Jiabs 24-1

Journal of the International Association of
Buddhist Studies
Volume 24 Number 1 2001
MINORUHARA
In memoriam J.W. de Jong
JINHUAJIA
Doctrinal Reformation of the
Hongzhou School of Chan Buddhism
NADINE OWEN
Constructing Another Perspective for A j aI).W s
Fifth-Century Excavations
PETER VERHAGEN
Studies in Indo-Tibetan Buddhist Hermeneutics (1)
Issues of Interpretation and Translation in the Minor Works
1
7
27
of Si-tu PaI).-chen Chos-kyi-'byun-gnas (1699?-1774) 61
GLENN WALLIS
The Buddha's Remains:
mantra in the Manjusrrmulakalpa 89
BOOK REVIEW
by ULRICH PAGEL
Heinz Bechert [et a1.]: Der Buddhismus I:
Der Indische Buddhismus und seine Verzweigungen 127
Treasurer's Report 2000 135
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EDITORIAL BOARD
Cristina A. Scherrer-Schaub
Tom J.F. Tillemans
Editors-in-Chief
Robert Buswell
Steven Collins
Collett Cox
Luis O. G6mez
Paul Harrison
Oskar von Hiniiber
Roger Jackson
Padmanabh S. Jaini
Shoryu Katsura
Donald S. Lopez, Jr.
Alexander Macdonald
D. Seyfort Ruegg
Robert Sharf
Ernst Steinke lIner
Erik Ziircher
Editorial Assistant:
Yves Ramseier
nABS 24.1
Contributors to this issue:
Dr nA Jinhua was Associate Professor at Xi amen University in 1993-94.
She then obtained her PhD from the University of Colorado at Boulder
in 1999, and has been Assistant Professor at the City University of Hong
Kong since 2000. She has published four books in Chinese (two as co-
authors), two books of translation, and more than twenty articles in both
English and Chinese.
Lisa Nadine OWEN is a doctoral candidate in the Art & Art History
Department at the University of Texas at Austin. Her research interests
center on India's rock-cut monuments and she is currently writing her
dissertation on the Jain caves at Ellora.
Born in 1963 in Bonn, Ulrich PAGEL is currently Lecturer in the
Language and Religion of Tibet and Middle Asia at the School of
Oriental and African Studies (London). Before joining SOAS in 1999,
he held appointments at the University of Washington (Seattle), where
he was Assistant Professor of Tibetan Studies in the Department of
Asian Languages and Literature, and at the British Library (London),
where he was curator of the Tibetan manuscripts in the Oriental and
India Office Collections. His main research interest focuses on the trans-
mission of the Tibetan Kanjur, Mahayana literature and Tibetan histo-
riography.
Pieter Comelis VERHAGEN (1957) is University Lecturer for
Buddhology and Tibetan at the Department of Languages and Cultures
of South and Central Asia, Leiden University, the Netherlands. His main
publications include A History of Sanskrit Grammatical Literature in
Tibet, vol. 1, Transmission of the Canonical Literature (Leiden 1994)
and vol. 2, Assimilation into Indigenous Scholarship (Leiden 2001) as
well as several series of articles on the indigenous traditions of Sanskrit
and Tibetan grammar in Tibet. He is currently working ona research
project on the language-related concepts and principles underlying
Buddhist hermeneutics, under a grant from the Netherlands Organisation
for Scientific Research (N.W.O.).
Glenn WALLIS is Assistant Professor of Buddhism and Indian
Religions at the University of Georgia (Athens, Georgia, U.S.A.). His
specialization is medieval Indian Buddhist ritual literature.
In memoriam
J.W. de Jong
(15.2.1921-22.1.2000)
MINORUHARA
Professor J.W. de Jong, the Emeritus Professor of South Asian and
Buddhist Studies at the Australian National University and co-founder
with F.B.J. Kuiper in 1957 of the Indo-Iranian Journal, died of cancer
on 22nd January 2000 at the age of 78. In September 1999, he had
undergone a major operation which did not, however, cure the ailment
that had been afflicting him since January 1998. His death was
announced to the world by his pupil Royce Wiles, who wrote an
obituary in the Canberra Times of 4 February 2000.
Born in Leiden on 15 February 1921, J.W. de Jong was educated in
the University of Leiden during the period 1942-1945, reading Chinese
as his main subject, and Japanese and Sanskrit as his secondary ones,
under such renowned scholars as J.J.L. Duyvendak, lPh. Vogel and
F.D.K. Bosch. However, the period when he was at the University was
during the Second World War and the research atmosphere in the
Netherlands was not entirely favourable to his course of study.
Therefore, immediately after the war, he went to Harvard (1946), where
he studied under W.E. Clark and began a life-long friendship with
D.H.H. Ingalls. Later, he spent three years (1947-1950) in Paris with
Paul Demieville where he learnt, among other subjects, Tibetan. Having
obtained his Ph.D. in 1949 in Leiden, he also learnt Mongolian and was
thus fully equipped for the philological and textual study of Buddhism.
The fact that he was gifted with linguistic talents is best illustrated by
the legendary story that the young de Jong mastered Danish because he
needed to read a single reference work in Buddhism written in Danish.
In the same way he proceeded to learn Italian and Russian. As a matter
of fact, he wrote a lengthy article, entitled "Recent Russian Publications
on the Indian Epic" (Adyar Library Bulletin 39 (1975): 1-42). His
command over various languages, both Eastern and Western, was the
basis for his critical attitude to the study of original texts.
Journal of the International Association of Buddhist Studies
Volume 24. Number 1 .2001
JIABS 24.1 2
In 1956 he was appointed to the newly established professorial chair in
Tibetan and Buddhist studies based in the Kern Institute, but in 1965 he
moved to Canberra, when the Faculty of Asian Studies of the Australian
National University invited him from Leiden and A.L. Basham from
London. He taught there until his retirement in 1986. Under his
academic supervision, Buddhist scholars such as A. Yuyama, G.
Schopen, P. Harrison and A. Saito completed their doctoral disserta-
tions.
His scholarship as a specialist of Buddhist philology seems to have
been already prefigured in his Leiden doctoral thesis of 1949, which was
later published in book form, entitled Cinq chapitres de La Prasanna-
pada(1949). As D. SEYFORT RUEGG remarks (Indo-Iranian lournaL43
(2000): 314), it is a philologically meticulous and philosophically well-
informed translation, accompanied by an edition of the Tibetan version,
of chapters xviii-xxii of Candrakirti's great commentary on Nagfujuna's
Madhyamakakarikas. In the same way, his later writings for fifty years
were characterized by strict text-critical scholarship, occasionally based
upon manuscript material, but always fully equipped with biblio-
graphical information, and often testifying well-balanced philosophical
insight. However, his critical scholarship is best illustrated by the
enormous number of reviews he wrote, which amount to 700 out of his
870 writings. He used to extensively read research monographs, as soon
as they were published, with remarkable rapidity and accuracy, and
wrote reviews furnished with critical remarks and additional
information. Some of the reviews extended to almost 20 pages (i.e.
Indo-Iranian Journal 11 (1968): 36-54 etc.); they were more important
than the original and became indispensable for further scientific
research.
De long's extensive reading also resulted in his writing and re-writing
historical surveys of Buddhist studies, surveys which took final form in
his book, entitled A Brief History of Buddhist Studies in Europe and
America, published in 1997 by the Kosei Shuppan, Tokyo (pp.I-183).
There he surveyed Buddhism, known for the first time to the West in the
writing of Clement of Alexandria of 200 AD, and becoming an object of
scientific research in the eighteenth century. His description extended to
the present day, ending at 1990. With his command of many languages,
classical as well as modem, he produced similar sorts of surveys of the
Mahabharata and the cultural contact between Greeks and Indians. The
former took form in a lengthy article entitled "The Study of the
HARA 3
Mahiibhiirata, A brief survey" (Hokke Bunka Kenkyu 10 (1984): 1-19
and 11 (1985): 1-21), and the latter in "The Discovery of India by the
Greeks" (Asiatische StudienlEtudes Asiatiques 27 (1973): 115-142) .
. De Jong is also recognized as a unique figure who was able to mediate
Buddhist studies, Eastern and Western. As he learnt Japanese in Leiden
as a secondary major, he was able to read with remarkable speed and
accuracy a number of Japanese publications of Buddhist Studies. His
contribution in this respect was immense, for he regularly introduced
Eastern Buddhist achievements to the West, while training East Asian
Buddhist students along the lines of the age-honoured philological tradi-
tion of the West. In a sense he is to be compared to such scholars as G.
Biihler and H. Liiders in Sanskrit and Indian Studies who, while them-
selves studying Indian texts, trained eminent Indian scholars in the
methodology of Classical Philology. In effect, he was able to continue
and enhance, in the second half of the twentieth century, the tradition
established by the French school as it was represented by S. Levi, L. de
La Vallee Poussin and E. Lamotte in the first half. As these scholars in
the past had J. Takakusu and S. Yamaguchi as their collaborators in
Japan, de Jong was lucky to have similar counterparts such as N. Tsuji,
G. Nagao, Y. Ojihara and M. Hattori in Japan.
It was in 1963 that de Jong first visited to Japan and attended the
annual meeting of the Japanese Association of Indian and Buddhist
Studies, where he gave a special lecture on the history of Indian
asceticism and another with P. Mus on Borobudur. From that time on,
he came to Japan once every ten years, that is, in 1973, 1983 and 1993;
his last visit was in the autumn of 1996 as a guest professor at the
International College of Advanced Buddhist Studies. In gatherings of
Japanese Buddhist scholars he kept insisting on the need for a critical
edition of the Taisho Tripi!aka, citing several example passages. Such an
edition is only possible in this country; it is to be regretted that few of
our Buddhist specialists appreciated his proposals.
Since the present writer has had another opportunity to write in detail
about de Jong's writings (TohOgaku 100 (2000): 301-309) and an
excellent outline of de Jong's scholarly contributions has been written by
the Tibetologist and Mahayana Buddhist specialist, David SEYFORT
RUEGG (Indo-Iranian journal 43 (2000): 313-317), below we will only
give a list of his publications in their original book form in chrono-
logical order.
JIABS 24.1 4
His publications written either in English or French amount to 871
according to' our calculation; they can be broadly classified into the
following five categories: books (17), articles (86), reyiews (700),
translations (2) and others (contributions to Bibliographie bouddhique
and Revue bibliographique deSinologie, various obituaries, prefaces to
his friends' books, etc.). Nonetheless it is not always an easy task to
ascertain the exact number of his writings, for the same books were
sometimes published twice in different parts of the world (India and
Japan) and his books have been translated into various languages.
Furthermore, some of his articles and reviews have been twice collected
and published in book form. Thus, we have Buddhist Studies by 1. W. de
long edited by G. SCHOPEN (Berkeley: Asian Humanities Press 1977)
and Tibetan Studies (Indica et Tibetica 25, Swistal-Ordendorf 1994) by
DE JONG himself. Of these, the former contains 27 articles and 39
reviews and the latter consists of 6 articles and 25 reviews with an
obituary of G.N. de Roerich. Again, his own bibliography was published
twice in the Hokke Bunka Kenkyu, first in vol. 14 (1988), nos. 1-532,
and then in vol. 25 (1999), nos. 533-824. But we also have the l. W. de
long Bibliography 1949-1973 published by the Faculty of Asian
Studies, Australian National University (date not given), which we find
again at the end of Hirakawa's Japanese translation (pp.162-208) of de
Jong's A Brief History of Buddhist Studies in Europe and America
(Tokyo 1975).
Books
1. Cinq chapitres de la Prasannapada (Paris: Paul Geuthner 1949).
2. Mi la ras pa'i rnam thar: texte tibetain de la vie de Milarepa
(s-Gravenhage: Mouton 1959).
3. Nagarjuna Mulamadhyamakakarikal} (The Adyar Library Series
109) The Adyar Library and Research Centre 1977.
4. The Story of Rama in Tibet: text and translation of the Tunhuang
manuscripts (Stuttgart: Franz Steiner 1989).
5. Textual Remarks on the Bodhisattvavadanakalpalata (Pallavas
42-108) (Tokyo: Reiyukai Library 1979).
6. Lin Li-kouang, A. Bareau, P. Demieville and J.W. de Jong:
Dharmasamuccaya: compendium de la [oi, Pts 1-2 (Paris: Adrien
Maisonneuve 1946-69), Pt 3 (Paris: Adrien Maisonneuve 1973).
7. A Brief History of Buddhist Studies in Europe and America (Tokyo:
Kosei Publishing Company 1997). Its earlier versions were translated
HARA 5
into Japanese by A. HIRAKAWA (Tokyo 1975) and reprinted in India
twice under the same title (Varanasi: Bharat Bharati 1976 and Delhi: Sri
Satguru Publications 1987).
8. Buddha'sWords in China (Canberra 1968) (The 28
th
G.E. Morrison
Lecture in Ethnology).
As is evident, among these eight, 1,3,5,6 are related to Buddhist texts
and 2,4 are more concerned with Tibetan Studies proper. Beside these,
we have two volumes of his articles as we have mentioned above, and in
1982, his colleagues in Canberra compiled his felicitation volume, to
which 35 of his colleagues and friends from all over the world
contributed articles:
9. Indological and Buddhist Studies, Volume in Honour of Professor
J. W. de long on his sixtieth Birthday, edited by L.A. Hercus, F.B.J.
Kuiper, T. Rajapatirana, E.R. Skrzypezak (Canberra 1982).
All these academic activities of J.W. de Jong as described above should
be remembered by all Buddhist scholars, Eastern and Western, whose
task consists in continuing and furthering the line which was cultivated
by the doyen of international Buddhist scholarship.
International College for the Advanced Buddist Studies
5-3-23 Toranomon, Minato-ku, Tokyo
Minoru Hara
JINHUAJIA
Doctrinal Reformation of the
Hongzhou School of Chan Buddhism*
Hu Shi asserts that "Chinese" Chan proper first took on complete
shape in the Hongzhou #HI'I school.l This assertion has been generally
accepted, and the Hongzhou school is regarded as the beginning of
"classical" or "golden-age" Chan. However, when discussing exactly
what marks the beginning of this new type of Chan, or in other words,
what kind of reformation Mazu Daoyi )i!Hll.ll[ - (709-88) brought to the
Chan tradition, there have been quite different explanations. YANAGIDA
Seizan posits that the most salient characteristic of the Hong-
zhou school is that it is a Chan of everyday life and a religion of
humanity.2 IRIYA Yoshitaka regards the ideas, "function is
identical with [Buddha-]nature" and "daily activities are wonderful
functions," as the core of Daoyi's teaching.
3
John McRAE assumes that
"encounter dialogue" distinguishes the "classical" Chan of Mazu from
the "pre-classical" Chan of the Northern, early Southern, and Niutou
schools.4 Bernard FAURE takes the disappearance of one-practice
samiidhi (yixing sanmei -11"':::'$\C) as "an indicator of the 'epistemologi-
cal split' that opened between early Chan and the 'classical' Chan of the
* I thank Professors Paul W. Kroll, Terry Kleeman, John McRae, Dr. Sarah
Horton, and the anonymous examiner for their suggestions on draft versions of
this article.
1. HU Shi: "Da Tang Yongtong xiansheng shu" (1924), in Hu
Shi ji ed. Huang Xianian (Beijing: Zhongguo shehui kexue
1995), p. 60.
2. YANAGIDA: Mu no tankyii: Chiigoku zen (Tokyo: Kadokawa
shoten 1969) pp. 145, 163.
3. IRIYA: "Preface" to Baso no goroku (Kyoto: Zenbunka kenkyujo
1984).
4. McRAE: "Encounter Dialogue and the Transformation in Ch'an," in Paths to
Liberation: The Marga and Its Transformations in Buddhist Thought, ed.
Robert E. Buswell, Jr. and Robert M. Gimello (Honolulu: University of Hawaii
Press 1992), p. 357.
Volume 24. Number 1.2001
JIABS 24.1 8
ninth century."5 Each of these scholars insightfully focuses on an impor-
tant aspect ofMazu's reformation, yet the full dimension of the doctri-
nal development of the school still awaits further explorati9n, which is
the aim of this article.
1. "Ordinary Mind Is the Way"
Earlier studies defined the expression, "the mind is the Buddha" (jixin
shi fo as the core of Daoyi's teaching.
6
However, in his To
Godai Zenshashi m'.li {-\t.!j[*.'iE, SUZUKI Tetsuo presents
plentiful evidence to indicate that this expression was not taught only by
Daoyi, but had been a rather popular teaching since Huineng
713) According to Suzuki's analysis of the sources, the Chan masters
before Daoyi who may have illustrated this teaching include Huineng
and his disciples Benjing ;2fs:1-, Shenhui t$f\r (684-758), Huizhong
(d. 776), Huairang (677-744), and Xingsi (d. 740).7
SUZUKI further posits that, though Daoyi at the beginning of his
career also taught that "the mind is the Buddha," after he moved to
Hongzhou, in order to fend off attacks from outside the Chan circle and
to correct abuses inside the school, he used an alternative expression,
"neither mind nor Buddha" (feixinfeifo
The idea that "the mind is the Buddha" can be viewed as the major
teaching of the Southern tradition since Huineng. SUZUKI is quite right
when he indicates that it is not Daoyi's core teaching, but his reason for
Daoyi's alternative expression, "neither mind nor Buddha," lacks
reliable evidence. He mentions the frequent defamation of Daoyi by the
abbot of Da' an monastery in Hong prefecture, recorded in the
Zutang ji and also Nanyang Huizhong's criticism about "the
mind is the Buddha," recorded in the lingde chuandeng lu
However, the Zutang ji does not relate any specific content of the
5. FAURE: The Will to Orthodoxy: A Critical Genealogy of Northern Chan
Buddhism (Stanford: Stanford University Press 1997), p. 69.
6. For example, Nukariya Kaiten mm-:fr'i'R:7(, Zengaku shisoshi
Tokyo: Meicho kanka kai 1969, pp. 436-7.
7. SUZUKI: To Godai Zenshushi (Tokyo: Daita shuppansha 1984), pp.376-7,
383-4. The sources he cites also indicate that some earlier masters, such as
Baozhi _lit (428-576), Fu Dashi w::k (497-569), Huike and Daoxin
mffi (580-651), had begun this teaching. However, the true authors and dates of
the sources cited remain questionable.
8. SUZUKI, To Godai Zenshashi, pp.377-82.
JIA 9
abbot's 'slanders.
9
Huizhonghimself also advocated that "the mind is the
Buddha," and did not really criticize it. 10 The abuse of this expression
by others, another reason offered by SUZUKI for Daoyi' s abandonment
of this expression, in actuality appeared only after Daoyi's death. I I
Daoyi's alternative expression, "neither mind nor Buddha," was also
not a new doctrine, but rather suggested an application of the
Madhyamika nondualism, which had already appeared in the teachings
of various Chan lines earlier than the Hongzhou school.
I2
Daoyi took over these two teachings of early Chan, "the mind is the
Buddha" and "neither mind nor Buddha," and used them as expedient
means (upaya) to guide learners. The lingde chuandeng lu records a
conversation between Daoyi and an anonymous monk:
A monk asked, "Why did you preach that the mind is the Buddha?" The master
[Daoyi] answered, "To stop little boys from crying." The monk asked, "What
would you say when they have stopped crying?" The master replied, "Neither
mind nor Buddha." The monk asked, "If someone other than these two kinds of
people comes, how would you guide him?" The master answered, "Tell him it is
not a thing." The monk asked, "What would you do if someone in the know
suddenly comes?" The master replied, "Then teach him to comprehend the great
Way."13 .
Thus, both sayings were used only to guide beginners (crying young-
sters);14 when more advanced learners came, he guided them directly to
understand the great Way. Daoyi's major disciples understood this quite
well. For example, Panshan Baoji filll.fSf instructed his own disciples:
If you say that "the mind is the Buddha," you have not now entered the myste-
rious subtlety. If you say "neither mind nor Buddha," you are still attached to the
extreme rule of pointing to traces. As for the one single Way of going beyond, a
thousand sages would not transmit it. 15
9. Zutangji (Changsha: Yuelu shushe, 1996), 14.304.
10. See Zutang ji, 3.78.
11. See Jingde chuandeng lu (Sibu congkan), 7. lOb; Zutang ji, 15.338.
12. Such as the teachings of the Southern, the Niutou, and the Shitou schools.
13. Jingde chuandeng lu, 6.2b.
14. The metaphor of stopping youngsters' cry is seen in the Mahilparinirviina-sutra,
T. 374, 12: 485c, Mahilpriijiiiipiiramitii-sutra, T. 220,7: 1l04c, and so forth.
15. Zongjing lu T. 2016,48: 944c; Zutangji, 15.330; Jingde chuandeng lu,
7.5b. Other disciples of Daoyi, such as Damei Fachang Nanquan
Puyuan lLijH!f Jjj, and Funiu Zizai {fUi:: ::{E, also had similar sayings; see
Zutang ji, 15.336; Jingde chuandeng lu, 7.8b-9a; Zutang ji, 16.351; Jingde
chuandeng lu, 7.5b.
JIABS 24.1 10
Then, what is the "one single Way of going beyond that a thousand
sages would not transmit"? It should be the teaching that "ordinary mind
is the Way" (pingchangxin shi Dao Daoyiyreached to the
assembly:
If one wants to know the Way directly, then ordinary mind is the Way. Ordinary
mind means no intentional action, no right or wrong, no grasping or rejecting, no
terminable or permanent, no profane or holy. The sutra says, "Neither the practice
of ordinary men, nor the practice of sages - that is the practice of the
Bodhisattva." Now all these are just the Way: walking, staying, sitting, lying,
responding to situations, and dealing with things.
16
YANAGIDA is insightful in singling out that "ordinary mind is the Way"
as Daoyi's core teaching.
17
However, his interpretation of "ordinary
mind" seems somewhat contradictory. On one hand, he says that it is a
complete mind including both ignorance and enlightenment:
The characteristic of the new Chan Buddhism created by Mazu is to regard the
complete, actual activities of mind as manifestations of Buddha nature. I 8
The so-called "ordinary mind" is such a complete mind. It includes all ignorance
and enlightenment, without partiality for either side. I 9
On the other hand, however, he asserts that "ordinary mind" should not
contain ignorance but simply emphasizes the down-to-earth tendency of
subjective aWakening:
It does not mean that the mind is the original mentality that contains both igno-
rance and enlightenment, but rather the most substantial and common mind, the
down-to-earth tendency of the subject. We can say that it makes the traditional
idea of original or absolute enlightenment subjective and active.
20
Sometimes, he simply identifies Daoyi's new slogan with the old saying
that "the mind is the Buddha."21
YANAGIDA's confusion is understandable. Daoyi's teaching itself
contains various orders of meaning, and even his closest disciples
understood it in quite different ways. It covers at least three orders of
16. Jingde chuandeng lu, 28.9a. Cf. the translations of Bavo LIEVENS, The Recorded
Sayings of Ma-tsu, trans. Julian F. PAS (New York: The Edwin Mellen Press
1987), p. 89; CHENG Chien, Sun-Face Buddha: the Teaching of Ma-tsu and the
Hung-chou School ofCh'an (Berkeley: Asian Humanities Press 1992), p.65.
17. YANAGIDA, Mu no tankya, pp.145-62.
18. Ibid., p.157.
19. Ibid., p.153.
20. Ibid., p. 150.
21. Ibid., p. 152-3.
JIA 11
mutuillly reinforcing and sometimes conflicting meaning. Someone once
asked Zhangjing Huaihui (756-815), one of Daoyi's major
disciples: "Is the Dharma-gate of mind-ground transmitted by the
. patriarch the mind of Thusness, or the deluded mind, or neither true
mind nor deluded mind?"22 These three questions are quite acute,
deriving from the three orders of meaning implied in Daoyi's "ordinary
mind." Each in turn requires careful analysis and response.
The fIrst order of "ordinary mind" answers the question whether it is
the mind of Thusness. As cited above, Daoyi said, "Now all these are
just the Way: walking, staying, sitting, lying, responding to situations,
and dealing with things." These are the spontaneous activities of daily
life, not involving evil or defIlement. As YANAGIDA explains, this kind
of "ordinary mind" is "the most substantial and common mind, the
down-to-earth tendency of the subject." It is easily understood as the
true nature of human beings, as well as the pure mind of Thusness or
Buddha-nature. As a matter of fact, several of Daoyi's major disciples
understood it in this way. The Jingde chuandeng lu records an interest-
ing conversation between Dazhu Huihai and a Vinaya master:
A certain Vinaya master, Yuan, came to ask, "Reverend, do you still make efforts
in your cultivation of the Way?" The master replied, "Yes, I do." Yuan asked,
"How do you make your efforts?" The master answered, "When I feel hungry, I
eat food; when I am tired, I sleep." Yuan asked, ''Everyone always does that. Are
they making the same efforts as you?" The master answered, "No, they are
different." Yuan asked, "Why are they different?" The master said, "When taking
food, they do not eat, but ponder over hundreds of matters. When sleeping, they
do not sleep, but worry about thousands of affairs. Hence they are different."23
The pondering and worries of other people come from a deluded mind,
and the spontaneous eating and sleeping are the manifestations of a pure
mind. Pang Yun .1.1, a lay disciple of Daoyi, composed the following
Chan verse:
No-greed surpasses giving alms;
No-delusion surpasses seated meditation.
No-anger surpasses observing precepts;
No-thought surpasses seeking causes.
23. Jingde chuandeng lu, 6.6a.

wutanshengbushi

wuchishengzuochan

wuchenshengchijie

wunianshengqiuyuan
JIABS 24.1 12
Manifesting all activities of ordinary men,
I sleep at ease at nights.
24

jinxiar,fanjushi

yelaianlemian
Here the "three poisons" - greed, delusion, and anger - are excluded
from the activities of ordinary men. Thus, to Huihai and Pang Yun,
"ordinary mind" is close to the fundamental true mind (benzhenxin
or the pure mind of self-nature (zixing qingjingxin '[j:m1'J
1
L')
advocated by the patriarchs of pre-classical Chan. In this order, Daoyi's
teaching that "ordinary mind is the Way" is identical with the teaching
that "the mind is the Buddha," as YANAGIDA has noted.
The second order of "ordinary mind" answers positively the question
whether it was neither true mind nor deluded mind. As cited above,
Daoyi said, "Ordinary mind means no intentional action, neither right
nor wrong, neither grasping nor rejecting, neither terminable nor
permanent, neither worldly nor holy. The sutra says, 'Neither the
practice of ordinary men, nor the practice of sages - that is the practice
of the Bodhisattva. '" The first three pairs of negation are variations of
Nagarjuna's famous Eightfold Negation.
25
The last pair is a citation
from the Vimalakfrti-nirdea,26 which is also famous for its teaching of
nondualism. In the stupa inscription for Daoyi, Quan Deyu
(761-818) also mentioned that Daoyi taught his followers about "the
gate of no-differentiation and no-gradation."27 Daoyi applied the Middle
Way theory of the Madhyamika teaching to negate all dual differentia-
tions: true and deluded, right and wrong, rejecting and grasping, perma-
nent and terminable, holy and worldly, and so forth. The teaching of
"neither mind nor Buddha" discussed above can be seen as an alternative
of this second order of "ordinary mind."
The third order of "ordinary mind" answers the question whether it is
the deluded mind. The entry on Fenyang Wuye in the Zutang
ji records:
[Wu]ye asked, "As for the literature of the three vehicles, I have already roughly
understood their meanings. I heard that the teaching of the Chan school is that
24. Zutang ji, 15.349.
25. Nagiirjuna, Miidhyamika-siistra, T. 1564,30: 1c.
26. T. 475, 14: 545b.
27. "Tang gu Hongzhou Kaiyuansi Shimen Daoyi Chanshi taming bingxu"
in Quan Zaizhi wenji
(Sibu congkan), 28.2a.
JIA 13
'the mind is the Buddha,' but I am really unable to understand it." Daji [Daoyi]
replied, "This very mind that doesn't understand is it, without any other thing."28
"This very mind that doesn't understand" is the mind of ignorance and
delusion. Daoyi directly identified it with the Buddha or Buddha-nature.
This is a new' idea in the history of Chan and of Buddhism, by which
Wuye is said to have awakened immediately. Later, he passed it on to
his own disciples, "The Patriarch came to this land ... only for transmit-
ting the mind-seal, to certify the delusive nature of all of you. Those
who get it do so regardless of being ordinary or sage, foolish or wise."29
Daoyi further preached:
Self-nature is originally perfect. If only one does not get hindered by either good
or evil things, he is called a man who cultivates the Way. Grasping good and
rejecting evil, contemplating emptiness and entering concentration, all these
belong to intentional action. If one seeks further outside, he strays farther away. 30
These words can be explained in two ways. It can be seen as emphasiz-
ing the no-attachment of mind. But it also can be interpreted as "self-
nature" or "ordinary mind" is the complete, substantial mind of good
and evil, purity and defilement, enlightenment and ignorance, and it is
unnecessary to grasp good or reject evil intentionally. Some disciples of
Daoyi also expressed the second implication. Huaihui said, "Neither
dismiss phenomena to accord the mind, nor reject defilement to obtain
purity."3! Daowu m:'IN said, "Defilement and purity stay together, as
water and wave share the same substance."32
This interpretation is also consonant with Zongmi's *W (780-841)
description of the Hongzhou school. Zongmi summarized its doctrine as
"whatever one has contact with is the Way, and one should let the mind
be free", and further explained:
The idea of the Hongzhou school is that the arising of mind, the movement of
thought, snapping fingers, twinkling eyes, all actions and activities are the
function of the entire essence of Buddha-nature. All greed, anger, delusion, the
28. Zangning J:$, Song gaoseng zhuan (Beijing: Zhonghua shuju,
1987), 12.247. Also see Zutang ji, 15.344; Jingde chuandeng /u, 8.2a.
29. Zongjing lu, T. 2016,48: 943a.
30. YANAGIDA, ed., Shike goroku, Goke goroku (Kyoto:
Chiigoku shuppansha, 1983), 3b. Cf. the translations of PAS, Recorded Sayings
ofMa-tsu, p. 86; CHENG, Sun-Face Buddha, p. 63.
31. See QUAN Deyu, "Tang gu Zhangjingsi Baiyan dashi beiming bingxu"
Quan Zaizhi wenji, 18.14a.
32. Song gaoseng zhuan, 10.233.
JIABS 24.1 14
creation of good and evil, enjoyment of happiness, and suffering of bitterness are
Buddha-nature. 33 .
The two points implied in this passage, the ordinary psycho-physical
activities are the functions of Buddha-nature, and the complete, ordinary
mind of good and evil, enjoyment and suffering is Buddha-nature,
clearly elucidate Daoyi's teaching. Although we have not found any
sources that Daoyi said the "three poisons" were the manifestation of
Buddha-nature, his disciple Qianqing Mingjue did openly say:
"The dharmas of ten evils, five heinous offences, delusion, greed, anger,
and ignorance are all manifested from the tathagata-garbha and origi-
nally are Buddha."34 .
This is a significant reformation in the development of Chan and
Buddhist thought. Buddhist doctrine in general regards ignorance as the
root of all sufferings and rejects the three poisons and other unwhole-
some activities. Within the Mahayana movement, the tathagata-garbha
theory holds that all sentient beings possess tathagata-garbhaIBuddha-
nature, which is covered by adventitious ignorance and delusion so that
it is even unknown to its owners. Based on this view, the various lines of
early Chan made every effort to pacify, maintain, contemplate, or look
into the pure fundamental mind/nature (anxin *Jl,,, shou benzhenxin
guanxin aJl,,, jianxing On the other hand, the Ma-
dhyamika theory denies making an absolute commitment to anything,
not even to the Buddha or Buddha-nature. Following this doctrine, some
lines of early Chan advocated "no-thought" (wunian ifll!i;fr,), "no-mind"
(wuxin ifll!iJl,,), or "no-affair" (wushi in order to free the mind
from emotional and intellectual attachments.
36
The first order of Daoyi's
"ordinary mind" is in accordance with the former doctrine, which was
influenced by the tathligata-garbha thought, and the second order of
33. Zongmi, Zhonghua chuan xindi Chanmen shizi chengxi tu
z. 110: 870b.
34. Zongjing lu, T. 2016,48: 945a.
35. Those were advocated by Daoxin, Hongren 5fJfi!.. (601-74), Shenxiu t$:*
(d. 706), and Huineng. For detailed discussions, see OGAWA K6kan/NliiJklt,
Chiigoku nyoraizo shiso kenkyii (Tokyo: Bukky6 shorin
nakayama shobO, 1976),394-5; David W. CHAPPELL: "The Teachings of the
Fourth Ch'an Patriarch Tao-hsin," Early Ch'an in China and Tibet, ed. Whalen
Lai and Lewis R. Lancaster (Berkeley: Asian Humanities Press 1983): 95-7;
McRAE, Northern School, 135-6,208-9; FAURE, Will to Orthodoxy, 60-1.
36. Those were advocated by the Southern, Baotang, Niutou, and Shitou schools.
flA 15
"ordinary mind" with the latter doctrine, which was influenced by the
Madhyamika theory. In the third order, however, Daoyi set aside both
doctrines, transformed absolute Buddha-nature into complete, substantial
human mind that contains both purity and defilement, and identified an
ordinary mari with the Buddha. As his disciple Baoji said, "The
complete mind is the Buddha, and the complete Buddha is a man. When
a man and the Buddha are without difference, then there is the Way."
Danxia Tianran a disciple of both Daoyi and Shitou Xiqian
(700-90), said, "If you want to recognize Sakyamuni, then
this old ordinary man is him."37 From "the mind is the Buddha" to "the
man is the Buddha," though only a word different, is a critical reforma-
tion. Indeed, the various lines of pre-classical Chan had made strong
efforts to shorten the distance between ail ordinary man and the Buddha.
In Huineng's and his disciples' teaching of "the mind is the Buddha,"
this distance had been nearly negated. Only a single last step was left -
the mind was still limited within the scope of its intrinsically pure
nature, excluding the defiled mind. If one kept this last step, the essence
of the Indian tathiigata-garbha theory would still remain. When this last
step was overridden, with complete, substantial, ordinary mind, includ-
ing both purity and defilement, becoming Buddha-nature, with no
difference between an ordinary man and the Buddha, thereupon Chinese
Chan took shape.
This reformation immediately drew serious criticism from more con-
servative quarters both inside and outside Buddhism. Nanyang Huizhong
was the ftrst to launch an attack:
Some have different names but the same essence, and some have the same name
but different essences. Therefore they are abused. For example, Bodhi, Nirvana,
Thusness, Buddha-nature, these names are different, but their essence is the
same. True mind and deluded mind, Buddha wisdom and mundane wisdom, the
names are the same, but the essences are different. It is because the south[ern
doctrine] wrongly taught deluded mind as true mind, taking thief as son, and
regarding mundane wisdom as Buddha wisdom. This is like confusing fish eyes
with bright pearls. These things cannot be taken as the same and must be distin-
guished.
38
37. Jingde chuandeng lu, 14.6a.
38. Jingde chuandeng lu, 28.1b-3a.
JIABS 24.1 16
This statement was made sometime during the years 772-5, and its target
was Daoyi's teaching.3
9
Huizhong appreciated Daoyi's expression,
"neither mind nor Buddha," 40 but could not tolerate he "taught
deluded mind as true mind." This is because while the former did not
betray the prajiiii teaching, the latter made a reformation of the pre-
classical Chan tradition.
Soon after Huizhong, criticism from outside the Chan movement also
arose. Liang Su (753-93), a Confucian as well as a follower of the
great Tiantai master Zhanran (711-82), sharply condemned Daoyi's
new idea:
Among today's people, those who have the right belief are very rare. Among
those who open the gate of Chan, some use the teachings that "there is no
Buddha or Dharma" and "no matter whether evil or good" to transform the
people. Mediocre people run after them, and fellows with lustful desires go in
and out of their halls. The gentry regard these words as the supreme
[understanding], which will never be replaced, so that personal desires need not
be abandoned. Consequently, people go to their gates like flying moths darting
into bright candles, or broken rocks dropping down an empty valley .... This
kind of harm is the same as [that done by] the host of demon and heresy.41
This treatise was likely written in 781,42 a few years after Daoyi went to
Hong prefecture and established the Hongzhou school. The alleged
teaching of "no matter whether evil or good" and of affIrming personal
desires accords with the third order of Daoyi's "ordinary mind." Liang
Su complained that this teaching betrayed the orthodox doctrine of
Buddhism, and because it attracted numerous followers, it exerted a
destructive effect on Buddhism.
39. Shiido Echii no nanpo shiishi no hlhan ni tsuite"
m:n* ChUgoku no bu/ckyo to bunka: Kamata
Shigeo hakushi kanreki kinen ronsha
(Tokyo: Daizo shuppansha 1988), pp. 315-44; "Nansozen no tongo shiso
no tenkai: Kataku Shine kara Koshiishii e" iJill'm-Jl!,lW\(7)
Zenbunka kenkyujo kiyo 20 (1990): 136-8;
JIA Jinhua, "Mazu Daoyi: A Complete Biography," Taiwan Journal of Religious
Studies 1.2 (2001):119-150.
40. See Jingde chuandeng lu, 28.1b-3a.
41. Liang Su, ''Tiantai famen yi" in Quan Tang wen (Beijing:
Zhonghua shuju, 1983), 517.lSa/b.
42. See Kanda Kiichiro "Ryo Shuku nenpu" in Tohiigaku
ronshU: Tohii gakkai soritsu nijugoshanen kinen
+ 1i)l!f] (Tokyo: Toho gakkai 1972), pp. 270-1.
nA 17
A little while later, there came Zongmi's criticism. Although he stood
in the sectarian position of the Heze school, he fiercely criticized the
Hongzhou thought as representing the most serious challenge not only to
the Huineng-Heze line but also to the whole Buddhist tradition.
Now, the Hongzhou school says that greed, anger, precepts (ifla), and concentra-
tion (samadhi) are of the same kind, which is the function of Buddha-nature.
They fail to distinguish between ignorance and enlightenment, the inverted and
the upright. ... The Hongzhou school always says that since greed, anger, c o m ~
passion, and good are all Buddha-nature, there could not be any difference
between them. This is like someone who only observes the wet nature [of water]
as never changing, but fails to comprehend that, since water can both carry a boat
or sink it, its merits and faults are remarkably different.
43
Zongmi attacked the Hongzhou teaching for equating greed and anger
with compassion and good, taking ignorance as enlightenment, and
inverting right and wrong. The danger of this teaching was not only
ethical but also doctrinal. The metaphor of water-nature implies a
warning that the Hongzhou teaching might sink the boat of Buddhism.
This, as we will see, is definitely not an overreaction.
From Liang Su to Huizhong and Zongmi, from outside to inside, the
critics aimed at Hongzhou school's identification of the entire mind of
purity and defilement with Buddha-nature. This fact in turn shows that
this identification was truly a significant reformation in the doctrines of
Chan and Buddhism.
The above analysis of Daoyi's teaching, "ordinary mind is the Way,"
reveals that the "ordinary mind" is more complex than might at first be
apparent. Its first two orders of meaning comprehend the "Dharma-gate
of mind-ground" of the Chan tradition, the "dualism" and nondualism
advocated by early masters. Its third order of meaning, however,
develops and reforms Chan traditions in its unconditional identification
of substantial mind with Buddha-nature, an ordinary man with the
Buddha, so as to make Chan Buddhism a religion of humanity, as
YANAGIDA Seizan puts it. On the one hand, it affirms the value of the
entirety of human being and human life, representing a humanistic and
pragmatic turn in Chan and Buddhist tradition. On the other, it changes
the Buddha back to a man, reducing his holy aura, and establishing a
new relationship of equality between the Buddha and an ordinary man.
Nevertheless, a dangerous seed of self-deconstruction was at the same
time planted into the body of Buddhism, as warned by Liang Su and
43. Zongmi, Chengxi tu, Z. 110: 875a/b.
JIABS 24.1 18
Zongmi. If there is no difference between the Buddha and an ordinary
man, or between transcendental and mundane worlds, the attractive
power of Buddhist belief would be reduced, and the existing ground of
Buddhist religion would become questionable. Tianran dared to sit
astride the neck of a statue of a Bodhisattva, and burned a wooden image
of Buddha to warm himself, saying: "As for the one single word,
Buddha, I never like to hear it."44 Later, descendants of the Hongzhou
school did even more astonishing activities to abuse the Buddha and
ridicule the patriarchs.
45
Accompanying the attainment of a free mind
was a tendency to religious self-deconstruction.
2. Inherent Enlightenment and No-Cultivation
The purpose of cultivation and enlightenment in Mahayana Buddhism is
to make one a Buddha. If one is unconditionally identified with the
Buddha, he is inherent enlightened and needs no cultivation.
Consequently, Daoyi further advocated inherent enlightenment and
rejected cultivation. .
[Enlightenment] intrinsically existed and exists at present. It does not depend on
the cultivation of the Way and seated meditation. Neither cultivation nor seated
meditation - this is the pure Chan of Tathagata.
46
Out of an ethical concern and criticism, Zongmi summarized the
Hongzhou teaching of no-cultivation as follows:
If one understands that this is spontaneous and natural, he should not arouse the
intention to cultivate the Way. Since the Way is the mind, one cannot use the
mind to cultivate the mind. Since evil is also the mind, one cannot use the mind to
cut off the mind. Neither cuts off evil nor cultivation, but freely follows one's
destiny, that is called liberation.
47
44. lingde chuandeng lu, 14.5aJb.
45. Some scholars explain these abusive activities as an impact of Madhyamika
thought. See, for example, Hslieh-li Cheng, "Zen and San-Iun Madhyamika
Thought: Exploring the Theoretical Foundation of Zen Teachings and Practices,"
Religious Studies 15 (1979): 355-6. Since the three orders of the "ordinary mind"
are mutually reinforcing, the idea of "neither mind nor Buddha" under
Madhyamika impact may indeed have been one of the reasons. However, con-
sidering the fact that the schools of Madhyamika thought or those mainly under
its influence, such as the Sanlun (Three Treatises) and the Niutou schools, did not
lead to such abusive activities, this influence may not be a major reason.
46. lingde chuandeng lu, 28.7b.
47. Zongmi, Chanyuan zhuquanji duxu T. 2015,48: 402c.
nA 19
The spontaneous state of human mind is the Way or Buddha-nature. It is
inherently enlightened, without depending on cultivation and seated
meditation. What one needs to do is simply follow his destiny freely and
practise daily activities spontaneously. As a result, all traditional forms
of Chan practice, such as seated meditation, pacifying the mind,
maintaining the fundamental true mind, contemplating the mind, or
transcending thought, became useless. Yaoshan Weiyan a
disciple of both Daoyi and Xiqian, called precepts (Sfla), concentration
(samiidhi), and wisdom (prajfiii) as useless fumiture.
48
Tianran said,
"Here in my place is no Way to be cultivated, and no Dharma to be
certified. "49
Furthermore, under Daoyi' s advocacy of inherent enlightenment, the
gradual/sudden paradigm of Chan awakening also became meaningless.
Daoyi said: "It is in contrast to ignorance that one speaks of aWakening.
Since intrinsically there is no ignorance, awakening also need not be
established."5o Zongmi criticized that though the Hongzhou school was
close to the gate of sudden awakening, it totally betrayed the gate of
gradual awakening.
51
However, Daoyi ultimately denied any kind of
awakening. Awakening presupposes ignorance and delusion. Since an
ordinary man is the Buddha, intrinsically lacking any ignorance and
delusion, awakening is nowhere to be found, no matter whether it is
sudden or gradual.
Nevertheless, just as the idea, "ordinary mind is the Way," covers at
least three orders of meaning, the Hongzhou school's concept of culti-
vation and awakening is not as simple as might at first be thought. It
sways between no-cultivation and cultivation, no-awakening and awak-
ening, in accord with the various orders of "ordinary mind."
First, in the highest order of "ordinary mind," theoretically and ideally
the Way needs no cultivation, and a man needs no awakening, because
the mind is the Way and an ordinary man is the Buddha. However, most
men do not know that the spontaneous state of their mind is enlighten-
ment itself, so they still need to be awakened through a distinctive
48. Zutangji. 4.104; Jingde chuandeng lu. 14.9b.
49. Jingde chuandeng lu. 14.6a. A similar speech is also cited by Zongjing lu.
T. 2016,48: 844a.
50. Shike goroku, Goke goroku, 4a.
51. Zongmi, Chengxi tu, Z. 110: 875b.
JIABS 24.1 20
teaching method. This method. is the so-called "encounter dialogue,"
which McRAE defines as foilows:
The spontaneous repartee that is said to take place between master and student in
the process of Chan training. This type of communication includes both verbal
and physical exchanges that are often posed in the form of sincere but misguided
questions from the Chan trainees and perplexing, even enigmatic, responses from
the masters. 52 .
Hu Shi asserts that this method was first used by Daoyi.
53
This assertion
has been generally accepted, though some scholars have indicated that
antecedents of encounter dialogue were apparent earlier in the Chan
tradition. 54 The forms of encounter dialogue used by Daoyi'include
illogical, nonconceptual rhetoric, beating and shouting, various kinds of
physical gesture, illocutionary signs, and making use of daily essen-
tials.
55
The awakening attained through encounter dialogue is intrinsi-
cally sudden and thorough, as Daoyi said: "When ignorant, it is the
ignorance of one's own inherent mind. When awakened, it is the
awakening of one's own inherent nature. Once awakened, one is
awakened forever, never again becoming ignorant."56 The intuitive,
spontaneous, and nonconceptual nature of encounter dialogue derived
from the nature of the awakening defined by the Hongzhou school. It, in
turn, justifies the Hongzhou Chan's distinctive identity and its claim of
being an independent transmission of Buddhism.
52. McRAE, "Encounter Dialogue," p. 340.
53. Hu Shi, "Zhongguo Chanxue de fazhan" r:p (1934), in Hu Shi ji,
p.260.
54. Nukariya Kaiten, Zengaku shisoshi, pp. 408-13; McRAE, Northern School,
pp.91-7.
55. For detailed discussions on Daoyi's application of various forms of encounter
dialogue, see Yinshun 'PJIIW, Zhongguo Chanzong shi (Shanghai:
Shanghai shudian 1992), pp.410-1; YANAGIDA, "Goroku no rekishi: Zen
bunken no seiritsushiteki kenkyii" M.'St:: t!/!)(ii\0) TohO
gakuhO 57 (1985): 517-8; Whalen LAI, "Ma-tsu Tao-i and the
Unfolding of Southern Zen," Japanese Journal of Religious Studies 12.2-3
(1985): 177-80; Robert E. BUSWELL, Jr., "The 'Short-cut' Approach of K'an-
hua Meditation: The Evolution of a Practical Subitism in Chinese Ch'an
Buddhism," in Sudden and Gradual: Approaches to Enlightenment in Chinese
Thought, ed. Peter N. Gregory (Honolulu: University of Hawaii Press 1987),
pp.334-8.
56. Jingde chuandeng lu, 28.7b. See also McRAE, "Encounter Dialogue," p. 354.
JIA 21
Second, in the "lower" orders of "ordinary mind", not only awakening
is necessary, but also various traditional forms of cultivation are still
applicable. Daoyi taught his disciples:
The Way needs no cultivation, just not defiling it. What is defilement? When one
has a mind of birth and death and an intention of action, all these are defilement. 57
If one simply lacks a single thought, then he cuts off the root of birth and death
and obtains the supreme treasure of the Dharma-king.
58
If you understand the holy mind, there is never anything else. 59
Thus, in order not to defile, one still needs the expedient means of "no-
thought" and "no-affair", "empty" of any conceptual and intellectual
attachments. Some of Daoyi's disciples did apply experientially these
two expedients. Pang Yun said, "No-thought is better than seeking
causes. "60 Daowu said, "When even one single thought does not arise,
then Buddha-mind is seen."61 Baoji said, "If the mind has no affairs,
myriad dharmas will not emerge."62
Moreover, not only did some internal expedients of pre-classical Chan
continue to be applied, but also various traditional forms of external
practice, such as seated meditation,. reciting scriptures, observing
precepts, and making offerings, were still practiced within the Hongzhou
school. For example, Huaihai often asked his disciples to keep the mind
indifferent, like wood or stone.
63
This state of mind is actually a kind of
samadhi. The lingde chuandeng lu records the following anecdotes:
One day, [Weijian ,[t9!] was sitting in meditation at the back of Mazu' s Dharma
hall. When the Patriarch saw him, he blew twice in his ear. The master [Weijian]
emerged from meditation. When he saw it was the Reverend, he entered medita-
tion again. 64
One day, Mazu asked the master [Zhizang ~ ~ ] , "Why don't you read sutras?"
The master answered, "How could sutras make a difference?" Mazu said,
"Although this is so, later you will need them for the sake of others."65
58. Shike goroku, Coke goroku, 3b.
59. Ibid.,4a.
60. Zutang ji, 15.349.
61. Song gaoseng zhuan, 10.233.
62. Zutang ji, 15.330.
63. lingde chuandeng lu, 6.l2b/3a.
64. Ibid.,6.7b-8a.
JIABS 24.1 22
These anecdotes show that seated meditation was still practiced in
Daoyi's hall, and he required his major disciples to read scriptures in
order to teach others. Weiyan, who did not allow otht:rs to read the
scriptures, often read them himself.
66
In the famous story of watching
the moon, when Mazu asked what should be done then, Zhizang said
that it was better to make offerings to the Buddha, and Huaihai said it
was better to practice cultivation.
67
Baoji was famous for his
"extraordinary seriousness in observing precepts throughout his life."68
Huaihai's "Regulations of the Chan School" (Chanmen guishi t ~ r 5 m ~ )
even established harsh punishments for those who broke the Buddhist
precepts and monastic disciplines.
69
.
3. The Ultimate Realm: The Return to the Human Realm
Since the late Han, both Buddhism and religious Taoism had grown
rapidly in China, and both reached their golden age in the high Tang.
The holy realms of both religions became the ultimate pursuit of numer-
ous followers. Then, from the mid-Tang, there came a humanistic turn
in Chinese intellectual history. Mazu Daoyi's Hongzhou school marked
the beginning of this turn and displayed a self-deconstruction in the
religious world. YANAGIDA says: "The Buddhist standing point of Linji
is its absolute recognition of the fundamental value of the human
being."7o However, this recognition was initiated by Daoyi, and Linji
Yixuan was simply his best follower.
While transforming absolute Buddha-nature into substantial human
mind and the Buddha to an ordinary man, Daoyi affirmed that the
entirety of daily life is of ultimate truth and value.
Since limitless kalpas, all living beings have never left the samiidhi of Dharma-
nature, and they have always abided in the samiidhi of Dharma-nature. Wearing
Clothes, eating food, talking and responding, making use of the six senses, all
activities are Dharma-nature. 71
66. Ibid., 14.7a, 9b.
67. Ibid.,6.11a.
68. Zutang ji, 15.331.
69. See Jingde chuandeng lu, 6.l4b-5b.
70. YANAGIDA: Mu no tankya, p.167.
71. Shike goroku, Goke goroku, 4a. Cf. the translations of PAS, Recorded Sayings of
Ma-tsu, p. 88; CHENG, Sunjace Buddha, p.64.
llA 23
If you now understand this reality, you will truly not create any karma. Following
your destiny, passing your life, with one cloak or one robe, wherever sitting or
standing, it is always with you.72
Daily activities of ordinary life are equated with the ultimate reality of
Dharma-nature. The Buddha becomes a man again, and the holy realm
turns back to the mundane world. The Way manifests itself everywhere
in human life, and Buddha-nature functions in every aspect of daily
experiences. Ordinary men are liberated from their former karma in
limitless kalpas; they spontaneously practice Chan in daily life and attain
personal and spiritual freedom, "indulging their nature, being carefree,
following causes, and acting unrestrainedly."?3 Indeed, from early
Chan's "pacifying the mind," "maintaining the mind," or "contemplating
the mind" to Hongzhou school's "indulging one's nature" and "letting
the mind be free," a great change undoubtedly happened. This is the true
liberation of humanity in the development of Buddhism, as YANAGIDA
indicates: "After Mazu, the characteristics of Chan demonstrate the
strong significance of life; it is a religion of humanity born in the vast
expanse of Chinese land."?4
In order to verify this new idea of an ultimate realm, Daoyi applied
the paradigms of absolute/phenomena and essence/function to supply its
ontological ground:
The absolute (li) and phenomena (shi) are without difference; both are wonderful
functions. All are because of the revolving of the mind, and there is no other
principle. For example, though the reflections of the moon are many, the real
moon is not manifold. Though there are many springs of water, the nature of
water is not manifold. Though there are myriad phenomenal appearances in the
universe, empty space is not manifold. Though there are many principles being
spoken of, the unobstructed wisdom is not manifold. Whatever is established, it
all comes from the One Mind. One can construct it or sweep it away; either way
is wonderful function, and this wonderful function is oneself. It is not that there
is a place to stand where one leaves the Truth, but the very place where one
stands is the Truth. This is the essence of oneself. If it is not so, then who is one?
All dharmas are Buddha-Dharma, and all things are liberation. Liberation is
Thusness, and all things never leave Thusness. Walking, staying, sitting, and
lying, all are inconceivable function, which does not wait for a timely season.7
5
73. Daowu's words, in Zutang ji, 5.115.
74. YANAGIDA: Mu no tankyu, p.145.
75. lingde chuandenglu, 28.7a. Cf. the translations of PAS, Recorded Sayings of
Ma-tsu, p. 89; CHENG: Sun-Face Buddha, p. 66.
.JIABS 24.1 24
Daoyi first identified the phenomenal with the absolute. Their relation-
ship is that" of many and one, which is inseparable and unobstructed,
many being one, one being many. The absolute is in each of
the manifold phenomena, and each of the manifold phenomena possesses
the value of the absolute. Daoyi then assimilated this paradigm to the
essence/function paradigm and identified function with essence in the
same way. Finally, he attributed the essence to One Mind, or Buddha-
dharma, or Thusness, to affirm that all functions are of true value and
are liberation themselves. Since everything that occurs to the individual
is a manifestation of the functioning of his intrinsic Buddha-nature, the
daily life he experiences is identica:l with the ultimate experience of
Buddhist enlightenment and liberation. In other places, Daoyi used the
mmJi pearl as a metaphor. The mmJi pearl changes in accord with the
colors it touches. When it touches the color blue, it becomes blue; when
it touches the color yellow, it becomes yellow, though its essence is lack
of coloration. Hence "seeing, listening, sensing, and knowing are
originally your intrinsic nature, which is also called intrinsic mind. It is
not that there is a Buddha other than the mind."76 As Buswell
insightfully points out, here lies the conceptual divide of early and
classical Chan: instead of contemplating and seeing the interna:l essence
of the true mind, Daoyi stressed that it is through the external
functioning of the mind that its essence is seen.?7
Critics of the Hongzhou school did not miss this doctrine of "function
is identica:l with Buddha-nature." Nanyang Huizhong was again the first
to criticize it:
If we take seeing, listening, sensing, and knowing to be Buddha-nature, Pure
Reputation [i.e., VimalakIrti] should not say that the Dharma is separate from
se!!ing, listening, sensing, and knowing. If one practices seeing, listening,
sensing, and knowing, then these are seeing, listening, sensing, and knowing, not
seeking the Dharma.7
8
Huizhong cited the Vimalakfrti-nirdea to verify the differentiation of
the psycho-physical functions from Buddha-nature. Later, Zongmi
further attacked Daoyi on the basis of the essence/function paradigm. He
76. Zongjing /u, T. 2016,48: 492a. A large part of this speech is also attributed to
Qingyuan Xingsi in the same book, T. 2016,48: 940b. Considering Zongmi's
attack (see below), this speech is likely by Daoyi. See YANAGIDA, "Goroku no
rekishi", p. 490.
n. BUSWELL: "The 'Short-cut' Approach of K'an-hua Meditation," p. 34l.
nA 25
picked up the metaphor of the mal}i pearl used by Daoyi. The nature of
the pearl is intrinsically perfect and luminous, but when it comes into
contact with external objects, it reflects different forms and colors.
When it reflects the color black or other colors, its entire surface appears
black or as other colors. The Hongzhou school would aver that this very
blackness, or blueness, or yellowness, was the pearl, and did not know
those colors were all delusion and empty. Zongmi objected that the
Hongzhou school collapsed essence into function and did not realize the
difference between them, therefore they did not really see the essence of
the true mind. The fact that they defined all activities of daily life, no
matter good or evil, as Buddha-nature represented a dangerous anti-
nomianism.7
9
While Zongmi was quite right in indicating Daoyi's faulty
logic that collapsed essence into function and the antinomian tendency
that might result from this teaching, he was nevertheless unable to see
that behind the intentional faulty logic was Daoyi's dedication to
recognize the ultimate value of the colorful activities of the human
realm.
In conclusion, the core of Daoyi's teaching, "the ordinary mind is the
Way," covers at least three orders of meaning. The first two orders
comprehend two major teachings of pre-classical Chan tradition, namely
"the mind is the Buddha" or the pure mind of self nature, and "neither
mind nor Buddha" or nondualism, which are respectively based on
Indian tathagata-garbha thought and Madhyamika theory. The third
order of ordinary mind affirms that ordinary mind is the spontaneous
state of human mind, which is a mixture of good and evil, purity and
defilement, and enlightenment and ignorance. These three orders are
mutually reinforcing and sometimes conflicting, but the third order is
the most innovative and significant. It reforms Chan and Buddhist tradi-
tion by its unconditional identification of complete, substantial human
mind with absolute Buddha-nature. Based on this new perspective of the
relationship between human mind and Buddha-nature, Daoyi further
advocated inherent enlightenment and no-cultivation, and designed a
79. Zongmi, Chengxitu, Z. 110: 872a-4b. See Peter N. GREGORY: Tsung-mi and the
Sinification of Buddhism (Princeton: Princeton University Press, 1991), pp. 236-
44. In the same text, Zongmi also introduces a critical distinction between two
levels of function, the intrinsic function of self-nature (zixing benyong tt*ffl)
and the responsive function in accord with conditions (suiyuan yingyong
and relates them to the teachings of the Heze and Hongzhou schools
respectively.
I.
nABS 24.1 26
new mode of Chan discourse, the encounter dialogue, to guide learners.
In addition, he took the' essence/function paradigm to assume that
psycho-physical functions are identical with and that
daily activities are all wonderful functions, in order to recognize the
ultimate truth and value of human life, as well as to supply an
ontological ground for his new doctrine. All these made Chan Buddhism
a religion of humanity and marked the final shaping of Chinese Chan
proper.
LISA NADINE OWEN
Constructing Another Perspective for AjaI).ta' s
Fifth-Century Excavations*
Since its British "discovery" in 1819,1 AjaI,lta has been accorded a privi-
leged place in many studies of Indian art. Not only are its spectacular
pictorial programs the earliest surviving examples of Indian Buddhist
painting, but Ajal)ta also lays claim to being the fIrst monastic complex
to enshrine large anthropomorphic Buddha images inside its viharas.2
Although the inclusion of Buddha images is often acknowledged as an
innovative feature at the site, the significance of excavating a shrine
within the monastic residence to house such images has not been fully
investigated. Instead, most scholarly attention focuses on how Ajal)W s
shrine imagery demonstrates that the site's fifth-century viharas are
mature "Mahayana" excavations. The designation of Ajal)ta as a fully
developed "Mahayana" site has also resulted in its positioning as the
"original source" from which later sites such as Aurailgabad and Ellora
ultimately derive. This in turn has fostered the impression that these
later excavations are necessarily Tantric or esoteric. Furthermore, com-
parisons between Ajal)ta and only later sites that have similar features,
specifically Buddha images, have perpetuated the strict categorization of
the caves by both date and proposed sectarian affiliation. Due to these
"restrictions," many scholars have not viewed AjaI,lWs rock-cut architec-
ture in light of earlier excavations.
In this essay, I will look at the fifth-century viharas at Ajal)ta from a
perspective which incorporates a consideration of how they continue and
* This essay is extracted from my Master's thesis, "Locating the Buddha: AjaI).Ws
Place in Western India's Rock-Cut Excavations," (University of Texas at Austin
1997) written under the supervision of Janice Leoshko and Gregory Schopen.
1. The caves were "discovered" in 1819 by a company of officers in the Madras
army who were in the area hunting tigers. Although the officers involved did not
publish an account of their findings, one of them, John Smith of the 28th
Cavalry, scratched his name above a Buddha painted on one of the interior pillars
of Cave 10.
2. Although the term vihiira is often translated as "monastery," I am using it as a
convenient gloss for the monastic residence hall.
Volume 24. Number I .2001
nABS 24.1 28
further develop elements foundin some earlier vihiiras in western India.
These vihiitas, dating from the second through fourth centuries C.B., are
found at the sites of Nasik, Wai, Shelarvadi, and I have chosen
this select group of caves primarily for their floor plans which are
similar in arrangement to those found at Ajar!!a. These early vihiiras, are
however, rarely compared to the fifth-century caves at AjaQta primarily
because they contain rock-cut stu pas and have consequently been identi-
fied as late "HInayana" excavations. Nonetheless, recent investigations
into documented conceptions regarding stupas reveal that structural
stu pas were thought of in terms of an actual living presence) This in
turn suggests a closer symbolic connection between stu pas and images of
the Buddha than has usually been thought, at least in terms of making
his presence manifest. Thus the inclusion of stupas in these early vihiiras
may foreshadow, at least conceptually, the Buddha images in the fifth-
century vihiiras at AjaQta. However, it should be noted that I am not
proposing a linear, systematic development or attempting to demonstrate
a direct artistic dialogue between these early caves and AjaQta's fifth-
century excavations. What I am suggesting is a more conceptual link -
that the concern for housing the Buddha's presence within the monastic
residence is not solely a fifth-century phenomenon, rather the way it is
manifested at AjaQta is innovative.
In order to locate AjaQta's place within the tradition of cave excava-
tion in western India, it is useful to first examine the floor plans of the
site's fifth-century vihiiras. As constructed space is never value-free, an
investigation into how AjaQta's monastic community conceived and
created its place of residence may reveal what was of primary impor-
tance to those who lived there. Out of the seventeen "completed" fifth-
centufY vihiiras at the site, there are at least fourteen residences that
closely resemble one another in terms of architecturallay-out.
4
Although
3. Vidya DEHEJIA, ed.: Unseen Presence: The Buddha and Siifichf (Mumbai: Marg
Publications 1996); and Gregory SCHOPEN: "Burial 'Ad Sanctos' and the
Physical Presence of the Buddha in Early Indian Buddhism: A Study in the
Archreology of Religions," Religion 17 (1987): 193-225.
4. The term "complete" is an admittedly subjective term as the majority of caves at
are "unfinished" inone way or another. However, I am referring primarily
to their general state of excavation, not decoration. The fourteen fifth-century
vihiiras that I will be referring to in this essay are Caves 1,2,4, L6 (Lower 6),
U6 (Upper 6),7,11,15,16,17,20,21,22, and 23. However, it should be noted
that the shrine Buddha for Cave 23 was never carved.
OWEN 29
anyone of these fourteen caves can be analyzed in detail, Cave 1 might
serve as a representative example as it is perhaps the best preserved
vihiira at the site (Fig. 1).
The excavation consists of three component parts: a pillared veranda,
the main hall or "courtyard" with individual residential cells, and a
shrine carved deep into the back wall of the hall. There are three
entrances leading into the main hall, the central doorway being both the
largest and most fully decorated with an elaborately carved and painted
doorframe. Two large windows flank this entrance, providing light into
the hall. Other architectural features of Cave 1 include the remains of a
small pillared porch projecting from the center of the veranda, a carved
architrave, and at least four residential cells excavated on either side of
the cave. Measuring approximately 64 feet square, the main hall of Cave
1 contains twenty rock-cut pillars and fourteen residential cells. Five
cells are carved into each of its side walls while the back wall contains
only four. Excavated between these four cells is a pillared antechamber
leading into a larger cell or shrine.
The significance of this floor plan is readily apparent particularly
when compared to one of Ajal).ta's earliest vihiiras, Cave 12, dating from
ca. 100 B.C.E. to 100 C.E. (Fig. 2). As in most residences excavated
during this early period, Cave 12 is a simple quadrangular hall. The hall
measures approximately 36 feet square and contains four residential cells
in the back and side walls. Although the facade is destroyed, remaining
evidence indicates that it probably had a narrow pillared veranda with a
single central entranceway leading into the main hall. The only decora-
tion inside the hall consists of a row of candrasillas carved alongside and
above the doorway of each cell.
Compared to Cave 12, the fifth-century vihilras reveal major changes
in both the conception and excavation of residential space. These
changes are particularly evident in the back of the vihilra which empha-
size the cell located in the center of the back wall. What had earlier been
a row of indistinguishable monks' cells now presents a hierarchical
arrangement of spaces with the back central cell enlarged, embellished,
and preceded by an antechamber. Furthermore, housed in this back
central cell, or shrine, is a rock-cut sculpture of a Buddha (Fig. 3).
Though anthropomorphic Buddha images were commonly made since
the first century C.E., it is generally accepted that they were not incor-
porated into rock-cut vihilras until the fifth century. The relatively late
appearance of the Buddha image inside the monastic dwelling has
JIABS 24.1 30
prompted scholars, such as Gregory SCHOPEN, to investigate possible
explanations.
5
SCHOPEN suggests that the inclusion of the Buddha image
in post-fourth-century excavations reflects a concern for tdentifying and
locating the Buddha as a juristic personality - a concern that is indicated
in Buddhist donative inscriptions and land grants dating from the fourth
through fourteenth centuries. Though these records cover a broad
geographical and chronological range, a reasonable number have
survived from the rock-cut caves in western India. As these inscriptions
document transactions of land and other gifts to the Buddha, the
language used is precise in identifying him as a recipient of property.
In many of these inscriptions, the Buddha is legally recognized as the
"head" of the community of monks - buddhapramukha1!l b h i k ~ u
sa1!lgha1!l. Similar expressions using the term pramukha ("head") are
also found in sixth-century documents that describe other important
individuals as the "head" of a specific corporation or legal entity, i.e.,
groups that are "headed by the banker"6 or "headed by the elders."7
Thus, whether in reference to the Buddha himself or to other "legally
recognized" individuals, these inscriptions indicate that the term
pramukha was not used as a symbolic title or appellation. If this is
indeed the case, as SCHOPEN suggests, then it seems probable that the
Buddha was considered to be not only the legal "head" and conse-
quently, the legal "owner" of a monastery, but that he also was believed
to be living in that monastery. Thus, the Buddha as the "head" of the
monastic community is literally carved in stone.
The conception of the Buddha as a living "person" within the monastic
complex at Ajal).!a is not only suggested by the inclusion of rock-cut
images but also by the site's dedicatory inscriptions. Although the
5. Gregory SCHOPEN: "The Buddha as an Owner of Property and Permanent
Resident in Medieval Indian Monasteries," Journal of Indian Philosophy 18
(1990): 181-217.
6. This particular expression ("the council of citizens headed by the banker") is
found in an inscription from Nagarjunakol).qa and is discussed by Gregory
SCHOPEN in his article, "The Buddha as an Owner of Property": 190-9l.
7. The full expression, translated by SCHOPEN, reads, "to the inhabitants of the
district headed by the elders of the village and district officer," and is found in a
land grant from Andhra Pradesh. See Gregory SCHOPEN: "The Buddha as an
Owner of Property": 190; and S.S. Ramachandra Murthy: "Hyderabad Museum
Plates of Prithivi-Sri-Mularaja," Epigraphia Indica 38 (1969): 192-195, esp.
194, line 15. For additional examples of the term pramukha in epigraphical mate-
rial see Gregory .sCHOPEN: "The Buddha as an Owner of Property": 210 n. 37.
OWEN 31
expression buddhapramukhaf[! does not appear in these
records, the Buddha's exalted position as the "head" of the monastic
community is nonetheless evident. For example, the dedicatory inscrip-
tion for Cave 16 identifies the vihiira as an "excellent dwelling to be
occupied by the best of ascetics" (udiiraf[! ... vesma yatf[ndra-sevyamD.8
The inscription in Cave 26 identifies the excavation as "a stone residence
.,. for the Teacher" (saila-grham ... siistufL).9 The use of the term grha
(residence, house, home) is significant, for Cave 26 is not a vihara but a
fifth-century caitya hall. Though there are what seem to be residential
cells excavated off the veranda, as well as two shrinelets with Buddha
images in the left and right wings, the inscription appears to refer to the
caitya hall itself as it is the object of the dedicatory inscription.
Considering that the main image in the worship hall is a monolithic
stilpa carved with a seated Buddha in dharmacakramudrii, the identifi-
cation of the excavation as the "residence for the Teacher" seems appro-
priate. This would then indicate that both types of excavations (the
vihiira and the caitya hall) were places where he is present. Moreover,
the fact that the Buddha is almost always referred to as a "person" in
AjaJ)Ws inscriptions, i.e., the Tathagata, the Sugata, the Teacher, or the
best or king of the ascetics, rather than as an "image" (bif[!ba, pratik[ti,
or pratimii) further suggests the belief in his living presence within these
excavations.
lo
Although the Buddha's presence and position as "head" of the monas-
tic community is clearly articulated at AjaI).!a, there are some earlier
8. For the Cave 16 inscription see V.V. MIRASHI: Inscriptions of the Vilkiltakas.
Corpus Inscriptionum Indicarum 5 (Ootacamund: Government Epigraphists for
India 1963): 103-111, esp. 109, line 18.
9. For the Cave 26 inscription see the translation by B. Ch. CHHABRA in
G. YAZDANI: AjalJ!il: The Colour and Monochrome Reproductions of the AjalJ!il
Frescoes based on Photography, vol. 4 (London: Oxford University Press 1930-
1955): 114-118, esp. 115, line 6.
10. Significantly, out of forty-one legible donative inscriptions connected with
Buddha images at Ajal).ta, only two use a Sanskrit term for "image." For a
convenient listing of Ajal).ta's inscriptions, including their location, content, and
sources of pUblication, see Richard S. COHEN: "Setting the Three Jewels: The
Complex Culture of Buddhism at the Ajal).ta Caves," (Ann Arbor: University
Microfilms 1995), Appendix A, 325-383. The forty-one inscriptions are cited in
COHEN as nos. 11-17, 19,23,25,26-27,29-31,33-36,48,51-54,56-61,65,70-
74, 89-90, 94-96. Nos. 52 and 90 use the term bi'!lba in reference to a Buddha
image.
JIABS 24.1 32
viharas in western India that also seem to make accommodations for the
Buddha's presence. These viharas, located among the excavations at
Nasik, Wai, Shelarvadi, and Mahag, exhibit an earli,er concern for
incorporating an "image" (either a stilpa in bas-relief or a three-dimen-
sional stilpa) into the monastic residence. I I Even though these stilpas are
indeed different from the main shrine Buddhas at AjaI).!a - at .least in
formal terms - they are nonetheless similarly housed in the back of the
vihara, directly opposite the entrance to the cave.
The Early Excavations
The earliest vihara in western India to designate a space in the back wall
for an "image" - in this case a bas-relief of a stilpa - is Cave 3 at Nasik.
This excavation is also called the GautamIputra cave due to the reference
to this Satavahana king in two inscriptions.
12
The first inscription,
located on the left wall of the veranda, contains two separate grants
dated in the years 18 and 24 (124 and 130 c.E.). The grant dated in the
year 18 records the gift of a field by Gautamlputra SatakarI).i to the
monks in residence. The second grant also records the gift of a field to
the monastic community by the king along with his mother Balasrl in
the year 24. The second inscription is incised on the back wall of the
veranda over the left doorway. It also contains two grants, dated in the
19th and 22nd year of the king's son III (149 and 153 C.E.).
It is this second inscription that records the actual dedication of the cave
as well as the gift of a neighboring village.
13
In plan, Cave 3 exhibits features of the standard "early" vihara
including a pillared veranda and quadrangular hall with cells carved into
the back and side walls (Fig. 4). The hall itself measures approximately
41 feet in width, 45 feet in depth, and 10 feet in height. A stone bench
running the length and width of the cave has been left intact. There are a
total of twenty cells, almost identical in dimension, which contain rock-
cut beds. One cell, though aligned with the left wall, can only be entered
from the veranda. This strange arrangement, coupled with the inscrip-
11. By the term "image," I am referring to any object that appears to have been the
central focus of devotional activity.
12. E. SENART: "Nasik Inscriptions," Epigraphia Indica 8 (1905-6): 60-75. For the
chronology of the Satavahanas, I am relying on Seshabhatta NAGARAJU's
reconstruction in Buddhist Architecture of Western India (c. B. C. -c. A.D.
300) (Delhi: Agam Kala Prakash an 1981): 23, Table 2.
13. E. SENART: "Nasik Inscriptions": 60-65.
OWEN 33
tional evidence, suggests that the cave was excavated in two phases.
Vidya DEHEJIA proposes that the original plan of the cave, excavated
under the authority of GautamIputra Satakal1).i, consisted of the present
veranda whiCh led directly to three cells carved into the rear wall and a
fourth at the right end of the veranda.
14
GautamIputra's inscription
regarding his grant of a field to the monks in residence (i.e. in those
four cells) was incised on the left wall. The second phase of excavation
resulted in the cave's present form with the dedicatory inscription on the
back wall of the veranda identifying GautamIputra's mother, Balasrl, as
the patron. Directly beneath this inscription is the grant dated in the year
22 whiCh records the gift of a village to the community in residence and
indicates that the cave was then known as "the Queen's cave."15
Carved in the center of the back wall of this vihtira is a bas-relief of a
stiipa flanked by two female devotees (Fig. 5). The figure to the left of
the stiipa clasps her hands in adoration, while the female on the right
holds a chauri. Carved above the devotees are a seated lion and a cakra,
respectively. In the upper corners of the relief, located below twin
umbrellas, are two flying figures bearing garlands. The panel itself
projects from the surface of the rock indicating it was planned during
the excavation of the back wall. Its location between the third and fourth
cells represents the first attempt to establish an "image" in what will
become the back central cell or shrine in later viharas. The absence of
other images or decorative features within Nasik 3 seems to verify the
significance of its presence, emphasized further by its position opposite
the main entrance into the cave. Moreover, this entrance is fronted by
stone steps and adorned with an elaborately carved toral}a recalling the
structural gateways of the Great Stiipa at SancI. Standing on either side
of the door are large attendant or guardian figures, who provide protec-
tion and glorification to those in residence.
The emphasis given to the center of the rear wall in Nasik 3 also
appears at another cave at the site, the Nahapana vihara - or Nasik 10
(Fig. 6). This vihtira, which was excavated slightly earlier than Nasik
3,16 is similar in both plan and dimensions. The veranda has two
14. Vidya DEHEJIA: Early Buddhist Rock Temples: A Chronology (Ithaca: Cornell
University Press 1972): 95-96.
15. E. SENART: "Niisik Inscriptions"; 65-71; and Vidya DEHEJIA; Early Buddhist
Rock Temples: 96.
16. It is generally accepted that this vihara was excavated prior to Gautamlputra's
defeat of Nahapana. Both art historical and epigraphical evidence support this
JIABS 24.1 34
pilasters and four pillars, the latter exhibiting a wider space between the
central pair. A flight of stone steps leads up to the central doorway
which is flanked by two windows and two smaller doors. ,The hall itself
is 46 feet wide, 45 feet deep, and 10 feet high. There are a total of
eighteen cells with rock-cut beds, two of which are located at either end
of the veranda. Each side wail of the hall contains five residential cells,
with six carved into the back wall. Although it appears that the vihilra
was not originally planned to house an "image," a shallow relief of a
stiipa was carved into the back wall between the third and fourth cells.
I
?
The addition of this relief suggests both the importance of b r i ~ g i n g an
"image" into the vihtlra, and most significantly, where it should be
located. As in Nasik 3, the interior hall of Cave 10 contains no other
imagery, again suggesting the stiipa-relief's function as an object of
devotional activity.
The actual excavation of a back central cell containing a three-dimen-
sional stiipa can be found among the eight excavations at Wai. The caves
are located in the village of Lohari, approximately 2.5 miles north of
Wai. Due to their "early" features which include rock-cut beds and stone
benches spanning the perimeters of the halls, these caves are generally
dated to the third century C.E.I8 The largest of the vihtlras, Wai 2,
measures approximately 31 feet in width, 29 feet in depth, and 8 feet in
height (Fig. 7). There are a total of seven cells; four carved into the
right wall and three in the rear of the cave. The back central cell is
architecturally set off by its larger size. This cell, which houses the
stiipa,I9 is also flanked by windows and there is evidence of a cell door.
Located approximately 50 miles from the excavations at Wai and
along the same ancient trade route as KarlI, Bhaja, and Bedsa, is the site
sequence. There are seven inscriptions in Nasik 10. Five are found in the veranda
and two are incised in the vihara's side walls. Three record the donations of
N ahapana' s son-in-law Usavadata; two record those of Usavadata' s wife; one is
dated in the 9th year of king Isvarasena; and one is illegible. The cave itself was
donated in the 42nd year of Nahapana by his son-in-law. The two veranda cells
are the gift of Usa va data's wife. See E. SENART: "Nasik Inscriptions": 78-89.
17. It should be noted, however, that the stiipa relief has been subsequently carved
with an image of Siva.
18. M.K. DHAVALIKAR: Late Hfnayiina Caves of Western India (Poona: Deccan
College Postgraduate and Research Institute 1984): 35.
19. The harmika, which has been broken off, is now placed in front of the stiipa and
worshipped as a Siva liliga.
OWEN 35
of Shelarvadi. There are eleven excavations at Shelarvadi which are
geographically separated into two groups: those numbered 1 to 8 face
southwest while 9 through 11 overlook a valley towards the northwest.
20
The monastiC complex consists of four cisterns (excavations 2, 4, 5, and
7) and seven vihiiras. In general, the vihiiras are small in dimension and
have only one to four residential cells. An exception to this is the largest
vihiira, Cave 8, which has a total of ten cells and is the most significant
excavation for this essay (Fig. 8). Unfortunately, the veranda and front
wall of Cave 8 are completely destroyed, so there is no way of deter-
mining how many doors provided access into the vihiira or what the
exterior decoration might have included. The hall itself measures
approximately 25 feet in width, 20 feet in depth, and 8 feet in height.
There are three cells excavated into the left wall,2! four cells in the
right, and three in the back wall. The central cell in the back wall is a
long rectangular chamber (13 x 25 x 9 ft.) which originally contained a
monolithic stilpa. However, only the harmikii and a rough circular
pattern on the cell floor are extant. Carved on the back wall, above the
left cell, is an inscription that has been paleographically dated to the
second or third century C.E.22
In plan, Shelarvadi 8 exhibits some of the features seen in the princi-
pal residence at Wai. Like the Wai vihiira, the back wall of Shelarvadi 8
contains two residential cells flanking the main shrine. There are also a
similar number of cells excavated in the side walls. However, there are
some interesting differences between these two residences that are note-
worthy. The residential cells in Shelarvadi 8, for example, lack rock-cut
beds. Moreover, this excavation does not contain an interior stone bench.
The absence of these features has led M.K. DHA V ALIKAR to attribute a
late third to early fourth-century date for the cave.
23
DHA V ALIKAR also
notes that in plan, Shelarvadi 8 has some resonance with the arrange-
ment of spaces exhibited in AjaI]ta's Cave 8 (Fig. 9). This particular
20. Seshabhatta NAGARAW: Buddhist Architecture afWestern India: 294.
21. The dividing wall between the first and second cell is destroyed.
22. C.C. DAS GUPTA: "No. 14- She1arwadi Cave Inscription," Epigraphia Indica 28
(1949-50): 76-77. The contents of this inscription will be examined below. Both
C.c. DAS GUPTA and Vidya DEHEJIA date the inscription to the second century
C.E., while Seshabhatta NAGARAW dates it to the late third century C.E. See
Vidya DEHEJIA: Early Buddhist Rack Temples: 183; and Seshabhatta
NAGARAm: Buddhist Architecture afWestern India: 295.
23. M.K. DHAVALIKAR: Late Hfnayiina Caves afWesternIndia: 47-48.
JIABS 24.1 36
cave at AjaI).Ja has created problems for those interested in the relative
chronology of the site as it exhibits both "early" and "late" features. The
location of the cave in the center of the escarpment and its proximity to
the ca. 100 B.C.E.- 100 C.E. caitya hall 9, has prompted Susan
HUNTINGTON to assign a first-century c.E. date to AjaI).ta 8.
24
On the
other hand, Suresh VASANT and Walter SPINK argue for a fifth-century
date based on the small excavated antechamber, chiseling techniques,
and cell door-hinges that are comparable to other fifth-century caves at
the site.
25
Moreover, both V ASANT and SPINK note the significance of
the rock-cut bed in the back central cell, or shrine, and suggest that this
feature may have supported a loose image. Whether or not this 'was the
case cannot be ascertained, however, it is at least interesting to consider
the possibility that either an anthropomorphic image (or a stupa-relief as
at Nasik) was placed in this important cell.
The final early site under consideration is M a h a ~ , located approxi-
mately 95 miles southeast of Mumbai. Among its twenty-eight excava-
tions, dating stylistically to the second through fourth centuries c.E.,
two viharas - M a h a ~ 1 and 8 - exhibit a similar ground plan as the
principal vihara at Wai.
26
The vihiira numbered M a h a ~ 8 is only slightly
smaller than the Wai excavation, measuring approximately 27 feet wide,
24 feet deep, and 9 feet high (Fig. 10). The hall has a total of nine cells;
three carved into each wall. The back central cell, which once housed a
three-dimensional stitpa, is the largest cell and measures approximately
15 feet square. Only fragments of the monolithic stupa are extant - the
chattra, which is still attached to the ceiling, and a rough circular
surface on the cell floor. Other features of the cave include rock-cut
beds in the residential cells and a stone bench spanning the side and back
walls of the hall.
24. Susan HUNTINGTON: The Art of Ancient India: Buddhist, Hindu, Jain (New
York: Weatherhill1985): 239 n.2 and 242.
25. Suresh VASANT: "Ajanta Cave 8: A Study," in M.S. Nagaraja Rao, ed.,
Kusumiifijali: New Interpretation of Indian Art & Culture. Sh. C. Sivaramamurti
Commemoration Volume II (Delhi: Agam Kala Prakashan 1987), pp.249-253;
and Walter SPINK: "The Archreology of AjaI).1a," Ars Orientalis 21 (1991): 93
n.3.
26. The remaining excavations at Maha<;i include single and double-celled viharas,
cisterns, and single quadrangular halls.
OWEN 37
According to M.K. DHA V ALIKAR, these features are indicative of a
mid-third-century vihiira.
27
However, other dates have been proposed
for Maha<;l 8 by various scholars which include an assessment of the
cave's epigraphical material. Incised on the back wall between the
central and right residential cell is a dedicatory inscription. Seshabhatta
NAGARAJU dates the cave on both stylistic and grounds to
the late third or early fourth century C.E.28 Using the same body of
evidence, but focusing primarily on the of the inscription,
Vidya DEHEJIA proposes an even earlier date of ca. 100 C.E.29
Regardless of these differences in opinion, it can at least be stated that
Maha<;l 8 is another early excavation that seems to foreshadow what is
found in the floor plans of AjaQ.ta's fifth-century vihiiras.
Maha<;l 1 provides further interesting evidence in regard to the
Buddha's presence within the monastic residence. Located at the extreme
left of the complex, Maha<;l 1 is probably the latest excavation at the site
- dating stylistically to the late fourth century C.E. (Fig. 11). The
veranda has six pillars and two pilasters, but only the left pilaster and
adjacent pillar are finished. The square base of the pillar and the carving
of the column itself which alternates between an octagonal and sixteen-
sided shaft is similar to those found in the interior of AjaQ.ta's Cave 16.
Based primarily on this evidence, Walter SPINK posits that Maha<;l 1
dates to the fifth or sixth century C.E.30 However, I agree with
DHA V ALlKAR' s assessment that the finished pillar may actually reveal a
later (ca. sixth century) re-cutting.
31
As in Maha<;l8, the hall of Maha<;l1
(measuring 57 feet wide; 35 feet deep; 10 feet high) has a running bench
in addition to cells. All of the cells are unfinished, with the right wall
containing only chisel marks. The back wall has five cells; the largest
cell occupying the central position. It is flanked by two large windows, a
feature already noted at Wai.
Inside the back central cell of Maha<;lI is a square-shaped rock which I
initially assumed was intended for the stiipa. However, Walter SPINK
questions the practicality of blocking out a square matrix instead of a
27. M.K. DHAVALIKAR: Late Hfnayana Caves of Western India: 46.
28. Seshabhatta NAGARAJU: Buddhist Architecture of Western India: 251-52.
29. Vidya DEHEl1A: Early Buddhist Rock Temples: 182-83.
30. Personal communication with the author.
31. M.K. DHAVALIKAR: Late Hfnayana Caves of Western India: 46-47.
JIABS 24.1 38
more rounded form if a stOpa was to be carved.3
2
Instead, he suggests
that this mass of rock may have been originally intended for an
enthroned Buddha figure, similar to those at Ajru;t!ii. This .possibility is
supported by the subsequent modifications made to this rock. Carved on
the front face is an enthroned Buddha in pralambapiidiisana, flanked by
chauri bearers. Considering that the "European pose" does not appear at
Ajru;t!ii until a relatively late date,33 this revision of the rock probably
dates to the first quarter of the sixth century C.E.
The excavation of this matrix in the center of the cell is identical to
the placement of Ajru;t!ii's earliest fifth-century shrine In
contrast to the latest shrine Buddhas at Ajru;t!ii (which are carved directly
from the back wall of the cell), the earliest Buddhas (i.e. inside Caves
11, L6, and 17) are carved in the center of the shrine, paralleling the
placement of the stupa as seen in earlier western caves. The question of
whether the matrix of rock inside Mahiic;I 1 was originally intended for a
three-dimensional stOpa or for an enthroned Buddha thus becomes less
significant if we consider the possibility that both types of "images" may
be used to indicate his presence. This leads us into an examination of
one of the earliest vihiiras at Ajru;t!ii to make accommodations for a rock-
cut Buddha.
AjaIJ-!ii's Cave 11
Generally acknowledged for housing one of the earliest shrine Buddhas
at the site, Cave 11 :ineasures 37 feet in width and 28 feet in length and
contains four central octagonal pillars (Fig. 12). There are a total of
eleven residential cells, four of them with entrances from the pillared
veranda. Four cells are carved into the back wall, three are located on
the left;side of the hall, while the right side contains a stone bench
spanning the length of the cave. Although this vihiira exhibits ,some of
the features found in other fifth-century excavations at the site, there is
evidence that this may not have been the original conception. According
to Walter SPINK, Cave 11 appears to have been substantially altered
during excavation.
34
The original intention seems to have been a simple
32. Personal communication with the author.
33. Sheila WEINER was the first scholar to note the relatively late date of the
pralambapiidiisana pose at See Sheila L. WEINER: Ajal)!ii: Its Place in
Buddhist Art (Berkeley: University of California Press 1977): 62-3, 70.
34. Walter SPINK: "Ajal}.!a's Chronology: Politics and Patronage," in Joanna G.
Williams, ed., Kaliidarsana: American Studies in the Art of India (New Delhi:
OWEN 39
square vihara with three residential cells in each of its three walls.
Perhaps out of fear of penetrating the neighboring Cave 10, the excava-
tion of cells in the right wall had to be abandoned. To compensate for
this loss in residential space, the four veranda cells were subsequently
carved as was'the far left cell located in the back wall of the hall.
Other changes also appear to have been made inside the vihara. By
carefully examining the ground plan it is obvious that the shrine con-
taining the Buddha image is literally a converted monk's cell. The back
wall of this cell has been extended in order to carve the image, with the
space of the "original" cell now functioning as an antechamber. Further
evidence suggesting the conversion of this cell is the treatment of the
shrine doorway. Unlike the later fifth-century excavations, the doorway
of the Buddha's cell is not distinguished from those of his fellow monks
by an elaborately carved and painted doorframe. The lack of this archi-
tectural element, as well as a pillared antechamber, supports the early
date of this cave among the fifth-century excavations.
Although Walter SPINK believes that the image and its shrine were not
planned during the initial excavation, the importance of making accom-
modations for such an image inside the vihara is nonetheless evident. A
conscious choice was made as to where, and in which cell, the Buddha
image would be carved. Although the back wall of Cave 11 was altered
to have an even number of cells, the Buddha image was carved in the
cell that is centered along the longitudinal axis of the cave. Its location
directly opposite the entrance to the cave, visually framed by the
octagonal pillars, not only mirrors the excavation of the shrine in earlier
viharas, but it also suggests a similar alignment with what Michael
MEISTER identifies as the "axis of access" in Hindu temple architec-
ture.
35
Though the caves at AjaI).!a are residences for Buddhist monks,
there are interesting similarities between these two types of monuments
that are rarely acknowledged. Like the Hindu temple complex, the
viharas at AjaI).!a provide shelter for both the image and worshipper as
well as the space where ritual and mundane activities can occur. The
nature of rock-sut architecture not only furnishes the monk with a
permanent residence, but alludes to his presence within the cosmic
Oxford and IBH Publishing with the American Institute of Indian Studies 1981),
pp.1l2-1l5.
35. Michael W. MEISTER: "The Hindu Temple: Axis and Access," in Kapila
Vatsyayan, ed., Concepts of Space, Ancient and Modem (New Delhi: Indira
Gandhi National Centre for the Arts & Abhinav Publications 1991): 269-80.
JIABS 24.1 40
mountain - or abode of the gods. It seems significant that as one
approaches the main shrine he is simultaneously entering deeper into the
mountain.
This longitudinal axis is enhanced in some of the caves at AjaIJ.ta
where there is a wider space between the central pillars of the veranda
and between the central pillars of the front and rear rows within the
main hall.
36
Although the employment of this feature is not consistent in
the caves, other methods of accentuating the "axis of access" can be
found. For example, in Caves 16 and 17, the middle pillars in the front
and back rows do not show a wider intercolumniation, but are differen-
tiated from the remaining interior pillars. The four central piliars in
Cave 16 have tall square bases, sixteen-sided shafts and ornamented
bracket-capitals in contrast to the slightly tapering octagonal pillars
found elsewhere in the vihara. Cave 17' s axis pillars are also more
elaborately carved than the others, particularly the rear pair which are
adorned with lions.
However, the most important and. prevalent architectural feature that
both reinforces the visual emphasis towards the main image and marks a
change in space is the pillared antechamber. Out of the thirteen viharas
at AjaIJ.ta that house Buddha images in the back central cell, ten are
preceded by this feature.
37
The antechamber not only emphasizes the
importance of the shrine and its occupant, but also seemingly separates
residential space from sacred space. The antechamber gives the shrine a
greater sanctity by further removing it from the other cells. This demar-
cation of space not only enhances the longitudinal axis of the cave but it
implies a vertical ascent as well. The Buddha's space is further articu-
lated by the ornamentation of the shrine doorway which echoes the
architectural and motival elements found on the central exterior
entranceway to the vihara itself. By repeating these motifs, which
include mithuna couples, floral and lotus designs, and small Buddha
figures, the Buddha's chamber is clearly marked. As one passes through
the exterior doorway to enter the main residence hall, so too must he
pass through another doorway to enter the Buddha's "residence."
36. The vihtiras that exhibit this wider intercolumniation are Caves 1,21,23, and 24.
The following caves only have a wider space between the two central pillars of
the veranda as they lack interior pillars or are unfinished: Caves 3, 5, 14, 22,
and 28.
37. The ten caves are: 1, 2, 4, L6, U6, 7, 15, 17,20, and 21. The three that do not
contain antechambers are Caves 11, 16, and 22.
OWEN 41
Although the longitudinal axis leading to the shrine and its image is
much more clearly defined and articulated at AjaJ).ta than at Nasik, Wai,
Shelarvadi, and Maha<;l, this "axis of access" is nonetheless an integral
component in the early excavations. All of the stupas are in alignment
with the central entrance to the cave. If the stupa is three-dimensional, it
is located in an enlarged cell complete with shrine door. Though there is
limited decoration inside these caves to further differentiate this back
central cell from the other cells, the exterior of some of the vihiiras,
particularly Nasik 3 with its door guardians and toral}a, clearly allude to
the sacred presence housed inside. Thus, these early excavations suggest
that the arrangement of space in Ajalfta'S fifth-century vihiiras actually
reflects much earlier concerns for housing the Buddha's presence within
the monastic residence. In fact, the dedicatory inscriptions from these
early sites seem to support their conceptual connection with AjaJ).ta.
An Examination of the Inscriptional Evidence
~ u r t h e r understanding of the relationship between the stupa and the
anthropomorphic Buddha image within the monastic setting might be
gleaned from the epigraphical evidence from both the early vihiiras and
from Ajalfta. Of the vihiiras at Nasik, Wai, Shelarvadi, and Maha<;l, only
Wai is lacking in inscriptional evidence. The inscriptions incised in
Nasik 3 and 10 have already been briefly discussed. Apart from their
interesting information concerning grants of neighboring villages in
support of the monastic community, the combined inscriptions from
these two caves provide us with a single term for the excavations, le1}a.
Often simply translated as "cave," this particular term is found through-
out the epigraphical material of the early western caves. According to
Franklin EDGERTON, the term le1}a as it is found in both contemporary
and later textual sources often connotes the idea of refuge.
38
For
example, he notes that Ze1}a often appears with the synonyms trii1}a and
sara1}a, and as a masculine noun, is found in the Mahiivastu as an epithet
of a Buddha.
Whether or not there is a direct correlation between the meaning of
Ze1}a in epigraphical and textual material cannot be easily determined.
Comparisons between these two sources in terms of word choice and
meaning are not often made by scholars due to the assumed differences
38. Franklin EDGERTON: Buddhist Hybrid Sanskrit Grammar and Dictionary (New
Haven: Yale University Press 1953): 463.
JIABS 24.1 42
in both content and style of writing in text and inscription. However, as
shown in Gregory SCHOPEN's work, both materials can share the same
terminology particularly when documenting concepJions of the
Buddha.3
9
Furthermore, if we consider that the Sanskrit equivalent of
leIJa, Layana, found in the dedicatory inscription of Cave 16 at AjalfFi.,40
denotes "a place of rest, a house, a cell"41 it is at least possible that LeIJa
meant more than just "cave" in the second century C.E.
Interestingly, the more frequent terms for identifying the excavations
at include maIJtjapa, vihiira, orveSma; the latter two having a
stronger connotation of "residence" than the term Lay ana. 42 This is not
to suggest that the terms vihiira and maIJtjapa do not appear in the early
inscriptions - they do - but with less frequency than at To my
knowledge, the term veSma (in reference to the rock-cut excavation)
appears only sporadically in the inscriptional records of the early
western caves. The variety of terms found to describe the excavations at
therefore, may represent either a change in architectural termi-
nology, or it may signify a greater emphasis on the fifth-century cave as
the Buddha's residence.
However, other terms in addition to LeIJa also appear in the inscrip-
tions of the early vihiiras. In the dedicatory record of Shelarvadi 8, for
example, the excavation is identified as a cetiyaghara, not a leIJa. This
inscription, transcribed and translated by c.c. DAS GUPTA, reads:
Sidha theralJ.am bhayata-SihalJ.a ateasilJ.iya pavafti[k]aya Ghapa[ra]ya balikaa
Saghaya Budha(dha)ra cha chetiya-gharo deya-dhama mata-pita udisa saha
[cha] savehi bhikha(khu)-kulehi saha cha achari[ye]hi bhata-vireyehi samapito
Success. The meritorious gift of a chaitya hall is made by Buuha and Sagha
(Samgha) (who was) the daughter of the nun Ghapara, a female disciple of the
39. Gregory SCHOPEN: "The Buddha as an Owner of Property": 181-217.
40. The term layana appears twice in the inscription of AjaJ.!!a's Cave 16 (lines 24
and 26). Alaya, also derived from the root If, is found in the dedicatory record of
AjaJ.I!a's Cave 26 (lines 3 and 12).
41. M. MONIER-WILLIAMS: A Sanskrit English Dictionary (Delhi: MotHal
Banarsidass 1995): 903.
42. The term malJ.f;lapa is used to describe AjaJ.IWs Cave 20 (line 1) and is found in
the inscription of Cave 17 (lines 24 and 29). Cave 17 is also identified as a vihara
(line 1). The term vihara is also used in line 22 where the brother of Ravisamba
is said to have "adorned the earth with stupas and viharas." Vefma is used in
both Cave 16 (line 18) and Cave 26 (lines 12 and 17). It thus appears that in the
fifth century, a much broader and descriptive vocabulary for cave excavations
was utilized.
OWEN 43
e l d ~ r (thera) Bhadanta Siha for the sake of parents together with all communities
of the bhikshus and the teachers.
43
The use of the term cetiyaghara in this inscription is significant for two
reasons. First,_ we know that Shelarvadi 8 is a monastic residence.
Second, there are no congregational worship halls (i.e., what we often
call caityagrhas) at this site. Therefore, the inscription must be self-
referential. The term cetiyaghara must then either refer to the excava-
tion itself or just to the back central cell.
Inscriptional evidence from another early vihara from our selected
group provides further clarification. Carved on the back wall of the hall
inside Maha<;i 8 is the following inscription transcribed and translated by
James BURGESS:
Sidham kumiirasa kiil)abhoasa vhenupiilitasa [elsa lel)a chetieghara ovarakii
cha atha 8 vi[ti]kamam niyutam le[l)a]sa cha ubhato pasesu pohiyo be 2 lel)asa
alugal)ake patho cha dato etasa cha kumiirasa deyadhamam
Success! Prince Kfu;tabhoa Vhegupalita's Lel)a, Chetiyaghara and eight (8) cells:
this much is allotted; and two (2) cisterns on each side of the lel)a, also a path
connected with the lel)a, are presented. It is a meritorious gift of that prince.
44
Like the site at Shelarvadi, the Maha<;i excavations do not include a con-
gregational worship hall. Thus it appears that it is the back central cell
that is identified as the cetiyaghara, as it is differentiated from the other
eight residential cells (ovaraka) and from the excavation (lelJa) itself.
All three are written in the nominative case, suggesting that they are
structurally (and grammatically) three separate entities. Furthermore, the
identification of these architectural components in this inscription corre-
sponds with the floor plan of the cave.
Although it is clear that Shelarvadi 8 and Maha<;i -8 are monastic
dwellings, the use of the term cetiyghara to identify the back central cell
is not necessarily problematic. The term cetiya (Skt. caitya) can refer
either to an object or a person worthy of veneration.
45
In some instances
43. C.c. DAS GUPTA: "No. 14- Shelarwadi Cave Inscription," 76-77. Although DAS
GUPTA transcribes the phrase bhata-vireyehi samiipito, he does not include it in
his translation, stating that "the meaning of the word bhata-vireyehi is not clear."
However, Gregory SCHOPEN suggested to me in a personal communication that
bhata-vireyehi is probably the name of the individual (Bhadanta Virya) who was
responsible at that time for the cave's completion (samiipito).
44. James BURGESS: Report on the Buddhist Cave Temples and their Inscriptions,
A.S.W.!., vol. N (London: Trlibner & Co. 1883): 88, no. 1.
45. Franklin EDGERTON: Buddhist Hybrid Sanskrit Dictionary: 233.
JIABS 24.1 44
it can even refer to the Buddha himself.46 The term ghara, in both Pali
and Sanskrit (grha) isdefilled as house.
47
It then appears that the term
cetiyaghara, at least in the rock-cut caves in western !ndia, can be
applied to any enclosure of a sacred object or person, i.e. both the hall
for congregational worship and the cell or shrine within the vihiira.
What is especially interesting, however, is the use of the term caitya at
Ajar.l!a in reference to the back central cells and their Buddha images.
The term appears in two inscriptions - in Caves 16 and 17. Translated
by V.V. MIRASHI, verses twenty-two and twenty-four of Cave 16 read
as follows:
[Realizing that] life, youth, wealth and happiness are transitory, ... he, for the sake
of his father and mother, caused to be made this excellent dwelling to be occupied
by the best of ascetics (udiiram ... veSma yatl[ndrasevyam]).
[The dwelling] which is adorned with windows, doors, beautiful picture-
galleries, ledges, statues of the nymphs of Indra and the like, which is orna-
mented with beautiful pillars and stairs and has a temple of the Buddha inside
([ ni]veitiibhyantaracaityamandiram). 48
Again in these two verses of Cave 16 we find various terms used to
identify the architectural components. The excavation itself is referred to
as a dwelling (ve.sma) while the temple (mandiram) located inside the
dwelling (nive.sitiibhyantara) houses a caitya, i.e. the Buddha. There can
be little doubt that the caitya-mandiram is the cell in which the Buddha
resides, for the term mandira, often used to refer to Hindu temples,
further emphasizes the location of a sacred being.
49
Furthermore, the term caitya is also found in the dedicatory inscrip-
tion of Cave 17:
[He excavated] this monolithic excellent hall, containing within it a chaitya of the
king of ascetics (Le., of the Buddha) and possessing the qualities of stateliness ...
(giimbhrryyagUiJair upetam [I] niveitiintarmuniriijacaityam ekiiSmakam malJrfa-
paratnam etat).50
46. Ibid.
47. Ibid, 220.
48. V.V. MIRASHI: Inscriptions of the Viikiitakas: 111. I have included part of the
Sanskrit from MIRASHI's text on page 109, lines 18 and 20.
49. M. MONIER-WILLIAMS: A Sanskrit English Dictionary: 788. The interesting use
of the term mandira in a Buddhist excavation also raises questions concerning
broader cultural notions of sacred space and ritual practices.
50. V.V. MIRASHI: Inscriptions of the Viikiitakas: 129, verse 24. I have included the
Sanskrit from MIRASHI's text on page 127, line 24.
OWEN 45
The fact that the term munirajacaityam (caitya of the king of ascetics) is
not compounded with mandira or grha suggests that it refers to the
Buddha image itself, or more accurately, the presence of something (or
someone) worthy of veneration. The use of the term caityai cetiya in the
epigraphical inaterial from the viharas at AjaI).ta, Shelarvadi, and
Maba<;l, therefore clearly suggests similar conceptions. about the
Buddha's presence within the monastic dwelling - despite the formal
differences in the articulation of this presence. In this connection, we
might take a brief look at the fIfth-century site of Bagh.
The Bagh Caves
Bagh is an interesting site for this examination because it provides both
inscriptional and art historical evidence that supports the Buddha's
residency - as well as his proprietorship - in the context of the monastic
dwelling. The rock-cut caves at Bagh are located in the Vindhya hills in
Madhya Pradesh and are approximately 135 miles northwest of Ajar;tta.
Excavated from the local reddish-pink sandstone are at least ten caves in
various stages of completion. Five of the caves appear to have
functioned as residences, while others are rectangular pillared assembly
halls. The most significant viharas for this essay are Caves 2, 4, 7, and
8.
51
Although there are no extant legible inscriptions at the site, a copper-
plate land-grant was found inside Bagh Cave 2 in 1928.
52
Measuring 8.3
inches in length and 4.5 inches in height, the plate is inscribed with
fourteen lines recording the gift of a village. Although the grant refers
to the reign of Maharaja Subandhu, a king of the lower right
corner of the plate, which would have presumably contained the year, is
lost due to breakage. Fortunately, another copper-plate grant that is
believed to be associated with this same king was found in Barwani and
51. Although Cave 3 also appears to have residential cells, this cave does not share
similar characteristics with the other residences at the site, nor with those at
Ajar)!a. Caves 1 and 10 have collapsed and are currently filled with debris. Caves
5 and 9 are pillared assembly halls that do not include individual residential cells.
Although Cave 6 is a quadrangular excavation with a total of five cells in the back
and right wall, John ANDERSON suggests that these cells most likely served as
storage facilities. See John ANDERSON: "Bagh Caves: Historical and Descriptive
Analysis; Architecture, Sculpture, Painting," Miirg 25/3 (June 1972): 15-56.
52. V.V. MIRASID: Inscriptions of the Kalachuri-Chedi Era. Corpus Inscriptionum
Indicarum 4 (Ootacamund: Government Epigraphist for India 1955): 19-21.
JIABS 24.1 46
it is dated in the year 167 of an unspecified era.
53
Therefore, there are
generally only two possible eras that the Barwani grant can be assigned
to: the Kalacuri-Cedi era, providing a date of ca. 417 C.E" or the Gupta
era which would date the grant ca. 487 c.E. Based on the art historical
evidence of the site, however,. the later date for both grants seems more
plausible.
54
According to V.V. MIRASHI's translation, the land-grant found inside
Bagh 2 records the gift of a village to a community of Buddhist monks:
in order that it may be used for (defraying the expenses of) perfume, frank-
incense, flowers and offerings as well as for maintaining an alms-house, for
repairing broken and rent portions (of the vihiira) and for provIding the
Community of Venerable Monks coming from (all) the four quarters, with
clothing, food, nursing of the sick, beds, seats as well as medicine in the
Monastery called Kalayana (the Abode of Art) caused to be constructed by
Datta!aka, as long as the moon, the sun, the oceans, planets, constellations and the
earth would endure. 55
However, in his translation, MIRASHI failed to include the key phrase
"for the Blessed One, the Buddha" contained in the actual grant.
56
This
omission has serious ramifications for understanding this legal transac-
tion of land which was "to be used" to provide perfume and other
53. V.V. MlRASHI: "The Age of the Bagh Caves," The Indian Historical Quarterly
2112 (June 1945): 79-85.
54. However, some scholars have dated the Bagh caves even earlier than the fifth
century. In order to account for a clause contained in the Subandhu land grant for
"repairing broken and rent portions (of the vihiira)," V.V. MIRASHI, John
ANDERSON, and Karl KHANDALAVALA have independently suggested a late
fourth-century date for the site to provide enough time for an accumulation of
damage that would necessitate "repairs" to the monastery. See V.V. MlRASHI:
"The Age of the Bagh Caves": 84--85; John ANDERSON: "Bagh Caves: Historical
and Descriptive Analysis; Architecture, Sculpture, Painting": 19; and Karl
KHANDALAVALA: "Bagh and Ajanta," in Karl Khandalavala, ed., The Golden
Age: Gupta Art- Empire, Province and Influence (Bombay: Marg Publications
1991), pp. 93-94. However, the attribution of such an early date is completely at
odds with the art historical evidence and fails to acknowledge that "repair"
clauses are a standard feature in grants pertaining to Buddhist monasteries.
55. V.V. MIRASHI: Inscriptions of the Kalachuri-Chedi Era: 2l.
56. This is pointed out in Gregory SCHOPEN's analysis of this inscription in "The
Buddha as an Owner of Property": 207 n. 15. The Sanskrit reads: bhagavato
buddhiiya gandhadhupamiilyabalisatropayojyaJ:t ...
ciiturddisiibhyiigatakasya
hetor ... See V.V. MlRASHI: Inscriptions of the Kalachuri-Chedi Era: 20, lines 6
through 9.
OWEN 47
requisites. Moreover, both parties are said to be residing in the Kalayana
monastery (kalayanavihiire). This monastery, literally "the Abode of
Art," is probably Cave 2 where the copper-plate was found. Thus, if the
. Buddha's residential status is at least alluded to, if not clearly stated, in
this grant, then we might expect to fmd his presence manifested in the
art historical remains of the cave itself.
Cave 2 at Bagh is a quadrangular vihiira with the main hall measuring
approximately 86 feet square (Fig. 13). It has a total of twenty residen-
tial cells, a pillared antechamber and a large back central cell. Similar to
vihiiras, the central doorway leading into Bagh 2 is differen-
tiated from the other two entrances in terms of both size and decoration.
Other external decorative features of Cave 2 include fragments of the
architrave which were found amidst fallen debris. There are no extant
paintings or sculptures found on the rest of the facade, however, there
are two niches with carved images located on either end of the veranda
preceding the damaged colonnade. In the right niche is a nineteenth-
century Ganesa constructed of mud-plaster and paint which assumedly
covers the original image of a Buddha.
57
Due to the extensive damage of
the rock, the image in the left niche has been variously identified as a
nagaraja, a or a Buddha.
58
The visual emphasis inside Bagh 2 is on the shrine and its antecham-
ber. Aligned on the axis of the cave and framed by the vihara' s central
pillars, the antechamber measures approximately 26 feet in width and 12
feet in depth. Carved into the side walls are the only extant figurative
57. See C.E. LUARD: "The Buddhist Caves of Central India," Indian Antiquary 39
(1910): and A.K. HALDAR: "The Buddhist Caves of Bagh," Burlington
Magazine XLID (October 1923): 159. Mukul Chandra DEY also mentions this
image in his diary, stating: "At each end of the veranda is a small recess; that on
the right contains a very modern figure of Ganesh, the Hindu god of luck,
usurping the place of the earliest figure of the Buddha, which is known to have
been there originally by the Buddhistic emblems of flying figures holding
garlands." See M. DEY: My Pilgrimages to Ajanta and Bagh (London: Oxford
University Press 1925): 163.
58. C.E. LUARD and E. lMPEY identify the figure as a Buddha; J. Ph. VOGEL and
Walter SPINK suggest either a nligarlija or a See C.E. LUARD: ''The
Buddhist Caves of Central India": 228; E. IMPEY: "Description of the Caves of
Bagh, in Rath," Journal of the Bombay Branch of the Royal Asiatic Society V
(1854): 548; J. Ph. VOGEL: "Sculptures," in John Marshall, et. al. The Bligh
Caves in the Gwalior State (London: The India Society 1927), pp.38-39; and
Walter SPINK: "Bagh: A Study," Archives of Asian Art JO (1976n7): 65.
JIABS 24.1 48
sculptures of the Buddha found inside the cave. Although large Buddha
sculptures are found in the antechambers of s Caves 4 and U6,
the figural group at Bagh is closer to main shrine images where
the Buddha is flanked by two attendants. On both sides of the antecham-
ber at Bagh, the Buddha is over life-size (Fig. 14). Standing on a small
lotus, the Buddha displays the gesture of giving (varadamudril) with his
proper right hand and holds the hem of his robe in his left. As in
main shrine images, the Bagh Buddhas exhibit the standard
iconographical features, including tightly-curled hair, and
extended earlobes.
The sculpted Buddhas and attendant figures in the antechamber
demarcate the sanctity of space and allude to the presence contained
within the shrine. However, the main shrine image in Bagh 2 is not an
anthropomorphic Buddha but a three-dimensional stupa. In fact, Bagh 4,
7, and 8 also exhibit nearly identical floor plans which incorporate a
three-dimensional stupa in the shrine. In light of the grant which locates
the Buddha as a living person within the Kalayana monastery, the
presence of a stupa within these fifth-century vihilras suggests a con-
tinued use of the stupa to denote the Buddha's presence that I noted in
the earlier vihilras at Nasik, Wai, Shelarvadi, and Mahaq. Thus the
presence of a stupa inside the shrines at Bagh indicates that the stupa in
the fifth century still articulated the Buddha's presence.
Though clearly the stupa was considered to be, or at least contain, the
presence of the Buddha - this presence was more fully defined and
articulated at Bagh than in the earlier vihilras that contain stu pas. This is
evident not only in Bagh 2's antechamber imagery which contains
anthropomorphic Buddha images, but in some very interesting modifi-
cations. to the shrines themselves. On the ground in front of the stupa
housed in the back central cell of Bagh 7 is an extention of stone that
contains a deep socket-hole centered between two smaller holes. Walter
SPINK suggests that these holes served to affix a Buddha image flanked
by two attendants.
59
Evidence confirming the attachment of separate
Buddha figures can also be found in Bagh 1, 3, and 7, and in front of
the stupa in Cave 8.
60
The juxtaposition of the anthropomorphic Buddha and stupa is also
found in fifth-century excavations, though in monolithic form.
59. Walter SPINK: "Bagh: A Study": 62.
60. Ibid, 64 and 84 n. 39.
OWEN 49
For example, the Buddha enshrined in Cave 11 is actually carved from
(or backed by) a stapa. Interestingly, a more emphatic presentation of
the stapa as the Buddha's body occurs inside Ajal).!a's caitya halls 19
and 26. Instead of having a plain domed stapa as the object of venera-
tion, both of these halls contain a stapa that is carved with a Buddha
figure on its front face (Fig. 15).61 Rather than seeing these images as
"solutions" or "compromises" between stapa and Buddha image wor-
ship, it appears that their joining of forces, so to speak, is a literal,
further articulation of the Buddha's presence.
Conclusions
In this essay, I have chosen to move beyond the chronological and
sectarian frameworks in which Ajal).!a is most often discussed. With this
approach we can focus on how Ajal).!a's excavations relate to important
aspects of some earlier viharas. Though clearly not all of western India's
early viharas demonstrate a concern for housing the Buddha's presence,
some do nonetheless reveal conceptual similarities with Ajal).!a in terms
of their architectural and epigraphical evidence. The second through
fourth-century excavations at Nasik, Wai, Shelarvadi, and Mahaq seem
to foreshadow not only what becomes further defined and articulated in
the fifth and post-fifth-century archreological records, but also the
increasing concern expressed in the later epigraphical sources that locate
and identify the Buddha as a living person. Though the objects of
worship in the early and later viharas are indeed formally different, both
the stapa and the anthropomorphic figure were conceived of as being, or
at least containing, the living presence of the Buddha. Seen in this light,
the early viharas are in actuality the keys to understanding what is
presented more explicitly at AjaQ.!a.
Although these early excavations exhibit a concern for locating the
Buddha's presence within the monastic residence, there are nonetheless,
some differences in how this presence is manifested at Ajal).!a. Not only
is his presence articulated in human form, but the nature of his presence
is also more fully defined. Rather than simply incorporating a solitary
image, the caves at Ajal).!a create a celestial environment for their
permanent resident. The rock-cut sculptures of the Buddha are not only
61. It is also noteworthy that such monolithic stiipa-cum-Buddhas are found at the
roughly contemporary sites of Dhamnar and Kolvi, and in the seventh-century
caitya hall at Ellora.
JIABS 24.1 50
surrounded by a retinue of attendants, garland bearers, musicians, and
other deities, but are often presented among an array of Buddha images
that are either carved or painted in Thus at the
same time the Buddha's presence is made more concrete at AjaJ:.1!a, his
divine nature is also emphas.ized, suggesting his presence as a super-
mundane figure. This emphasis on the Buddha's cosmic nature may in
fact better correspond with the abstract presentation of the Buddha's
presence in stupa form. In other words, it was not just the Buddha figure
that could replace the stupa inside the viha.ra, but an entire celestial
ensemble may have been required in order to evoke the same or
presence as the stupa in the earlier caves.
63
Although further investiga-
tion is needed into how such imagery becomes as powerful as the stupa,
clearly at AjaJ:.1!a this is so.
62. The most popular scene depicted in AjaIJ.ta's antechambers is the multiplication
miracle at SravastI. Painted representations of this event are found in Caves 1, L6,
and 17. Cave 7 contains two carved panels which cover the side and front walls
of the antechamber. It is interesting to note that in the three vihiiras that do not
have pillared antechambers (Caves 11, 16, and 22) representations of the multi-
plication miracle (or a variation of this theme) are found on the rear wall, as close
to the main shrine as possible.
63. I would like to thank Janice Leoshko for this suggestion.
OWEN 51
Figure 1. AjaI).ta Cave 1, floor plan, fifth-century excavation. Reproduced from James
FERGUSSON and James BURGESS, Cave Temples of India (London: W.H. Allen
1880): plate xl.
Figure 2. AjaI).ta Cave 12, floor plan and longitudinal section, ca. 100 B.C.E. to 100
C.E. Reproduced from James FERGUSSON and James BURGESS, Cave Temples of
India (London: W.H. Allen 1880): plate xxvii.
nABS 24.1 52
Figure 3. Cave 2, main shrine Buddha, fIfth century C.E. Photo courtesy of
Lance Nelson.
OWEN 53
Figure 4. Nasik 3, floor plan, second-century excavation. Reproduced from M.K.
DHAVALIKAR, Late Hfnayana Caves of Western India (Poona: Deccan College
Postgraduate and Research Institute 1984): figure 7.
Figure 5. Nasik 3, interior showing stiipa relief, second century c.E. Photo courtesy of
the American Institute of Indian Studies (AIlS Neg. No 688.68).
nABS 24.1 54
LI ______
5
LI ____ --J
1
? M
Figure 6. Nasik 10, floor plan, second-century excavation. Reproduced from M.K.
DHAVALIKAR, Late Hfnaya.na Caves of Western India (Poona: Deccan College
o
Figure 7. Wai 2, floor plan, third-century excavation. Reproduced from M.K.
DHAVALIKAR, Late Hfnaya.na Caves of Western India (Poona: Deccan College
e
Cll
d:i
c:
[JF
c::: ::-. :-.: ::: ::.-
MODERN WALL
1 ;::::J
o,--__ - - ' ~ M
OWEN 55
Figure 8. Shelarvadi 8, floor plan, late third to early fourth-century excavation.
Reproduced from M.K. DHA V ALlKAR, Late Hfnayiina Caves of Western India (Poona:
Deccan College Postgraduate and Research Institute 1984): figure 34.
I
,
L __ ._
I I
I I
o
, ,
M
5
)
I I
I I
II
II
I,
II
II
Figure 9. Ajal).ta Cave 8, floor plan, late fOUlth to early frfth-century excavation.
Reproduced from M.K. DBA V ALlKAR, Late Hfnayiina Caves of Western India (Poona:
Deccan College Postgraduate and Research Institute 1984): figure 36.
JIABS 24.1 56
Figure 10. Mahac;I 8, floor plan, late third to fourth-century excavation. Reproduced
from M.K. DHAVALIKAR, Late Hfnayiina Caves of Western India (Poona: Deccan
College Postgraduate and Research Institute 1984): figure 32.
Figure 11. Mahac;I 1, floor plan, late fourth-century excavation. Reproduced from M.K.
DHAVALIKAR, Late Hfnayiina Caves of Western India (Poona: Deccan College
OWEN 57
Figure 12. Aj3I}.ta Cave 11, floor plan, fifth-century excavation. Reproduced from
James BURGESS, Report on the Buddhist Cave Temples and their Inscriptions,
A.S.W.I. N (London: Trubner and Co. 1883): plate xxviii.
Figure 13. Bagh Cave 2, floor plan, fifth-century excavation. Reproduced from John
MARSHALL, et. al., The Bligh Caves in Gwalior State (Delhi: The India Society 1927):
plate I.
JIABS 24.1 58
Figure 14. Bligh Cave 2, Buddha and attendants, left antechamber wall, fifth century
C.E. Reproduced from John MARSHALL, et. al., The Biigh Caves in Gwalior State
(Delhi: The India Society 1927): plate Vlb.
OWEN 59
Figure 15. Aj3I.lta Cave 26, stupa, fifth century C.E. Photo by the author.
PETER VERHAGEN
Studies in Indo-Tibetan Buddhist Hermeneutics (1)
Issues of Interpretation and Translation in the
Minor Works of Si-tu PaI,l-chen Chos-kyi-'bYUIi-gnas
(1699?-1774)*
1. The historical figure Si-tu Pal}-chen Chos-kyi-' byuri-gnas.
The religious erudite whose work will be the focus of this paper, was a
man of many talents. Usually known as Si-tu PaIJ-chen, the 'Great
Scholar [pal}ita] [ of the] Si -tu [lineage]', he was one of the key figures
in the cultural life of Tibet in the eighteenth century. Let me begin with
a few remarks on the life and times of this remarkable personage.!
He was born towards the end of 1699 or (depending on
which calendar we follow) in the area of the town of Sde-dge in the
Eastern Tibetan province of Khams, his mother, Gan-bzail Khra-'gu-ma,
hailing from the family of A-gro Ta-dben Gu-sri. In his early youth he
was recognized as the eighth, or according to a different calculation, the
twelfth reincarnation in the Ta'i Si-tu lineage of (then) Lho Karma-
dgon within the Karma-pa Bka' -brgyud-pa tradition, and duly installed
by the eighth 'Red Hat' Karma-pa hierarch Dpal-chen Chos-kyi-don-
, grub (1695-1732). He received the ordination names Chos-kyi- 'byun-
gnas Phrin-las-kun-khyab Ye-ses-dpal-bzan-po in 1707, and Karma
Bstan-pa'i-fiin-byed Gtsug-lag-chos-kyi-snan-ba when taking his
upasaka vows in 1708.
2
* Originally presented as a paper at the XIIth Congress of the International
Association of Buddhist Studies, Lausanne, August 23-28 1999, under the title
"Interpretation and Translation. Hermeneutical issues in the minor works of Si-tu
Pat].-chen Chos-kyi-'byuil-gnas." This research was made possible by a subsidy
of the Netherlands Organisation for Scientific Research (Nederlandse Organisatie
voor Wetenschappelijk Onderzoek, NWO).
1. This biographical notice is primarily based on Smith's introduction ad CHANDRA
(ed.) 1968 and on KHETSUN SANGPO 1973-1980,7: 589-617.
2. He continued using both names, or, in most cases, detachable parts of both
names, throughout his life. Chos-kyi-'byuil-gnas may very well be the most
Volume 24 Number 1 .2001
JIABS 24.1 62
After his studies in Central Tibet (1712-1715) and Khams (1715-
1721) his "star" rose quickly. He quickly acquired great fame as a reli-
gious scholar and spiritual authority. He also stood on the best of terms
with important secular leaders of the time, most notably with Bstan-pa-
tshe-rin, the king of Sde-dge (1678-1738), who founded Dpal-spuns
monastery as a new seat for the Si-tu lineage, but also with rulers from
Central Tibet such as Pho-lha-nas and Mdo-mkhar iabs-drun Tshe-rin-
dban-rgyal (1697-1763), by whom he was received in Lha-sa in 1738.
Of great significance was also his association with KaI:t-thog Tshe-dba-
nor-bu (1698-1755),3 a Rfiin-ma-pa spiritual master and scholar with
close ties with the Bka' -brgyud-pa as well, who since their meeting in
1720 became a close friend and influential associate of Si-tu until KaI:t-
thog's demise in 1755. Most notable perhaps was Kal;1-thog's role in Si-
tu's conversion to the gian-stOli doctrine of the Jo-nan-pas.
In addition to his importance as a religious and political
4
figure, he
was a man associated with great intellectual and artistic achievements.
Perhaps his traditional fame in Tibet lies mainly in his work as a gram-
marian and linguist. His most important single work as a scholar proba-
bly is his extensive commentary on the two seminal treatises of Tibetan
grammar, Sum cu pa and Rtags kyi 'jug pa, which constitutes a land-
mark in the history of Tibetan indigenous linguistics, and which, paren-
thetically, was written at the behest of Mdo-mkhar iabs-dru in 1744.5
Perhaps more broadly significant was his involvement in editorial
projects at the printing house of Derge, paramount of which was his
supervision of the editing of Bka' 'gyur, between 1731 and 1733, which
by modem scholarship is considered as the generally most reliable and
accurate of the canonical blockprint editions.
frequent form of his name; Bstan-pa'i-fiin-byed and (Gtsug-Iag-) Chos-kyi-snari-
ba are used quite frequently as well.
3. Cf. e.g. RICHARDSON 1967: 7-8.
4. Note for instance his possible role as an ambassador from the Tibetan govern-
ment during his second journey to Nepal in 1748, cf. Smith introd. CHANDRA
1968: 11.
5. Yul gans can pa' i brda yan dag par sbyor ba' i bstan bcos kyi bye brag sum cu
pa dan rtags kyi 'jug pa'i giun gi rnam par Mad pa mkhas pa'i mgul rgyan mu
tig phren mdzes, colI. works vol. 6 title no. 4, 85 ff., facs. ed. SHERAB
GYALTSEN 1990-6: 447-617.
VERHAGEN 63
His p"rime scholarly interest evidently lay in linguistics, covering
several fields such as grammar, prosody, poetics and lexicography.6
However, he also developed considerable expertise in other fields of
secular learning. He was famous for his medical skills even in the
highest circles in Khams. I should also mention his unique position in
the field of the visual arts, particularly painting, where he not only
functioned as a tremendously important patron, but was also an artist of
brilliant genius himself.7
2. Collected works of Si-tu PalJ-chen.
The xylograph the collected works of Si-tu PaI.1-chen was
produced in Sde-dge, home monastery Dpal-spuns, some years
after the master's demise.
8
The Bka'-'bum, consisting of fourteen
volumes, have become accessible to the academic world in a facsimile
reprint, published by Sherab Gyaltsen in 1990.
The great diversity in talents and interests of Si-tu PaI.1-chen is clearly
reflected in his collected writings. All in all, linguistics and historiogra-
phy are the predominant genres, occupying more than six
9
and three
lO
volumes respectively. But, in addition to that, his collected works offer
an impressive and occasionally surprising array of genres and topics. In
view of Si-tu's affiliation with the Karma-pa Bka' -brgyud tradition, it
stands to reason that we find a considerable number of his works dealing
with the lore of Tantric Buddhism, in the form of liturgical and medita-
6. Cf. RUEGG 1995: 119-124, 126, 128-130, 135, 147, HSGLT 1: 174, 176, 192-
193,199,201,215-216, HSGLT 2: 107-136, 161-180,204-207,212.
7. Cf. the chapter on Si-tu PalJ-chen in the outstanding study on the history of
Tibetan painting, JACKSON 1996: 259-287.
8. Cf. Smith introd. ad CHANDRA (ed.) 1968: 10.
9. The volumes 1-6 are completely devoted to linguistical materials, and we find
individual titles on this topic in vols. 7 (title nos. 11 and 12) and 10 (title nos. 7,
8, 10, 11); thirteen texts on Sanskrit grammar are described in HSGLT 2: 106-
136,161-180.
10. Volumes 11 and 12 being entirely devoted to a collection of biographies of major
Karma-pa masters, and volume 14 containing the master's autobiography, edited
posthumously by his disciple Ba'i-lo (or 'Be-Io) Tshe-dbaiJ.-kun-khyab on the
basis of Si-tu's diaries (also in facs. ed. CHANDRA 1968); further historio"
graphical materials in vol. 8 (title no. 5), voL 9 (certains sections of the Bka'
, gyur dkar-chag) and vol. 10 (title no. 1).
JIABS 24.1 64
tional manuals, 11 commentaries,12 hymns and prayers,13 mantra-collec-
tions,14 and such like.
Almost the entire ninth volume of his collected works is taken up by
the 'catalogue' (dkar chag) that Si-tu wrote for the Sde-dge xylograph
edition of Bka' , gyur, the editing of which he himself had supervised in
the years 1731-1733.
15
This version of the dkar chag, in eight chapters,
filling 260 folios, is different from the one as contained in the Sde-dge
edition of the canon which consists of five chapters, occupying some
170 folios.16 It is in fact the version which Si-tu had written initially,
but had been deemed too long by certain authorities involved in the
project, and had consequently been reduced to the five-chapter version
which was actually included in the canon.!7 Finally, a last major work
that should be mentioned here is Si-tu's commentary on the
Abhidharma-kosa.
18
Among his minor works we also fmd materials of considerable interest
on a wide range of topics. 19 Among these I might mention collections of
answers to questions (dris lan),20 works on astrology,21 a translation of a
Svayambhii-pura1}a,22 an inventory description of a reliquary stiipa,
11. Vol. 7 title no. 4, vol. 8 title nos. 3,12,13 and 16, vol. 10 title nos. 3, 12-14.
12. Vol. 7 title nos. 2 and 3, voL 8 title nos. 1 and 2.
13. Vol. 7 title no. 10, vol. 8 title nos. 4, 9,11,17 and 18.
14. Vol. 7 title no. 9, and many minor works.
15. Bde bar gsegs pa'i bka' garis can gyi brdas drafts pa'i phyi mo'i tshogs ji sfied
pa par du bsgrubs pa' i tshullas fie bar brtsams pa' i gtam bzaft po bIo ldan mos
pa'i kunda yofts su kha bye ba'i zla 'od gion nu'i 'khri sift ies bya ba, vol. 9 f.
1-260r5, facs. ed. SHERAB GYALTSEN 1990-9: 1-523/524.
16. Cf.VOSTRIKOV 1970: 210-212.
17. Cf. EIMER 1985; for the mention of the earlier, longer version, cf. autobiography,
f. 77r2-3, ed. CHANDRA 1968: 153, lMAEDA 1981: 229.
18. Chos mrion pa mdzod kyi tshig don rnam par 'grel pa brgya byin thog pa'i nor
bu'i 'od snaft, vol. 13, title no. 1,341 ff., facs. ed. SHERAB GYALTSEN 1990-13:
1-683.
19. Especially in vols. 7 and 8 we find miscellaneous shorter works.
20. Vol. 8, title no. 6,7 and 8.
21. Vol. 7 title no. 6, 7 and 8.
22. Bal yul raft byuft mchod rten chen po'i la rgyus, 14 ff., facs. ed. SHERAB
GYALTSEN 1990-7: 229-257; referred to in his autobiography, under the year
1748, mentioning that he acquired a manuscript of a concise Svaya1!zbhii-puriil)a
by Samantabhadra in Nepal, and commenced a translation of it, (ed. CHANDRA
VERHAGEN 65
possibly that of Kal)-thog Tshe-dbaIi-nor-bu (1698-1755)23 and a
description of Si-tu PaI).-chen's stupa by his pupil Ba'i-Io Tshe-dbaIi-
kun-khyab.
24
3. Hermeneutical issues.
In the minor works of Si-tu PaI).-chen we find that a number of what
might be called "hermeneutical" topics, that is issues related to the inter-
pretation of texts, come to the fore. In this paper I will limit myself to a
few observations on two such issues, namely the use of etymologies
(3.1) including also the type of hermeneutical etymologies (3.2) and the
practice and principles of translating (3.3), and in that connection, of
textual criticism (3.4).
3.1. Etymology.
In one of three compilations of answers to questions (dris Ian) in his
collected works, the one briefly entitled Nor bu'i me lon,25 Si-tu PaI).-
chen addresses some etymological issues. In particular in his reply to the
ninth question in the first section, he provides etymologies for a number
of problematic terms.
26
In this connection he distinguishes two types of words: on the one
hand, what he calls "random words" ('dod rgyal gyi sgra), terms which
are not grammatically analyzable, but which have an ultimately arbitrary
form and are purely conventionally associated with a specific meaning.
1968: 267): sa manta bha dras swa ya'!l bhu pu ril !1a bsdus pa de khyer byun /
bod skad du bsgyur ba'i dbu tshugs, cf. Smith introd. ed. CHANDRA 1968: II.
23. Dpal mchog reg pa med pa'j mchod rten gyi snan brfian dge legs' dod rgu'i
char 'bebs kyi dkar chag utpa la'i phren ba, 7 ff., facs. ed. SHERAB GYALTSEN
1990-13: 725-738.
24. Byams mgon bstan pa'i iiin byed kyi chos sku'i mchod rten mthon grot chen
mo'i dkar chag rdzogs ldan gyi bskal bzan ' dren pa'i ' khor 10 rin po che, 20 ff.,
facs. ed. SHERAB GYALTSEN 1990-13: 685-724.
25. Full title Rje btsun mchog gi spruZ pa'i sku dgyes par byed pa'i dri Zan nor bu'i
me lon ies bya ba, Bka' -' bum vol. 8,31 ff.; N.B. correct the order of folios in
facs. ed. SHERAB GYALTSEN 1990-8: 377-384, 323-326, 389-394, 333-334,
397-436, 375/376; I have discussed other passages from the same text in
Verhagen 1997.
26. Op. cit., f. 3r3-4r2, inter alia dealing with the terms rgya-gar, rgya-nag, Bhota,
Magadha and O#iyilna.
JIABS 24.1 66
The second type he terms "derivative word" (rjes sgrub kyi sgra),27 or
"conditioned word" [?] (rgyu mtshan gyi sgra), that is a term which
through linguistic analysis can be shown to derive from other lexemes or
grammatical elements.
This dichotomy is used - in various ramifications and often integrated
into a more complex paradigm - in several other lndo-Tibetan linguistic
sources, for instance in Smra sgo, the eleventh-century grammatical
treatise by SmrtijiHinaklrti and its vrtti,28 and in works by Sa-skya
namely his Sgra la 'jug pa,29 a text which is for the most part
based on Smra sgo,30 and his scholastic manual Mkhas pa rnar:zs 'jug
pa'i sgO.31
It seems possible, to a certain extent, to connect the Tibetan term 'dod
rgyal gyi sgra with the Sanskrit yad-rcchii-sabda also referring to an
arbitrary term for which no analysis or etymology can be provided. The
term is found in the restricted sense of "proper name" in lndic
linguistics,32 but also in Buddhist contexts, for instance in Dignaga's
PramiilJa-samuccaya"vrtti. Dignaga introduces the notion in connection
with the concept of kalpanii "conceptual construction", as one of five
categories of words.
33
27. Bod rgya tshig mdzad chen ma: ' dod rgyai (-gyi sgra, -gyi min) = nes tshig gi
, grei Mad dan rgyu mtshan gan yan brjad rgyu med par ran ' dod kha nas thag
mar sbyar ba'i brda.
28. Bod rgya tshig mdzad chen ma: rjes grub = min brda ' dogs tshui zig ste / dnas
po byun ba'i rjes su ' dra ' brei gan run gi rgyu mtshan la brten nas btags pa'i
min / dper na / khyi gu kha che sna nag la sen ge zes btags pa ita bu ' dra ba
rgyu mtshan du byas nas btags pa dan / ni ma' i ' ad zer La ni ma zes btags pa ita
bu ' brei ba rgyu mtshan du byas nas btags pa' 0, and rjes grub kyi min (with
synonym rjes grub sgra) = nes tshig gam rgyu mtshan la brten nas btags pa'i
min.
29. Smra sga mtshan cha, II. 177-198, and vrtti ad idem; on these texts, cf. HSGLT
2: 37-57.
30. Sa skya bka' , bum, tha f. 227r2-228r3; on this text, cf. HSGLT 2: 64-65.
31. Sub I.l7, Sa skya bka' 'bum, tha 168r3-4 and sub 11.10, Sa skya bka' 'bum, tha
194v5; on this text, cf. JACKSON 1987: 39-42, 191-248.
32. ad Pa!).ini 1.1.2, sabdiinii1'[l jiitisabdii
gUlJasabdii kriyiiSabdii yadrcchiisabdiiS cf. e.g. HATTORI 1968:
83-84, ABHYANKAR 1977: 313, BRONKHORST 1998: 249).
33. PramiilJa-samuccaya-vrtti ad kiirikii I3d: hi niimnii
'rtha ucyate {littheti (HATTORI 1968: 83), "In the case of arbitrary words
(yadrcchii-sabda, proper nouns), a thing (artha) distinguished by a name
(niiman) is expressed by a word [such as] ":Qittha"." (HATTORI 1968: 25); the
VERHAGEN 67
The distinction of analyzable versus unanalyzable lexemes is applied in
the first excerpt from Si -tu' s dris Zan:
[The term] Bho!a is well-known and established in all of Aryadda as the name
for Tibet. Nevertheless, as I do not know the verbal root [from which the form
Bho!a is derived], I do not know in what meaning it occurs here. Similarly, one
cannot discern whether it is a "random" [= unanalyzable] [word] or a "derivative"
[word].
In general it appears to be what is known as a "random" [word], and [the
Tibetan word] bod, in its turn, appears to be a corruption of that [Sanskrit term
Bho!a].34
We see here that Si-tu Pal}-chen is at a loss to find an etymology for
Bho{a, the Sanskrit word for Tibet. Not being able to trace a Sanskrit
verbal root for the term, he - provisionally - assigns it to the category
of "random" or unanalyzable lexemes. Another interesting aspect of his
treatment of this term, is his conception of the Tibetan name of Tibet,
bod, as a corruption of Sanskrit Bho{a, in other words apparently as a
loanword from Sanskrit. He apparently does not take into consideration
the possibility of the reverse derivation being the case, namely that the
Sanskrit term is based on the Tibetan.
3.2. Hermeneutical etymology.
In a recent publication Prof. RUEGG formulated an apt description of a
type of etymology that is frequently found in Buddhist textual interpre-
tation and that could properly be termed "hermeneutical etymologies."
He defines this type of etymologies, which he also dubs nirukta-type
etymologies, as follows:
non-historical- i.e. "synchronic" as opposed to historical-linguistic or diachronic
- quasi etymological explanations which, although not founded on the linguist's
other four categories: (2) jiiti-sabda "genus-words" "common nouns", example
go 'cow', (3) gUl}a-sabda "quality-words", "adjectives", ex. sukla 'white', (4)
kriya-sabda "action-words", "verbal nouns", ex. pacaka 'cook[ing]' and (5)
dravya-sabda "substance-words", ex. dal}tjin 'staff-bearer' (HATIORI 1968: 25,
83). The two canonical translations of Pramal}a-samuccaya-vrtti (Peking no.
5700 & 5702) have 'dod rgyal ba'i sgra for yad-rccha-sabda, cf. HATTORI
1968: 176, l4a4 & 177, 94b4; lowe this reference to a personal communication
of Prof. Jackson, Hamburg, December 1996.
34. Dris Ian Nor bu'i me [ali, excerpt question no. 9, f. 3v5-6: / bod kyi skad dod
du I bho !a ies pa 'phags yul thams cad du yolis su grags sili grub pa yin na' ali
skad kyi byilis ma 'tshal bas don gali du 'gyur ma ses sili I de biin du ' dod rgyaZ
dali rjes sgrub kyi mili gali yin yali ma phyed mod I phal cher 'dod rgyal du
grags pa yin' dra ste / bod ces pa' ali de zur chag par snali ba'i phyir TO I
JIABS 24.1 68
strict morphological-historical derivation, are meant to convey a value (or, indeed,
the true but perhaps hidden sense) of the word being explained.
35
This type of etymology36 does indeed occur with considerable frequency
in the Buddhist commentarial literature. For instance, among the 413
Sanskrit entries discussed in the eighth-century Sgra sbyor bam po gftis
pa (to which I shall return shortly), I have counted fourteen unmis-
takable cases of this type of etymology)?
A very well-known example is the association of the term Bhagavat
38
with the verb bhaftj 'to defeat', usually in a phrase such as "he who has
defeated the defilements etc." (kle1ildikaf!L bhagnaviln),39 or "he who has
defeated the four Maras"
Even though the hermeneutical etymology does not reflect the analysis
of the grammarians of a given form, and the science of grammar is held
in the highest esteem, both in the Indic culture in general, as well as in
the Buddhist context in India and Tibet, this does not imply a deprecia-
tion of the hermeneutical etymology as such. On the contrary, the
hermeneutical etymology serves a purpose, which is, from the viewpoint
of the Buddhist exegetes, at least as important as, if not more important
than the grammatically well-founded analysis of the word: it brings out
the contextually determined semantics and the functional aspects of the
term far more than mere grammatical analysis can.
In fact, at quite a few occasions the analyses provided by vyilkaralJa
and nirukta can be found together, in the same context, providing two
35. RUEGG 1998: 118-119.
36. Occurring also in pre- and non-Buddhist contexts in Sanskrit literature, from
Nirukta and Briihmarzas onwards; cf. e.g. BRONKHORST: "Les elements linguis-
tiques porteurs de sens dans la tradition grammaticale du Sanskrit," Histoire
Epistemologie Langage, 20.1 (1998): 30-32.
37. HSGLT 1: 21-22; to these may also be added the entry tiiyin, cf. RUEGG (1998:
120).
38. Which should of course according to grammatical conventions be derived from a
noun bhaga 'share', 'fortune', etc., with secondary suffix vat (in PaI).inian
technical terms mat UP) with possessive function.
39. E.g. Abhisamayiilal'{lkiiriiloka 7.25ff, SIMONS SON 1957: 267; cf. also Prajiia-
varman's commentary ad Udbhatasviimin's verse 1, ed. SCHNEIDER
1993: 80-81.
40. E.g. Sgra sbyor bam po gfiis pa entry 2, ed. ISHIKAWA 1990: 6; cf. HSGLT 1:
26, RUEGG 1998: 120; both etymologies are referred to e.g. in Buddhaguhya's
commentary on the Mahii-vairocaniibhisal'{lbodhi Tantra, cf. ed. MIYASAKA
1995: 37.
VERHAGEN 69
perspectives on the term at hand, and viewed more as complementary,
not as mutually exclusive. Examples of this combining of viewpoints are
the entries dealing with the tenns Bhagavat and Arhat in Sgra sbyor bam
po gfiis pa.
41
In both treatments a grammatically sound and a hermeneu-
tical etymology are juxtaposed, and it is most telling that in both
instances the ultimately adopted Tibetan translation was based on the
hermeneutical and not on the grammatical analysis.
A fine example of the relationship of complementarity existing
between the two disciplines of vyiikaral}a and nirukta can be found in
another passage from Si-tu's dris lan, discussing the etymology of the
name Magadha.
42
As regards [the name] Magadha, this is a contraction, with elision of certain
phonemes [or: syllables?], of *madhya-gata-dhara, in correspondence with the
[so-called] p ! ~ o d a r a [formations]. Therefore it is proper [for the translation] to
be dbus ' gyur ' chan, and this [translation] is proper, as it accords with the state-
ments in the basic texts of AryadeSa. Moreover, [this translation is proper] on
account of the fact that [Magadha] is the centre of [all] countries.
43
The etymology that Si-tu proposes here, involves the derivation of the
three syllables of the term Ma-ga-dha from the initial syllables of the
constituents of the compound term madhya-gata-dhara 'holding what
occurs [?] in the centre' or 'holding what moves in the centre'. At first
sight this would seem to be a purely hermeneutical etymology, with no
connection with grammatical derivation whatsoever. However, we see
that Si-tu does call upon a grammatical rule to account for this forma-
tion in terms of a vyutpatti, a 'grammatical derivation', rather than a
nirukta-type etymology. He refers to the so-called PNodara, or more
41. For the grammatical analysis of Bhagavat, cf. HSGLT 1: 24-26, for the
'hermeneutical etymology' of that term cf. supra; on the analyses of Arhat, cf.
infra, sub 3.3. Note also the juxtaposition of the two analyses of the term
Bhagavat in Buddhasanti's commentary on Candragomin's Ddanastava 40ab,
cf. HAHN 1993: 54-55.
42. This passage I have also studied in the third title in the present series "Studies in
Indo-Tibetan Buddhist Hermeneutics," bearing the subtitle "Grammatical Models
in Buddhist Formulas," to be published in the Proceedings of the ninth Seminar
of the International Association of Tibetan Studies, Leiden, June 24-30, 2000.
43. Dris Ian Nor bu'i me lon, excerpt question no. 9, f. 3v6-4rl: I ma ga dha ies pa I
ma dhya ga ta dha ra rnams P! ~ o da ra biin du yi ge gian phyis nas bsdus pas
I dbus ' gyur ' chan yin par 'phags yul gyi giun rnams las' byun bas de nid ltar
, thad cin I de yan yul dbus yin pa' i rgyu mtshan gyis so I.
nABS 24.1 70
precisely the rule
44
which provides for an open-ended gaIJa
of compound formations involving morphological irregularities such as
elision, augmentation or substitution. The rule has (from
+ udara
4S
) as the heading term. Taking resource to precisely this
radi siitra to account for all kinds of irregular formations involving
elision of parts of stems, is not unusual in Mahayana commentariaI
literature. We find it for instance in Candraldrti's Madhyamakavatara.
46
I have thus far not been able to trace any Sanskrit sources for this or a
comparable etymology for the toponym Magadha.
We find that the Tibetan translators have followed two approaches vis-
a-vis the term Magadha. One option was to leave the name untranslated,
usually prefixing the Tibetan categoric term
47
yul, 'country', as is the
case in the Mahavyutpatti lexicon.
48
Alternatively, when the term WAS
translated, it is apparent that the present etymology lies at the basis of
the usual Tibetan translation of the term Magadha that Si-tu cites here,
namely dbus 'gyur 'chan lit. 'holding what occurs [or: changes ?] in the
centre' .49
So here we have again a clear example of the complementary nature of
the relationship between grammatical derivation and hermeneutical
44. Pfu.1ini 6.3.109: (Kiisikii: sabdarupii1}i
lopiigamavarlJavikiiriiJ:! siistre1}a na vihitii dr.syante ca tiini
siidhuni bhavanti) and Candra 5.2.127: (vrtti: sabda-
rupii1}i siidhuni bhavanti), no parallel sutra in Kiitantra; cf. CARDONA 1988:
639-643,OBERLIES 1989: 255-257.
45. In fact analyzed as a bahuvr'fhi compound, udararrz yasya sa 'he whose
belly [udara] is spotted
46. Ad the term Mahiiyiina, cf. SCHERRER-SCHAUB 1994: 262-263.
47. Note that the precepts on translating technique in the introductory section of Sgra
sbyor bam po giiis pa stipulate the prefIxing with a Tibetan term indicating the
semantical category, when an Indic term or name is left untranslated, which is
specifIcally allowed for the names of countries, persons, flowers, trees etc.; ed.
ISHIKAWA 1990: 3, SIMONSSON 1957: 253-254, VERHAGEN 1996: 285.
48. Mahiivyutpatti 3594 (sub Cakra-varti-riijas:) *Magadhii-riija = ma ga dha'i
rgyal po; 4121 (sub yul gyi mi) Magadhii = yul ma ga dha.
49. Attested as translation for Magadha (and some derivations from that name) in the
Tibetan version (by Za-lu Chos-skyon-bzan-po, 1441-1528) of the Visva-locana
lexicon, ed. Lozang JAMSPAL 1992: no. 451, 767, 953, 1063; cf. also CHOS-
GRAGS (n.d): 499 dbus ' gyur ' chari = rdo rje gdan rgya gar yul dbus, bod rgya
tshig mdzod chen mo: dbus ' gyur ' chari = rgya gar gyi yul dbus rdo rje gdan.
VERHAGEN 71
etymology. The point well made by Prof. RUEGG recently50 namely that
such an interpretative and synchronic etymology should not necessarily
be regarded as a popular or naIve, and therefore less valid one opposed
to the linguistic etymology, is corroborated here once more. With its
non- or para-grammatical techniques of association through assonance or
paronomasia and through conceptual connections, the hermeneutical
etymology emphasizes and elucidates aspects of function and meaning
that remain largely hidden from the eye when merely a strictly gram-
matical analysis is applied to the term.
3.3. Translating.
As rightly observed by Prof. RUEGG in a 1973 article,5] the Tibetan
scholarly world offers remarkably little theoretical treatment of the prin-
ciples and techniques of translating. This is perhaps somewhat surprising
in the light of the enormous corpora of translated literature which were
produced by the Tibetan Buddhists in the course of the centuries. The
oldest and by far most significant treatment of the principles relevant for
the work of the translator is found in Sgra sbyor bam po gfiis pa,52 the
eighth-century commentary on a selection of entries in Mahiivyutpatti,
the normative Sanskrit-Tibetan lexicon for the translators.
53
The intro-
ductory section of Sgra sbyor bam po gfiis pa consists mainly of the
protocol of a royal edict regulating the translating activities. 54 In it a
number of principles and rules-of-thumb are set forth, which the trans-
lators are required to follow.
An interesting later paraphrase of the gist of these principles can be
found in a work attributed to the fifth Dalai Lama Nag-dban Blo-bzan-
rgya-mtsho (1617-1682).55 A third important source on this topic that
should be mentioned here, is Dag yig mkhas pa'i 'bYUli gnas, a Tibetan-
Mongol lexicon by Lcan-skya Rol-pa'i-rdo-rje (1717-1786). In the 1973
article mentioned above, Prof. RUE;GG edited and translated sections
50. RUEGG 1998: 119 note 9.
51. RUEGG 1973: 257f ..
52. Critical ed. ISHIKAWA 1990, cf. SIMONSSON 1957: 238-280, HSGLT 1: 15-45,
VERHAGEN 1992-1993,1996: 283-286.
53. For Mahavyutpatti I refer to ed. SAKAKI 1916-1925, following the entry num-
bering of that edition; ISHIHAMA & FUKuoA (1989) is a critical edition.
54. Ed. ISHIKAWA 1990: 1-5, cf. SIMONSSON 1957: 239-262, VERHAGEN 1996:
283-286; for an earlier version of this edict, cf. PANGLUNG 1994.
55. Cf. SCHERRER-SCHAUB 1999: 69,76 n. 17.
nABS 24.1 72
from this treatise, which outline principles of translation that correspond
closely to and are evidently based on the regulations set forth in Sgra
sbyor bam po gfiis pa.
We can now add to these few sources, a brief discussion and explana-
tion of some of the principles outlined in Sgra sbyor bam po griis pa
which are given by Si-tu PaI).-chen in the dris Zan quoted above .. This
passage is interesting, inter alia, for its adducing specific concrete
examples for principles that are abstractly stated in Sgra sbyor bam po
gfiis pa. I refer to question no. 26 in the Dri Zan Nor bu'i me Zon,56
which requests explanation of three passages from the
section of Sgra sbyor bam po griis pa.
57
The first passage, dealing with some general circumstances leading to
the inclusion of lexical items in, and the formation of, the codified
lexicon, is explained by means of a paraphrase:
[As regards the first passage:] The Brahmin Ananta
58
etc. had fixed [Tibetan]
terms for [specific Indic] terms from the Dharma which were unknown before in
Tibet, when they had translated [texts] from Sanskrit.
Because some [of these Tibetan terms] were not in accordance with the
meaning of the Word [of the Buddha] or the basic texts of grammar, they were
corrected in this period [or section?] of the later edict [i.e. later than the translators
Brahmin Ananta etc.] and the important [terms] that needed to be fixed in new
Tibetan terms were also added [to the register].59
56. Full title Rje btsun mehog gi sprul pa'j sku dgyes par byed pa'i dri Ian nor bu'i
me Lori zes bya ba, Bka' -'bum vol. 8, 31 ff.; question 26 = f. 1Ov6-11v5.
57. (1) bram ze ii nanda ( ... ) gees so 'tshal gyis bsnan nas (= ed. ISHIKAWA 1990:
1.20c2.2), (2) 'jal dka' ba roams ( ... ) min du btags nas (= ed. ISHIKAWA 1990:
(3) roam graris su ( ... ) so sor btags pa biin du thogs sig (= ed.
ISHIKAWA 1990: 3.22-24.
58. I follow here the reading of this name by SCHERRER-SCHAUB (1999: 69);
another possible reading is 'Ananda', cf. e.g. SIMONSSON 1957: 243.
59. Dris Ian Nor bu' i me lori, excerpt question no. 26, f. 1lr3-5: bram ze ii nanda la
sogs pas bod du ehos skad snar ma grags pa roams la legs sbyar gyi skad las
bsgyur te miri gsar du btags pa 'ga' zig gsun rab kyi don dan brda sprod kyi
gzuri dan mi mthun pa yod par' dug pas de roams bkas bead phyi ma'i skabs
'dir be os sin bod skad gsar du gdags ' os gal ehe ba rnams kyari bsnan /;
paraphrasing Sgra sbyor bam po giiis pa, ed. ISHIKAWA 1990: 1-2; SIMONSSON
1957: 243-244: bram ze ii na nta la sogs pas ehos kyi skad bod la ma grags pa
las miri du btags pa mari dag mehis pa' i nari nas kha Gig ehos kyi gzuri dan / byii
ka ra i lugs dari mi mthun te / mi beos su mi ruri ba roams kyan beos / skad
kyi miri gees so 'tshal gyis kyari bsnan; cf. also SCHERRER-SCHAUB 1999: 69.
VERHAGEN 73
The second passage formulates some general principles which were
followed in establishing the Tibetan translation terminology.
[As regards the second passage:] [A] For Sanskrit terms the meaning of which is
difficult to comprehend, after separation into the [constituent] words,60 and along
with an explanation of
61
the basic constituents,62 [Tibetan translating terms] are
fIxed [or: entered (into the register)].
[B] For [Sanskrit terms which are] easy to comprehend, after having been trans-
lated according to the [literal] meaning of the [Sanskrit] terms, [Tibetan] terms
have been fixed, and further explanation is not necessary.
[C] For some [Sanskrit] terms [Tibetan] terms have been fixed that are primarily
based on the meaning, which follows from [i.e.: is determined by] the
[contextual] use (Tib. 'jug pa) of the term.
63
These [terms] have been fIxed [in?] the Great, Middle and Small Vyutpatti.
64
Si-tu paraphrases the passage and then quotes specific instances in Sgra
sbyor bam po gfiis pa itself where the principle at hand is applied.
60. tshig, usually = 'bound, syntactic word form'.
61. N.B. genitive particle kyi, where Sgra sbyor has instrumental, gtan tshigs kyis
Mad, ed. ISHIKAWA 1990: 2 line 67.
62. gtan tshigs; or 'argument' (Skt. hetu)?
63. An alternative, I think less plausible translation would be: "( ... ) have been fixed
for which the meaning has been made to prevail over the analysis of the term,"
here particle las is taken as an ablativus eomparationis, and the verb 'jug pa is
interpreted as 'understanding', 'comprehension', i.e. '[grarrunatical] analysis'.
64. Dris Ian Nor bu'i me lon, excerpt question no. 26, f. 11r5-6: [A] legs sbyar gyi
sgra don bios gial dka' ba rnams la tshig so sor phral nas gtan tshigs kyi Mad
pa dan beas te bkod pa dan I [B] rtogs sla ba rnams sgra don biin bsgyur nas
min btags pa Mad pa mi dgos pa dan / [C] skad kha cig la sgra 'jug pa las don
gtso bar byas nas min du btags te / bye brag rtogs byed ehe 'brin ehun nu ' di
rnams bkod pa yin ' dug pa; paraphrasing Sgra sbyor bam po gfiis pa, ed.
ISHIKAWA 1990: 2; SIMONSSON 1957: 244-246: [AJ mjal dka' ba rnams kyan
tshig so sor phral nas gtan tshigs kyis Mad de giun du bris / [B] skad rkyan pa
Mad mi 'tshal ba sgra biin du bsgyur bar rigs pa rnams kyan sgra btsan par
bgyis te min du btags I [C] skad kha cig don biin du gdags par rigs pa rnams
kyan don btsan par bgyis te min du btags; cf. also SCHERRER-SCHAUB 1999:
72. Note that SIMONSSON's rendering of this passage differs occasionally from
Si-tu's interpretation, esp. sub (B) where SIMONS SON (1957: 245) has: "Einfache
Worter dagegen, die sich nicht [auf die eben erwiihnte Weise] erklaren hessen,
aber die dem Laut gemass iibersetzt werden konnten, wurden als Termini
festgelegt, indem die lautliche Gestalt zum festen [Ausgangspunkt] gemacht
wurde." I must admit I cannot really fathom SIMONSSON's interpretation here. It
is hard to see how the "lauthche Gestalt" (phonetic aspect?) of a term can be used
as the basis of a translation, unless the introduction as a loanword, leaving the
foreign term untranslated, were meant here, which clearly is not the case.
JIABS 24.1 74
It is noteworthy also that Si-tustill refers explicitly to three Vyutpatti
treatises Of course, it is well-known that the colophon of Sgra
sbyor bam po gfiis pa mentions the three Vyutpattis, them
as 'Great', 'Middle' and 'Small' .65 Modern scholarship has - I think
with good reason - assumed that the 'Great' Vyutpatti can be identified
as the Mahavyutpatti lexicon, and the 'Middle' one with its commen-
tary, Sgra sbyor bam po gfiis pa itself. The third, 'Small' Vyutpatti,
would then refer to a document which is no longer extant.
66
Si-tu's
reference to the three does not necessarily indicate that the third was still
available to Si-tu: he might simply be echoing the words of Sgra sbyor
bam po gfiis pa itself. But, it is conceivable that he still had access to
this third Vyutpatti.
Three procedures leading to inclusion in the standardized lexicon are
briefly outlined:
(A) For more difficult composite terms, an analysis into constituents
and an explanation of these constituents is provided.
(B) For less abstruse terms a literal translation, a rendering following
the '[literal] meaning of the term'67 is appropriate.
(C) For some specific terms, however, a translation based on the
specific usage, is required. This amounts to the type of translations that
are based on what may be called a "hermeneutical etymology", the
usage- or function-based quasi etymologies that I have briefly discussed
earlier.
For each of the three procedures, Si-tu PaIf-chen quotes an example
from the entries in Sgra sbyor bam po gfiis pa. The example of the first
method is the treatment of the entry Samyak-sambuddha,68 which indeed
involves the division into constituent elements (samyak, sam and
buddha) as well as the explanation of one of the constituents (namely the
preposition sam) in this case by means of two glosses (samantam
'totally' and sarppun:tam 'fully'). I have counted 24 entries in Sgra
sbyor bam po gfiis pa where this procedure is followed.
69
The second method is exemplified by the treatment of the term
danamaya-pU1:zya-kriya-vastu 'abiding substance of meritorious deeds
65. Ed. ISHIKAWA 1990: 127, SIMONSSON 1957: 263.
66. Cf. SIMONSSON 1957: 227, DRAY 1989: 3.
67. sgra don biin, f. Hr5.
68. Sgra sbyor bam po gfiis pa entry 5, ed. ISHIKAWA 1990: 8, cf. HSGLT 1: 23.
69. Cf. HSGLT 1: 23.
VERHAGEN 75
consisting of giving' ,70 which indeed - at least for the part that Si-tu
quotes - consists of nothing but the o n e ~ b y - o n e translation of the con-
stituent elements into Tibetan. The procedure of separation of con-
stituents and direct translation is very frequent in Sgra sbyor bam po
gfiis pa; I have tallied 89 instances.?1
The third method - possibly the most interesting in the present context
- Si-tu refers to as the translation which is "semantically-oriented" (don
btsan par byas pa),72 in other words a translation based on a hermeneu-
tical etymology, of which, as mentioned above, at least fourteen
examples can be found in Sgra sbyor bam po gfiis pa. The example here
is the entry on Arhat.?3 In it, as mentioned earlier, two derivations are
introduced, one linguistically accurate, the other hermeneutical. The first
associates Arhat with the verb arh, 'to deserve', 'to be worthy', with the
phrase 'Because he deserves praise, he [is called] Arhat' (pujtim arhatfty
arhan). This reflects the grammatically accurate relation, as arhat is
ultimately of course an active present participle of that verb, literally
meaning 'deserving'. The alternative derivation is represented in the
phrase kleitirfn hatavtin ity arhan 'Because he has killed the enemies,
namely the defilements, he is [called] Arhat'. It links the word Arhat
with Sanskrit nominals ari 'enemy' and hata- 'killed'. This association
has no grammatical foundation, of course, and can therefore be con-
sidered a hermeneutical etymology. As stated earlier, it is most signifi-
cant to note here that the authors of Sgra sbyor bam po gfiis pa explicitly
chose for the Tibetan translation based on the latter, hermeneutical
etymology, namely dgra beom pa, 'who has defeated his enemies' for
use in the Buddhist context, and not mehod 'os pa 'worthy of praise',
which is based on the morphological analysis, but which is only allowed
in non-Buddhist usage. Once more, this shows the considerable
significance that the Buddhist scholastics attributed to this form of
etymology.
70. Sgra sbyor bam po gfiis pa entry 281, ed. Ishikawa 1990; 94, cf. also HSGLT 1:
30-31.
71. Cf. HSGL T 1: 22.
72. Op. cit. f. llv2; cf. sgra 'jug pa las don gtso bar byas, op. cit. f. llr5.
73. Sgra sbyor bam po gfiis pa entry no. 4, ed. ISHIKAWA 1990: 7-8, cf.
SIMONSSON 1957: 269-270, HSGLT 1: 21-22, RUEGG 1998: 120, SCHERRER-
SCHAUB 1999: 71.
JIABS 24.1 76
Finally, the third passage from Sgra sbyor bam po gfiis pa is con-
cerned with oile of the approaches of dealing with redundancy due to
synonymy in the practice of translating.
Moreover, [as regards the third passage,] the meaning of the passage "rnam
grans su gtogs pa'i" etc., in [the precepts on] the methods of translation, is
exemplified in [Maha-]vyutpatti by the entries "[Skt.] pariskara ['equipmenf] =
[Tib.] yo byad ['tools / necessaries,]" [i.e Mahavyutpatti entry no. 5887] and
"[Skt.] upakaral)a ['instrument / commodity'] when not combined [with the
above synonym] = [Tib.] yo byad, but when combined [with the above synonym]
= [Tib.] 'tsho chas ['tools / necessaries']" [i.e. Mahavyutpatti entry no. 5888].
The meaning of this is that when the terms pariskara and upakaral)a occur
together and are combined, it would lead to the defect of repetition if one trans-
lated as "yo byad yo byad" ['tool-too!']. Therefore it is necessary to translate
[such a combination] as "yo byad kyi 'tsho chas" ['the necessaries of the tools']
or "yo byad dan 'tsho chas" ['the necessaries and the tools'].14
The lexicographical convention intended here, is that where the lexicon
supplies alternative translations for (more or less) synonymous Sanskrit
tenns, so as to avoid repetition of tenns in passages where the synonyms
are used contiguously. Such contextually determined alternative transla-
tions are usually marked by the provisional phrase 'when combined' or
'when not combined' (' dorn na or rna 'dam na), sci!. combined or not
with the synonymous entry which precedes in the lexicon.
Si-tu offers two entries from Mahiivyutpatti as an example of this
convention:
Mahavyutpatti 5887: [Skt.] pariskara ('equipment')75 = [Tib.] yo byad (,tools /
necessaries' )
Mahavyutpatti 5888: [Skt.] upakaral)a (,instrument I commodity')76 = [Tib.] yo
byad [or] 'tsho(g) chas ('tools I necessaries'); 'when not combined [with the
74. Dris Ian Nor bu'i me lon, excerpt question no. 26, f. 11 v3-5: / yan ' gyur byed
pa'i tshulla rnam grans su gtogs pa'i ies sags kyi don ni / bye rtogs las / pa ri
ska r a ~ yo byad / u pa ka ra l)al'{l / rna ' dam na yo byad / ' dom na ' tsho chas ies
, byun ba biin te / de'i don yan pa ri ska ra dan I u pa ka ra l)a'i sgra dag [han
cig tu 'dug cin ' dom pa' i tshe yo byad yo byad ces par bsgyur na zios pa' i skyon
yon bas yo byad kyi 'tsho chas sam / yo byad dan 'tsho chas ies par bsgyur
dgos pa Ita bu /; paraphrasing Sgra sbyor bam po giiis pa, ed. ISHIKAWA
1990: 3, SIMONSSON 1957: 256-257: rnam grans su gtogs pa'i tshig rnams ni
rna ' dom na min gan bod skad du spyir grags sin tshig tu gar bde bar gdags
so I ' dom na so sor btags pa biin du thogs sig /.
75. pariskara for class. Skt. p a r i ~ k a r a , cf. EDGERTON 1953-2: 332.
76. upakaral)a: cf. MONIER-WILLIAMS 1899: 195, EDGERTON 1953-2: 133.
VERHAGEN 77
above synonym]' = [Tib.] yo byad, 'but when combined [with the above
synonym]' = [Tib.] 'tsho chas.7
7
Prof. SIMONSSON, in the first serious western investigation of this
section of Sgrd sbyor bam po giiis pa, had already drawn attention to the
fact that M ahavyutpatti availed itself of this device in several parts of
the lexicographical register. The example that Si-tu mentions here,
Mahavyutpatti 5887 and 5888, had escaped SIMONSSON's notice; we
can therefore add it to the latter's listing of instances where we find this
convention applied in Mahavyutpatti.7
8
3.4. Textual criticism
The final item of hermeneutical interest that we will look at presently is
the practice of textual criticism with regard to Indo-Tibetan translations
continuing after the canonization of these translations. We know, for
instance, of text-critical work on certain Panca-rak:ja manuscripts by the
sixteenth-century scholar Skyogs-ston Lo-tsa-ba Rin-chen-bkra-sis (ca.
1495-after 1577)79 who is best known as the author of the Li fi 'i gur
khan dictionary.
Throughout the works of Si-tu we also find evidence of his
personal indefatigable efforts aimed at establishing reliable readings for
the numerous texts he has worked on. By collating different manuscript
versions and comparing different interpretations, he approached this in a
manner very similar to the techniques of modern day philology and
textual criticism.
We are granted a fascinating glimpse into the translator's workshop in
Si-tu's annotation to his translation of the Vajra-MahakaZa-anaka-
stotra, a hymn to the Tantric deity Mahakala.
8o
This stotra, attributed to
the Tantrika Nagarjuna, consisting of the hymn proper in eight stanzas
77. SAKAKI (ed.) 1916-1925: 383: [5887] [=] yo byad / yo spyad [5888]
upakaralJam [=] yo byad 'tsho g chas / ma ' dam na yo byad / (' dam na) 'tsho g
chas.
78. SIMONSSON 1957: 256-257.
79. Based on thus far unpublished materials by prof. Van der Kuijp, cf. VERHAGEN
1996: 279-280; for more data from these materials, of which it is as yet uncertain
where they will be published, cf. HSGLT 2: 102-104,408-409.
80. Rdo rje nag po chen po' i bstod pa brgyad pa, Collected works vol. 7, title no.
10, margin title rgya, f. 1-4v4; ed. SHERAB GYALTSEN 1990-7: 431-438. The
Sanskrit text of this stotra is edited in PANDEY 1994: 206-207; I am grateful to
Dr. Martin Boord for this reference, personal communication, London, October
2000.
JIABS 24.1 78
(hence a ~ t a k a , 'octad' scil. of stanzas, in the title) with a ninth con-
cluding verse enumerating the merits associated with the application of
this hymn, is included in a bilingual Sanskrit-Tibetan versi9n in Si-tu's
collected works.
8
! In the elaborate annotation included in this edition,
we see Si-tu weighing arguments pro and con certain readings or ren-
derings, very much like a modem scholar would do, involving as many
Sanskrit manuscripts as he could trace, as well as the Tibetan translations
of this text that had been made before him.
Interestingly, he remarks in the colophon that the manuscripts he could
find in Nepal, notably in SvayatpbhU and Patan, were generally very
corrupt (cf. infra). From his annotations it is clear that he oftentimes
preferred the reading of older lndic manuscripts that were already in
Tibet to that of the Nepalese manuscripts that he himself had acquired
more recently. That he worked with a considerable number of manu-
scripts is demonstrated, for instance, by his reference to a variant in
"many Nepalese manuscripts and two old Tibetan manuscripts".82 The
term 'Tibetan manuscript' here refers to Sanskrit manuscripts kept in
Tibet, not to Tibetan translations, for which a different designation is
used. In the colophon Si-tu remarks that he based his rendering 'on a
comparison of (an?) actual Indian manuscript(s?) that had come to Tibet
in earlier times, and some bilingual
83
copies, along with numerous
corrupt manuscripts from SvayatpbhU and Patan [in] Nepal' .84
Evidently Si-tu had at least two, possibly several different Tibetan
renderings at his disposal. He refers to ' gyur riiili, i.e. one (or more)
'old translation(s)' ,85 and gsar 'gyur, one (or more) 'new trans la-
tion(s)' .86 The distinction may be seen as purely historical! chrono-
logical, which I consider the most likely, or it may be of a more
sectarian nature, distinguishing between versions belonging to the RiiiIi-
ma-pa canon or to the translation literature of the gsar pa, 'new' schools
81. The Sanskrit text here in Si-tu's Gsuli ' bum is slightly different from the one
available in PANDEY (ed.) 1994.
82. bal po' i dpe mali po dali bod dpe r;U1i pa gfiis rnams, op. cit. f. 3r6.
83. Tentative translation for fiis bid can.
84. Op. cit., f. 4v3: bod du sliar byuli ba'i rgya dpe dlios dali tal Mus fiis bid can
, ga' re I bal yul yam bu dali ye rali gi dpe dag min mali po bcas go bsdur nas.
85. Op. cit. f. 2r6, 3v6: on f. 3r6 reference to slia ' gyur, 'early translation(s),.
86. Op. cit. f. 4r6; , gyur gsar f. 3v6.
VERHAGEN 79
i.e. basically all schools of Tibetan Buddhism other than the Ruin-ma-
pa, in casu the Bstan ' gyur canon.
Moreover, he refers to fa lU,8? in all probability a rendering by Za-Iu,
that is, most likely, Za-lu 10-tsa-ba Chos-skyon-bzan-po (1441-1528) or
another scholar 'associated with Za-Iu monastery. It is evident that the
version by Za-Iu is not a (or the) 'old translation' .88 It seems plausible
that the 'Za-Iu' and 'new' version are one and the same: in the passage
translated infra, the term gsar ' gyur is used contiguously with 'Za-lu'. I
take this as 'the new translation, namely [the one by] Za-lu' ,89 but we
could also read this as an asyndetic construction meaning 'the new
translation and [the one by] Za-Iu'.
Setting aside whether or not the Za-Iu version and the 'new' version
are the same, it seems quite likely that Si-tu had more than two Tibetan
translations at his disposa1.
90
It certainly was possible, taking into
account the fact that in the xylographic editions of Bstan ' gyur at least
four distinct translations of this hymn have been inc1uded.
91
Information
on the translator(s) is available for only one of the four (Peking title
87. Op. cit. f. Iv6, 3r3, 3r6, 3v3, 4r6.
88. Note the reference to the 'early translation(s) and [the one by] Za-Iu', op. cit. f.
3r6: sria ' gyur dari ia lu.
89. Compare in this connection also a passage in the colophon which could be inter-
preted as 'translation corrected by Za-Iu' (ia lu 10 tsas ' gyur bcos pa, op. cit. f.
4v3), which could indicate that the Za-Iu version is a later revision of (an) earlier
translation(s). Note, however, that a different interpretation of this passage is also
possible, cf. infra.
90. Note in this connection the reference to 'all new and old translations' (op. cit. f.
3v6: 'gyur gsar rfiiri thams cad la), where the use of the quantifier thams cad
seems to point to a higher total number than two.
91. (1) Dpal nag po chen po'i bstod pa rkari pa brgyad pa ies bya ba (*Srf-
mahilklilasya / *
Derge Bstan ' gyur, Rgyud ' grel, vol. sa f. 268v 1-269r7, Tohoku catalogue title
no. 1773; Peking Bstan ' gyur, Rgyud ' grel, vol. la f. 293v2-294v3, Otani repro
title no. 2639), (2) Dpal nag po chen po' i bstod pa rkari pa brgyad pa ies bya ba
Derge ibid. f. 272r7-273r6, title no.
1778; Peking ibid. f. 298r4-299r6, title no. 2644), (3) Dpal nag po chen po la
bstod pa rkari pa brgyad pa ies bya ba (*Srf-mahilkillasYilna-mantra-stotra-
nilma; Derge ibid. f. 273r6-274r6, title no. 1779; Peking ibid. f. 299r6-300vl,
title no. 2645) and (4) Rdo rje nag po chen po'; bstod pa brgyad pa (*Vajra-
Derge ibid. f. 274r6-275r5, title no. 1780; Peking ibid. f.
300v2-301v4, title no. 2646). In all four versions *Nagarjuna is given as the
author.
JIABS 24.1 80
no. 2645, Derge title no. 1779), which was prepared by the Indian yogin
Srl-vairocami.-vajra and the Tibetan translator DiIi-ri Chos-grags.
92
I
have not been able to trace precise dates for these translat()rs, who have
collaborated on one other translation in Bstan 'gyur,93 whereas the
Indian master, also known as Vairocana-vajra or Avadhuti-vairocana-
vajra, has single-handedly produced seven further translations, all con-
tained in the Bstan ' gyur canon.
94
Both masters are included in one of
the historiographical sections of Si-tu's dkar chag to the Sde-dge Bka'
, gyur, namely in the lists of scholars active in the Phyi dar period,95 the
former as no. 39 in the listing of Indian PaI).9its,96 the latter as no. 47 in
the list of Tibetan translators.
97
So, we can only say they belong to the
Phyi dar period, starting from the eleventh century, and judging by their
place in this approximately chronological listing, they would appear not
to have belonged to the very first part of that period. A more detailed
investigation of the correlations between the variants mentioned by Si-tu
and the corresponding passages in the extant canonical versions would
92. Colophon Peking 2645: rgya gar gyi mkhan po go sa La ' i mal' byor pa sri bai
ro tsa na badzra dan I bod kyi 10 tsa ba bande din ri ehos grags kyis bsgyur cin
ius te gtan Ia phab pa' 0 II, f. 300v 1.
93. Dpalnan son thams cad yons su sbyon ba'i rgyud las phyun ba spyan ma'i nan
son sbyon ba'i cho ga, *Srf-sarva-durgati-parisodhana-tantroddhrta-loeana-
durgati-sodhana-vidhi, Peking Bstan-' gyur, Rgyud' grel vol. di f. 29v2-33v5,
Otani repro title no. 2771.
94. Do ha mdzod kyi 'greI pa, Peking Bstan 'gyur, Rgyud
'grel vol. mi f. 199r7-231r5, Otani repro title no. 3101; Ka kha'i do ha ies bya
ba, *Kakhasya doha-nama, Peking ibid. vol. tsi f. 66r8-68v4, title no. 3113; Ka
kha'i do ha'i Mad pa bris pa, *Kakhasya doha-!ippm)a, Peking ibid. f. 68v4-
78r2, title no. 3114; Tshigs su bead pa Ina pa, *Pafiea-sarga-niima, Peking ibid.
f. 147r4-147v1, title no. 3127; Dpal birba pa'i tshigs rkan brgyad cu rtsa bii pa,
*Srf-viriipa-pada-caturasiti, Peking ibid. f. 149rl-150r4, title no. 3129; Do ha
mdzod, Peking ibid. f. 250v8-252v2, title no. 3150 and 'Jig rten
gsum las rnam par rgyal ba 'phags ma sgroi ma bsgrub pa'i thabs ies bya ba,
*Trailokya-vijayiirya-tiirii-siidhana-niima, Peking ibid. vol. phu f. 214r1-217v1,
title no. 4710.
95. Collected works, vol. 9, f. 191v4-191v5: de Ita bu'i bde bar gsegs pa'i bka' srol
chen po bod kyi yul du 'dren iin skyon bar mdzad pa'i 10 pal) gyi tshogs ci tsam
iig byon pa yin ce na ( ... ) bstan pa phyi dar gyi dus su rgya gar gyi pmyJi ta
[192r1-192r6] ( ... ), f. 192r6: de biin du 10 tsii ba yan ( ... ), f. 192v4: phyi dar la
[192v4-193v6] ( ... ).
96. Op. cit. f. 192r3: bai ro tsa na ba dzra.
97. Op. cit. f. 193r3: din ri ehos grags.
VERHAGEN 81
undoubtedly be of considerable interest, yet would go far beyond the
scope of the present article.
Si-tu PaJ).-chen is very dismissive of the translation by Za-lu, stating at
one point that it "seems to deviate to a great extent from the meaning".98
A critical attitude with regard to the work of predecessors is typical for
Si-tu PaI).-chen in generaL We find him critizing well-known translators
and scholars such as SOil-ston Rdo-rje-rgyal-mtshan (born c.
1235/1245),99 Bu-ston Rin-chen-grub (1290-1364),100 Thugs-rje-dpal
(late fourteenth / early fifteenth century),101 Za-lu Chos-skyon-bzan-po
(1441-1528),102 Taranatha Kun-dga'-sfiin-po (1575-?)103 and 'Dar-Io-
tsa-ba Nag-dban-phun-tshogs-Ihun-grub (1633?-?),104 usually in con-
nection with Si-tu's own revision of, or improvement on their earlier
efforts.
By way of a telling example of Si-tu's approach, compare the annota-
tion Si-tu supplies in connection with the final sloka of the hymn:
After I had carefully considered the structure [lit. course] and appropriate
meaning of the words and cases in the verse, which expounds the benefits of the
recitation of this hymn, I translated it thus.
However, [the translation of] that [verse] of [= in] the [more] recent transla-
tion, namely105 the [one by] Za-Iu, seems to [lit. be very unrelated] deviate to a
great extent from the meaning [of the verse].
Upon examination of the old[er] translation(s), it appeared that [in the
manuscript(s) on which this I these translation(s) was I were based] instead of the
98. Op. cit., f. 4v6: gsar 'gyur fa lu'i de ni don sin tu mi 'breI bar snali; for context,
cf. passage infra. A passage in the colophon could be read as a statement that
Si-tu's translation contains 'corrections on the translation by Za-Iu', op. cit., f.
4v3: fa lu 10 tsas 'gyur bcos pa.
99. Cf. HSGLT 2: 110; on Son-ston in general, cf. HSGLT 1: 87.
100. Cf. HSGLT 2: 107-108, 110, 178; on Bu-ston in general, cf. e.g. HSGLT 1:
94-96.
101. Cf. HSGLT 2: 173, 177-178; on Thugs-rje-dpal in general, cf. HSGLT 1:
145-146.
102. Cf. HSGLT 2: 173, 177-178; on Za-Iu lo-tsa-ba in general, cf. HSGLT 1:
146-151.
103. Cf. HSGLT 2: 178; on Taranatha in general, cf. e.g. HSGLT 1: 152-154.
104. Cf. HSGLT 2: 120-122, 178; on 'Dar-Io-tsa-ba in general, cf. HSGLT 1:
154-157.
105. Alternative translation: H( ... ) the [more] recent translation(s) and the [one] by
Za-Iu seem to ( ... )".
JIABS 24.1 82
passage sarvajiiaJ?l tasya
106
then, was a different [reading], but I have not found
[this reading in] a manuscript.
Elsewhere [in the text], in some Nepalese manuscripts there appear to be
minor variations in parts [lit. corners] of words, but as the reading according to
the Tibetan manuscripts [i.e. the manuscripts kept in Tibet] makes good sense, I
have [followed] the reading according to these [Tibetan manuscripts]. 107
First of all, we note his critique of the translation by Za-Iu lo-tsa-ba. He
then concludes that the "older" Tibetan translation(s) in this particular
verse must be based on a version with a different reading for two words,
which he has not found attested in the Sanskrit manuscripts available to
him. Finally, he reports disregarding minor variations in Nepalese
manuscripts in favour of the reading found in the older manuscripts kept
in Tibet, on account of the latter reading making the best sense. This one
brief example demonstrates quite clearly how Si-tu approached his
editorial task with a degree of objectivity and accuracy surprisingly close
to our modem standards.
4. Concluding observations.
The huge personal experience which the eighteenth-century polymath
Si-tu Pal.1-chen Chos-kyi-'byun-gnas had gained in his tireless efforts to
perfect the craft of translating made him acutely aware of hermeneutical
issues. A few of these have passed in review.
First we considered some instances where etymology was used as a
means for the interpretation and analysis of terms. We have seen two
distinct trajectories there, one strictly according to the traditions of
grammar, the other the approach of the 'hermeneutical etymology'. We
have seen evidence how these two modes of analysis were considered as
106. The finalpada of the concluding, ninth verse reads in Si-tu's edition: sarvajiiaJ?l
tasya nityaJ?l dina-nisi matulaJ?l niisayed vighna-jalam (op. cit. f. 4vl); with
some variants in ed. PANDEY (1994: 207): sarvajiia-tvaJ?l ca nityaJ?l dina-nisa-
matulaJ?l naiyate vighna-jiitam. The variant reading which Si-tu may have had in
mind here is the one reflected in two canonical versions as sa stene s) dan ni
mtho ris su, 'on earth and in the heavens' (Peking no. 2644, f. 299r5 and Peking
no. 2645, f. 300r8) for which no equivalents can be found in Si-tu's Sanskrit, or
in ed. PANDEY (1994: 207) for that matter.
107. Op. cit., f. 4r6-4v1: bstod pa bklag pa'i phan yon bstan pa'i tshigs bead 'di
rnam dbye dan tshig gi 'gros dan don thob la legs par brtags nas ' di ltar
bsgyur ba yin gyi / gsar 'gyur ia lu'i de ni don sin tu mi 'brei bar snan / 'gyur
riiin La brtags nas sarba dziiaJ?l ta sya ies pa'i thad' dir gian iig yod' dra yan
dpe ma riied / gian bal dpe 'gar tshig zur 'dra min phran bu snan yan / bod
dpe ltar byas pa legs par rtog pas de biin byas pa lags.
VERHAGEN 83
complementary methods, not as mutually exclusive, and how they were
frequently used contiguously. Considerable value was attached to the
'hermeneutical etymology' within the traditional scholastical interpreta-
tions of the Buddhist sacred scriptures, in particular as this type of
etymology brings to light contextual semantical aspects of the Buddhist
idiom, which will not be elucidated through mere grammatical morpho-
logical analysis.
In his investigation of parts of the edict regarding the Sanskrit-Tibetan
translating activities in the eighth-century Sgra sbyor bam po gfiis pa,
Si-tu PaI).-chen inter alia discussed three approaches vis-a-vis the trans-
lating of individual terms, one of which is again based on the so-called
'hermeneutical' or nirukta-type etymology.
Finally, we have observed evidence of Si-tu Pal).-chen continuing the
practice of textual criticism, even at such a late date when an extensive
translated literature had been well-established and long since canonized
in Tibetan Buddhism. His rigorous well-considered handling of these
matters is a fine demonstration of Si-tu's linguistic expertise.
I might add here that a number of bilingual Sanskrit-Tibetan versions
are contained in Si-tu's collected works. lOS Bilingual editions were not
unknown in Tibet, both within as well as outside of the Buddhist
canon.
I09
They are in general of course useful sources for the textual
study of Indic Buddhism. Notwithstanding the intrusion of errors due to
108. E.g. (1) the Ciindra-vyiikara1}a siitra text (Gsuli 'bum vol. 1, 61 ff.; facs. ed.
SHERAB GYALTSEN 1990-1: 201-323; cf. HSGLT 2: 129-132), (2) The
Kiitantra dhiitupii!ha (Gsuli 'bum vol. 1,28 ff.; facs. ed. SHERAB GYALTSEN
1990-1: 2-55; cf. HSGLT 2: 106-109), (3) Kiivyiidarsa, (Gsuli 'bum
vol. 6, 51 ff.; facs. ed. SHERAB GYALTSEN 1990-6: 629-731), (4) the Tara
hymn Mrtyu-vaficanopadea (Gsuli 'bum vol. 7, 31 ff.; facs. ed. SHERAB
GYALTSEN 1990-7: 1-62), (5) the mentioned above
(Gsuli 'bum vol. 7, 4 ff.; facs. ed. SHERAB GYALTSEN 1990-7: 432-438),
(6) the Sruta-bodha treatise on prosody (Gsuli 'bum vol. 7; 9 ff.; facs. ed.
SHERAB GYALTSEN 1990-7: 465-481, slokas bilingual).
109. By way of random examples one might mention, within the canon, Taranatha's
incomplete version of Prakriya-catura (cf. HSGLT 1: 117-118),
Bodhisattvavadana-kalpalata (cf. VAN DER KUIJP 1996: 401) and the Bali-
miilika translation by Za-Iu lo-tsa-ba in Bstan 'gyuur (with partial intralinear
Tibetan translations of the mantras, Peking Bstan ' gyur Mdo 'grel vol. po f.
279vl-288v4, title no. 5901), and outside of the canon, Taranatha's bilingual
version of the sarasvata siitras (HSGL T 2: 104-106), and extra-canonical prints
of popular dhara1}! or mantric materials such as the Mafijusrf-niima-saT[lgfti,
often containing the Indic text in some form of ornamental script.
JIABS 24.1 84
the transmission, I would say that, taking into considera-
tion Si-tu Pal).-chen's philological acumen and the wealth of sources
available to him, the bilingual materials in Si-tu's collected, works con-
stitute particularly valuable documents for the present-day Buddhologist-
philologist.
VERHAGEN 85
Abbreviations
HSGLT 1 = VERHAGEN 1994
HSGLT 2 = VERHAGEN 2001
Bibliography.
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GLENN WALLIS
The Buddha's Remains:
mantra in the Maiijusrfmalakalpa*
The lord of the world, the maker of light
remains through the form of the mantra.
The omniscient one, possessing allforms,
appears on the sUrface of the earth. (Maiijusrfmalakalpa 25.286.9-10)
An abiding concern of Mahayana Buddhists has been the accessibility of
a buddha's power in the world.
1
Some Buddhists, notably philosophers
and their commentators, have grappled with the very coherence of such
a possibility.2 Viewing the question from a logical perspective, it has
been necessary for such systematic thinkers to reconcile the apparent
inconsistency ensuing from the two essential qualities deemed definitive
of a buddha. A buddha is one who, by virtue of his awareness of the
nature of reality, is completely liberated from the life-impelling force of
mental defilements, and is thus beyond the scope of our world; and he is
one who, by virtue of his profound compassion, is naturally compelled
to continue engagement with beings still delusively ensnared in the
world. Logically, these two qualities are at odds. Not all Buddhists,
* I am grateful to Jens-Uwe Hartmann and Kidder Smith for their thoughtful
comments on this article and suggestions for improvement, and to Charles
Hallisey, Leonard van der Kuijp, and Stephanie Jamison for critiquing an earlier
version.
1. "Power" corresponds to the Sanskrit word adhinhana, which, in its Indian
Buddhist context, refers to the sustained presence of a salvific force. This force is
believed to follow spontaneously from a person's attainment of enlightenment. It
is a natural consequence of the practices that result in enlightenment; for example,
the aspirant's repeated, ritualized taking of the vow (samaya) never to abandon
living beings.
2. See John MAKRANSKY's tour de force, Buddhahood Embodied: Sources of
Controversy in India and Tibet, Albany 1997; Paul GRIFFITHS, On Being
Buddha: the classical doctrine of Buddhahood, Albany, 1994; John DUNNE,
"Thoughtless Buddha, Passionate Buddha," Journal of the American Academy of
Religions, LXIV/3 (1995): 525-556; and M. David ECKEL, To See the Buddha: a
philosopher's quest for the meaning of emptiness, Princeton 1992.
JIABS 24.1 90
however, have sought a solution to the dilemma of accessing a buddha's
power on the basis of logical or epistemological theory. Some Buddhists
have, rather, sought an imaginative-cultic solution. R ~ l i c s , statues,
paintings, architectural monuments, books, remembrance, meditation,
guru veneration, and visualization have, at various times and in various
places, been held to be the most effective means of rendering present the
otherwise inaccessible or obscured power that accompanies a buddha. !n
this article, I trace the idea of the mantra as a vehicle of enlightened
presence as it was presented to Indian Mahayana Buddhists in the
medieval period.
The source for this presentation is the eighth century Indian Buddhist
ritual manual called the Maiijusrfmalakalpa.
3
My choice of locating the
presentation of mantra in a text, and in this text distinctively, implicitly
indicates two points that I would like to make in this article about our
understanding of mantra, as well as of Indian cultic practice per se.
First, although certain recognizable Indian cultural and philosophical
axioms may be present in a given theory of mantra, theoretical presen-
tations always concern the specific; that is, they are always bound to
self-delineated groups, communities, texts, and so on. The axiomatic
features of cultic practice are never sufficient for understanding what is
being posited as unique and specific to that practice. For example, we
learn little from the fact that a ritual practitioner performs an oblation
(homa), since this is a widely shared cultural form. (The assumptions
concerning the general worthiness, usefulness, effectiveness, and theoret-
ical grounding of the homa remain unstated in the ritual manuals; hence,
they are axiomatic.) But that the practitioner may burn only asoka wood
and not amla wood in the fire teaches us a good deal ,about the basic
3. The printed text that fonns the basis of this study, Aryamafijusrfmillakalpa, was
prepared by T. GaJ?apati Siistn from the single known manuscript of the work,
discovered near Padmanabhapuram, in South India, in 1909. This was published
in three parts in the Trivandrum Sanskrit Series: Part I = no. LXX, 1920; Part II
= LXXVI, 1922; Part III = LXXXN, 1925, Trivandrum. This was reprinted in a
single volume by CBH Publications, trivandrum 1992, and recast with
superficial changes by P. L. VAIDYA, Mahiiyiinasiltrasal]'lgraha, Part II,
Buddhist Sanskrit Texts, no. 18, Bihar, 1964. I have occasionally consulted an
eleventh century Tibetan translation as well: Taipei Edition, volume XVIII bka'
, gyur, 'phags pa 'jam dpal gyi rtsa ba'j rgyud, 540 no. 543, 25/175 (1)-96/667.
This is referred to as ''T'' in the transliterations below. My translations of the text,
however, are based on the Sanskrit. For the dating of the Mmk, see MATSUNAGA
1985.
WALLIS 91
orientation of the practice. This tells us, for example, that the practi-
tioner is engaged in one of the cults directed towards pacification (of
evil supernatural influences, etc.) and increase (of worldly or spiritual
fortune, etc.). Conversely, we can conclude that the practitioner is not a
devotee of one of the "left-handed" (vtimtictira) cults. When we addi-
tionally learn of the hand gestures, verbal formulas, and so on, that are
employed during the oblation, the specific nature of the cult - its
cosmology, doctrine, and broader affiliations - begins to emerge. We
might use the phrase the economy of forms to capture this kind of
specific borrowing, fashioning, and preservation of Indian modes and
theoretical bases of cultic activity.
4
The M afijusrfmulakalpa' s theory of
mantra provides us with an illuminating example of how common
elements of India's religious culture get economized yet creatively trans-
formed into emblems of a unique practice. Second, by analyzing mantra
(or any other cultic constituent) as presented in a ritual manual, we are
confronted with a form of argumentation that differs significantly from
other, more frequently studied, genres. The rhetoric of the Mafijusrf-
mulakalpa is spatial and imaginal. The text does not venture to say what
a mantra is. Rather, its aim is to show the reader what mantra does. In
other words, the nature of the mantra in the ritual manual can only be
understood from the images of mantric use presented in the text; it can
not be known from explicit statements. This is characteristic of the
Mafijusrfmulakalpa and ritual literature as a whole. Certainly, there is
nothing approaching the sort of "theological" discussions concerning the
mantra found in the jfitinapada sections of and Saivite ritual
texts.
5
There is, in the Mafijusrfmulakalpa, nonetheless, a richly present-
ed imaginal discussion.
The nature of mantra in the MafijusrImUlakalpa
In the Mafijusrfmulakalpa (Mmk), a mantra is presented as a linguistic
space occupied by the force of some enlightened being, such as a buddha
or a bodhisattva. It is thus analogous to a relic or an icon. A mantra is
spoken, so it is a form of speech. Like ordinary speech, it must be
learned. Learning it means knowing how to use it, and in which con-
texts. But the sense of a mantra relies on a "grammar" completely
different from ordinary speech. That is, the system of rules implicit in
4. See DAVIDSON 1995.
5. See, for example, 18, summarized in SMITH 1975: 353.
JIABS 24.1 92
mantric language does not concern linguistic features, but social,
doctrinal, and ritual ones. A mantra, like an ordinary word, is effective
only when spoken under the proper conditions; and the proper condi-
tions exist only once numerous social, doctrinal, and ritual rules have
been strictly followed. These conditions are discussed below.
The mantra is a central component of the form of Buddhist practice
propagated in the Mmk. Indeed, the very term for its mode of practice is
called mantracaryii - mantra performance. In the Mmk, the "word of the
Buddha," the buddhavacana, consists not of his discourses, but of the
mantras that he, and "all buddhas," have spoken throughout time.
The Mmk begins and ends with mantra. The text is preceded by a
phrase that commonly marks the appearance of either a sutra or a
mantra: namaJ:z sarvabuddhabodhisattvebhyaJ:z.6 And it ends, 721 pages
later, with the statement: "in short, every mantra causes success"
(samiisena sarvamantrarrz siidhayati).7 The former phrase intimates that
every word that follows is to be regarded broadly as mantra, as a form
occupied by the power of an enlightened being. The fact that the book
itself, as a repository of such forms, is to be treated as a potent object of
veneration supports this.8 The position of the latter statement, too, tells
us something about the nature of the mantra; namely, that its success is
dependent on a considerable infrastructure. In the text that lies between
the two phrases are found the social, doctrinal, and ritual foundations
upon which the success of the mantra rests.
The Mmk community's reticence to make explicit statements about the
mantra should not be passed over too quickly. As authors and
practitioners of a ritual manual (kalpa), those who embraced the text
would have been well aware of the exegetical and apologetic traditions
governing ritual discourse. All the major groups - Vedic, Saiva,
Sakta, Buddhist - in their numerous varieties have developed
such traditions. So why is the Mmk, and ritual manuals generally, silent
on philosophical justification?
It is not the case that the text is devoid of rhetorical justification;
rather, what is significant is the form that the justification takes. The
6. Mmk 1.1.1 (the notation refers to chapter, page, and line in T. GllQ.apati SastrI's
edition). This is followed by, eval'[! maya srutal'[!, marking the beginning of the
text.
7. Mmk 55.721.23-24.
8. See, for example, Mmk 1.24.14-22.
WALLIS 93
Mmk shows what other texts say. It presents images - of, for instance,
iconographical paintings (para), rituals in action (sadhana) or imagined
(called dhyana in the text) - and teaches the reader how to make those
images his own, in reality. In this sense, the Mmk reflects an extra-intel-
lectualist and extra-theoretical tradition. Here, philosophical propositions
are considered instruments of a logic that applies only to the most
limited aspects of the world. The authors of the Mmk avoid philosophi-
cal modes of discourse because they - this tradition - apparently view it
as ineffectual in the pursuit of enlightened power. This attitude evokes
the ancient image of the Buddha as one who speaks only about that
which is conducive to the end of suffering and to enlightenment - or,
more to the point, as one who shows (desika) the direct way. To this
way of thinking, language embodies the limits of the world. Trans-
cending the limitations of the immediate world - which is the purpose of
cultic practice - can therefore not be spoken about, but only shown. This
is not to say that the Mmk is exempt from criticism concerning its
"pictoral" propositions. That is, the text is still making claims that can
be tested for their coherency. But if a skeptic argued in terms of
foundations and justifications, the practitioner of the Mmk would
respond by showing him an image - imaginative or actual - and
teaching him how to realize it as his own. This is the spirit behind the
text: a theory about mantra has nothing to do with mantra; a theory is a
mere calculus, a lifeless symbolic notation; this sort of thing is of no use
to a sadhaka - for he is one who practices.
The text, thus, shows the mantra. It does this by ascribing it authority,
describing its use, and demonstrating its effect. Ascription of authority,
description of use, and demonstration of effect are the means by which
the several dimensions of the mantra in the Mmk are revealed. There-
fore, I will present the mantra in the Mmk along these lines.
Ascription of authority
The Mmk shows that its mantras are inscribed with the authority of
buddhas. The following passage is the first presentation of mantras in
the text. Maftjusrl is abiding in the "buddha-field" known as the Land of
Flowers (kusumavatl), presided over by the buddha Sailkusumita-
rajendra. Sailkusumitarajendra is enjoining the bodhisattva to go and
"stand in the presence" of Sakyamuni in order to receive the instructions
which comprise the mantra practice (mantracarya) of the Mmk. The
JIABS 24.1 94
vehicle for attaining this "presence," in spite of the Buddha's location in
a distant buddha-field, is invocation of a mantra.
The blessed tathi'igata Sailkusumitarajendra further said to the princely Mafijusrl:
"Moreover, 0 prince, your mantra practice ... has been pronounced, and will be
pronounced, by one hundred. thousand tathiigatas, perfected ones, perfectly
enlightened ones, equaling the sands of the Ganges river ... Now consented to by
me as well, you must go, 0 princely MafijusrI, if you think the time is fit, and
stand in the presence of Sakyamuni. You will listen to this discourse on the
doctrine, and then you, too, will proclaim that. The mantra [for this purpose] is:
nama/:! sarvatathiigatiiniim acintyiipratihatasiisaniiniil'[l om ra ra smara /
apratihatasiisanakumiirarupadhi'iri/;za hum hum pha! pha! sviihi'i (Homage to the
inconceivable, unobstructed teachings of the tathiigatas: Om ra ra remember 0
unobstructed teaching 0 bearer of the princely form hum hum pha! pha! hail!)
This, 0 princely Mafijusrl, is the basic mantra, the essence of all buddhas. It has
been, and will be, uttered by all buddhas. Now, you, too, will utter it. When you
have arrived in the Saha world, [utter] each all-accomplishing [mantra] in tum.
The [mantra of] supreme essence has been authorized by the tathiigata
Sakyamuni. It is: Ol'[l viikye da nama; and the upahrdaya is: viikye hum."9
Mafijusrl then enters into a deep meditation. The four directions are
filled with buddhas. He is praised for achieving this deep meditation.
Sankusumitarajendra then reveals the "utmost essential, utmost secre-
9. (Note on the Sanskrit text: The Mmk is written in a form of Sanskrit that deviates
regularly from the norms of Pfu.1ini. In virtually every sentence examples of the
following are found: homogeneity of nominative and accusative; use of plural
subject with singular verb, or vice versa; mixing of passive and active forms;
variant and inconsistent spellings. While many of these forms can be found in
other vaipulya works, as is documented by EDGERTON in both volumes of the
Buddhist Hybrid Sanskrit Grammar and Dictionary, others await further
analysis of internal consistency, as well as a comparison of the printed text with
the manuscript, in order to determine whether they are viable local forms of
written Sanskrit, editor's errors, or printer's errors.)
Mmk 1.2.20-22; 27-3.1-9: atha bhagaviin sankusumitariijendras tathi'igato
manjusriyal'[l kumiirabhutam etad avocat [I] api tu kumiira satasahasra-
gangiinadfsikataprakhyais tathi'igatair arhadbhil:z sal'[lyaksambuddhais tvadfyal'[l
mantracaryiiO ... ca [I] mayiipy etarhi anumoditum
eva [I] gaccha tval'[l manjusrf/:! kumiirabhuta yasyediinfl'[l kiilal'[l manyase /
siikyamunisamfpal'[l sammukham / iyal'[l dharmaparyiiyal'[l / tvam api
bhavati ciitra mantra/:! [I] nama/:! sarvatathi'igatiiniim acintyiiprati-
hatasiisaniiniil'[l om ra ra smara / apratihatasiisanakumiirarupadhiiril;za hum
hum pha! pha! sviihi'i II ayal'[l sa kumiira mafijusrf/:! miilamantra/:! /
tathiigatiiniil'[l hrdaya/:! sarvais ca tathi'igatair / sa tvam
apfdiinfl'[l ! sahi'il'[llokadhi'itul'[l gatvii vistaravibhi'igasa/:! sarvakarma-
karam / siikyamuninii tathi'igateniibhyanujfiiita/:! / paramahrdayal'[l bhavati ciitra
om viikye da nama/:! / upahrdayal'[l ciitra viikye hum II
WALLIS 95
tive" mantra (paramahrdayal'[l paramaguhyaf!1). Sarikusumitarajendra
suddenly becomes quiet. Entering into meditation, he brings forth the
mantra with his benevolent mind (maitratmakena cetasa): namab sarva-
bitddhanam (homage to all buddhas). This mantra, the text states, is
MafijusrI, is the utmost essence of that being, whose power is a panacea
for all ills (mantrab maiijurfb paramahrdayab sarvakarmakarab).IO
When the text ascribes authority to mantra utterance, it is doing
several things at once. It is, first of all, making a claim about mythic
origin. The mantras were originally uttered by not only Sakyamuni
Buddha, but by all buddhas throughout space and time. The fact that
Sailkusumitarajendra accesses the mantra by entering into a contempla-
tive state suggests that this is where mantras originate: in the minds of
the buddhas, which are infused with benevolence. Similarly, that
MafijusrI receives the mantra only after he has entered into a deep medi-
tation suggests that it is in the deeper layers of consciousness that such
mantras are held to resonate fully. We read, forinstance, that dharaJ;fs,
a type of mantra, "arise from the penetrative mind, which ensues natu-
rally from meditative absorption"
sodbhava), and that vidyarajiifs, the bearers of mantras called vidyas,
"issue forth from the meditative absorption on the body of Avaloki-
tesvara" (vidyarajiifbhir lokeSvaramurttisamadhivisrtaib).11 The "incon-
ceivable, unobstructed teaching of the tathagatas," furthermore, is
equivalent to the ur-transmission of the mantras and accompanying
practices that have constituted the practice of all buddhas. This is a
picture of both a lineage and a particular relationship. The teaching on
mantra practice is given to the bodhisattva MafijusrI by the buddha
Sarikusumitarajendra. Once he has received it, MafijusrI must then teach
it to beings in the world, where it will be inscribed into the text. The
reader of the text, past and present, is thus placed within the lineage,
into direct relation to all buddhas.
The presentation of mythic origin leads easily into a claim about the
means of knowledge (called pramalJa in Indian epistemology): the
validity of the knowledge about mantras contained in the passage is
established precisely on the fact that both text and mantras were spoken
by buddhas. To a non-adherent, the argument from authority is a weak
form of pramalJa. The logical incertitude of this claim, however, is
10. Summarizes Mmk 1.3.21-24.
11. Mmk 1.12.20, Mmk 1.10.14-15.
nABS 24.1 96
overcome by a further dimension. of the ascription of authority, since
this aspect lays the theoretiCal foundation for efficacy and, thus, for
"direct perception," the strongest form of pramii1)a. The MlJZk makes it
clear in its opening statement that the theoretical basis for the mantra is
"the inconceivable, wonderous, )1liraculous transformation of the bodhi-
sattva," or vikurva1)a./
2
This process is alluded to above in the statement,
"this mantra is Mafijusn, the utmost essence, the panacea" (mantraJ:t e ~ a
mafijusrfJ:t paramahrdayaJ:t sarvakarmakaraM. The vikurva1)a of the
bodhisattva is a wide-ranging concept. Elsewhere in the Mmk this con-
cept serves as the mechanism of embodiment (avatiira) in general. Here,
I would like to consider its bearing on the text's claims about mantra.
The statement, "that upon which all beings depend: the miraculous
transformation of the bodhisattva (bodhisattvavikurva1)a)," refers to a
foundational axiom in the Mmk concerning both the method of the
Buddha's activity in the world and the constitution of ritual efficacy.
The mode of practice recorded in the Mmk has no basis - as Buddhist
practice - removed from this foundation. It might even be argued that it
is primarily the framework supported by the concept of vikurva1)a,
"miraculous transformation," that distinguishes the Buddhist ritual of the
Mmk from other forms of medieval Indian cultic activity.
The term vikurva1)a has several layers of meaning. Combining the root
..Jkr (to make), with the affIx vi (apart, asunder, different directions), it
means "to make different, change, transform." As the P ~ i l i equivalent
vikubbana indicates, however, Buddhists employed the term technically
from an early date to denote a transformation effected by potent mental
forces (iddhivikubbana).13 Being on the same scale as a bodhisattva -
albeit at a lower point - the practitioner of the Mmk develops such
psychic powers, enabling him to perform several supernatural transfor-
mations, or "miracles," such as becoming invisible, walking on water,
flying through the air, ascending to the highest heavens.
The implications of the term bodhisattvavikurva1)a in the Mmk, how-
ever, exceed even these technical meanings. As one of the ten powers of
the bodhisattva (bodhisattvabala),14 the power of miraculous transfor-
mation (vikurva1)abala) is, for the Buddhist engaged in the Mmk, the
mechanism generating the mantra. Mafijusn, by means of his powers of
12. At, for example, Mmk 1.1.6.
13. PED s.v. vikubbana.
14. Mahavyupatti 767, cited in BHSD s. v. vikurva1J.ll.
WALLIS 97
transformation, becomes the mantra. The mantra is an effective instru-
ment by virtue of its being nothing less than a form assumed by the
bodhisattva Mafijusrl. As the various categories of mantras mentioned
above indicate "'- hrdaya, upahrdaya, paramahrdaya - the mantras are
the very essence, the heart (hrdaya) of the bodhisattva. The parama-
hrdaya mantra is "MafijusrI himself' (svayam eva maiijusrfM, existing
(upasthitaM through the form of the mantra (mantrarilpena).15 One
indication of the force believed to pervade the mantra is the power
attributed to it: "when merely remembered, it [the paramahrdaya
mantra] cleanses [the practitioner] of the five acts entailing immediate
retribution" (yatra smaritamiitrena paiiciinantaryii1}i parisodhayati).16
Since the bodhisattva and the "form of the mantra" are, in essence,
one, and because the text is not explicit about its claims, an analysis of
one of these forms should reveal a clearer picture of the relationship
between the mantra and the bodhisattva in the Mmk.
om sodhaya sodhaya sarvavighnaghiitaka mahiikiirw:zika kumiirarapadhiiri"(le I
vikurva vikurva I samayam anusmara I t i ~ ! h a t i ~ ! h a ham ham pha! pha! sviihii II
(Om purify purify! 0 destroyer of all obstacles! 0 you of great compassion! 0
bearer of youthfuL form! perform a miraculous transformation, perform a
miraculous transformation! remember your vow! be present, be present! ham
ham pha.t pha! hail!) 17
In the opening scene of the Mmk, MafijusrI was "impelled" (coda1}a)IS
by the radiating force of Sakyamuni's omniscience to perform his
obligation as a tenth-stage bodhisattva. His existence as the mantra is
one mode through which that obligation is fulfilled. The power that
enables this equivalency, in tum, involves two additional doctrinal
stances operating in the mantra. The first, as we have seen, is indicated
by the imperative to "perform a miraculous transformation" (vikurva);
the second, in the imperative "remember your vow" (samayam anu-
smara). The power of vikurva1}a is one of the ten supernatural powers of
the bodhisattva (bodhisattvabala). Based, in tum, on the doctrinal axiom
of "the ontological equivalence or ultimate convertibility of phenomena
15. Mmk 2.26.24-25.
16. Mmk 2.26.25. "The five acts entailing immediate retribution" (paiiciinantarya):
killing one's own mother or father, killing an arhant, causing dissension in the
monastic order, deliberately causing a buddha's blood to flow; see BHSD:95.
17. Mmk4.55.23-26.
18. Mmk 1.1.20.
nABS 24.1 98
and absolute,"19 vikurvalJ-a is, in Luis GOMEZ' words, "the capacity to
effect, by sheer psychic power, the transformation, displacement or
multiplication of the human body."2o The bodhisattva is a b,eing situated
in the world. Because, however, the bodhisattva is an enlightened being,
it follows that he or she possesses complete knowledge of the illusory
nature of the world, and thereby gains the ability to move unimpededly
through the world, manipulating its forms at will. The world of tbe
bodhisattva becomes the dharmadhtltu, the world seen as a composition
of ultimately non-substantial components subject - precisely because of
their lack of real substance - to manipulation. The Samtldhirtljtl,
referred to in the Mmk,21 likens the freedom of movement that 'ensues
from this understanding of reality to "wind blow[ing] swiftly through
space" or the unbounded flight of birds in the sky.
As birds do not leave a path in space, thus do Bodhisattvas awaken to the true
nature of Awakening. The sky is said to be ungraspable, in it there is nothing to
grasp. This is the true nature of dharmas, ungraspable like the sky.22
The invocation of the bodhisattva by means of the purificatoty mantra
above impells him to inhabit and thus become identical with, in
the Mmk passage cited above, certain ritual implements. The means
generating this result is alluded to in the plea that the bodhisattva
remember his vow, and in the invoking of his universal compassion.
Another text referred to in the Mmk, the Gaw;iavyuha,23 contains an
elaborate version on the bodhisattva vow (called samaya in the Mmk,
and pralJ-idhtlna in the GalJ-r;iavyuha).24 In the following extract, allu-
sions are made to the several points of doctrine mentioned above.
By J:he power of supernatural abilities, swiftly abounding everywhere;
by the power of universally eminent knowledge;
by the power of perfectly virtuous conduct;
by the power of universal love;
by the power of perfectly pure merit;
19. GOMEZ 1977:225.
20. Ibid.
21. This text is also known as Candrapradfpasamiidhi (see WARDER 1991 [1970]:
395), by which it is referred at Mmk 2.38.12.
22. GOMEZ 1977:225-226.
23. Mmk 2.38.12.
24. The vow is sometimes referred to as pralJidhiina in the Mmk; for example, at
Mmk 22.230.6 and 34.354.5, where a short vow is given.
WALLIS 99
by the power of unimpeded knowledge;
by the power of wisdom, means, and contemplation;
acquiring (samudanayamanaJ:r)25 the power of enlightenment;
completely purifying the power of retributive actions (karma).
completely grinding the power of afflictions;
rendering powerless the power of death and time (mara)
I fulfill all of the powers of good conduct.
Having completely fulfilled all of those [vows],
may I act for the happiness of beings
as long as [they remain] in the world.
26
The above purificatory mantra is thus inscribed with the authority of the
bodhisattva. The bodhisattva's original vow to attain enlightenment for
the benefit of all beings eventually produces the being capable of
traversing the world, and of playfully entering and transforming
linguistic "shells," or spaces.
Description of use
From the angle of the ascription of authority, we learned that the mantra
is a sound, word, or series of words that was spoken by enlightened
beings in the past and, through the mechanism cif vikurvalJa, embodied
by their force in the present and future. A mantra is therefore presented
as a sonic embodiment or crystalization of a particular type of power.
When we consider the mantra from the angle of the text's descriptions
of its use, these sounds, words, and series of words begin to separate out
into subtly different types of utterance stemming from distinct aspects of
that power.
Essence (hrdaya) mantras
At the beginning of Mmk 2, there is reference to Mafijusrl's "class of
mantras" (tvadfyafJl mantragalJafJl).27 This is followed by a compendium
of the mantras used in the Mmk rituals. The first group comprises
25. See BHSD s. v. samudanayana.
26. Gal)4avyiiha 433.7-18 and 436.3-4: rddhibalena samantajavena jfianabalena
samantamukhena I caryabalena samantagul)ena maitrabalena samantagatena II
pUl)yabaZena samantasubhena jfianabalena asalJ'lgagatena I prajfi[o]paya-
samadhibalena bodhibalalJ'l samudanayamanaIJ II karmabalalJ'l parisodhaya-
manaIJ parimardayamanaIJ II marabalalJ'l abalalJ'lkaramal)alJ piirayi
bhadracarfbala sarvan II ... talJ'ls ca ahalJ'l paripiirya sattvahitalJ'l kari
yavata loke II
27. Mmk 2.25.10.
JIABS 24.1 100
hrdaya mantras. Examples of these were given above (at Mmk 1.2.20-
22,27-3.9): the hrdaya, paramahrdaya, and upahrdaya mantras. There,
it was said that the hrdaya mantra accomplishes the task of leading
Mafijusli into the presence of Sakyamuni, while the other two are called
"all-accomplishing," or "panaceaic" (sarvakarmakara) - mantras to be
employed for any purpose. These mantras are "all-accomplishing"
because they are the "utmost essence" (paramahrdaya) of compas-
sionate, enlightened power, which is unlimited. These are the same
mantras suggested for use in the preparation phase (purascarQl}a) of the
Mmk's mantracaryii. A paradigmatic sequence of this mantracqryii is
that given in the passage on the "ritual for superior attainment"
(uttamasiidhana) :
First, he who has observed the vow, fulfilled the preliminary practices, received
the initiation, taken the essential (hrdaya), basic mantra from this best of
ordinances, or the upahrdaya or some other mantra, or having received a single
syllable [mantra] or another one - according to one's wishes - and who, having
gone to a great forest, eats leaves and roots, who subsists on fruits and water,
should recite [the mantra] three million times. He becomes one who has
completed the preliminary practice.
28
Here, by means of the mental and physical purity attained through
prolonged recitation, the siidhaka is able to "come into the presence"
(siik.Jiit pasyati) of buddhas and bodhisattvas.
29
The image presented at
Mmk 2 of the power inhering in these mantras emphasizes the purifying,
protective, and panaceaic nature of these mantras. MafijusrI addresses
the section to Vajrapa.r;ti. VajrapaI).i appears in the Mmk as the "lord of
yak.Jas, the master of guhyakas" (iiguhyakiidhipatin yak.Jendra):30 by
mastering these destructive divinities, VajrapaI).i converts them into
powers the aims of the practitioner. Thus, the mantras presented
here are of this nature. They destroy, purify, and convert energy of vari-
ous forms of embodiment, including mental, supernatural, and physical.
28. Mmk 8.79.10-28: adau tiivat krtapurascaraIJaJ:t
asmin kalpariijamulamantrahrdayaTfl upahrdayaTfl vii anyataraTfl vii mantraTfl
grhftvii vii anyaTfl vii yathepsitaTfl mahiiraIJyaTfl gatvii
jape phalodakiihiiraJ:t vii k.rtapurascaraIJo bhavati II
29. Page 80 is missing from my copy; I am thus referring to VAIDYA's 1964 reprint
(see Citations): p. 56.12.
30. Mmk 2.25.11.
WALLIS 101
The first mantra presented is that of Yamal1taka, the "sovereign of
wrath" (krodhartija),31 who, in later tantric theory, though not here, is
identified as an emanation of MafijusrIhimself. For the practitioner of
the Mmk's rituals, the first step towards acquiring essential knowledge is
protection and the destruction of obstacles.
Then MafijusrI [bestowed] the preeminently heroic, all achieving essence
(hrdaya) of the sovereign of wrath, Yamantaka ... Of!! ii{1 hum. This is the
essence (hrdaya) of him whose is great; it is all-accomplishing; it is taught
by the great being for [use in] all mQ/y;lala and mantra rituals; it
destroys all obstacles.
Then MafijusrI lifted his right hand and placed it on the head of Krodha, and
spoke thus: "Obeisance to all buddhas! May the blessed buddhas pay heed! May
the bodhisattvas, who are dwelling in whatever world of the ten directions, and
who possess unlimited, infinite, supernatural power (maharddhika), be firm in
their vow!" Saying that, he circled [the Tibetan text reads: his hand] around the
king of wrath, and dismissed him. The instant that the great king of wrath was
dispatched to the entire world-realm, beings possessing great supernatural
powers immediately restrained all evil-minded beings. He made them enter the
SUddhavasa, the great assembly. Making them remain there, becoming the family
of those who are engulfed in flaming garlands, he stood at the head, among the
evil-beings.3
2
The mantra Of!! ham embodies the "essence" of Yamantaka; it is
therefore used in any ritual for the purpose of destroying malevolent
obstacles. Here, the text presents an image of the violent, pre-linguistic
archetype operating behind the use of this mantra. Placing his hand on
the head of Yamantaka, MafijusrI invokes the authorizing presence of all
buddhas. Yamantaka becomes an agent of the bodhisattva, who, in tum,
is an agent of all buddhas. So empowered, Yamantaka gains mastery
31. Mmk 2.25.17.
32. Mmk 2.25.17-18; 2.25.22-26.7: atha mafijusrf{1 kumarabhuta{1 yamiintakasya
krodharajasya hrdayaf!! sarvakarmikaf!! ekavfraf!! ... om a{1 ham I idaf!! tan
mahakrodhasya hrdayaf!! ! sarvakarmikaf!! sarvamantra-
caryasu ca mahasattvena sarvavighnaviniiSanam ! atha
mafijusrf{1 kumiirabhata{1 piil)im udyamya krodhasya murdhni
sthiipayam asa I evaficaha ! namas te sarvabuddhiinam ! samanvaharanta
[>oantu] buddhii bhagavanta{1! ye kecid dasadig lokadhiituvyavasthita anantii-
paryantas ca bodhisattva maharddhikii{1 samayam [>oantu] / ity
evam uktva taf!! krodhariijanaf!! bhramayitva sma !
mahiikrodhariije sarviivantaf!! lokadhiituf!! sattvii ye
sattva maharddhikii{1 taf!! nigrhiinayati sma ! taf!! mal)r;falaf!!
suddhavasabhavanaf!! praveSayati sma I vyavasthayaii ca sthapayitva samanta-
jviiliimiilakulo bhutva ca murdhni sma II
JIABS 24.1 102
over all evil forces within the world. In subduing "all evil-minded
beings," Yamantaka converts them into agents of his own violently puri-
fying, protective force. When the practitioner recites the sO\lnds Of!l ilJ:t
hum, this image, capturing the essential (hrdaya) function and activity of
Yamantaka, is effected. That is, hindering forces are dispelled from the
ritual space; protection is achieved, and the area where a given ritu"!l is
performed thereby consecrated.
Additional "essence mantras" given at Mmk 2 are presented as belong-
ing to the bodhisattva Vajrapal).i, although the references within the
mantras point to, respectively, Yamantaka or Mafijusrl. Perhaps the
ambiguity is intentional: the protective function of Mafijusrl is effected
by Vajrapal).i and Yamantaka; the forms of each are ultimately undiffer-
entiated. In any case, the mantras of this class are presented as serving as
"rulers of great wrath that destroy all obstacles."
Then the youthful Maiijusrl spoke to the bodhisattva Vajrapagi: "0 master of
secrets, these mantras are esoteric and supremely mysterious ...
Homage to all buddhas and bodhisattvas, whose teachings are indestructible.
U1!l kara kara kuru kuru mama kiiryam bhafija bhafija sarvavighnii1!l daha daha
sarva vajraviniiyakam murdha!akajlvitiintakara mahiivikrtarupi1;te paca paca
mahiigalJapatijfvitiintakara bandha bandha sarvagrahii1!l
mukha rudramiinaya brahmiidyii'!l deviin
iinaya mii vilamba mii vilamba iyal iyal ma1;ttjalamadhye praveiaya samayam
anusmara hum hum hum hum ham hum pha! pha! sviihii (0 maker 0 maker do
do for me what should be done shatter shatter all obstacles burn burn all
adamantine impediments 0 killer of Murdha!aka 0 you of extraordinary
appearance cook cook all evil 0 killer of great GalJapati bind bind all demons 0
six-faced one 0 six-armed one 0 six-legged one subdue Rudra subdue
subdue the gods, beginning with Brahman do not delay do not delay become
silent become silent enter into the malJljala remember yourvow! hail!)
Osupreme master of secrets, this [mantra] is the supreme secret, the great
hero, MafijusrI; it is called "six-faced one," and is the ruler of the great wrath
which destroys all obstacles. By merely reciting that, bddhisattvas who are estab-
lished in the ten stages are dispersed, let alone evil obstructions. By merely
reciting that, great protection is created. There is also a sealing gesture (mudrii)
known as "the great spike," the destroyer of all obstacles."33
33. Mmk 2.28.21-22-29.1-11: atha khalu mafijusrff:z kumiirabhutaf:z vajrapiilJi1!l
bodhisattvam iimantrayate sma / imiini guhyakiidhipate mantrapadiini saraha-
syiini paramaguhyakiini [ ... ] namaf:z sarvabuddhabodhisattviiniim apratihata-
siisaniinii1!l / U1!l kara kara kuru kuru mama kiiryam bhafija bhafija sarva-
vighnii1!l daha daha sarva vajraviniiyakam murdha!akajfvitiintakara mahii-
vikrtarupilJe paca paca mahiigalJapatijfvitiintakara bandha bandha
sarvagrahii1!l rudramiinaya
WALLIS 103
This mantra, equated with both MafijusrI ("this is ... Mafijusrf') and
Yamantaka (the "six-faced one"), begins with an interjection of anger
and pacification (U'!l). Among the powers that it serves to shatter and
subdue are those connected to other cults: ViglU, Siva (Rudra),
Gal)apati, Murdhataka, and Brahma. The mantra counteracts the power
of these deities that has been set in motion by their adherents, and
subjects that power - these deities - to the ends of the Mmk practitioner.
This point is made explicit several pages later when the mantras of these
cultic deities are presented as having been taught by Sakyamuni. Like an
antibody, this mantra repels not only alien forms of power encroaching
on the ritual space of the practitioner, but even the most advanced, allied
bodhisattvas (tenth-stage ones). This indicates a degree of power border-
ing on the noxious. It is a small step from incapacitating the effected
powers of rival deities to incapacitating those who effect such power.
Indeed, the next mantra given justifies the destruction of "all enemies,"
presumably human as well as non-human.
This is the essence (hrdaya) of the ruler of wrath [Yamantaka]: om hrfJ:! jfifJ:!
vikrtanana hum I sarvasatraT(l niiSaya stambhaya phat phar svahii (shame!
destroy all enemies incapacitate! hail!) By means of this mantra, all enemies are
seized by the great spike disease or by the fever that arises every four days. With
a hundred recitations, or as many as desired, benevolence is not practiced. Then,
he obtains a compassionate mind. May there not be liberation at the end of the
recitation. Those offending the three jewels, saying, "he dies," should not be
treated entirely as those of gentle mind. The sealing gesture (mudra) called "the
great spike," should be used. In this instance, the secondary essence [mantra]
(upahrdaya) is this: om hrfmJ:! kalarapa hUT(I khaYJ1 svahii (shame 0 you with the
appearance of a crow! hail!) The sealing gesture to be used is also "the great
spike." Whatever evil he desires, that he accomplishes. The paramahrdaya
[mantra] is indeed the single syllable empowered by all buddhas: ham. This
accomplishes all deeds. The sealing gesture to be used is also "the great spike." It
hinders all misfortunes. In short, 0 ruler of wrath, this [mantra] is to be
employed in every ritual for the subjugation of all demons.3
4
brahmadyaT(l devananaya ma vilamba ma vilamba iyaZ iyal mm:ujalamadhye
praveSaya samayam anusmara ham ham hUm hUm hUm hUm phat phat svahii I
saJ:! paramaguhyakadhipate paramaguhyaJ:! mahavfryaJ:! mafijusrfJ:!
mukho nama mahakrodharaja sarvavighnaviniiSakaJ:! I anena pathitamatrelJ.a
vidravante I kiT(l I anena
pathitamatrena mahiiraksa krta bhavati I mudra catra bhavati mahiisaleti
. . "
vikhyata sarvavighnavinasika I
34. Mmk 2.29.11-22: asyaiva krodharajasya hrdayaYJ1 I om hrfmJ:! jfifJ:! vikrtanana
hum I sarvasatruYJ1 nasaya stambhaya phat phat svahii I anena mantrelJ.a sarva-
satraT(l mahiisalarogelJ.a caturthakena va grhlJ.apayati I satatajapena va yavad
JIABS 24.1 104
The mention of the mudra in this mantra passage points to a significant
aspect of the mantra as it is used in the Mmk. The hand gesture is an
indispensable aspect of the type of ritual promulgated in the
Paficaratra sa'!lhitas, Saiva Siddhiinta agamas, as well as in the Mmk. By
the early medieval era, the mudra becomes an increasingly widespread
element of the type of worship known as mantracarya or tantra.
35
The
importance of the mudra for the practitioners of the Buddhist form of
mantracarya is evident from the fact that ten of the fifty-five chapters of
the Mmk are devoted to it. At Mmk 34 we read of a mudrakosa, a
treasury of ritual gestures.
36
Mmk 34-37 and 41-46 is an extensive com-
pendium, a "text on gestures" (mudratantra).37 In the Mmk; these
gestures invariably accompany verbal actions. The two, mudras and
mantras, are in fact so closely bound that they can be said to form a
single instrumental act:
38
"The mudras are the seals of the mantras; and
with the mantras they are well-sealed. There is no mantra without a
mudra; devoid of the mudra, there is no seal. "39 In many instances, the
mudras seem to be bodily presentations of the object either invoked or
offered by means of the mantra (e.g., the "three-headed" and "five-
headed" gestures imitating the head dress of MafijusrI; "the spike," and
the "seat of the peacock" ). Stephan BEYER calls these types of mudras,
"mimetic representations of the objects being offered - simulacra that
control the transmission of worship to the god, just as the mantras of
offering enjoin its acceptance and response."40 BEYER also mentions a
rocate maitratilT[l vil na pratipadyate I atha karul}ilcittaT[l labhate I jilpilnte
muktir na syilt I mryate iti ratnatrayilpakaril}ilT[l kartavyaT[l saumya-
cittilnilT[l [I] mudril mahllsulaiva prayojanfyil I upahrdayaT[l ciltra bhavati I am
h{fm/;! killarupa hUT[l khaT[l svilhll I mudril mahilsulyaiva prayojanfyil I sarva-
yam icchati taT[l kilrayati I paramahrdayam I
nilma I ham I sarvakarmakaral;! I mudril mahilsulyaiva prayoja-
nfyil I sarvilnarthanivilral}am I sarvabhutavasaT[lkaral;! /
krodhrilja prayoktavyal;! [I]
35. See SMITH: 1980 s.v. mudril; DAVIS 1991:32f; GONDA 1977:73.
36. Mmk 34.351.8 and 35.355.10.
37. Mmk 34.350.16.
38. See, for example, Mmk 2.26.8-35.10, where numerous mantras and vidyils are
given with their corresponding mudrils. The correspondences are made fairly
explicit here.
39. Mmk 34.351.20-21: mantrill}ilT[l mudritil mudril mantra is cilpi sumudritil II na
mantraT[l mudrahfnaT[l tu na mudril mudravarjitil.
WALLIS 105
"stereotyped gesture," that is, a ritualized use of a common gesture for
threat. Such mudras correspond to mantras such as pha! - i.e., the ritual
use of sounds that are employed in everyday expression. Examples of
this type of mudra are gestures of "reverence, threat, welcome, or
farewell."41 (No such gestures are prescribed at Mmk 2.) In sum, the
mudra, when employed by a serious initiate
42
in conjunction with the
proper mantra, creates quick and infallible results (mudra mantra-
samopeta sarrzyukta k!jiprakarmika; mudra mantrasamopeta sarrzyukta
sarvakarmika).43
So far, I have discussed hrdaya mantras. The text describes several
uses of these mantras. Those related directly to the Buddha! all buddhas
and to MafijusrI are "all-accomplishing;" that is, their application is
manifold, ranging from the fulfillment of personal wishes, good health,
and fortunate rebirth, to enlightenment. Those attached specifically to
the "fierce" aspect of MafijusrI - in the form of Vajrapal!i and
Yamantaka - are used to purify and protect the mental and physical
space of the practitioner.
Invocation (ahvanana) mantras
After the presentation of the "powerful eight syllabled" hrdaya mantra
(Mmk 2.26.13-27.3), Mmk 2 presents what it calls ahvanana mantras.
As the term indicates, these are to be used specifically for the invocation
(ahvanana) of both enlightened forces (MafijurI, all bodhisattvas, all
solitary buddhas, noble hearers) and woddy forces and spirits.
Here are the mantras for invocation: Om he he kumararupisvarupilJe
ayahi bhagavalJ'! ayil.hi kumarakrfr;lotpaladhiirilJe
malJr;lalamadhye samayam anusmara apratihatasasana hum mil.
vilamba ru ru phat svahii (0 you whose own form is the form of a prince 0
awakening spoken by all youth approach 0 blessed one approach 0 you who
bear the lotus playing as a prince abide abide in the middle of the malJtjala!
remember the vow! 0 indestructible teaching hum! do not delay! hail!) This is
the mantra for invoking the blessed Maujusd, and [for invoking] all beings, all
40. BEYER 1973:146. See Mmk 35.355.24ff. for obvious examples of this category
of mudra. Gestures given there include utphala, svastika, dhvaja, chatra, gha!a,
mala, siila, kumbha, and Mmk 2.27.lOff. for similar correspondences.
41. BEYER 1973:146.
42. See, for instance, Mmk 34.350.10-21, a section on the requirements of the the
practitioner who receives mudra: he must be adorned with bodhicitta, follow the
buddhas' path interminably, etc.
43. Mmk 34.351.9 and 22.
JIABS 24.1 106
bodhisattvas, all solitary buddhas, noble hearers, gods, niigas,
gandharvas, [asuras], garurJas, kinnaras, mahoragas, pisiicas,
bhatas.
44
Several of the mantras presented so far have referred to the malJ-tjala.
The fact that this section on mantras precedes the prescriptions for the
initiation ritual indicates that the mantras are to be applied
specifically during that ritual. The initiation is performed within a
mar:u;lala. The act of invoking auspicious, protective, and potentially
threatening forces is a standard feature of the Mmk ritual practice. One
example should suffice to show this. The raw cotton used for making the
cult image must be consecrated (abhimantralJ-a) before it is woven into a
canvas. This is achieved, as mentioned above, by invoking the force of
"all buddhas" in the form of MaiijusrI.
om sodhaya sodhaya sarvavighnaghiitaka mahiikiirUlJika kumiirarapadhiirilJe
vikurva vikurva samayam anusmara ham ham pha! pha! sviihii
(purify purify! 0 destroyer of all obstacles 0 you of great compassion 0 bearer
of youthful form! perform a miraculous transformation perform a miraculous
transformation! remember your vow! be present be present! ham ham pha! pha!
hailf)45
Similarly, the ilhvilnana mantras consecrate the object into which some
force is being drawn, or, in the language of the text, is being implored
to approach (ilyilhi) the object and abide within it. While the
mantra is always specific in that its terms refer directly to the effected
object, and its corresponding mudril often "mimicks" the object, the
pattern of invocation is consistently generalized throughout the Mmk.
Offering mantras
From the mantras used to summon powers into the malJ-tjala or to any
other place where rituals are performed, the text moves to the objects of
offering that are being directed to these powers. Since the goal of these
offerings is to make present the invoked object, these mantras may be
44. Mmk 2.27.3-9: iihviinanamantrii ciitra bhavati I om he he kumiirarapisvarapilJe
iiyiihi bhagavaf!! iiyiihi I kumiirakrfrJotpaladhiirilJe
malJrJalamadhye I samayam anusmara / apratihatasiisana ham / mii
vilamba ru ru pha! sviihii I bhagavaf!! manjusriya/:t iihviinanamantrii I
sarvasattviiniif!! sarvabodhisattviiniif!! sarvapratyekabuddhiirya sriivakadeva-
[I]
45. Mmk 4.55.23-26.
WALLIS 107
considered a sub-category of ahvanana mantras. The following example
shows the sensual nature of the language of these passages.
Having prepared the sandalwood water, consecrated seven times, he should
scatter it everywhere: in all four directions, upwards, downwards, horizontally.
All buddhas'and bodhisattvas, the retinue of Mafijusri himself, all mantras,
ordinary and extraordinary, all classes of creatures, and all beings must appear,
Homage to all buddhas, whose teachings are indestructible! Om'dhu dhura
dhura dhupaviisini hum samayam anusmara sviihii (0 you
dwelling in the incense 0 luster of the incense abide remember your vow! hail!)
[This is the] "incense mantra." Then, having prepared the saffron, camphor, and
sandalwood, [the incense mantra] should be bestowed on the incense. All
tathiigatas and bodhisattvas come, and they are drawn out of the heart of the
gratified incense. The mudrii of this [mantra] is known as "the garland," and is
auspicious, attracting all beings. These mantras of invocation and their mudriis
are beautiful garlands of lotuses. They should be offered to all the buddhas,
bodhisattvas and other beings who come. After stirring water with camphor,
sandlewood and saffron, and preparing a mixture of two draughts of crushed
bakula flowers, white lotuses grown in the rainy season and fresh garlands of
jasmine with some other fragrant flower that is in season, an offering should be
made along with the mantra. Homage to all buddhas, whose teachings are
indestructible! The mantra is: he he mahiikiiru!lika visvarupadhiiri!li arghyal'(l
pratfcchad pratfcchiipaya samayam anusmara ma!lfjalamadhye
praveaya pravisa sarvabhutiinukampaka grh!la grh!la hum ambaraviciiri!le
sviihii (hey hey you of great compassion, bearer of manifold forms regard this
offering receive this offering remember your vow! abide abide in the center of the
ma!lfjala! lead into it enter into it! 0 you who possess compassion for all beings
seize seize 0 you who traverse the sky! hail!) The mudrii for this is known as
"abundance," and it is followed by all buddhas.
46
46. Mmk 2.27.10-26: saptiibhimantrital'(l candanodakal'(l krtvii I caturdisam ity
udhvamadhastiryaksarvataf:t I sarvabuddhabodhisattviif:t maiijusriyaf:t
svayal'(l tasya pariviiraf:t sarvalaukikalokottariis ca mantriif:t sarve ca bhuta-
ga!liif:t sarvasattviis ca iigatii bhaveyuf:t I namaf:t sarvabuddhiiniim apratihata-
siisaniiniim I om dhu dhura dhura dhupaviisini hum samayam
anusmara sviihii I dhupamantraf:t I candanal'(l karpural'(l kUl'(lkumal'(l caikfkrtya
dhupal'(l diipayettataf:t I iigatiiniil'(l tathiigatiiniil'(l sarvabodhisattviiniil'(l ca
dhupiipyiiyitamanasaf:t bhavanti I bhavati ciitra mudrii yasya miileti
vikhyiitii sivii I iihviinanamantriiyiiS ca ayameva mudrii
padmamiilii subhii I iigatiiniil'(l ca sarvabuddhabodhisattviiniil'(l sarvasattviiniil'(l
ciigatiiniil'(l arghyo deyaf:t I karpuracandanakul'(lkumair udakamiilofjyajiitfkusu-
anya-
tamena yathiirttukena vii misfkrtya anena mantre!la
arghyo deyaf:t I namaf:t sarvabuddhiiniil'(l apratihatasiisaniiniil'(l tadyathii I he he
mahiikiiru!lika visvarupadhiiri!li arghyal'(l pratlcchad pratfcchiipaya samayam
anusmara ma!lfjalamadhye praveaya pravisa sarvabhatiinu-
JIABS 24.1 108
The equivalency of the mantra, mudra, object of consecration, and
possessing force is explicit in these offering mantras. These are called
variously incense mantras (dhilpamantra), fragrance man(ras (gandha-
mantra), oblative mantras (balimantra), illumination mantras (pradfpa-
mantra), and fire mantras (agnimantra).
And here are the perpetually fragrant mantras (gandhamantra). Homage to all
buddhas! Homage to the tathagata, whose glory, brilliance and fragrance are
universal! The mantra is: gandhe gandhe gandhiitj.hye gandhamanorame
pratfcche pratfcchemaT[l gandham samantiinusiiri1)e sviihii! (0 fragrant one 0
fragrant one 0 you abounding in fragrance 0 joy within the fragrance attend
attend to me 0 you who entirely penetrate this fragrance! hail!) The sealing
gesture (mudrii) in this case is called "the bud that completely fulfills all desires."
And here are the flower mantras Homage to all buddhas, whose
teachings areindestructible! Homage to the tathagata, the ruler of those who have
fully blossomed! The mantra is this: kusume kusume kusumiitj.hye kusuma-
puraviisini kusumiivati sviihii (0 blossoming 0 blossoming 0 you abounding in
blossoms 0 you dwelling in the city of blossoms 0 land of blossoms! hail!) He
should thus fumigate with the incense mantra (dhapamantra), mentioned above,
[and] with incense.
Making obeisance to the buddhas,
who possess inconceivably wonderous forms,
I will proclaim this oblative mantra (balimantra),
which has been spoken by the perfectly enlightened buddhas.
Homage to all buddhas and bodhisattvas, whose teachings are indestructible! The
mantra is this: he he bhagavaT[l mahiisattva buddhiivalokita mii vilamba idaT[l
baliT[l grh1)apaya grhna ham ham sarvavisva ra ra fa fa pha! svaha hey hey
blessed one! (0 great being! do not delay take this offering take! 0 all and every-
thing! hail!) Along with [reciting] this, he should present the offering and the
oblation to all sentient beings. The mudrii has the power to ward off all evil.
Homage to the indestructible teaching of all buddhas and bodhisattvas, which
cgmpletely destroys the darkness of delusions! Homage to the tathagata whose
glory, resplendence and fragrance shines universally! The [illumination mantra
(pradfpamantra: 28.15)] is: he he bhagavaT[l jyotirasmisatasahasraprati-
ma1)tj.itasarfra virkurva vikurva mahabodhisattvasamantajvalodyotitamarti
khurda khurda avalokaya avalokaya sarvasattviiniiT[l svaha (0 you whose body
is adorned with a hundred thousand rays of light transform transform 0 mani-
festation who shines replendently and universally on the great bodhisattvas play
play behold all beings! hail!) These are the illumination mantras. Together with
this, the lamp (pradfpa) should be offered. The mudrii is called "the beam of
that beholds all beings." Homage to all buddhas and bodhisattvas, whose
teachings are indestructible! The [mantra] is: jvala jvala jValaya jvalaya ham
kampaka grh1)a grh1)a ham ambaraviciiri1)e sviiha I mudrii catrapar1)eti vikyiita
sarvabuddhanuvartinfl
WALLIS 109
viboahaka harikNl)apingala svilhii (blaze blaze illuminate illuminate 0
awakening 0 reddish-brown dark green one! hail!)
These are the fire mantras The mudril, called "the covered box" (salJ1pu!a), is
famous throughout the world. Shining brilliantly on all beings, it was previously
proclaimed by those best of munis for the wise bodhisattva.
47
The offering mantras highlight the fact that a mantra must be preceded
by a liturgical formula acknowledging the glory of the buddhas. As with
any ritual practice in the Mmk, preparation is a central feature of all
forms of mantra recitation. In every instance, preparation involves
mentally focussing on the authority that stands behind the power being
made manifest by means of the mantra.
Dismissal (visarjana) mantra
Following the offering mantras, the text gives the "dismissal mantra"
(visarjanamantra). This is used for withdrawing the power of the
mantra after it has "effected" the goal of the practitioner.
The dismissal mantras. Homage to all buddhas, whose teachings are
indestructible. [The mantra] is: jaya jaya sujaya mahiikilrul)ika visvarupil)e
gaccha gaccha svabhavanam sarvabuddhillJ1s ca visarjaya saparivilrillJ1
svabhavanalJ1 cilnupravesaya samayam anusmara sarvilrthils ca me siddhyantu
47. Mmk 2.27.27-28.20: dhruvil gandhamantril ciltra bhavati / nama/;! sarva-
buddhilnillJ1 nama/;! samantagandhiivabhiisasriyilya tathilgatilya / tadyathil I
gandhe gandhe gandhilljhye gandhamanorame pratfcche pratfccheyalJ1
gandhalJ1 samantilnusilril)e svilhil / bhavati ciltra mudril pallavil nilma sarvilfil-
paripurikil / ciltra bhavati I nama/;! sarvabuddhilnilm apratihata-
Silsilnilm / nama/;! salJ1kusumitariljasya tathilgatasya / tadyathil / kusume kusume
kusumilljhye kusumapuravilsini kusumilvati svilhil I tenpiva dhupamantrel)a
purvoktenaiva dhapena dhapayet / sarvabuddhillJ1 namaskrtya acintyildbhuta-
rupil)ilm / balimantralJ1 II namaJ:t
sarvabuddhabodhisattvilnilm apratihatasilsilnillJ1 tadyathil I he he bhagavalJ1
mahilsattva buddhilvalokita mil vilamba idalJ1 balilJ1 grhl)ilpaya grhna ham hum
sarvavisva ra ra fa fa phaf svilhil / nivedyalJ1 cilnena dilpayet balilJ1 I ca sarva-
bhautikam / bhavati ciltra mudril silkti/;! I nama/;! sarva-
buddhilnilm apratihatasilsilnillJ1 sarvatamo ' ndhakilravidhvamsinillJ1 nama/;!
samantajyotigandhilvabhilsasriyilya tathilgatilya I tadyathil / he he bhagavalJ1
jyotirasmisatasahasrapratimal)ljitasarfra virkurva vikurva mahilbodhisattva-
samantajvillodyotitamurti khurda khurda avalokaya avalokaya sarvasattvilnillJ1
svilhil / pradfpamantril I pradfpalJ1 cilnena dilpayet / mudril vikilsinf nilma
sarvasattvilvalokinf / nama/;! samantabuddhilnilm apratihatasilsilnillJ1 I tad
yathil / jvala jvala jvillaya jvillaya / ham I vibodhaka harikNl)apilJ1gala svilhil I
agnikilrikil mantril / bhavati ciltra mudril sampu!a nilma lokavisrutil / sarva-
sattvaprabhodyotanf munivarail;! purvalJ1 bodhisattvasya dhfmata I
JIABS 24.1 110
mantrapada/:! manoratha1'[l ca me paripiiraya svahii (conquer conquer com-
pletely conquer 0 you of great compassion who appears in various forms go go
to your own abode and dismiss all buddhas enter your own abode along with
your retinue remember your vow may the mantra words effect all of my goals
and my heart's desire completely fulfill! hail!) This dismissal mantra should be
employed in all rituals. The sealing gesture is known as "the throne of good"
(bhadrapf!ha). Together with this, a seat should be offered. The mantra adept
(mantrasiddhi) should employ the visarjana together with seven [silent] mental
recitations (manasa saptajaptena) for all ordinary and extraordinary [rituals],
mar:u;lala [rituals] and mantra [rituals], and when under occasional vows -
during jiipa recitation.
48
Vidya mantras
Following this is a long section on a class of mantras called vidya,
taught by Mafijusrl to the assembly gathered in the Suddhavasa palace.
As with the above classes of mantra, the Mmk does not offer explicit
explanations of the vidya, but presents images and descriptions of use.
The image of the vidya is of a "female companion" (anucart) of Mafiju-
srI - all vidyas are given in the feminine gender. The vidyas are
"possessed of beautiful hair" (keiinf, upakeiint), "star-like" (taravatt),
"possessed of brilliant, glorious beauty" (Svetasrfvapu), "of great loveli-
ness" As with all other mantras, mudras - usually
"mimetic" - invariably accompany vidyas. And, as the following
examples illustrate, vidyas are applied for various purposes.
Homage to all buddhas, whose teachings are indestructible: am ri!i svaha! This is
the vidya that does everything; it is called "lovely hair" (kesinl), [and is] the
female companion of Maiijusrl. During all rituals requiring an attendant the great
sealing gesture, "five-crests," is used. Homage to the universal buddhas, whose
teachings are indestructible: am ni!i. This vidya, called upakeSinf, does every-
thing. [This] should be used with the sealing gesture "blooming" (vikasini) in all
rituals of seizure (sarvagrahakarma).
48. Mmk 2.29.22-29: visarjanamantra bhavanti I nama/:! sarvabuddhanam aprati-
hatasasananam I tadyatha I jaya jaya sujaya mahakarU1:zika visvariipilJe gaccha
gaccha svabhavanal'(! sarvabuddha1'[ls ca visarjaya I saparivaral'(! svabhavana1'[l
ciinupraveSaya I samayam anusmara I sarvarthas ca me siddhyantu mantra-
pada/:! manoratha1'[l ca me paripiiraya[Ontu = T.] svaha I ayal'(! visarjana-
mantra/:! prayoktavya/:!I mudra bhadrapf!heti vikhyatii I asana1'[l
canena dapayet I manasa saptajaptena visarjana1'[l sarvebhya/:! laukika-
lokottarebhyo ma1:u;la/ebhya/:! mantrebhyas caiva mantrasiddhi/:! I samayajapa-
ca prayoktavyeti II
49. Mmk 2.30.4,7,25,31.11, and 22, respectively.
Homage to the universal buddhas,
who possess inconceivably wondrous forms.
Om nu re [T. = tare] svaha.
This vidya, called "star-like" (taravat'i)50
is commended for all rituals.
Done together with the sealing gesture
"staff of force"
[this vidya] is a destroyer of obstacles.
Homage to the universal buddhas,
who proceed on an unobstructed course.
[The vidya is] am srf/;.
This spell, "she of great loveliness"
was taught by the protectors of the world.
Practiced with the sealing gesture
"bowl-shaped" (saTJ'lpu!a),
she grants the rank of "emperor;"Sl
WALLIS 111
The vidyas refer to feminine deities that were appropriated by Buddhists.
As such, they are classed as belonging not to the family of buddhas
(tathagatakula), but to that of the "lotus" (abjakula). Mmk 1 mentions
numerous vidyarajfifs "proceeding from the samadhi of the manifest
Lokesvara" (vidyarajfifbhir iokevaramiirttisamadhivis!1aiM;S2 the vidhii-
rajfifs "proceed from the mantras and penetrate the vow of the lotus
family" (abjakulasamayanupravesamantravicaribhif:z).S3
Non-Buddhist mantras
In this vein, the section on mantras at Mmk 2 ends with an appropriation
of the mantras of major non-Buddhist deities. This sub-section is
prefaced by a polemical "revisionist" history of the mantras that are then
50. At Mmk 10.16 tara heads a list of vidyarajiifs; at Mmk 4.65.9 called "compassion
of Avalokitesvara."
51. Mmk 2.30.3-7; 30.23-26; 31.20-23: nama/; sarvabuddhanam apratihata-
sasanam I am ri!i svaha II maiijusriyasyedam anucarf keiinf nama vidya sarva-
karmika I mahamudraya paiicasikhaya I nama/;
samantabuddhanam apratihatasasanam I am ni!i I upakesinf nama vidyeyaTJ'l
sarvakarmika mudraya vikasinyii ca yojayet I nama/;
samantabuddhaniim acintyiidbhiitariipil:ziim [I] am nu re [T. = tiire] sviiha I
vidyii tiiriivatf nama prasasta sarvakarmasu I mudrayii tu yojitii
vighnaghatinf II nama/; sarvabuddhaniim apratihatagata[T. siikti]praciiril:ziim
[I] tadyatha I am srf/; I vidyii lokaniithaistu deiitii I mudrii
sampu!aya yukta maharajyapradiiyikii II
52. Mmk 1.10.14-15.
53. Mmk 1.11.3.
JIABS 24.1 112
presented. The central contention of the history is that all previous
mantras - those of Brahma,Siva, etc. - were originally spoken
by the Buddhist bodhisattva Mafijusri, though in the of Brahma,
Siva, etc. Mafijusri merely took the form of these Hindu deities as an
upaya - in this case, as a means of conversion. Specifically, the preface
identifies Mafijusri with Karttikeya (also called Skanda), the six-headed
son of Siva in PUr1iJ.1ic mythology.54 In this manner, the Mmk presents
its own Puriil.la fragment of sorts, rewriting the history of Karttikeya,
revealing essential facts about his life that had been left out of the
Saivite account. In the Mmk version, Kiirttikeya's name is combined
with MafijusrI's: Karttikeyamafijusrl. This synthetic name gives a clear
picture of the authors' intention to co-opt Saivite claims and subordinate
these to those of the Mmk. Although there are allusions to Kiirttikeya/
Skanda's role as the leader of the demons who cause illness in children,
here that role is reversed: Kiirttikeyamafijusri declares a mantra that
"completely frees from illness during the period of youth." Finally,
Kiirttikeya is assigned the roll of attendant (anucara) to the bodhisattva.
This was spoken by the bodhisattva
the protector, whose six [-faced] transfonnation
shook the entire world.
To hinder evil beings
for the sake of all beings' welfare,
the terrible son of Mahesvara (= of Siva)
came here in order to convert others.
54. See O'FLAHERTY 1975: 161ff. The Mmk emphasizes this equivalency by
an unmistakable image of Maiijusn as "six-faced" and as
making the gesture mimicking the seat of the peacock (the vehicle of Karttikeya).
This occurs immediately before the "PuraI].a," as the final vidyii. It reads as
follows (note the masculine forms). om kumiira mahiikumiira krfcja krfcja
bodhisattviinujiiiita mayiiriisanasa'!lghodyatapiil)i raktii'!lga rakta-
gandhiinulepanapriya kha kha khiini khiini khiini hu'!l nrtya nrtya rakta-
samayam anusmara bhrama bhrama bhriimaya bhramaya
lahu lahu mii vilamba sarvakiiryiil)i me kuru kuru hu'!l hu'!l
sarvabuddhiinujiiiita sviihii (0 youthful one 0 great youth play play 0 six-faced
one authorized by bodhisattvas you whose hand is raised in the [mudrii] seat of
the peacock flock 0 red-limbed one 0 beloved anointed with myrrh dancing
dancing 0 you whose body is aflame with red flowers remember your vow
wander wander cause to wander cause to wander cause to wander quickly
quickly do not delay do do for me all work 0 you who bear a bright-colored
form abide abide 0 you who have been authorized by all buddhas hail!)
Well marked by the emblems of demons
and with charcoal,
he who speaks sweetly
spoke with a mind engrossed
in compassion to Skanda.
This the great-souled bodhisattva,
for creating welfare for children,
proclaimed wherever beings wandered
throughout the world.
Combined with the sealing gesture of the great -souled one,
[called] "staff of force"
he leads one to Brahrna, and so forth [Le., to all the gods],
let alone to human results.
Karttikeyamaiijusn declared this mantra,
in brief, so that one may be
completely free from illness during
the period of youth.
Desirous of conferring benefits on beings,
the bodhisattva came here
to proclaim the three-syllabled essence
of his mantra.
He attends closely to attracting fortune
for the welfare of every beings,
and, fixed with the sealing gesture "staff of force,"
accomplishes all deeds.
om humjaf/
This mantra would achieve human results fully.
WALLIS 113
Homage to all buddhas, whose embodiments manifest universally.
om vikrtagraha hUIJl pha! svtihti (0 mutilated demon phat hail!)
And the employment of its upahrdaya
together with the force of the sealing gesture,
averts bhutas, grahas, and mtitaras.
Fixing it with sealing gestures
that seal all,
it would be fruitful.
It causes terror to bhutas,
releasing those intent on evil.
This is the youthful, all-achieving attendant of MaiijusnKumiirabhiita, named
KiirttikeyamafijusrI. Through mere repetition [of the mantra], he accomplishes all
55. Inexplicably, the Sanskrit gives feminine I translate the more
consistent masculine form of the Tibetan, 'jam pa' i nag gis.
JIABS 24.1 114
deeds, terrifies all bhiltas, attracts, subjugates, hurts, kills, or whatever is desired
by the practitioner of spells (vidyiidhara),56 all of that is effected.
57
The mantras given here reflect the synthetic nature of the section as a
whole. The one mantra, om ham has both the formal and functional
elements of the buddha/ bodhisattva hrdaya mantras, while the other,
om vikrtagraha hu'!l pha! sviihii, has those of the abjakula protective
forces. This double function of the mantras is apparent when the text
turns to those of Brahma, Siva, and
Homage to the universal buddhas, whose teachings are indestructible.
[The mantra is]: om brahma subrahma bramavarcase siintiT[! kuru svqhii (0
Brahma perfect Brahma 0 divine splendor make peace! hail!)
This mantra, "great Brahrna,"
was spoken by the bodhisattva.
Beings attained peace;
from this moment on they are gentle.
Employed with the five-crested sealing gesture (mudrii),
he would quickly make auspicious progress.
It is mentioned in the Atharva Veda
58
for all of the rites of malediction.
56. For vidyiidhara, see PRYZLUSKI 1923.
57. Mmk 2.32.17-33.18: bodhisattvena niiyinii [T. skyob pa <
tiiyinii ] I mahf krtsnii pracaciila samantataJ:! II hitiirthaT[! sarva-
sattviinii/'fl dunasattvaniviiral)am I mahevarasya [T. mi bzad < sahiiO] silto
ghoro vaineyiirthamihiigataJ:! II skandama/'flgiirakas caiva grahacihnaiJ:! suci-
hnitaJ:! I tato [T. brlan pa < cetasii II
mahiitmii bodhisattvo 'ya/'fl biiliinii/'fl hitakiiril)aJ:! I sattvacaryii yataJ:! prokto
viceruJ:! sarvato jagat II sa mahiitmanaJ:! I
iivG;rtayati brahmiidyii/'fl ki/'fl punar phalam II kaumiirabhittamakhila/'fl
kalyamasya samiisataJ:! I kiirttikeyamafijusrfJ:! mantro 'ya/'fl samudiihrtaJ:! II
sattviinugrahakiimyartha/'fl bodhisattva ihiigataJ:! I niima hrdaya/'fl
mantrasyiisya udiihrtam II sarvasattvahitiirthiiya [T.
mchog < parama] I mudrayii tu vinyastaJ:! sarvakarmikaJ:! 110m hilm
jaJ:! I mantraJ:! samiisena phalam I namaJ:! samanta-
buddhiinii/'fl samantodyotitamilrtiniim [I] vikrtagraha hil/'fl pha! sviihii II
upahrdaya/'fl ciisya sa/'flyukto mudrii saktinii tathii I iivartayati bhiltiini sa-
grahii/'fl miitiirii/'fl tathii II vinyastii saphalii bhavet I
vitriisayati bhiltiinii/'fl II mafijusriyasya kumiirabhiltasya
kiirttikeyamafijusrf niima kumiiraJ:! anucaraJ:! sarvakarmikaJ:! japamiitrel)aiva
sarvakarmiil)i karoti sarvabhiltiini triisayati vasamiinayati
ghiitayati yathepsita/'fl vii vidyiidharasya tat sarva/'fl sampiidayati I
58. Correct text's reading of athavii ceda on basis of Tibetan: see MACDONALD: 39,
fn.3.
In short, this is taught in the abridged [version]
of that ordinance.
WALLIS 115
Homage to the universal buddhas, whose teachings are indestructible.
[The mantra is]: am garaavahana cakrapaIJi caturbhuja ham ham samayam
anusmara I bodhisattvo jiiapayati (0 you who ride upon Garaa 0 you who
hold the discus in your hand 0 four-armed one! ham ham remember your vow!
the bodhisattva has revealed this!)
Authorized by
[this mantra] accomplishes all matters quickly
and is auspicious.
With the form of as a body for the people,
it causes demons to be put to flight.
Employed with the "three-crested" sealing gesture
it is steadfast, accomplishing all matters quickly.
Those extensive ordinances that were proclaimed
in the V tantra
were spoken by
as but a means for converting people. 59
After making identical claims about the mantras used in the cults of Siva
and Garuga,60 the Mmk ends this section on mantras with an image
showing the relationship between these cults and the bodhisattva
Mafijusn. According to this image, those who employ non-Buddhist -
non-Mmk - mantras, do so foolishly, like playing children who wander
dangerously far from their mother. But these non-Buddhist practitioners
are ultimately saved from their transgression since the forms they
worship, and the mantras they recite, are really aspects of the bodhi-
sattva, gently prodding them into the family of the buddhas.
59. Mmk 2.33.19-24; 26-34.5: namaf:t samantabuddhlinam apratihatasasanam I
tadyatha I om brahma subrahma bramavarcase santiTJl kuru svaha II
mantra mahlibrahma bodhisattvena I santiTJl prajagmurbhutani tat
eva sitala II mudra paiicasikhliyukta svastyayanaTJl bhavet I
athava cedapathyate [T. srid sruTJl gi ni rig byed <
atharvavedao ] [I] ukta kalpamasya samasataf:t [II] namaf:t
samantabuddhlinam apratihatasasananam [I] tadyathli I am garuavahana
cakrapiiIJi caturbhuja hum ham samayam anusmara I bodhisattva jiiapayati
sviihli 1/ iijiiapto sivaf:t I vidriipayati bhutiini
dehiniim /1 mudrii triSikhe yuktaf:t sthiraf:t / ya
eva tantre kathitiif:t kalpavistariif:t I upayavaineyasattviiniiTJl maiiju-
/I
60. Mmk 2.34.6-13 and 14-26, respectively.
JIABS 24.1 116
Just as a mother watchfully plays
with her children in various ways,
I (MafijusrI) wander among those
of child-like intelligence in the form of the mantra.
Previously proclaimed by buddhas,
and now uttered by me - the resplendant prince -
is the meaning of all mantra texts.
Those [mantras] which were sung by the greatest of victors,
those [mantras] which were sung by the sons of the buddhas -
those were sung by him whose voice is pleasant
in the aspect of miraculous, inconceivable forms.
61
The image of the mother (dhatrf) playing (lalati) with her children
evokes the mythological image of the cosmic play (lfla) of the creator
(dhiitr) with his creation, and of the bodhisattva playfully entering and
transforming material forms. It also calls to mind the uttamasadhana,
where the sadhaka "becomes one who playfully enjoys immortality"
(ajaramaralflf bhavati
62
) and other results of mantra practice. The
metaphor of play is apt for a ritual text like the Mmk. In a sense, it can
be argued that the very purpose of such a text is to provide the rules for
playing. The game being played is of course the game of mantric
utterance. Like a mother protecting her children by setting limits, the
Mmk protects its aspiring sadhakas by laying down the rules for what its
community holds to be real achievement, namely, the efficacious use of
the mantra and all the benefits that that entails.
Demonstration of effect
By "demonstration of effect," I mean the Mmk's presentation of a
passage describing the results of mantra practice. An example is as
follows.
He proceeds instantly to the Brahmaloka. He stays in the world-realm
KusumavatI, where the tathiigata Sankusumitarajendra dwells, exists, abides and
teaches the dharma. He beholds MafijusrI directly He hears the true
teaching (dharma). He also sees several thousand bodhisattvas, and worships
them. He becomes one who playfully enjoys non-aging and immortality for a
61. Mmk 2.35.5-10: yatM hi dhiitrf bahudM biiliiniil!! liilati yatnatalJ I tatM bii/isa-
buddhfniil!! mantrarupf cariimyaham II dasabalailJ kathital!! purve adhunii ca
mayoditam I sakalal!! mantratantriirthal!! kumiiro 'pyiiham maMdyutilJ II jina-
varais ca ye gftii gftii dasabaliitmajailJ I maiijusvarel)a te gftii acintyiidbuta-
rupil)iim II
62. VAIDYA 1964: p.56.14.
WALLIS 117
thousand great eons. The para is also there. He is empowered by all buddhas and
bodhisattvas, and he declares to them his firm resolution to attain enlightenment]
and proceeds to their hundred thousand paradises. [Their] hundred thousand
bodies are revealed to him. He becomes possessed of numerous powers and
supernatural abilities. The noble MafijusrI becomes his virtuous friend. He
becomes one 'for whom the goal of enlightenment is certain.
63
When the Mmk presents a passage demonstrating the effect of the
mantra, it is showing the end of its own form of mantracaryii - end, in
several senses: purpose, consummation, extent, realization. But the ablity
to effect the power of the mantra represents more than the culmination
of a religious practice; it represents the ends of both Buddhism as a
whole and of the culture from which this practice emerges. If, as is the
view of religious practitioners, such practices lead to levels of meaning
and satisfaction not attainable through non-religious means, then
demonstrations of effects are eschatological, in the most literal sense of
the word: they are discourses (logos) on what lies furthest (eschatos) -
furthest from the culture of which they are the culmination. A civiliza-
tion that cultivates a Christian worldview will present as "last things"
such issues as the end of history, redemption, final judgement, heaven,
and hell. Such concerns follow from the temporal and spatial notions
embedded in, and generating, Christian cosmology. Christian liturgy,
worship, prayer, etc., are, then, believed to be the keys for unlocking
that cosmic structure. A society that cultivates Buddhist views will offer
a different set or sets of final things, such as nirviil}a, salvific
knowledge, liberation, cessation of suffering and of sa1J1siira, and it will
mold the keys, produced by its culture, to fit its specific cosmology. So,
when the Mmk demonstrates the effect of its mantra practice it is
revealing what its community held to be the most valuable ends
grounded in, though transcending, the social world that gives that
practice life and meaning.
63. Mmk 8.79.27-28: acCha!iimiitre1)a brahmalokamatikriimati / kusumiivatfT[lloka-
dhiituT[l / yatriisau bhagaviiT[l saT[lkusumitriijendras tathiigata!:z
dhriyate [VAIDYA 1964: p. 56.12-16] yapiiyati dharmaT[l ca deayati /
iiryamafijusriyaT[l ca pasyati / dharmaT[l s.T1)oti / anekiinyapi bodhisattva-
satasahasrii pasyati / tiiT[ls ca parupiiste / mahiikalpasahasraT[l ajariimaralflf
bhavati / paras tatraiva / bhavati /
saT[ljanfte ciikramati / kiiyasata-
sahasraT[l vii darsayati / anekarddhiprabhiivasamudgato bhavati / iirya-
mafijusriyas ca kalyii1)amitra bhavati / niyataT[l bodhipariiya1)o bhavatfti II
- nABS 24.1 118
At the beginning of this article, I noted that a mantra is a form of
speech, and that, like ordinary speech, it must be learned, and then used
in specific contexts, if it is to be effective. I mentioned too that the
system of rules implicit in mantric language is not dependent on linguis-
tic features. The first two sub-sections then considered some of the ritual
and doctrinal features of mantric "grammar." This sub-section will look
at the social dimension of mantric utterance.
"The social dimension of mantric utterance" is a phrase used by
Harvey ALPER to emphasize the fact that the acceptance of the ideas re-
volving around the Indian mantra is "not itself discursive, it is
ALPER has drawn his inspiration from categories developed by Wittgen-
stein - particularly in his Philosophical Investigations - and attempted
to apply "Wittgensteinian concepts to the study of mantras." However, I
want to limit my observations to three points made by ALPER, which,
interestingly, correspond closely to points made in the Mmk. These
points are as follows (in ALPER's words): (1) uttering a mantra is a
thing done, and hence, a learned activity; (2) uttering a mantra is both a
context- and a rule-dependent activity; (3) the activity of uttering a
mantra may be compared profitably to a move in a game.
Before turning to the Mmk, it will be-helpful to give as background
the general sense of what is meant by "the social dimension of mantric
utterance." ALPER offers a clear statement in this regard.
In the Hindu tradition ... there is an explicit awareness that achieving religious
consummation involves the mastery of specifiable techniques. Ironically, this
situation obscures the fact that the mastery of specifiable techniques itself presup-
poses a prior mastery of skills that resist specification. The successful use of an
"instrument" such as mantric utterance presupposes that one has already acquired
the proper attitudes, demeanor, and expectations - that is the proper frame of
mind - by having been successfully socialized in the society that recognizes
mantric utterance as an "authorized" technique that makes possible one of the
kinds of transcendence it is deemed acceptable to experience.
The confident, routine use of mantras surely presupposes a specific, identi-
fiable set of convictions concerning the human condition, the ideal social order,
and the purpose of existence. Acceptance of these convictions is a tacit ground
without which Mantrasastra would neither have been invented nor have remained
vital. Whatever reasons might be adduced to defend these convictions, their
acceptance is not itself discursive, it is social. As lived, they are part of the forms
of life, "the formal conditions, the patterns in the weave of our lives," that give
meaning to the language-game of uttering mantras.
64. ALPER 1989a:258. All citations of ALPER henceforth are from ibid: 249-294
unless otherwise noted.
WALLIS 119
... Self-evidently, the language-game of uttering mantras is situated within a
social cosmos organized according to the principles of caste hierarchy, culmi-
nating in and yet transcended by institutional renunciation (sarrmytisa), which, as
such, recognizes the authority of an elite of "perfect spiritual masters" (gurus)
and which experiences the cosmos as a fabric interwoven of various "powers," as
stiktic. These are, in general, the "situation and facts" that are invariably concomi-
tant with mantric utterance. They are the preconditions that make it possible and
lend it meaning.
(1) Uttering a mantra is a thing done, and hence, a learned activity.
The Mmk sadhaka must learn how to employ a mantra. The force of a
mantra can be harnessed only through acquired technique, the possibility
of which was embedded in medieval Indian religious culture. The
efficacy of the mantra is thus equally dependent on both the power of
enlightened force, as shown above, and proper training within a socially
authorized structure. As great as it is, the force of buddhas alone does
not ensure the success of the mantra; rather, the activation of this force
is dependent on the presence of further, social, conditions.
The clue to the social nature of effective mantric utterance is given at
the beginning of a primary ritual passage.
First, he who has observed the vow, fulfilled the preliminary practices
(puraicarQl)a), received the initiation, taken the essential (hrdaya), basic mantra
from this best of ordinances, or the upahrdaya
65
or some other mantra, or
having received a single syllable [mantra] or another one - according to one's
wishes - and who, having gone to a great forest, eats leaves and roots, who
subsists on fruits and water, should recite [the mantra] three million times. He
becomes one who has completed the preliminary practice.
66
In the Mmk, even the briefest ritualized act, in order to succeed, must be
preceded by a long period of preparatory training (purascara1}a). For
our purposes here, we could transiate purascara1}a as inculturation.
"Preparation" entails an infusion into the practitioner of everything his
culture might bring to bear on his quest for enlightenment, liberation,
power, etc. Hidden behind the description here is the agent behind that
infusion: the guru. The guru is the person who "socializes" the sadhaka,
guiding him through the process that will enable him to use mantric
65. At Mmk 1.3.8-9 the hrdayamantra and upahrdayamantra are given respectively
as om viikyeda namal:z and viikye ham. The hrdayamantra appears again at Mmk
29.322.7-16 as Maiijusn's "incomparable," etc., six-syllable mantra. There, it is
employed in a caitya ritual.
66. Sanskrit above, footnote 28.
JIABS 24.1 120
speech appropiately and effectively. Another passage, at Mmk 11, brings
the guru, and his socializing role, more into the open.
First, one must take upon oneself the undertaking of knowledge, the vow, and
moral conduct. First of all, one must obey the precepts and instructions of the
mal}tjala master [i.e., the guru presiding over the initiation].
The sadhaka ... should make a request to the mal}tjala master [guru] in this
manner: "I desire to enter into, through the agency of the master, the vow
(samaya) of the great bodhisattva, the princely, noble Mafijusri. This having been
said, [may] the master [become] compassionate, his mind impelled by sympathy
for us!" Then, having been carefully examined by the mal}tjala master, by whom
instruction, in accordance with the ordinance, was previously given, as. pre-
viously described [at Mmk 2] the student is introduced [to the practice]. Having
conferred the initiation, as previously mentioned [at Mmk 2], he should bestow
the mantra. Duly, by degrees, he should reveal the vow. And, having considered
very carefully that the time has arrived, and knowing the mental disposition [of
the sadhaka] he should reveal the esoteric mudras from the text (tantra) as well
as the subsequent rituals ...
Then, the mal}tjala master has to bring about the notion "son" (putraka). He
[the sadhaka] should behave like a son, who says "the benefits (bhoga) are to be .
offered to my mother."67
We saw in the previous sub-section that Mafijusrl "wander[s] among
those of childlike intelligence in the form of the mantra," (tathii
biilisabuddhfnii'!l mantrarupf cariimy aham) and that he does so ''just as
a mother watchfully plays with her children in various ways" (yathii hi
dhiitrf bahudhii biiliinii'!l liilati yatnataM.68 The child-parent relation-
ship is made explicit here, too. The practitioner is "the son, the child of
dharma, [and must] be protected always, with continued effort"
lJ-fyo prayatnena putro dharmavatsalaJ:t sadii).69 The ultimate form of
protection,that the Mmk guru can extend to his disciple is that afforded
67. Mmk 11.93.14-15: adau tavad vidyiivrataSflacaryasamiidiinal]'l prathamata eva
samiidadet / prathamal]'l tiivan mal}tjalacaryopadeanasamayam anupraviset /
Mmk 11.93.26-94.6; 94.10-11: sadhakas ca ... mal}tjalacaryamabhyarthya
prarthayet / icchiimyacaryel}a mahiibodhisattvasya kumarabhiitasyaryamanju-
sriyasya samayam / tad vadatvacaryo 'smakam anukamparthal]'l
hitacitto dayaval]'l / tatas tena mal}tjalacaryel}a vidhina
yathiipiirval]'l praveayet / dattva mantral]'l
dadyiit I yathavat kramaso samayal]'l darsayet / rahasyatantramudram
anukarmal}i karmal}i ca prabhiitakalenaiva asayal]'l jnatva darsayet /
... [94.10-11] tatas tena mal}tjalacaryel}a putrasal]'ljna upasthiipayitavya /
putravat pratipattavyam / miitus ca bhoga upasal]'lhartavya iti II
68. Mmk 2.35.5-6.
69. Mmk 11.96.24.
WALLIS 121
by effective mantric utterance. As an embodiment of his culture's
highest spiritual ideals, the guru is thus extending that culture's ultimate
form of protection, too. Mantric speech is both meaningful and effective
only when properly learned and applied. This fact is significant because
it complicates the understanding of mantras as "magical speech,"
commonly found in scholarly studies on the subjectJ
o
Rather, it is like
ordinary speech. Someone who utters incoherent sounds will fail in
social life; even someone who speaks with poor grammar or a "low
class" accent will be limited through his language. Assuming, for the
sake of argument, the desirability of attaining the upper levels of a
culture's material promise - status, wealth, etc. - then social protection
involves teaching a child the proper forms of language. This analogy can
be applied to mantric speech. Though the interface of this type of speech
is not limited to social reality, it is a form of speech whose efficacy
depends on the user's ability as a speaker of mantras (mantraviidin), or,
as the text often puts it, as "one who mantras" (mantrin). Like ordinary
speech, mantras can fail to serve as instruments serving the speaker's
goals. That point is made explicit throughout the Mmk, as in the inverse
of this statement.
The disciple who honors that teacher (guru)
obtains an excellent destiny.
His mantras are successful
because he has been thoroughly shown
the path of the ordinances.
71
(2) Uttering a mantra is both a context- and a rule-dependent activity.
As that last statement shows, there is a direct correlation between being
socialized into mantric speech, and the adherence to rules: like regular
speech, the rules are what make it social ("one person alone cannot
follow a rule").
The Mmk is nothing if it is not a text of rules. It is, in this sense, a sort
of etiquette for siidhakas. It records the community'S prescriptions for
all of the forms of behavior expected of the siidhaka. From gathering
the wood for prayer beads (Mmk 12), sleeping, eating, and begging for
alms (Mmk 11), to constructing the oblation pit (Mmk 13), the text binds
70. See, for example, ALPER: 1989c:330 for bibliographical references.
71. Mmk 11.96.3-4: gatif!l iipnoti pujyas tu taf!l guruf!l/ mantriista-
sya ca sidhyanti vidhimiirgopadarsaniitll
JIABS 24.1 122
its practitioner to a strictly delineated mode of acting in the world. The
promise behind its prescribed limits is that real power and freedom, both
social (laukika) and "spiritual" (lokottara), will follow froIl). observing
the rules. The reason that this is so is that the rule-dependent activities of
the slidhaka produce the conditions - the necessary context - for effec-
tive mantric utterance.
When the mantras are applied according to the ordinances, then one rapidly
succeeds,?2
(3) The activity of uttering a mantra may be compared to a
move in a game.
The metaphor of mantric utterance as a move in a game follows easily
from the previous two assertions. Games are clear instances of learned,
and context- and rule-dependent activities. The movement of a piece of
wood on a checkered board or the kicking of a leather ball on a gridded
field must be interpreted within the larger framework within which they
take place - the games of chess and soccer; otherwise, they appear to be
senseless activites. Efficacy, furthermore, follows from sense - these
moves are effective within the strictures provided by the rules, and the
rules orient the player toward the accepted notion of success, or victory.
Uttering a mantra is like this. Saying om lih huf!t only makes sense
within the larger game-matrix of mantracarya. The meaningfulness of
mantracarya, in turn, is founded on the assumed possibility of what
ALPER calls an "epistemological event" (the sadhaka sees the buddha,
attains enlightenment) and an "ontological fact" (the existence of the
beings and forces that are embodied in the mantras) - mantracarya
notions of victory.
The Mmk is the book of rules for the game of mantracarya. Recita-
tion of mantras comprises the moves in the game, leading the player, the
sadhaka, to victory. It is profitable to compare the activity of uttering a
mantra to a move in a game because this brings out points that the text is
emphatic about. These are: mantras are effective (1) because of the
presupposed cosmological situation (the "unlocking" of which
constitutes winning the game), (2) when socially learned becoming a
player, (3) when the rules of their utterance are adhered to (playing by
the rules), (4) when engaged in (playing). This appreciably clarifies the
context for such seemingly trivial statements - pervading the text - such
72. Mmk 32.336.19: vidhiyuktil hi mantril vai siddhim avilpnuyilt II
WALLIS 123
as "those well-recited mantras are majestic:, extremely powerful"
(sujapta mantra hy ete tejavanto maharddhika), "the majestic mantras
succeed for those offaith, and for no others" (sidhyante mantrarat tasya
sraddhasyaiveha nanyatha), "the success of the mantra is not impelled
by an ascetic of bad morals" munfndrelJa mantrasiddhir na
codita)J3 A mantra is effective by virtue of its being a "key that unlocks
the saktic structure of the cosmos." But the ability to employ a mantra
effectively requires that the practitioner properly negotiate the complex
game of mantracarya. To the extent that he does this, recitation of a
mantra becomes the linguistic game-piece, which, like a wooden
chessman, is indispensable to the game. Enlightened power abides,
dwells through the deft moves of a skillfully formed
player. But unlike other games, the promise held out to the sadhaka is
nothing less than the ability to wield with efficacy the now vivified
remains of the Buddha's speech.
73. Mmk33.342.8, 7.77.4,11.101.9.
)IABS 24.1 124
Citations
Alper, Harvey, P.
1989a "The Cosmos as Siva's Language-Game: 'Mantra' According to
1989b
s Sivasutravimarsinf," in Understanding Mantras (H.
Alper ed.), New York, pp. 240-294.
"A Working Bibliography for the study of Mantras," in Under-
standing Mantras (H. Alper ed.), New York, pp. 327-443.
Aryamafijusrfmulakalpa. T. GaI).apati Sastrf (ed.). Part I = no. LXX, 1920; Part II =
LXXVI, 1922; Part III = LXXXIV, 1925, Trivandrum.
Beyer, Stephan
Tibetan translation: Taipei Edition, volume XVIII bka' 'gyur, 'phags
pa 'jam dpal gyi rtsa ba'j rgyud, 540 no. 543, 25/175 (1)-96/667'
1973 The Cult of Tara, Berkeley.
BHSD = Edgerton 1953 B.
BHSG = Edgerton 1953 A.
Davidson, Ronald
1995 "Atisa'sA Lamp for the Path to Awakening." In Buddhism in Practice
(Donald Lopez, ed.). Princeton, pp. 290-30l.
Gal)fJavyuhasutra (P. L. Vaidya, ed.) 1960: Mithila Institute of Post-graduate Studies
and Research in Sanskrit Learning (Bauddha Samslqta Pratyavali 5),
Darbhanga, India.
Gomez, Luis O.
1977 ''The Bodhisattva as Wonder-worker," in LANCASTER 1977, pp. 221-
261.
Gupta, Sanjukta
1989 "The Paficaratra Attitude to Mantra," in Understanding Mantras (H.
Alper ed.), New York, pp. 224-248.
Lancaster, Lewis (ed.)
1977 Prajfiaparamita and Related Systems: Studies in Honor of Edward
Conze (Berkeley Buddhist Studies Series 1), Berkeley.
MacDonald, Ariane
1962 Le Mal)fJala du Mafijusrfmulakalpa, Paris.
Matsunaga, Yiikei
1985 "On the Date of the MafijusrfmuZakalpa," in Tantric and Taoist
Studies in Honour of R. A. Stein, Michel Strickmann (ed.), vol. 3, in
vol. 22 of Melanges Chino is et Bouddhiques, Brussels, pp. 882-894.
O'Flaherty, Wendy
1975 Hindu Myths, London and New York.
WALLIS 125
PED = ThePiili Text Society's Pali English Dictionary. Edited by T. W. Rhys Davids
and William Stede 1986 (1921), London.
Pryzluski, Jean
1923 "Les Vidyadija, contribution a l'histoire de la magie dans les sectes
Mahayiinistes," BEFEO, XXIII: 301-18.
Smith, H. Danial
1975 A Descriptive Bibliography of the Printed Texts of the Paiica-
rCitriigama, vol. I. (Gaekwad's Oriental Series, no. 158.), Baroda.
Vaidya, P. L.
1964
Warder, A. K.
Mahiiyiinasutrasaf!lgraha, Part II, Buddhist Sanskrit Texts, no. 18,
Bihar.
1991 (1970) Indian Buddhism. Delhi.
BOOK REVIEW
by ULRICH PAGEL
Heinz BE CHERT [et al.]: Der Buddhismus I: Der Indische Buddhismus
und seine Verzweigungen, Die Religionen der Menschheit, Band 24.1,
Stuttgart: Verlag W. Kohlhammer 2000, 512 pp.
The book under review constitutes a collaborative effort aimed at surveying the
doctrinal and historical developments of Buddhism on the Indian Subcontinent, in
Central Asia, Nepal and South-East Asia. It is the first part of a trilogy, within the Die
Religionen der Menschheit series, specifically devoted to Buddhist thought in Asia and
beyond. The series itself, which has so far produced no less than 27 volumes, was
conceived in the 1950s and sets out to cover all the major world religions. Two
previous publications in this series have dealt with Buddhism in some detail. First,
there is Andre BAREAU's description of mainly Indian Buddhism in Die Religionen
lndiens III, Buddhismus, Jinismus, Primitivvolker, voL 13, (Stuttgart 1964), and
second, Giuseppe TUCCI and Walter HEISSIG's exposition of Buddhism in Tibet and
Mongolia in Die Religionen Tibets und der Mongolei, vol. 20, (Stuttgart 1964).
Although still valuable works of reference, in important areas the views expressed in
these two publications have been superseded by modem research and require therefore
urgent revision. However, the new trilogy is not merely designed to provide the
necessary adjustments and revision to these previous volumes, but aims to produce
"eine neue Gesamtdarstellung, die in erster Linie den inneren Zusammenhang der
einzelnen Formen des Buddhismus beriicksichtigt" (p. 14). This review will evaluate in
particular whether this ambitious goal has been met and examine the extent to which its
expositions reflect current research.
Following the conception of previous publications in the series, the editor commis-
sioned several scholars to write separate chapters on the various facets of Buddhism in
the regions covered. Mirroring the traditional division of Buddha, Dharma and SaiJ.gha,
the first three contributions deal with the Doctrine of the Buddha (Johannes
BRONKHORST, pp.23-213), the Pantheon of Buddhism (Hans-Joachim KLIMKEIT,
pp. 215-279) and the Buddhist Community (Petra KIEFFER-PULZ, pp. 281-402). The
remaining chapters describe Buddhism of Nepal (Siegfried LIENHARD, pp.403-419),
the expansion of Indian Buddhism to Afghanistan and Central Asia (Jens-Uwe
HARTMANN, pp.421-439), Buddhism in mainland South-East Asia (Ian-William
MABBETI, pp. 441-470) and the doctrino-historical developments on the Indonesian
archipelago and the Malayan peninsular (Jacob ENSINK, pp. 471-500). Since many of
the authors are renowned for their expertise in the respective areas, the publisher had
reason to assume that the resulting book would become a landmark publication on
Buddhism in the German-speaking world.
To be sure, Der Buddhismus I contains several excellent contributions that give well-
balanced and up-to-date accounts of Buddhism in the regions covered. However, one
would be hard-pressed to call it a comprehensive and integrated exposition. First, there
appears to have been little effort to coordinate the content of the various chapters.
Several topics are covered twice (The Doctrine of the Buddha, pp.23-213, 231-35),
Volume 24. Number 1 .2001
nABS 24.1 128
terminology is not always consistent. (e.g., salJ1.Jna: 'Vorstellung' (p.98),
'Wahmehmung' (p.233); maitrf: 'Gilte' (p. 132), 'Liebe' (pp. 235,486); manas: 'das
Denken' (pp.50, 84, 99), 'Geistiger Sinn' (p.234 and occasionally the reader is
offered variant interpretations of doctrine and historical events (The Date of the
Buddha, pp. 216,281). While these flaws did not escape the eye of the editor and are
openly acknowledged in the Introduction .(p. 20), all responsibility is apportioned to the
authors "(die) sich im Hinblick auf die Abgrenzung ihres Themas nicht immer an die
Planung gehalten (haben) (p. 14)." While this may be true, one would think that the task
of establishing consistency and conceptual integration falls within the sphere of edito-
rial management. One is also struck by how little attention was given in some of the
geographic chapters to the underlying doctrinal, social and historical dynamics that
propelled and shaped the spread of Buddhism in these regions. Although the reader is
offered much interesting detail about specific historical events that influenced local
developments, very little time is spent discussing the factors that rendered Buddhism so
attractive to a particular society and/or culture. This would seem a major shortcoming in
a publication that purports to be a "Gesamtdarstellung", focusing on the "inneren
Zusammenhange". The publication suffers also from a lack of maps. Being replete with
references to ancient localities that have long since disappeared from modem cartogra-
phy, most chapters would have benefited from the inclusion of graphic aids indicating,
for example, the location of archreological sites, expanses of kingdoms, etc. In view of
the book's introductory nature, likely to attract expert and general readers alike, these
are significant editorial flaws.
But let us now tum to the individual contributions. The book opens with a detailed
account of the doctrine of the Buddha, spanning more than 200 pages. Its author
structures his exposition in three parts: the doctrine as taught by the historical Buddha,
its systematisation by the Abhidharma and, finally, Mahayana. Before embarking on
the exposition proper, BRONKHORST lays down his methodology for stratifying the
content of the Nikaya (pp. 26-33). In a nutshell, he proceeds on the assumption that all
sermons attributed to the Sakyamuni were indeed uttered by the historical Buddha
(p. 31). Their authenticity is only called into question where contradictions prevail in
other canonical statements, or where one meets with enumerative structures which he
attributes to the later scholastic tradition (p. 32). BRONKHORST, of course, is not the
only scholar to adopt this approach even though there are good arguments against it.
While he duly refers to publications where variant opinions are expressed, his failure to
engage with this knotty problem in detailed fashion somewhat detracts from the
persuasiveness of his arguments. BRONKHORST then proceeds to discuss the content
and development of early Buddhist doctrines. The most valuable component here is
probably the inclusion of non-Buddhist material in the purview of the analysis
(pp. 187-198). While not all scholars will necessarily agree with his conclusions (e.g.,
"die Idee einer in Worten (sic) gefassten erlosenden Erkenntnis wird kaum als
urspriinglich buddhistisch anzusehen sein," p.73), it is nevertheless interesting and
well-informed. He pays particular attention to the roles played by asceticism and medi-
tation in the shaping of early Buddhist thought and practice (pp. 63-73). This section is
largely derived from BRONKHORST's controversial earlier work on these topics which
has been adequately reviewed elsewhere (e.g., P. OUVELLE, Journal o/the American
Oriental Society 115.1 (1995): 162-4; S. COLLINS, Journal o/the Royal Asiatic Society
1987: 373-5). In the third part, he proceeds to discuss the systematisation of the
PAGEL 129
Buddha's teaching as contained in the (Sarvastivada) Abhidharma. This is overall the
strongest component of the chapter, skilfully bringing together his own findings as well
as recent work done by others (Cox, laini, Mimaki, Willemen, Dessein and, of course,
Frauwallner) on abhidharma to produce an account that is well-informed and lucid in
presentation. A substantial portion is devoted to the dharma-theory and its relationship
both to nikayic materials as well as to non-Buddhist (above all traditions
(pp. 94-118). A word of caution, however, is called for when BRONKHORST ponders
the forces that propelled Indian Buddhists towards, as he sees it, the "rationalisation of
the Doctrine" (p. 122) in the abhidharma (pp. 121-127). This process of rationalisation,
he argues, was triggered through contact with the Greek debating traditions in
Northwest India (pp. 126-7). As evidence for religio-intellectual interaction between the
Greeks and Sarvastivada iibhidhilrmikas, he points to the Milindapafiha. Implicitly,
BRONKHORST considers this text to be a document that reflects historical verifiable
trends. It is worth recalling, however, that neither the origin nor the scholastic affiliation
of this composite work has been conclusively resolved (G. Fu S S MAN:
"Upiiyakausalya: !'implantation du Bouddhisme au Gandhara," Bouddhisme et cultures
locales, Paris 1994, p. 27 - on the broader question of Greek influence on Buddhist
culture, see FUSSMAN, ibid., pp.25-30). Problematic is also the way in which
BRONKHORST presents his Greco-Buddhist hypothesis. Initially, he is careful to
qualify his views as speculation ("Es wird wohl nicht moglich sein, diesen Einfluss
von Seiten der Griechen endgi.iltig nachzuweisen", p. 125). However, only two pages
later, without citing further evidence, he boldly concludes that the Greeks may well
have engaged the Sarvastivada in debates ''who apparently sought to defend themselves
against Greek attacks" (p. 127). Eventually, this culminates in the following statement
(p. 187): "It was revealed that this school (the Sarvastivadin), possibly in a decisive
manner, was moulded by the Greek culture in Northwest India, especially through its
prevailing debating tradition." It would have been preferable if such a claim,
uncorroborated, as it is, by hard evidence, would not have found its way into a
publication that is likely to become a principal source of reference for Buddhist Studies
in the West.
BRONKHORST's contribution concludes with a description of Mahayana Buddhism.
Like the preceding sections, although based on a rather limited selection of primary
sources and bereft of any major new ideas, it is well-written and incorporates many
references to recent work in the field. However, even though he is obviously aware of
the current state of research, he does not appear to assimilate fully its impact. For
example, like many scholars before him, BRONKHORST continues to associate
MahasaiJ.ghika doctrines with the origin of the Mahayana (p.127). Elsewhere, he
argues, apparently ignoring the persuasive arguments of Harrison, Schopen and others,
that we may still have to look for the origin of the Mahayana among the laity (p. 128).
Equally perplexing, in particular against the well-documented efflorescence of abhi-
dharmic scholarship around the beginning of the Christian era, is his claim that the
Mahayana emerged "at a time when the development of the Buddhist doctrine beyond
the Mahayana had largely lost its impulse" (p.131). His proposition that, in the context
of early prajfiiipiiramitii texts, the concept of Inconceivability should be interpreted as a
reference to the Highest Reality ('das hochste Sein') and, inspired by
thought, is to be identified with space (iikiisa) (p. 147) is also problematic. Neither is
the term "highest reality" attested in the passages quoted, nor would it seem advisable
nABS 24.1 130
to characterise iikasq as complete Nothingness ('das vollige Nichts') in a Buddhist
context (p. 147). For the role of meditation in the conception of the Mahayana
(p.131-2), see Florin DELEANU's fine recent study: "A Preliminary Study on
Meditation and the Beginnings of Mahayana Buddhism," Annual Report of the
International Research Institute for Advanced Buddhology at Soka University for the
Academic Year 1999, Tokyo 2000, pp. 65-123. BRONKHORST moves to more secure
ground when he turns to the doctrines of the Madhyamaka and Y ogacara schools, even
though he has little new to add to the discussion. But here too we meet with sweeping
statements that are difficult to uphold. For example, in his conclusion we learn that "die
Anhiinger des Sravakayana kritisierten natlirlich die neuen Lehrreden des Mahayana"
(p. 186) without being told where such critiques could be found. Broad, unsubstan-
tiated statements of that kind render BRONKHORST's portrayal of (Mahayana)
Buddhism, in spite of his fine and imaginative scholarship, often insufficiently nuanced
and mono-dimensional. To illustrate this point, I shall quote a statement with which he
introduces his final concluding remarks (p. 184): "Man konnte sich tatsiichlich kaum
grossere Unterschiede vorstelien als die zwischen bestimmten im Mahayana gangigen
Ideen und Praktiken, und denen, die den Abhidharma-Buddhismus kennzeichnen. Und
beide unterscheiden sich grundsiitzlich von dem, was der historische Buddha gepredigt
hat." Clearly, such simplistic evaluations -located here in a pivotal position at the end
of the exposition - ignore the underlying doctrinal continuity that has connected the
various phases and manifestations of Buddhism for centuries and are therefore hardly
conducive to promote a more finely-calibrated and sophisticated perception of
Buddhism.
The second chapter describes the Buddhist pantheon. It begins with an account of the
life of the historical Buddha and then proceeds to portray the roles, attributes and
iconographic manifestations of the most important buddhas and bodhisattvas. For many
reasons, this contribution is by far the weakest component of the publication.
KLIMKEIT's account of Sakyamuni's life reads as if it was composed in the 1950s. His
description is largely based on publications produced in the first half of the 20th
century (eg., Beal (1875), Windish (1908) Thomas (1931 and fails to take into
account the monumental studies on this topic carried out by Andre BAREAU. As a
result, his description is dated, largely uncritical and ill-balanced. The debate surround-
ing the date of the Buddha, for example, is dealt with in a single paragraph (p. 216) and
does not even allude to the multifarious complexities that surround this issue. To make
matters worse, his contribution contains a number of factual inaccuracies. In his intro-
duction, for example, we read that: "Jeder Kanon (der buddhistischen Schulen) urnfasst
drei Korbe" (p. 215) or, further below, without qualification, that the Lalitavistara is to
be considered a Mahayana work (p. 220). Equally problematic are his sweeping cross-
references to Christianity. He calls Devadatta the "spiiteren Judas der buddhistischen
Gemeinde" (p. 224) and refers repeatedly to 'parallels' in the accounts of the life of
Christ (pp.223-4), presumably suggesting that they belong to a shared narrative
tradition. (For an early, but still authoritative treatment of this question, see
E. LAMOTTE, Histoire du Bouddhisme Indien, Louvain 1958, pp.739-48). KLIMKEIT
concludes his summary of Sakyamuni's biography with a three-page account of the
doctrine of the Buddha. I do not understand why this section was allowed to feature in
the published version of this chapter. Not only is BRONKHORST's treatment infinitely
superior, but his presentation also contains some questionable interpretations (see, for
PAGEL 131
example, tIie Noble Eightfold Path (p. 232) and Dependent Co-origination (p. 234). The
next section, devoted to the predecessors of the historical Buddha, is also disappoint-
ing. Essentially; it is an uncritical summary of von SWSON's article "Die Buddhas der
Vorzeit: Versuch einer astralmythologischen beutung", Studien zur Indologie und
Iranistik 7 (1981) which correlates the seven Buddhas from Vipassin to Gotama with
the days of the week and their associated seven planets (p.237). In a sense, this
approach sets a pattern for what is to follow: the majority of the remaining sections are
little more than synopses of previously published work. Somewhat surprisingly,
KLIMKEIT felt particularly inspired by the Encyclopedia of Religion. In total, he
develops seven sections from the entries of this publication, which itself is not exactly
renowned as an authoritative source. Those sections that are not derived from the
Encyclopedia of Religion are largely taken from GUnther GRONBOLD's "Die
Mythologie des indischen Buddhismus" (Gotter und My then des indischen
Subkontinents, Stuttgart 1984), to which he makes no less than 34 references. I do not
think it necessary to dwell any longer on this rather disheartening contribution. It will
have become clear that KLTh1KEIT was hardly the ideal choice for this potentially inter-
esting and certainly important topic that has attracted so much competent scholarship
over the past 30 years.
The third chapter of Der Buddhismus I is devoted to the Buddhist community in
India and Sri Lanka. KIEFFER-PULZ's exposition covers practically all aspects of
Buddhist monastic life, including the origin and spread of the schools, the geographic
location of the individual Sailghas, a sketch of the factors that distinguished Mahayana
from non-Mahayana communities as well as a detailed description of the internal
communal structures, administration, maintenance, legal proceedings and organisation,
including an account of the principal religious activities and ceremonies conducted in
the monasteries themselves. Bringing together the latest archreological, textual and
anthropological [mdings, her treatment is replete with interesting observations about the
evolution of the Sailgha that are skilfully woven into a insightful portrayal of Buddhist
monastic life in South Asia. If there is any flaw in KIEFFER-PULZ's presentation, it is
perhaps that she gives only scant attention to the spiritual motives that inspired
monastic life, at least in its early phase, and their interaction with the more formal
aspects of the proceedings of the Sangha. On the whole, one is told little about the
religious inspirations underlying the adaptation of the specific ceremonies and practices
and their impact on monastic training. This, however, being outside the purview of her
analysis, does not distract significantly from what is otherwise an extremely well-
researched and carefully formulated account of the development, manifestations and
day-to-day management of monastic affairs, one which will remain valuable for many
years to come.
The remaining chapters in the book cover the Buddhist traditions of Nepal, Central
Asia and South-East Asia. Although offering only bare outlines of the manifestation
and historical events that led to the conversion of these regions, they are informative
and contain, in the main, very accessible synopses of key developments.
LIENHARD's exposition of Buddhism in Nepal centres on the features of Buddhist
monasteries (bahf/baha) and the socio-religious roles of their inhabitants (Sakya-
Although only 20 pages in length, it gives a coherent and well-
balanced account of the principal features of the Newan Buddhist communities.
nABS 24.1 132
HARTMANN's treatment of Central Asian Buddhism is chiefly based on Indian
literary sources found in the oasis towns along the Silk Roads. While it covers many
interesting historical processes, including the spread of the Buddhist schools in Central
Asia, the linguistic developments in the region and the interaction between 'the various
communities, it contains disappointedly little insight about the life, practices and beliefs
adopted by Central Asian Buddhists. His analysis would have particularly benefited
from a greater inclusion of art historical, architectural and Chinese literary evidence as
this contains important clues about the features of religious life in Central Asia.
Although it is occasionally slightly off the mark (e.g., "Werke in Khotanisch sind
ausschliesslich an der Siidroute bewahrt" (p.433), see: O. SKJAERV0: "Khotan: An
Early Center of Buddhism in Chinese Turkestan," Buddhism across Boundaries, ed.
J.R. MACREA & J. NATTIER, Taipei 1999, p. 288) or fails to convey the full historical
complexity (e.g., "Die Sogder hatten ... ein Netzwerk von Handelsposten 'von
Sarmarkand bis weit nach China hinein aufgebaut" (p. 434), see N. SIMS-WILLIAMS:
"Sogdian Merchants in China and India", Cina e Iran, ed. A. CADONNA & L.
LANCIOTTI, Firenze 1996, p. 56), HARTMANN's presentation is nevertheless a most
welcome synopsis of that particular avenue of text-based research.
The essay on Buddhism in mainland South-East Asia is predominantly historical in
character, tracing its spread from the 3rd to the 13th century among the Pyu, Mon,
Cham and Khmer people in Burma, Thailand, South Vietnam and Cambodia. Like the
preceding geographic chapters, it abounds with a wealth of insightful observations,
offering a balanced and informed summary of key developments. While I am not in a
position to evaluate the detail of MABBETT' s account, it possesses the hallmarks of a
well-researched, reliable treatment, where data from a wide variety of sources,
including archreological, epigraphical, historical and literary, is circumspectively woven
together, to produce an account that is both perceptive and thoughtfully argued. In spite
of the contribution's predominantly historical perspective, MABBETT also managed to
include a sizable amount of information about prevailing Buddhist beliefs and practices
in the region. His bibliographical references are generally up-to-date and reflect current
research. I would only recommend the following articles, recently published by Peter
SKILLING, for inclusion: "The Advent of Theraviida Buddhism to Mainland South-east
Asia", JIABS 20.1 (1997): 93-107; "A Buddhist inscription from Go Xoai, Southern
Vietnam and notes towards a classification of ye dharmil inscriptions", 80 pi
silstrilcilry' dr. nagara: ruam pada khwam vijilkilra dan charuk lae
[80 Years: A collection of articles on epigraphy and ancient documents
published on the occasion of the celebration of the 80th birthday of Prof. Dr. Prasert
Na Nagara], Bangkok, 21 March 2542 [1999], 1999, pp.171-87; "New Pilli
Inscriptions from South-east Asia", Journal of the Pali Text Society XXIII (1997):
123-57.
The final chapter deals with Buddhism on the Indonesian archipelago and Malayan
peninsula. It covers four major aspects: Buddhist monuments of Central Java
(pp.475-8), Sivaism and Buddhism from the 10th to 16th century (pp.479-84),
Buddhist doctrines and beliefs (pp.484-91) and Buddhism in Bali (492-6). Although
ENS INK has gone to. some lengths to provide an overview of historical, doctrinal and
architectural developments in the region, his contribution suffers from structural
imbalances and the reliance on dated research. Repeatedly, he supplies (sometimes in
astonishing detail) information that is peripheral to developments while certain key data
PAGEL 133
is insufficiently explored. For example, almost three pages are devoted to the icono-
graphic detail of Borobudur (pp.475-78), but no chronological framework of its
construction is proffered. Also his analysis of the relationship between Sivaism and
Buddhism in Java (based on an article published by ENSINK in 1978) is needlessly
detailed, taking uP. almost a third of the chapter. On the other hand, local Buddhist
beliefs, containing several variant concepts, should have been examined in greater depth
(e.g., the correspondence between the apramiilJa and a set of catur piiramitii (p.487)
or the Javanese perception of liberating insight (p.487)). In its present form, this
section is unsatisfactory since it raises potentially interesting issues without context or
explanation. ENSINK's bibliographic references cover mainly research published in the
1960s and 1970s, although some more recent materials are also included. In sum, while
containing much useful information, because it is disjointed, unbalanced and somewhat
dated in its presentation, this chapter fails to convince as a piece of scholarly research.
Finally, I wish to offer a few remarks about the overall production of the book.
Although more than 500 pages in length, and replete with technical terms from a range
of different languages, it is virtually free from typographical errors. It is however
tainted by a series of mistakes in the internal page-referencing, particular notable in
KIEFFER-PULZ's contribution. This was probably brought about by last-minute
adjustments in the running pagination, since the discrepancy amounts invariably to
three pages. The volume concludes with a ten-page Index prepared by K.H. GOLZIO.
While useful as a general navigating tool, a publication of this breadth and depth would
have deserved a more sophisticated point of access. For example, the index tells us that
the Buddha is referred to on more than 100 pages (which is hardly surprising in a book
on Buddhism) while many technical terms and a few key texts are not listed at all (e.g.,
paratantra, sarfrapiijii, apramiilJa, KiiSyapaparivarta, Pratyutpannabuddha-
saf(lmukhiivasthita-samiidhi-siitra, etc). Nor has the content of the footnotes (almost
1000 in number) been included. Some technical terms are listed separately purely on the
basis of spelling errors in the main body of the text (e.g., saf(lvrtti(satya) (sic) and
saf(lvrtisatya).
If we now take stock and examine whether Der Buddhismus I has met its objective
and provides "eine neue Gesamtdarstellung, die in erster Linie den inneren
Zusammenhang der einzelnen Formen des Buddhismus beriicksichtigt" we are left with
very mixed feelings. On the one hand, the book is a clear advance over the previous
publications in the series since it contains many sophisticated contributions that convey
not only a good picture of modern research but also introduce several new ideas. While
some of these ideas are controversial and unlikely to withstand the test of time, others
may well receive general recognition. In this sense, it is a valuable addition to German-
language publications on Buddhism. On the other hand, due to weak editorial
management, occasionally accentuated by an overly narrow focus by the authors, the
integrative objective to extrapolate the connections between the various forms of
Buddhism remains largely unfulfilled. The individual chapters, obviously conceived in
isolation from each other, contain few traces of intellectual cooperation and, as a result,
fail to bring out the religio-cultural dynamics that propelled Buddhism across Asia for
almost two millennia.
ULRICH PAGEL
The International Association of Buddhist Studies
Treasurer's Report 2000
Beginning Balance CHF 13'063.80
Income
Due and Subscriptions, Back Issues and Donation
Expenses
Printing vol. 22.1-2
Printing vol. 23.1
Postage vol. 22.1-2
Postage vol. 23.1
Subtotal
Typesetting vol. 22.1-2
Typesetting vol. 23.1
Office Costs
Postage
Bank Costs
Returned Checks & Fees
Subtotal
Total
Final Balance
Comments
CHF 64'497.30
CHF
CHF
=USD
(39'621.57)
37'939.53
22'317.37
USD 8'926.81
USD 3'957.65
USD 1 '584.87
USD 1'027.74
USD 15'497.07
CHF 26'345.01
CHF 7'620. -
CHF 3'600. -
CHF 138.25
CHF 1'734.15
CHF 61.75
CHF 122.41
CHF 13'276.56
39'621.57
The report has been drawn up in Swiss francs, the final balance being then converted
into US dollars. The figures should be interpreted as follows:
The number of members in the IABS has noticeably increased. Several members
paid their dues for two or sometimes three years in advance. The positive balance is
thus not to be taken as simply an annual result. Part of the reason for the favorable
financial results was the fact that we, in Lausanne, were able to have the back issues of
the JIABS. The available full sets of back issues were sold virtually immediately.
The Elisabeth de Boer Fund of the University of Lausanne paid the salary of a part
time assistant; the University provided the necessary workspace and infrastructure.
Lausanne, July 3th 2001
Signed: Cristina Scherrer-Schaub

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