especially tempting to those whose social role is close to that of the spiritual charismatic or religious professional. Holt has prepared several charts that relate all the lesser rules to these four main ones, and found that 139 of 227 rules in the Theravada Vinaya relate directly back to them, controlling lesser manifestations of the same tendencies.

The rules in each system are contained in a short list which is recited in a ritualized fashion during a bi-monthly purification ceremony. This text, called the Pratimoksha, whose translation is controversial, is bvelieved by most scholars to be the core of the literature. It is indeed recited like a set of vows, and indeed, in Tibetan, the monk's vow is called the Pratimoksha-samvara, (So so thar pai sdom pa), or Vow of Individual Liberation. However, this text is not presented in any of the Vinaya Canons as the key text in the collection. On the contrary, it is contained in a later section, one devoted to the rituals that order the life of the Community such as ordination, rainy season retreat ceremonies, monthly purifications, ect., wherein it appears as a convenient summary outline of the main rules.

The first and most important text in the Vinaya Canon is the Sutra-Vibhanga, Analysis of the Scripture. In this, the Buddha is presented as giving each of the rules in response to difficulties that arise for individual monks or to the community from their faulty actions. It begins with the Buddha sitting under a tree with his monks at Veranja. A local Brahmin approaches the Buddha for a visit, and becomes furious when the Lord does not rise to greet him. The Lord Buddha, who has greeted the Brahmin cordially, without getting up however, responds somewhat unhumbly; "Brahmin, I do not see him in the world of the gods including the Maras, the Brahmas, the ascetics, and priests, living creatures either divine or human, whom I should greet or rise up for or to whom I should offer a seat. For, Brahmin, whom a Tathagata should greet or rise up for or offer a seat to, his head would split asunder." Thus, the Vinaya Discipline, which represents action-guides from those we might think of as etiquette to those we might call moral, begins with a radical disavowal of the ordinary etiquette of the social world of the time. A Tathagata, One who has become enlightened as to the ultimate nature, the transcendent Suchness, of reality, has suffered a radical change of state, his presence has become a sort of spiritual black hole, a realm on the border of being add non-being, a gateway to liberation or Nirvana. He is no longer a living being, either divine or human; rather a kind of place where beings may come to encounter their own ultimate realities. Thus if he were to try to act "normal", and get up for an elder of the uppermost class of the normal hierarchy, or even for a god, it would actually cause harm to those others in that presence, and they would violently lose their bearings in that field of pressure of transcendent ultimacy.

This odd beginning clearly sets the tone for the Discipline and underlines my hunch that "transcendent" should preface the simple translation "discipline" for vinaya, the "leading away". Of course, the Brahmin of Veranja does not see things in such a light right away, so he does the next best thing which is to start insulting the Buddha, as one who is tasteless, enjoymentless, quietistic, nihilistic, spiteful.

The Buddha is forced to agree with each of these insults, but he turns his agreement into a description of how he has really stepped out of the familiar world. Thus "There is indeed, brahmin, a way in which one speaking truly of me could say: The ascetic Gotama lacks taste. For, Brahmin, tastes for forms, tastes for sounds, tastes for scents, tastes for savors, tastes for textures -- these have been destroyed by the Tathagata, cut off at the root like a palm tree; they are so utterly done away with that they are not able to come into future existence. This, brahmin, is a way in which one speaking truly of me could say; 'the ascetic Gotama lacks taste'. But surely you did not mean that"." And then a like exchange occurs over the next epithets. Shortly, the Brahmin begins to realize he has come up against something really un-worldly, and he adopts a tone of respect, remarking that the Buddha is restrained, ascetic, not bound to further births. The Buddha then reveals himself more fully with an interesti ng metaphor: "Brahmin, it is like a hen with eight or ten or twelve eggs on which she has sat properly, properly warmed and properly hatched; is that chick which should win forth safely, having first of all pierced through the egg-shell with the point of the claw on its foot, or with its beak, to be called the eldest or the youngest?" "He is to be called the eldest, good Gotama, for he is the eldest of these." "Even so I, Brahmin, having pierced through the shell of ignorance, born of eggs, covered over, am unique in the world, utterly enlightened with unsurpassed enlightenment. I myself, Brahmin, am the world's eldest and highest." The Buddha then goes on to describe his enlightenment experience in terms of three breakings-forth from the egg-shell of ignorance, beautifully evoking the realms of contemplation he experienced. The Brahmin is overcome with admiration at the evocation of these supernal states, and proceeds to invite the Buddha and his monks to dwell at Veranja under his patronage for the coming rainy season, during which the ascetics could not wander.

This incident can be unpacked much more extensively, with its striking imagery in this key location. Suffice it to say that the Vinaya/Discipline is presented as emerging from the Buddha's state of enlightenment, and as creating a field of dwelling, a residence, which while connected to the world, is not of the world. The shell of the old world is shattered, and a liminal realm opened up.

A second seemingly irrelevant incident then follows. Great Mogallana, the saintly disciple renowned for his magical attainments, approaches the Buddha, complains about the conditions for the Community's living at Veranja, and offers to transport the whole community to the other side of the earth, (to America, actually), to Uttarakuru, a mythical land of milk and honey. The Buddha simply says that Mogallana should not think that would be a good thing. The new world opened out of Buddha's enlightenment should not be detached from the "normal" world and taken to paradise, but should stay in proximity, function in creative tension with society, with its scarcity and its problems and its spiritually needy beings.

Next Sariputra approaches and asks indirectly for the Buddha to set forth the rule of Individual Liberation, the Pratimoksha. The Buddha teases him a bit by saying that the Dharmas of those Buddhas in the past who taught a Rule lasted long, and that the Dharmas of those who did not did not last long. But then he refuses simply to set down the Rule at a go, as it were. He will not put forth the Rule for the Community to form around the vortex of his presence: That is a Rule that would be based on his clear authority, an abstract revelation, in a sense.

Rather, he states: "Wait, Sariputta, wait, Sariputta. The Tathagata will know the right time for that. The Teacher does not make known the course of training (siksapada, perhaps, path of education) for disciples or appoint the Pratimokka until some conditions causing the cankers appear here in the Community...As soon as they...appear...then the Teacher makes known...appoints the Pratimoksha in order to ward off those conditions...When the Community has attained...long standing...full development...chief greatness of gain...great learning...Shariputta, the Community of monks (now) is devoid of immorality, devoid of danger, stainless, purified, based on the essential. Sariputta, the most backward of these five hundred monks is one who has entered the stream, not liable to be reborn in any state of woe, assured, bound for enlightenment." Thus, the Buddha insists that the Rules for Individual Liberation should emerge from the conditions of the developing Community of monks, and not simply descend as a se emingly arbitrary authoritative pronouncement.

After this opening story of the visit at Veranja, the Vinaya begins with the story of poor Sudinna, apparently the first monk to be expelled from the Community, "defeated" in his monastic avocation by his commission of sexual intercourse with his former wife. The story of his transgression is recounted first in a detailed narrative./ (tell story) Sudinna actually acts quite honorably, not at all out of lust, but rather out of consideration for his former family. His sin is rather delusion, not seeing the complete irrelevance of the family situation to his new pursuit, or to the Community's enterprise of radical transformation of the previous worldly system of values. Justice is not at all swift, out of any prescient authority of the Buddha. Sudinna himself becomes wasted and remorseful and eventually confesses his sin. The other monks then reproach him, and finally bring the incident to the attention of the Buddha. The Buddha then questions Sudinna, and his justice is quite relentless. He sternly tel ls Sudinna that he has harmed himself worse than incurring mere death, for lives to come, has lost the opportunity for liberation, and then he lays down the first ruling as follows: "On account of this, monks, I will make known the cours of training for monks, founded on ten reasons: for the excellence of the Community, for the comfort of the Community, for the restraint of evil-minded men, for the ease of well-behaved monks, for the restraint of the cankers belonging to the here and now, for the combating of the cankers belonging to other worlds, for the benefit of nonbelievers, for the increase in the number of believers, for establishing the Dhamma indeed, for following the rules of restraint. Thus monks, this course of training should be set forth: Whatever monk should indulge in sexual intercourse is one who is defeated; he is no longer in communion." Each of the ten reasons the Buddha gives concerns the Community in general, at least five of them concerning the larger society and the Community's stand ing in it and impact on it. The poor Sudinna's need for rehabilitation is outweighed by the need of the Community and the society, and his fate is not further mentioned; he is simply expelled.

After this in the text, definitions are given in regard to the rule, further incidents are mentioned that cause some modification in its eventual form -- addition of the exception 'except in a dream -- and a variety of cases are mentioned in which judgements are given on borderline cases, in which the role of intention is crucial.

That is, in a number of cases almost resembling rape of monks in various ways, the factor of whether the monk remained mentally averse to, or eventually assented to, the sexual act, becomes the determinant of whether expulsion is enforced or a lesser penalty and rehabilitative process is decided. This latter section concerning this rule provides the basis for the Community to decide in council how to adjudicate a particular case occurring after the passing away of the Buddha. And this indeed is probably why the Buddha takes pains to set forth no rule in general, but to lay down each one in a particular case, giving his reasoning each time, showing how particular circumstances must be taken into account.

This pattern of setting forth rules in context is followed for all of the remaining several hundred rules, and the order of the cases is presented as determined by the chronology of their occurrence in the Buddha's life as leader of the Community. This is not however stated explicitly, and the ordering of the groupings in descending order of gravity of punishment and/or penance clearly reveals the hand of the later arrangers of the tax; we thus may consider the ordering of the groupings a product of later arrangement, with the ordering of rules within groupings a product of historical chronology. For example, within the first four defeats, sex is first and killing third, the reverse of the usual order of the general law of physical karma (i.e. the tenfold path of bad and good evolutionary action has no killing, no stealing, no improper sexuality, and no lying as the first four precepts).

There is thus no reason for putting sexual intercourse first in the Discipline ordering within the Community other than the chronology of the case in the history of the Community. Another interesting difference between the discipline's version and the general moral rule concerns the fourth defeat, lying about one's spiritual or psychic attainments; other types of lies are considered lesser offences, not punishable by expulsion, as they are not considered so radically damaging to the welfare of the Community as a whole, they call only for individual re-habilitation. It is further made clear that this type of pretension is not merely a question of pride and humility, since some cases are recounted in which monks who actually do possess clairvoyance and spiritual attainment openly speak of it, and the Buddha protects them against the censure of the other monks.

The second section of the Vinaya text is called the Skhandhaka (Pali, Khandaka), literally "Compilation", and, in Holt's apt words, it intends "to provide the monastic community with a coherent picture of ideal sangha life." It is divided into Mahavagga and Culavagga, Great Sections and Small Sections, and contains 1) a biography of the Buddha and a history of the founding of the Community, 2) a detailed account of the upasampada or full graduation into ordained monkhood, 3)prescriptions for conducting the rituals held at the end of the rainy season retreat, 4)an account of the origins and procedures of the Pratimoksha ritual recitation, 5)detailed discussion of procedures to resolve disputes, and 6)accounts of the two first great Buddhist councils, at Rajagrha and at Vaisali, wherein the canon was fixed officially. Again, every element of the life of the monastic Community is articulated in precise relation to the historical context in which it arose and was established. This historical concern becom es crucial in the later history of the Community, in its international development as well as in its progress within India, in that is shows how specific institutions arose in response to specific conditions, and provides a basis of reasoning about how to adapt to different conditions.

In regard to ordination, the word itself has some problems. The B uddhist word, upasampada, means "full completion," coming after an intial stage of pabbajja, "wandering forth," or renunciation. It does not exactly involve the taking of vows, nor does it express a taking on of orders. It rather involves a realization of the vanity of ordinary life and its consequent renunciation, the attainment of Dharma-eyesight, and detachment. Second a wish for refuge in the transcendent Truth or Dharma, revealed in the Buddha's presence, accessed in the existence of the Community. The shaving of head and donning of rag-robes aymbolize a death of the mundane self, and entrance into the Community is felt as a re-birth as in the Buddha family or kingdom, although such imagery and ritual certification is quite restrained, due to the emphasis on the assumption of self-responsibility. The monks do not call each other "brother," not do they call the Buddha or other elder monks "father".

Holt perceptively discerns three stages in the development of the "ordination" ceremony. The very first is recounted in the beginning of the Mahavagga, when Buddha ordains Kondinna, one of the five ascetics who had been his companions before he attained enlightenment. Listening to the Four Noble Truths and the Buddha's teaching about his enlightenment, Kondanna achieved the insight called "the Dharma-eye," the "eye of Truth;" at the level of the impermanence. He exclaims that he understands that "whatever is of the nature of uprising, all that is of the nature to cease." The gods then rejoice, and even the Buddha commends him, "He has understood. Kondinna has understood." The account continues (IV, 19) "Then the venerable Annata Kondinna (Annata a new name meaning "Understood"), having seen Dhamma, attained dhamma, known Dhamma, plunged into Dhamma, having crossed over doubt, having put away uncertainty, having attained without another's help to full confidence in the teacher's instruction, spoke thu s to the Lord: 'May I receive ordination (upasampada)?' 'Come, monk,' the Lord said, 'well taught is Dhamma, fare the Brahma-faring for making an utter end of ill.' So this came to be this Venerable one's ordination.' Thus, the key to entrance into the Community is insight, actual attainment beforehand, not merely conversion in a devotional sense and resolve. The entrance thus signifies and expression of this attainment, and assumption of a life-style rendered inevitable by a new perception of reality. Acceptance by the Buddha is thus not really a "putting under orders," but rather a "completion" or ratification of the new, arya, or selfless being of the individual. No vows are required, on the assumption of the power of the insight to have purified the will, though there is an intimation in the Buddha's expression that Kondinna will develop greater depth and thoroughness of his insight through adopting the pure lifestyle, the "brahmafaring," (which later actually comes to mean merely "celibacy.").

This first stage of ordination continues in this vein with numerous candidates, as long as the Buddha himself is the one who accepts their candidacies. They understand first, become monks second, to express their understanding, as well as deepen it. The second stage begins when the Buddha deputizes other monks to ordain others, which he does to ease the spread of the Community, to avoid every new applicant having to come to him personally. He tells them they should act in a concerted group, have the candidate shave head and beard, don the yellow rag-robe, take up the alms-bowl, prostrate to them, kneel down, and take the triple refuge three times, refuge in the Triple Jewel, Buddha, Dharma, and Sangha. As this stage progresses and various problems come up, further elements are added, which in the aggregate constitute the third stage, the stage that becomes codified.

The key to the third stage is that it is no longer presumed that the candidate has immediately attained any transformative understanding. He or she has been moved by faith and renunciation, or had a glimmering of impermanence or selflessness etc. He wishes refuge in the Community, the Truth, and the Teacher.

He must shave, change garments, approach a group of at least ten monks. He must receive the "going forth" first, in most cases, renounce the world as a novice, must be tutored by a precpetor, upajjhaya, to whom he must relate as a son to a father, (on the model of Rahula to Buddha, to receive his spiritual inheritance of Dharmaknowledge).

He must not be diseased, a deserter, a convicted criminal, a debtor, a runaway slave, a runaway minor, a lazy boy, under fifteen, a eunuch, a fake, an animal, a matricide, patricide, or killer of an arhat-saint, a rapist, without even a bowl and robe, without a preceptor, or a physical freak. Most of these disqualifications have to do with preventing conflict with the lay society, some have to do with the inner motivation of the candidate, some have to do with the candidates' abilities to successfully pursue the career of a spiritual athlete in the monastic Community.

The final form of ordination that emerges from this section of the Mahavagga involves the change of hair and habit, the request to the ten minimum ordained monks, the questioning about the qualifications, the thrice repeated request, which is approved by silence. The date and time of his "birth" into the Community is told him, as it determines his seniority, not his physical age. He is told about his four resources, alms, rag-robes, dwelling at the foot of a tree (i.e., homelessness), and aged urine for medicine. He is told the four prohibitions, the same as the four defeats. And finally he is told about the process of suspension consequent on stubbornness in failing to see a transgression that may be proved to him by the community decision, and then re-instatement upon coming to admit the fault. At no time are there any vows, expressions of commitment, or promises of obedience. As a rite of passage, then, marking the canceling of mundane kinship identities and assumption of a new transcendent identi ty, so to speak, there is little embracing by the new Community. Later on, in the various cultures in which the tradition continued, local customs embellish the Community's reception of the candidate in various ways. But the principle remains that the monk has not entered a new service, order or priesthood, has not received much of a professional charisma of office, to talk Weber. Rather, he has entered the ideally supportive environment in which to cultivate his Individual Liberation, his Pratimoksha.

Now, afterwards, the first thing a monk should learn is the Pratimoksha Sutra, the ritual codification of the rules extracted from the Suttabighanga outlined above. In the language of this Sutra, there are indeed passages that express resolve and commitment, that could be taken as promissory. There are also remembrances of boundaries of behavior, rules of discipline, rules of etiquette, and reminders of the purpose of the monk's life. I shall read from Prebish's translation of the Mulasarvastivada Pratimoksha (with some emendation according to my terminological choices). (Read Prebish Pages from Intro., defeat, precepts, conclusion) To complete this brief catalogue of the ritual life of the early Community, there is a ceremony after the three-month rains retreat at which monks have the occasion to bring charges against one another, called Pavarana, or Invitation. After these have been substantiated and penances assigned, or dismissed and the falsely accusing monk himself assigned penance, the Community affirms its purity and renewal. After this, the Kathina or Robing Ceremony ensues, in which the laity greets the monks emerging from their retreat, offers them new robes, and their wandering cycle of moving from place to place for the nine month dry season begins again. The discussions surrounding the rains retreat are quite important historically in the development of the Community, since it was during that time that the monks kept to fixed dwelling; hence here are found the precedents that become significant in the later period of established monasticism.

Having given the above all too sketchy picture of the transcendent discipline of the Vinaya of the Buddha Dharma, I want to conclude with some consideration of the socio-historical context, in order to suggest some insights into the nature of monasticism, in particular to locate it in respect to other key institutions of the time.

I have already located it in general, in comments made several years ago, as an institution that grew into a middle space between the Brahmin priesthood and the Shramanic ascetic brotherhood, closer to the latter at first, but gradually encroaching on the former's previous monopoly of the spiritual or religious attention of the society. I will not further elaborate on that suggestion here, except to say that we clearly have a new religious institution in the suburbs of the cities, not in town and not in the wilderness, that, on the basis of an austere and comprehensive ethicdiscipline- etiquestte, embarked upon an energetic missionarization of ancient India, expanding successfully enough to capture the allegiance of the Emperor Ashoka two centuries after its beginning.

As a thus rapidly expanding institution, it should be compared, and its relations traced with the other rapidly expanding institutions of the day. Neither Shramanas nor Brahmanas fit that description during this period. The two institutions that seem most fruitful to explore comparatively here are 1) the monarchic state with its army and bureaucracy, and 2)the mercantile guilds. Indeed, in the Pratimoksh preface above, we saw the Buddha compared to a king, winning the battle with the passions compared to the destruction of the armies of the Lord of Death, the Community itself compared to a guild of merchants. The traveling imagery so common in these texts is particularly evocative to merchants, who expand their fortunes through difficult caravans and courageous trading voyages. "Crossing over the ocean" is clearly meaningful to them.

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