JIABS 16-2

J oumal of the International Association of

Buddhist Studies

Volume 16 It Number 2 • Winter 1993

JAMES HEVIA

Lamas, Emperors, and Rituals:Political Implications in Qing Imperial Ceremonies 243

LEONARD W. J. V AN DER KUIJP

Two Mongol Xylographs (Hor Par Ma) of the Tibetan Text of Sa Skya Pal}<;lita's Work on Buddhist Logic and Epistemology 279

PER KVAERNE

Recent French Contributions to Himalayan and Tibetan Studies 299

TODD T. LEWIS

Contributions to the Study of Popular Buddhism: The Newar Buddhist Festival of GumIa Dharma 309

JOHN C. HUNTINGTON

A Re-examination of a Kani~ka Period Tetradrachm Coin Type with an Image of Mttrago/Maitreya on the Reverse (Gobi 793.1) and a Brief Notice on the Impor­tance of the Inscription Relative to Bactro-Gandharan Buddhist Iconography of the Period 355

RODERICK S. BUCKNELL

Reinterpreting the Jhiinas 375

The Journal of the interfUltional Association of Buddhist Studies (ISSN 0193-600XX) is the organ of the International Association of Buddhist Studies, Inc: It welcomes scholarly contributions pertaining to all facets of Buddhist Studies. nABS is published twice yearly, in the summer and winter.

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© 1993 by the International Association of Buddhist Studies Inc. The editor gratefully , acknowledges the support of the Centerfor Chinese Studies and the Department of Asian Languages and Cultures of the University of Michigan.

EDITORIAL BOARD

Donald S. Lopez, Jr. Editor-in-Chie!

Robert Buswell Steven Collins

Collett Cox Luis O. G6mez

OskarK.von Hinliber Padmanabh S. J aini

Shoryu Katsura Alexander Macdonald

D. Seyfort Ruegg Ernst Steinkellner

Erik ZUrcher

Editorial Assistant Alexander Vesey

Contributors to this issue:

RODERICK BUCKNELL is Senior Lecturer in Eastern Religions in the Department of Studies in Religion at the University of Queensland, Australia. His major research interest is Buddhist meditation.

JAMES L. HEVIA is Assistant Professor in the Department of History at North Carolina A & T University, Greensboro, NC. He has pub­lished articles on ritual and history, Euro-American representations of China, and is currently completing a book on the 1793 Macartney em­bassy to China entitled Cherishing MenfrOln Afar (Duke University Press).

JOHN C. HUNTINGTON is Professor of Art History at The Ohio State University. His primary research areas are Buddhist art and iconography. He is currently working on the Gandhara, Indonesia, and Himalayan/Tibetan volumes of his Encyclopedia of Buddhist Iconography.

PER KV AERNE is Professor of History of Religions and Tibetology at the University of Oslo. His is a member of the Norwegian Academy of Science, Secretary-general of the International Association for Tibetan Studies, and Editor of Acta Orientalia.

TODD T. LEWIS is Assistant Professor in the Department of Religious Studies at the College of the Holy Cross in W orchester, Massachusetts. He is the author of numerous articles on Buddhism in the Kathmandu valley.

LEONARD W. J. V AN DER KUI.TP is Associate Professor in the Department of Asian Languages and Literatures of the University of Washington. He is currently preparing a history of the Yar rgyab faillily and a study of the background of Bu ston's History.

JAMES HEVIA

Lamas, Emperors, and Rituals: Political Implications in Qing Imperial Ceremonies

... meaning is always, to some extent, arbitrary and diffuse ... social life everywhere rests on the imperfect ability to reduce ambiguity and concentrate power. ... there is no basis to assume that the histories of the repressed, in

themselves, hold a key to revelation ... the discourses of the domi­nant also yield vital insights into the contexts and processes of which they were part.

Comaroff and Comaroff 1990, 11, 17.

In the "Lama Temple" of Peking, the Yonghe Palace, are two stone inscriptions attributed to the Qianlong emperor, Hongli, each of which is carved in Chinese, Manchu, Mongol, and Tibetan on the four sides of large stone blocks. Their subject is Buddhism, but the difference and discursive distance between them signify two poles of a contradiction that animates much of the history of relations between Tibetan and Mongol lamas and Qing emperors. l My purpose here is to consider this contradiction as an historical artifact of extreme ambivalence, a vacillation which, in the case of the Qianlong emperor, highlighted the complexities of maintaining Manchu hegemony over much of Inner Asia

The first of these inscriptions was written in 1744. It dedicates the

I wish to thank Ronald lnden, Mark Elliot, Stephen Shutt, Bruce Doar, Evelyn Rawski, Susan Naquin, Chia Ning, Ruth Dunnell, Elliot Sperling, and Judith Farquhar for comments and suggestions on earlier versions of this paper. l. For translations of each of the inscriptions see Lessing 1942, 9-12 and 58-62. It should be noted that his translations appear to be composites of the four versions. LeSSing does not reproduce original language versions of these inscriptions, only a difficult to decipher photograph of the Lamashuo. How­ever, photographs of each of the inscriptions in their multiple versions can be found in Franke and Laufer 1914.

243

244 JIABS 16.2

Yonghe Palace as a Buddhist temple to HongH's father, the Yongzheng emperor. In it the emperor speaks as a "filial son, the pious friend of priests, a Chinese Asoka Dharmaraja" (Lessing 1942, 61-62), indicating that his father has realized nirvaI).a and achieved the highest form of enlightenment (Farquhar 1978, 32). From this inSCription and other sources it is easy to develop an image of Qing emperors as "perfect Buddhist monarchs, grand patrons of the True Law, and bOdhisattvas" (Farquhar 1978,22).

The second inSCription is entitled Lamashuo (pronouncements on Lamas). 2 Once characterized by LeSSing as the composition of a disap­pointed old man "full of acrimony and acerbity" (1942, 62), the text was written by the Qianlong emperor in the wake of the second campaign to expel the Gurkhas from Tibet (1792). It conveys quite another message. Speaking in a voice of authority, 3 the emperor presented his own ver­sion of the historical relations between the Yuan, Ming, and Qing royal houses and Tibetan and Mongol religious hierarchs, one that served to justify his decision to impose a new selection process for "incarnated" lamas such as the Dalai Lama and the Mongol Rje btsun dam pa Khutukhtu.

Those who have drawn attention to these stelae have tended to inter -pret them in one of two ways. The first is to see them as indicating the manipulative aspects of Qing treatment of the religious beliefs of others.

2. I have consulted two printed versions of the Lamashuo, one in the Weizang tongzhi (Gaz~tteer of Tibet, hereafter cited as WZ1Z),1, 23-26, one found in the Shiwen shichuan ji (Poems and Prose on the Ten Great Cam­paigns of the Qianlong Era), 1962, 674-676, as well as Lessing's translation of the text from the stele. While there are clear variations between these ver­sions, my use of the inscription focuses on their commonalties.

The possibility of different content appearing in the four languages in which inscriptions like the Lamashuo are rendered has recently been discussed by Elliot 1992 with respect to a variation noted by Lessing in the Manchu version (1942, 61). According to Elliot, in the Manchu text the emperor de­fended himself against criticism by some Chinese officials over his dabbling with Tibetan Buddhism. Hongli added that if he had not studied Buddhism, there would not now be peace in Inner Asia (1992, 26-27). 3. While Lessing's characterization of the tone of voice to be found in this text is interesting, I would suggest that it is also consistent with the imperial voice in texts discussed by Crossley 1990, and Zito 1987. Crossley finds clear affinities to the kaozheng tradition that animated many of the other text projects of the Qianlong era. Zito adds that in the case of the Hongli inscrip­tion she deals with, the emperor positions himself, much as he does in the Lamashuo, as the singular authority on the subject at hand. On kaozheng see Elman 1984 and Guy 1987.

JAMES HEVIA 245

The second is to argue that in fact early Qing emperors were true believ­ers in Tibetan Buddhism, but because of political exigencies in China, had to hide their religious convictions.4 While either of these interpreta-

. tions has certain explanatory power for understanding the degree to which emperors were involved with Tibetan Buddhism, they each tend to obscure a central contingency of Inner Asian politics. In order to have any influence in the region, Manchu emperors had to address Tibetan Buddhism whether they believed in it or not. Perhaps more importantly, they had to do so in an idiom that was already well estab­lished throughout the region. Their successes at incorporating Inner Asia into their multi -ethnic empire were just as much a result of master­ing this idiom, of "reducing ambiguity" and concentrating power in the form of discursive authority, as it was of their military might and admin­istrative acumen. 5

One possible way of explaining the forces at work in Tibetan­Mongol-Manchu relations is to draw on the tribute system model of "traditional Chinese foreign relations" (Fairbank 1942, 1948; Fairbank and Teng 1941). The limitations of this approach have, however, become increasingly clear. For example, in his now classic formulation of the tribute system, Fairbank had argued that its "secret" lay in the fact that it had become a "vehicle for trade" (1948, 132). Yet in the situa­tions that will be discussed here, trade does not seem to be a factor. Moreover, Fairbank's later modifications to the content and purpose of the system (1968) offers very little guidance for or explanations of rela­tions between Qing emperors and Tibetan and Mongol Buddhist hier­archs. This is especially the case when we recognize that the Qing emperors were not Chinese rulers, that their empire included more than China, and that these same emperors appear to have been actively engaged in Tibetan initiation rituals and in the cult of the emperor as bodhisattva.6

4. Lessing and Farquhar tend to come down on the side of the first argu­ment. See Chia 1992, 207-208 for a review of this position and additional sources. Grupper 1980 and 1984 and Sperling 1983 see the emperors they discuss as believers in Buddhism. One might add parenthetically that while it has long been a creed among historians that superior Chinese civilization sinicized the Manchus, few have asked whether the Manchus were true be­lievers or cynical manipulators of Confucianism. 5. On the military and administrative consolidation of Qing control in Inner Asia see especially Fletcher 1978a-b as well as other sources on the region cited in this section. 6. Scholars who have recently sought to retain some usefulness for the trib-

246 JIABS 16.2

Another way of proceecling might be to see these relationships as ones in which the various parties attempted to encompass and include others in their own cosmologies ti'rrough joint participation}n rituals of inclu­sion and transformation. So, for example, Qing emperors frequently attempted, through audience rituals, to establish with lamas relations of the kind that obtained between a supreme lord (huangdi) and a lesser lord (Janwang ),7 and thereby negate any claims by lamas to superiority. But even this gesture was not without ambiguity. At the same moment they attempted to include lamas in their emperorship as if the latter were worldly lords, emperors also sometimes clistinguished them from the category of fanwang (see below on the Khalkha submission to the Qing).

For their part, Tibetan lamas and Mongol hierarchs sought at various times to assert a long-standing Buddhist view which placed the lama as the intellectual/spiritual superior of a lord of the "mere" earth. In this relationship, usually referred to as that of lama and patron (T. mchod

ute system model have at the same time questioned its applicability to spe­cific historical circumstances; see, for example, Rossabi 1983 and Wills 1984, 1993, 102. Interpretations that do not exclusively rely on the tribute system, but rather point to supposedly long-standing policies from one dynasty to another, such as the principles of divide and rule, using barbarians to manage barbarians, etc. would also have difficulty accounting for imperial interest in Tibetan Buddhism and bodhisattvahood. See, for example, Yang 1968, 20-33. On Inner Asia see sources cited in Grupper 1984. Farquhar 1978, Jagchid 1974, and Rahul 1968-1969 tend to problematize the tribute system hypothesis. Few, however, have been willing to abandon it com­pletely. For other critical engagements with the tribute system model see Hevia 1989; Hevia, forthcoming; and Farquhar and Hevia 1993.

On the problems the Manchus as well as other conquest dynasties pose for transhistorical categories such as the tribute system it is perhaps worth recall­ing that Lattimore (1962, 77) long ago drew attention to the propensity of Euro-Americans to speak of the Chinese empire, when in fact under such dynasties, China formed only a part of these empires. Much of the argument for maintaining China-centered terminology pivots on the notion of siniciza­tion. Crossley 1990 has raised serious questions about the sinicization of the Manchus. 7. See Hevia 1989 on supreme-lesser lord relations and their link to the rela­tionship between the cosmos and the emperor. In cosmological terms, the relations between supreme lord and lesser lord were caught up in the produc­tion of imperial virtue (de). The idea here seems to have been that as virtue extended outward into the world, it resonated with attributes common to all humans.·· In the lesser lords, it reoriented and attracted them toward the Imperial source of virtue, to, as many sources have it, "sincerely face toward transformation" (shanghua zhi cheng). For further elaboration see the section below on imperial audiences.

JAMES HEVIA 247

yon), the lama claimed to command superior spiritual powers. As such he could recognize a lord, including an emperor, as a cakravartin king, instruct him in Buddhism, initiate him into tantric mysteries, and receive offerings .from him for sustenance of the sect. The patron, in tum, would be expected to accept a position as inferior, protect the lama, seek his teachings, and promote Buddhism in his (the patron's) domain.8 In either case-supreme-Iesser lord or lama-patron-the relationship was hierarchical, with one party assuming the position of a superior, the other of an inferior.

The differences evident here between the relations of supreme-lesser lord and lama-patron draws attention to the multiple forms of power present in the Qing empire. It also suggests that imperial hegemony was itself a continuous undertaking; there was always that which resisted or deflected Qing management and control, always counterdiscourses emerging to either challenge or evade the projects of the Manchu imperiurn.9 In a sense, therefore, Qing emperorship was itself a continu­ing achievement, one that, among other things, involved the inclusion of the strength of other rulers and significant personages into the powers of the supreme lord.

In order to elucidate more clearly the stakes of these struggles for lamas and emperors, I will focus on accounts of encounters between them in various sites selected by the Qing court. Since the court hosted these meetings, they were organized around principles of Guest Ritual (binli) and imperial audiences (chaojian). Scholars have long acknowl-

8. Ishihama 1992, 507, notes that when granting titles the lama was the clear superior to an eruthly lord. Much the same could be said of the other rela­tions between lama and lord referred to here. Ruegg 1991 provides the most detailed study of Tibetan lama-patron relations. He also argues that it is mis­leading to see the relationship in terms of oppositions between secu­lar/spiritual and profanelreligious (450), but as historically variable. For example, the Dalai Lama might be conceived as a Ruler-Bodhisattva, and Dharma-kings or Cakravartin-Sovereigns as manifestations of bodhisattvas.

For a discussion of cakravartin rulership see Tambiah 1976, 39-53 and La Vallee Poussin 1988, 2, 484-487. Cakra or wheel refers to the king's chariot rolling in the four directions defining the kingdom. Depictions of the Qianlong emperor as the Bodhisattva Mafijusn have him holding a wheel in his left hand. See Farquhar 1978, 7, Kahn 1971, 185, and Palace Museum 1983, 117. 9. Much of the work on popular culture in China directs attention to the diversity of beliefs and practices in the late empire. See Naquin 1985 and other articles in the same volume, Esherick 1987, and Kuhn 1990. For a discussion and analysis of the construction of orthodoxy in Qing China see Zito 1987.

248 JIABS 16.2

edged that imperial ritual and ceremony occupied an important place in the establishment and continuation of Chinese dynasties. Just what the role of ritual might have been in the reproduction of monarchical order in imperial China is, however, far from evident, particularly in light of recent critiques of instrumental, representational, symbolic, and theatrical interpretations of ritual ( cf. Bell 1992).10 Recent research and theoretical developments have also called into serious question methodologies which separate "beliefs" from "reality" and then attempt to resolve the resulting contradictions imputed to historical subjects in functional, symbolic, or expressive terms (see Skorupski 1976; Sperber 1975; Taussig 1987; and Thompson 1986). As a corrective to earlier treat­ments of Qing imperial ritual, I intend to treat ceremonial audiences as constitutive, rather than representative of, hierarchical political relations between the Manchu imperium and Tibetan or Mongol religious hierarchs. I I

Before proceeding to an exploration of the political work that ritual does, however, a few words are in order about the nature of this study. The methodology I adopt begins by reading across a disparate collection of historical materials about meetings between lamas and emperors, and about ritual practices. Rather than simply seeking facts about encounters and ceremonies, I am concerned with the disjunctions, contradictions, ambiguous presentations, claims, counter-claims, assertions, and refuta­tions to be found in many of these materials. The differences and het­erogeneity evident in these sources are, however, only one aspect of their interest. Equally Significant are the many forms of signifying prac­tice they embody: writings on paper, writings on stone, writings informed by and sometimes commanding history, writings inspired by the capacities attributed to incarnate beings, bodily practices in imperial audience, bodily practices in meetings between incarnate beings and others, and bodily practices in tantric initiation rituals. My purpose is

10. See for example the following, all of which treataudience ritual as func­tional, symbolic, or expressive, Fairbank 1942; Jochim 1980; Mancall 1968, . 1971; Pritchard 1943; and Wills 1984. 11. These considerations of hierarchy and its connection to the ceremonial construction of relations of power are not novel. They draw on more general sociologies such as Dumont's classic study of hierarchy in India (1970), Bourdieu's studies of social practice and bodily disposition (1977), and later critical engagements with the work of each of these scholars (e. g., lnden 1990 and de Certeau 1984). These writings enable readings of rituals that are sensitive to and find real political significance in the movement, location, and concrete dispositions of time, space, and bodies in ritual practices.

JAMES HEVIA 249

not to present a comprehensive history of lama-emperor relations, nor is it to open new sources on these subjects. Drawing on a variety of pre­vious work, I offer what I hope will be understood as a nuanced reading of things long known, things which to date have been separated by dis­ciplinary boundaries and the division oflabor symptomatic of area stud­ies. I claim no particular expertise beyond my own research on Qing imperial ritual, only an ongoing fascination with power and its constitu­tion in the practices considered here. If there is a virtue in this sort of work it lies in its eschewing of historiographic naturalism; it is itself a made object, one which draws attention to its own manufacture and to the inventiveness of the sources it considers.

Qing Emperors and Tibetan Buddhism Qing emperors were involved in Tibetan Buddhism to a degree that is seldom acknowledged. This interest went beyond simply conceding the importance of Buddhism for the empire's subjects and included, for example, the construction of monasteries, the launching of military cam­paigns that during Qianlong's reign helped to extend the dominion of the Dge lugs pa sect (e. g., Martin 1990), and the participation of emperors in tantric initiation rites. The depth of this involvement may be accounted for by a variety of factors. As the Qianlong emperor pointed out in his Pronouncements on Lamas, Qing interest in Tibetan Buddhism had to do with the fact that important relations had previously existed between the Yuan and Ming dynasties and Tibetan lamas from Inner Asia. In the case of the Yuan, a lama-patron relationship was forged between Khubilai Khan and the lama 'Phags pa of the Sa sky a pa sect. During the early Ming period the fifth Karma pa Lama visited the court of Ming Chengzu (the Yongle emperor) in 1407. In both cases emperors bestowed titles on the lamas and lamas bestowed tantric initia­tions on emperors. In the Ming case, Tibetan sources add that the lama recognized the emperor and empress as the incarnations of Maiijusrt and Tara. 12

In addition to these historical affiliations between Tibetan Buddhism and the two dynasties that preceded the establishment of the Qing, the Manchu ruling house was perennially concemed with the possibility of

12. On Yuan relations see Franke 1978 and 1981, Rossabi 1988, and Richardson 1984, 34. On the Karma pa Lama's visit to Peking see Sperling 1983, especially 80-99 and Wylie 1980. On Tibetan incarnation see Wylie 1978. On Mafljusn see Lamotte 1960.

250 JIABS 16.2

the re-emergence of a Mongol kingdom in Inner Asia that might chal­lenge its own pre-eminence (Rossabi 1975 and Petech 1950).13 Such concerns existed before the fonnal inception of the d),nasty in China and were fueled by more than simply the fact that some Mongol Khans refused to submit to Manchu overlordship. Among other things, only a few decades before Nurhaci began to consolidate the Manchus, Altan Khan and the third Dalai Lama had met in Mongolia and, invoking the relationship between 'Phags pa and Khubilai Khan, forged a lama­patron relationship (Bawden 1968, 29-30 and Rossabi 1975, 118). Matters were further complicated when in 1639 the Tilsiyetti Khan, Gombodorji, had his son, later entitled by the fifth Dalai Lama as the Rje btsun dam pa Khutukhtu, accepted by the Khalkha Mongols as an incar­nate lama. According to Bawden (1968, 53-54), the Khan's purpose here may have been to provide a counter force to the power of the Tibetan Dge lugs pa sect, while at the same time hedging against a potential alliance between the Tibetans and the newly declared Qing dynasty of Hung Taiji (Abahai). For their part, the Manchu rulers seemed to have been intent on preventing either the Dge lugs pas or the Khalkha khutukhtu from providing a focal pOint for Mongol restora­tionists (Grupper 1984,51-52).

With the founding of the Qing dynasty the triangular relationship between Manchus, Mongols, and Tibetans became more elaborate. The Dalai Lama and occasionally the Rje btsun dam pa Khutukhtu acted as if they themselves were rival lords. They invested, entitled, and provided seals for Mongol Khans, arbitrated disputes between Khans, and, like emperors and Khans, received and dispatched embassies, commanded populations, and in some cases even armies (Bawden 1968, 31, 34,48-50, and 63-69; Ishihama 1992; Rossabi 1975, 112-114, 119; and Ruegg 1991,450). In addition, each of these lamas was regarded as an incar­nate bodhisattva, the Rje btsun dam pa Khutukhtu, Vajrapa1).i and the Dalai Lama, A valokitesvara, two bodhisattvas who, with MafijusrI, fonned atriumvirate. These celestial bodhisattvas embodied the univer­sal totality of the three aspects of the Buddha-power (Vajrapa1).i), com­passion (AvalokiteSvara), and wisdom (MafijusrI). It is perhaps not so surprising, therefore, that a cult of the emperor as the bodhisattva

13. Here it is useful to follow Crossley's distinction (1990) between the dynastic house and the Manchu clans in general. This is particularly the case in the Qianlong era when Manchu-ness was literally constituted by order of the emperor. See Crossley 1987, which admittedly does not draw the same conclusion I have here.

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Mafijusn would emerge under the early Qing emperors. At the same time that Manchu emperors showed concern over the

activities of lamas and khutukhtus, they also demonstrated a keen inter­est in Tibetan Buddhism. Beginning with Nurhaci, emperors promoted the cult of specific deities, such as Mahakala, in Shenyang and later Peking. Hung Taiji built temples to MahakaIa and KaIacakra in Shenyang. The Kangxi emperor constructed Buddhist temples at Rehe, and his grandson the Qianlong emperor built reproductions of the Potala and the Panchen's residence at Tashilhunpo at the same site. Qing emperors also altered or embellished existing structures in Peking, of which the Yonghe Palace is only one example. 14 In addition, the Qianlong emperor authorized monumental translation and text editing projects of the Buddhist canon. I5 Qing emperors also joined with Tibetan and Mongol Buddhist hierarchs in the promotion of the cult of Mafijusrlon Mount Wutai. 16 It also seems significant that emperors were willing to accept names and titles such as the bodhisattva Mafijusri and cakravartin king (Farquhar 1978) and receive consecrations from Tibetan Buddhist lamas (Grupper 1980 and 1984).

Emperors may also have been drawn to Tibetan Buddhism because. lamas possessed extraordinary magical powers. At one end of the spec-

14. Franke 1981, 308 and Grupper 1980 and 1984 discuss the link between Mongol rulership and MahakaIa. On temple construction at Rehe see Qi 1985. Other examples of temple restoration and patronage include those to Mahakala and Yamantaka which bracket the imperial palaces in Peking, see Arlington and Lewisohn 1935, 82, 127-128. The Kangxi emperor also recon­structed temples on Mount Wutai, see Gimello 1992, 134. The promotion of Buddhism at the center of Qing power in China may account for the curious claim made by Buddhist monks to Lessing in the 1930s. They told him that the Supreme Harmony hall (Taihe dian), the fIrst of the audience halls in the "Forbidden City," was a maI)<;lala for Yamantaka (1976,89-90). 15. Other examples of Manchu involvement in Tibetan Buddhism from Nurhaci to Hongli abound. According to Grupper (1984, 57, 73), the Kangxi emperor acknowledged the close tie between the Qing royal house and Tibetan Buddhism when he enfeoffed the fIrst Lcang skya Khutukhtu. The site of the fIef was appropriately enough Dolonnor; the enfeofflng document asserted a relationship between Khalkha submission and the patronage of Tibetan Buddhism by Nurhaci and Hung Taiji. Also see Jagchid 1974, 44. The Yongzheng emperor also patronized Buddhism, although according to Hummel (1943, 918), he was more interested in Chan. 16. On Wutai see Farquhar 1978, 12-16; on lamas and emperors at Wutai see Bawden 1961,58, Hopkins 1987,28-29, and Pozdneyev 1977, 336. On the basis of these and other examples, Grupper argues that the early Manchu kingdom was "indistinguishable" from those of Mongol Khans (1984, 52-54, 67-68). For the earlier history ofWutai and MafijuSri see Gimello 1992.

252 JIABS 16.2

trum of such magical capacities were levitation, self -dismemberment and fe-union (Das 1881, 159), and supernatural powers of perception. Mongol sources record, for example, that when the Rje btsun dam pa Khutukhtu visited the court of the Kangxi emperor, cthe emperor repeat­edly tested and attempted to trick him. The Khutukhtu saw through each of these ruses, revealed the subterfuge, and delighted the emperor with his powers in the process (Bawden 1961, 51-56, Pozdneyev 1977, 333-334; on the powers of enlightened beings see Bhattacharyya 1980, 88-90).

At the other end of the spectrum was the ability oflamas to command the powers of celestial beings in order to influence events on earth. For example, the biography of the Lcang skya Rol pa'i rje (1717-1786) records how he performed a ritual on Mount Wutai that launched bolts of fire onto a battlefield hundreds of miles away where Qing forces were engaged in a campaign against the Jinchuan "rebels." Lcang skya's intervention not only carried the day for the Qing, but aided in the eventual suppression of the uprising and spread the Dge lugs pa sect into re gions where it had hitherto been marginal or non-existent (Martin 1990).

The supernatural powers of lamas might have had other significance as well. Some sources note that Tibetan lamas of the Sa skya pa sect vied at displays of magical power with shamans at the Yuan court (e. g., Heissig 1980,24,36 and 1953,514). These particular powers appear to have been closely aligned with lamas' medical knowledge, a factor that. may also have brought them into confrontation with Mongol shamans. Whatever the case, in the famous second conversion of the Mongols to Buddhism in 1578, shamanism was reported to have been forbidden and shamanic idols replaced by images of the Buddha and various other deities. I? Given the potential for conflict in matters where the powers of Tibetan lamas and those of shamans overlapped, one might well ask if lamas provided a convenient counter-balance to shamans at the Yuan and Qing courts. 18 Perhaps the promotion of the cult of Mahakala by

17. Heissig 1980, 27, 36, Bawden 1968, 32-33, and Ahmad 1970, 88-99. Shamanism did not, of course, disappear among Mongol groups as a result of this meeting between Altan Khan and the Dalai Lama. 18. Recent work in China among contemporary Manchu shamans is very suggestive on this count. In interviews conducted by Wulaxichun (1986, 104-106), a story about the Nudan shaman indicates rivalry between lamas and shamanism, with the shaman triumphing over the lama. Here I follow the text of a story in Chinese and a translation by Shi Kun (n.d.). For

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Qing emperors not only incorporated aspects of Tibetan Buddhism and Mongol rulership into Manchu emperorship, but undermined the powers of shamans within the Manchu clans.

One of the more obvious of such incorporations which relates directly . to the question of emperorship was the promotion of the Manchu ruler as the bodhisattva MafijusrL 19 Various Tibetan works, for example, "urged consecrated sovereigns to adopt the twin goals of Bodhisattvahood and universal dominion" (Grupper 1984, 49-50). Equally compelling are those aspects of Buddhist notions of divine rulership which seem to make a link between the bodhisattva Mafijusri and a cakravartin king. According to Snellgrove, there had been from very early on in Buddhism an association of rulership with Mafijusri. The Mafijusrimulakalpa, for example, notes that in constructing a maJ;l<;lala for the deity" ... the great cakravartin-chief is placed at the center. He has the colour of saffron and is like the rising-sun. He holds a great wheel which is turning ... He is like a great king with his palace and his decorations, a great being who is crowned and adorned with all adornments" (Snellgrove 1959, 207). While this description may be usefully compared to the various pictorial representations of the Qianlong emperor as a bodhisattva (color reproductions show him in saffron robes holding the wheel), it extends, more importantly, the range of possible meanings for imperial interest in Tibetan Buddhism.

For example, consider some of the implications of daims that Manchu emperors were involved in Tibetan initiation rituals (see below for further discussion). This issue is especially important because it seems just as plausible to assume that emperors could have achieved the sort of political manipulations of Buddhist populations with which they are

accounts that demonstrate a lama's superior powers to those of shamans, see Reissig 1953, 521-526.

Whether or not Tibetan Buddhism was used to check the power of shamans, it is interesting to note that by the time of Qianlong's reign shamanism seems to have been in serious decline. See Crossley 1987 and 1990 for imperial sponsored efforts to revive it. Rossabi (1975, 114, 118) has argued that championing the spread of Buddhism and the suppression of shamanism was a device used by various khans to achieve hegemony over other Mongols. Bawden (1968, 178-179) notes a continued opposition between Buddhism and shamanism among Mongol groups in the early part of this century. 19. While it seems to be the case, at least in Chinese sources, that Qing emperors did not claim to be the incarnate bodhisattva Mafijusrl, they also seem to have done little to discourage others from making the claim on their behalf. See Farquhar 1978.

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often charged simply by patronizing Buddhism from a distance. It was not, in·other words, necessary for them to participate in these rituals to benefit from being identified with Buddhism. 20

What then could have been the motive of Manchu emperors? One explanation may have to do with the promises implicit in the ritual tech­nologies of some tantIic teachings. They offered the possibility of achieving buddhahood in a single lifetime, rather than through eons of rebirth (Snellgrove 1987,236). Of great significance in this regard was the knowledge certain lamas commanded for the construction of m~<;lalas and for the initiation of others into rites that allowed them to achieve buddhahood. Seen from this position, HongH's paean to his father seems less problematic and later reports, such as those by Lord Macartney, that Hongli himself had achieved buddhahood less peculiar (see Cranmer-Byng 1963, 136,232).

By the time of the reign of the Qianlong emperor certain changes in lama-emperor relations had occurred. The Sa skya pa sect that had close affiliations with Nurhaci and Hung Taiji seems to have been down­graded; in its stead was the Dge lugs pa sect. Of particular interest in this respect was the association between the Qianlong emperor and the Mongolian scholar and Dge lugs pa adept, Lcang skya. 21 The latter's career seems worth reviewing both because of his association with tre emperor and because it spans the period that separates the young from the old Hongli, the earlier and later inscriptions at the Yonghe Palace.

Lcang skya studied Manchu, Chinese, and Mongolian at the court of the Yongzheng emperor, where he became close friends with a class -mate, the emperor's fourth son, HongH. In the early 1730s, he jour­neyed to Tibet, studied with the Dalai Lama, and was ordained by the Panchen Lama in 1735. In addition to placing his magical powers at the

20. In his generalizations about the nature of Buddhist rulership, Tambiah points out that the major responsibility of the patron in a lama-patron rela­tionship was to preserve and nourish the Three Jewels, thus creating a field in which merit could be made by all living beings (1976, 41). This suggests that one attribute of a cakravartin was his ability to constitute such a field in a relationship with a lama. 21. He appears in Qianlong era Chinese sources as Zhangjia Hutuketu and was the second incarnation, the first having been enfeoffed by the Kangxi emperor. In some English language sources he is referred to as the "Grand Lama of Peking." Cammann (1949-50, 10-11) says he was commonly

. known as Lalitavajra, Sanskrit for the Tibetan, Rol pa'i rdo rje. Rockhill (1910, 47) presents Leang skya as an agent of the Panchen Lama. Also see Turner 1800, Appendix 4; Hedin 1933,94-127; and Das 1882; 29-43.

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servite of the Qianlong emperor, Lcang skya was also involved in translating Indian commentaries and tantras from Tibetan into Mongol and Manchu; teaching Hongli Tibetan and Sanskrit; establishing

. colleges (1744) for the teaching of philosophy, tantra, and medicine at the YonghePalace; transmitting the fifth Dalai Lama's Sacred Word of Mafijusri ('Jam dpal zhal lung); and acting as mediator between Tibetans, Mongols,and Manchus. 22 Finally and perhaps inost signifi­cantly for the subject of this study, Lcang skya bestowed upon the Qianlong emperor tantric initiations. According to his Tibetan bio­graphy of the Khutukhtu, on one such initiation occasion, the emperor relinquished the highest seat to Lcang skya, knelt before him during the consecration, and later bowed the top of his head (tingli) to the lama's feet.23

Leang skya's activities on behalf of the Qing court distinguished him. from other incarnated beings with whom the court had dealings. The emperor noted as much in his Pronouncements on Lamas, indicating that Leang skya was the only lama ever entitled by the court as "Teacher of the Kingdom" (WZTZ 1,23). The many duties and achievements of Lcang skya, as well as his special role as the bestower of tantric initia­tions on the emperor, highlights the degree to which Hongli was involved in Tibetan Buddhism. Through the agency of the Lcang skya, the emperor apparently sought to center Tibetan Buddhism within his own rulership and patronize it with the wealth Qing emperors drew from the Chinese part of their empire.24

This brief review of Manchu affiliations with Tibetan Buddhist hier­archs suggests a connection between such relations and the constitution and reproduction of Qing emperorship. Far from being discrete aspects

22. On Lcang skya's life I draw primarily from Hopkins 1987, 15-35, 448-449, The Collected Works oj Thu'u bkwan blo bzang chos gyi nyi TlUl (1969), and Grupper 1984, who relies on Karnpfe's (1976) German translation of Lcang skya's Tibetan biography, and Chen 1991. Also see Bawden 1968, 70, 85, 121; Chia 1992, 220-232; Jagchid 1974, 43-44, 53-54; Pozdneyev 1977,320,351-352; and RahuI1968-69, 220-221. 23. The brief description provided here of the Qianlong emperor's initiation comes from the Tibetan chronicle of Lcang skya's life, portions of which are cited (in Chinese translation) by Wang 1990,57-58. For a full Chinese trans­lation of the Tibetan chronicle see Chen and Ma 1988. I am indebted to Evelyn Rawski for bringing these sources to my attention. 24. On centering see Hevia 1986, 251-256. Chia (1992, 224-227) has argued that the Qing court attempted to make Peking a center of Tibetan Buddhism. I concur, but as will be discussed below with respect to the Pronouncements on LaTlUlS, I believe Hongli's ambitions were even grander.

256 JIABS 16.2

or images of rulership, politics and religion appear to have been fused , both embedded within cosmologies. What was at issue between lamas and emperors might be explored, therefore, in terms of both the incom­patibilities and overlaps between competing cosmologies. To address these issues, I want to point out certain connections between host-guest protocols (audiences) and Tibetan initiation rites. Then, in conjunction with the history presented above, I will reconsider a few of the enCOun­ters between lamas and emperors in order to draw some initial conclu­sions about the nature of relations among these personages in the 17th and 18th centuries.

Imperial Audiences, Lama Audiences, and Tibetan Initiations While generally treated by Euro-American historians as the site of highly formalistic performances which merely acted out pre-existing relations, imperial audiences, ranging from the routines of empire to the spectacular celebrations of an emperor's birthday, might better be thought of as constitutive of a host of relations of power which were organized around the emperor as the pivot between the cosmos and the earth. 25 Among these various audiences are those described in the Guest Ritual (binli) section of the Da Qing tongli (juan 45-46).26 Guest Ritual was the formal idiom or medium through which interdomainal relations (i. e., kingdom-to-kingdom) of the kind implied in the foregoing discussion were conducted. Like other audience rituals, it was organized on the principle that virtuous superiors attracted to themselves virtuous inferiors, i. e., powerful others who demonstrated Sincerity (cheng) in the form of reverence (gong), obedience (shun), earnestness (geng), and faithfulness (zhi), and in so doing fashioned a complex

25. Although the form and content changed over time, from at least the Tang period audiences were codified in imperial ritual manuals (see the Da Tang Kaiyuan ·li and the Ming jili). These manuals elaborated the details of an annual cycle of rites performed by a sage ruler and his court (Zito 1984). By the 1760's a clearly defined set of protocols differing in a number of ways from those of the Ming period had been organized under two sections and four chapters of the Da Qing tongli (Comprehensive Rites of the Great Qing, 1756, hereafter DQ1L). Audiences included routines of empire (changchao or regular audience) and spectacular celebrations on the solstices, the first day of the year, and imperial birthdays (dachao or grand audience). See DQ1L,juan 18-19 and Hevia 1986,231-250. 26. I use here the 1883 reprint of the 1824 edition of the DQ1L. The 1824 edition is especially useful for making the point that rites change (see Zito 1984, 77). Various forms of audience were usually followed at some point by feasting, see juan 40.

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imperial sovereignty (see Hevia 1989). In such a scheme, the position of the emperor was impossible unless he acted as a completer of cosmic initiatives; his position was similarly impossible to sustain without loyal inferiors who actively completed his initiatives. Hence no subject position could be constructed without the recognition and collaboration of others. In the human world it was in and through audiences that such political subjects were made.

Audience was one part of the routine of embassies. 27 Prior to the audience proper, officials made certain preparations. They established places for participants in the hall designated for audience, set out impe­rial regalia such as banners, umbrellas, and chariots, and rehearsed par­tiCipants. On the day of audience, the emperor took his throne, and the guest (a lesser lord or his ambassador) and his entourage were led to a position on the west side of the courtyard outside the audience hall proper. There the guest performed three kneeUngs and nine head­knockings. 28 Ascending the west stairs of the hall, the guest proceeded to the threshold and knelt. The emperor asked questions (usually about the guest's health) which were transmitted by the Director of the Board of Rites to a translator who addressed them to the guest. The guest's response followed the same path in the reverse direction, with the Director of the Board of Rites molding them into a memorial (daizou) addressed orally to the emperor. Once the conversation was complete, the audience ended. The guest and his entourage then retraced their steps.

In special cases the emperor deemed appropriate a guest might partici­pate in an additional rite which took place inside the audience hall. The procedures closely parallel those outlined above, with the exception that the guest not only entered the hall but might also be given a seat. Then the emperor might call for a bestowal of tea. First the emperor drank the tea, while all knelt and knocked their heads to the floor. Then the tea was circulated, and the guest knelt in acceptance, performed one head knocking, sat, drank, and performed an additional head knocking in

27. On the embassy routine see Wills 1984. For specific reference to the routines of Mongol embassies during the Ming and Qing see Serruys 1967 and Chia 1992. 28. The action in question here is also referred to as kotow or kowtow in Euro-American literature on China. While there are many forms of kneeling and bowing the head indicated in Chinese ritual texts, the English language usage usually indicates the one John Fairbank dubbed the full kotow, which, as in the case here, involved three kneelings and nine head knockings.

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thanks for the bestovval. The emperor might then question the guest much as before.

TIlls brief outline draws attention to the movement, placement, and position of participants in ritual space. For example, the guest is always oriented to the west side of courtyards, gates, and stairways leading to and from halls. Second, the katow, when performed, OCGurs outSide and at the foot of the stairs leading to the western door of the audience hall. 29 Third, sitting in the emperor's presence was a speCial privilege which could be enhanced by the bestowal of a tea ceremony and addi­tional bowing, kneeling, and knocking the head to the ground within the audience hall.

The Comprehensive Rites also contains details for lesser and varied host-guest protocols pertaining to persons from the level of high ranking imperial princes down to that of commoners. What is striking about these protocols is the rigorous application of principles of movement, placement, and bodily activities of participants, all of which form an ensemble of actions that highlight differences between grades of people. This section begins with meetings between imperial princes and various ranks of princes of outer dependencies (waifanwang) enfeoffed to the empire, and each has sections which mimic those of imperial audience. However, as the rank of the imperial prince reduces in relation to the rank of the outer prince, the imperial prince moves ever farther out of the hall to greet the guest. Placement within the hall as well as the spatial location at which the host sees off the guest also varies depending upon differences in rank.

At the same time, imperial superiority is maintained throughout by carefully managing the locations of partiCipants and their actions at vari­ous moments in the rite. So, for example, when a third rank imperial prince hosts an outer prince of the first rank, their seating positions in the hall are reversed (host on west, guest on east). However, in the . opposite case (first rank imperial prince and third rank outer prince), the host takes up a position like that of the emperor, in the center of the hall, with the guest on the west facing east (see DQTL,juan 46).

Although there do not seem to be comparable protocol manuals on

29. Numerous sources provide diagrams and pictures of regalia and its layout for audiences. See, for example, DQHDT, juan 19-20 and Wan Yi et al. 1985, 30-45. Texts on Guest Ritual do not include the establishment of places and other forms of preparation. Instead the reader is referred back to the Felicitous Rites (Jiali,juan 18-19). The description of Guest Ritual pro­vided here is from the DQTL,juan 45, 1a-4a.

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audience in either Mongol or Tibetan, accounts of meetings between lamas and others also seem concerned with the management of bodies in ritual time and space. In his discussion of meetings between the Rje btsun dam pa Khutukhtu and various guests, Pozdneyev reported that the positions taken up by the Khutukhtu were predicated on the rank of the guest. So, for example, the· Khutukhtu would come out of his audi­encehall further to greet a more senior person and they would sit facing each other in the hall itself, while commoners prostrated at the entrance to thehall (1978, 348-349). Similar patterns emerge in the accounts of audiences with the Dalai Lama (Turner 1800, 333-334). Further, as in imperial audiences, when the host takes up a position in the center of the hall, the guest is positioned below the host and on the west side of the hall or at the right hand of the host.

References to the actions of ritual participants in audiences with lamas ,and khu!nkhtus indicates other affinities between Tibetan and Mongol practices and Qing audience rituals as well. Of particular interest is the use of spatial placement to indicate differences in rank. These examples also suggest that the ritual codes of audience were concerned with the task of establishing seniority across discursive domains. In accomplish­ing this task, the bodily actions and positions of ritual participants at various times appear to be a crucial index for constituting differences between them and establishing superiors and inferiors.

Much the same could be said about certain aspects of Tibetan initiation rituals.30 Like Qing audience rituals, initiations included a period of preparation in which the master of initiations ritually constructed a m~Qala. i. e., a figure of an idealized palace with entryways, hallways, throne rooms, and thrones upon which buddhas, bodhi sattv as , and d.eities sit. Spatially, initiates are like guests in the presence of the master of initiation who, led by him, move in and out of the m~Qa1a and make offerings to the master and the deities. At the time of the ceremony, the master of the initiation deploys his superior spiritual powers in summoning the buddhas and bodhisattvas from their various abodes in the universe and then fixing them in the m~Qala by mantra and mudra (see Snellgrove 1987, 1,216-217 and 1959, 66-68).

Throughout the rite, bodily actions further clarify and constitute a rela­tion of superior and inferior between master and initiate. Initiates move through the rite prostrating and touching variously their whole bodies,

30. Space prevents a thorough explication of initiation practices. Here I draw for my main points from Snellgrove 1987, 1, 213-303 and 1959.

260 JIABS 16.2

faces, foreheads, the tops of their heads, and their mouths to the ground, during which they pronounce mantras, and before and after which they perform specific mudra learned from their master. At one point, the master becomes a buddha charging the initiate to secrecy (Snellgrove 1987,1,218-219).

An example of a portion of an initiation may help to clarify the power­ful relationships organized by these rites. An especially pertinent ritual reported by Snellgrove involves the consecration of universal sovereignty found in the MafijusrimalakaZpa. The relevant passage notes that beginning from a position on the west "facing east and look­ing toward the mal).<;1ala," pupils render their master royal honors, treat­ing him as if he were MafijusrI the prince (or perhaps a supreme lord like an emperor?). They spread a great canopy, set out flags, banners of victory, and hold a white parasol over his head, while waving white fly­whisks. They then ask the master if they too may become a buddha (Snellgrove 1987, 1,226-227).

Here we see mimetic relationships established between worldly sovereignty and cosmic sovereignty. As such this initiation rite makes claims for establishing a relationship between cosmic infinitude and transient human life as strong as those made in the ensemble of imperial rites that fashion a relationship between the cosmos (tian), the son of the cosmos (tianzi), and his kingdom (guo). As he guides a pupil through initiations, the master as a buddha binds the pupil to himself and to the cosmic technologies that make the latter's transformation into a buddha possible. These are powers which ought to awe lords of the mere earth. That initiation masters were supposed to possess such powers should be borne in mind when we learn, for example, that lamas and khutukhtus initiated Qing emperors from Nurhaci to Qianlong into tantras. Put simply, when the cosmological logic of ritual is borne in mind, the pow­ers of the lama rival those deployed in the imperial Grand Sacrifice to the Cosmos or in court audience for the constitution of imperial sovereignty.

Encounters and Inscriptions I began this paper with an assertion that the two inSCriptions of the Qianlong emperor at the Yonghe Palace marked two poles of a contra­diction, signifying ambivalence on the part of early Qing emperors toward Tibetan Buddhism. The brief history of imperial involvement in Tibetan Buddhism and the discussion of ritual presented above suggest

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some potential problems in lama-emperor relations. All parties made various claims to pre-eminence; no one could completely ignore the claims of the others. Nothing highlights these political realities more than the contradictory accounts of meetings between Qing emperors and various Buddhist hierarchs from Inner Asia. What these accounts tend to show is that while the Qing court did at times defer to Tibetan Buddhist hierarchs, increasingly over the course of the eighteenth­century Manchu emperors asserted supreme-lesser lord, rather than lama-patron relations in their intercourse with Tibetan lamas and Mongol khutukhtus. In the face of these Qing hegemonic gestures, lamas and khutukhtus attempted to retain the high ground of spiritual superiority.

After the establishment of the Qing dynasty in China in 1644, and well before the Manchus asserted hegemony over Tibet, the first signifi­cant encounter between a Qing emperor and a lama occurred when the fifth Dalai Lama journeyed to Peking in 1653. The court of the Shunzhi emperor was split over where the lama should be received. Thinking that it might be a useful way for winning over Mongol groups who had yet to submit to Manchu overlordship, the emperor's Manchu advisors thought it wise to meet the lama in Mongolia. His Chinese councilors objected, arguing that cosmic portents indicated that the lama sought to challenge the emperor's supremacy. In keeping with the spatial princi­ples of imperial ritual, therefore, ifhe left his capital and went to MongOlia, he would be acknowledging the lama's superiority (SZZSL, 68, Ib-3a, 31b). The emperor decided to give audience in Peking, but with certain modifications that vary from guidelines to be found in ritual manuals. 31 The Veritable Records (Shilu) of the Shunzhi emperor of January 14, 1653 notes that the Dalai Lama arrived and visited (ye) the emperor who was in the South Park. The emperor bestowed on him a seat and a feast. The lama brought forward a horse and local products and offered them to the emperor (SZZSL 70, 20a-b).

The differences in question include the holding of the audience in the large park to the south of Peking rather than in one of the outer palaces of the imperial city 32 (ritual manuals suggest the Supreme Harmony

31. The DQ1L would, of course, not be collected and edited for another cen­tury, so it may seem odd to spe~ here of deviations. The point, however, is that this particular encounter is different from those outlined in other ritual manuals as well as various accounts of audiences at the Qing court that also occurred before the above text was compiled. 32. The South Park referred to here is probably the Nanhaizi or Nanyuan

262 nABS 16.2

Hall) and the fact that the audience was characterized as a visit (ye), rather· than as a "summons to court" (zhaojian), the usual form for recording such events in the Veritable Records. In the latter case, while ye connotes a visit from an inferior to a superior, I believe it suggests some sense of deference in this context. On the other hand, certain things were done in accordance with imperial audience as outlined in other sources such as the Ming and Qing ritual manuals. The emperor bestowed a seat and a feast on the lama. The lama, like other loyal infe -riors, made offerings of local products (fangwu).

If this entry on audience appears anomalous when compared to impe -rial audience protocols, the account of the same audience in the auto­biography of the fifth Dalai Lama is even more unusual. While he does not mention the site at which the audience took place, the lama claims that the emperor descended from his throne, advanced for a distance of

. ten fathoms and took his hand. The lama also reports that he sat in audi­ence on a seat that was both close to the emperor and almost the same height. When tea was offered, the emperor insisted that the lama drink first, but the lama thought it more proper that they drink together. On this occasion and over the following days the lama recorded that the emperor gave him numerous gifts fit for a "Teacher of the Emperor" (dishi). The emperor is also said to have requested that the Dalai Lama resolve a dispute between two other lamas. On his return trip through Mongolia to Tibet, the lama displayed the presents given by the emperor and appears to have distributed some of them along the route. 33

haizi, located outside the south wall of Peking. Apparently used as a hunting park by the Manchu court, it can still be seen on maps from the early part of this century (see Clunas 1991, 46). I am indebted to Susan Naquin for this information.

One cannot help wondering if the solution to the problem posed by the lama's visit might help to explain the use of other sites around Peking to address relations with Inner Asian lords. The example of the Ziguang pavil­ion to the west of the main audience halls of the "Forbidden City" is well known, but audiences and feasts also might take place at the Yuanming yuan. TheDQHDT, 1818 edition,juan 21, 6a-7a, diagrams a feast in a round tent at the Yuanming yuan.

Holding audiences outside the main halls of the palace for problematic guests continued through the end of the dynasty. Between 1870 and 1900, no Euro~an, American, or Japanese ambassador was received in the Supreme Harmony Hall. They were hosted at the Ziguang pavilion or other balls, see Rockhill 1905. 33. The Dalai Lama's account is taken from Ahmad 1970,175-183, who relies on the autobiography of the fifth Dalai Lama, v. 1, 197a-198b. See his reference to this source on p. 340. On the dispute the lama was asked to

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What is especially interesting about these two accounts is not simply that they differ, but that the dimensions along which they diverge involves ritual practice. The imperial records mention the lama's offer-

. ings to the emperor, all of which may be construed as his acceptance of a position of inferiority. The lama's account emphasizes offerings made by the emperor to him and includes many examples of the emperor deferring to the lama as a person of superior spiritual insight. The imperial records solved the problem of a meeting with an important and potentially dangerous personage by shifting the location to one outside the imperial audience hall complex proper. The lama's account empha­sizes that the emperor came down from his throne to greet him, an act of considerable deference.

A similar pattern of divergent accounts emerges in connection with meetings between the Shunzhi emperor's successors and the Rje btsun dam pa Khutukhtu. Here too the court seemed willing to accord a degree of deference to the Khutukhtu, while still working to establish a supreme lord-lesser lord bond. So, for example, at the famous submis­sion of the Khalkha Mongols to the Qing at Dolonnor in 1691, the Veritable Records indicates that when the Kangxi emperor received the Khutukhtu in an audience on May 29, the Khutukhtu knelt (gui) before the emperor. The emperor bestowed tea and other gifts on the Khutukhtu. The next day another audience was held for other members of the Khalkha nobility; they performed three-kneelings and nine-head­knockings (sangui jiukou). 34 At the same time, all of the activities that occurred at Dolonnor were catalogued under the general rubric for clas­sifying relations between the supreme lord and lesser lords, i. e., "cherishing men from afar" (huairou yuanren, see SZRSL 151, 23a). It appears, therefore, that the Khutukhtu assumed the position of a loyal inferior, but one who was in some way differentiated from the remainder of the Khalkha nobility.

On its side, Mongol versions of encounters between the emperor and the Rje btsun dam pa Khutukhtu closely parallel in form the Dalai Lama's version of his meeting with the Shunzhi emperor, a pattern which continued into the Qianlong era (see Bawden 1961,49-60 and

resolve see Heissig 1953, 528. 34. The Khutukhtu appeared in the first audience with the Tiisiyetii Khan who was also recorded as kneeling. In the entry for the following day, how­ever, the Khutukhtu is not mentioned, only Khalkha Khans and ranks of nobles, which would presumably include the Tiisiyetii Khan, see SZRSL, 151, 8a, lOa.

264 nABS 16.2

Pozdneyev 1977, 332-336). In 1737, for example, the second Rje btsun dam pa Khutukhtu journeyed to Peking, where he was met and honored by high officials and lamas at the Anding Gate. When he arrived at his quarters, the Qianlong emperor met him. Upon seeing the emperor, the Khutukhtu knelt, but the emperor insisted he not do so. Later in an audience that included a tea bestowal, the emperor asked the Khutukhtu to sit closer and higher than other guests (Bawden '1961, 71 and Pozdneyev 1977,341). In addition, the Qianlong emperor lavished gifts on him and acknowledged his powers. 35

Much the same sort of conflicting presentation occurred when the Panchen Lama visited Rehe and Peking in 1780. According to the lama's account, the emperor left the throne and greeted him at the door to the reception hall. Taking his hand, the emperor led him to the throne, where the two sat facing each other and "conversed as intimate friends." Later the emperor visited the lama at the special residence that had been prepared for him, a reproduction of the Panchen's palace at Tashilhunpo, and sought his teachings. Banquets and gift giving followed over the next several days. Various sources claim that during his stay the lama initiated the emperor into the Mahakala and Cakrasarp.vara tantras.36 Here again the lama is cast as teacher, the emperor as patron and pupil.

The Veritable Records provides quite another point of view, one that differs from both the Tibetan account and the Veritable Records' version of the visit of the fifth Dalai Lama discussed above. In these records the emperor summoned the lama to audience (zJ1aojian) in the Yiqingkuang Hall at Rehe. Three days later the lama was again summoned to the round tent in the Garden of Ten-thousand Trees (W anshou yuan), where Inner Asian lords of various ranks looked on while the emperor bestowed caps, gowns, gold, silver, and silk on the lama (GZCSL 1111,

35. Pozdneyev dates the visit as summer 1736, Bawden, 1737. I have found no indication of an audience for either year in the Veritable Records. However, there is an entry for a banquet held on the ninth day of the first lunar month (February 27, 1738) in a large tent at the Fertile Abundance Garden (Fengze yuan), located between the Middle and Southern Lakes in Peking with the Rje btsun dam pa and Lcang skya Khutukhtus in attendance, see GZCSL, 60, 8a. As Susan Naquin pointed out to me, the date of the banquet is significant, because special receptions of foreign "tributaries" took place during the new year celebrations. 36. I follow Das's translation from an abridged version of the Panchen Lama's life, see 1882, 39c42. On the initiations see Das and Grupper 1984, 59. Also see Cammann 1949-1950 on the lama's visit.

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4a arid lOa-b). 37 While these audiences constitute the encounter as one between the supreme lord and lesser lords, the lama was differentiated from the various Inner Asian lords looking on, much' as the Rje btsun dam pa Khutukhtu had been at Dolonnor. According to a directive in the Rehe zJzi (Rehe Gazetteer) the lama was allowed to kneel (gui) before the emperor instead of bowing (bai), provided he was sincere (cheng). 38

There was another sort of deference that may have occurred at Rehe as well. According to a diagram to be found in the 1818 edition of Da Qing hui dian tu (Diagrams of the Collected Statutes of the Great Qing, Qereafier DQHDT,juan 21, 7a), during feasts held at the round tent in the Garden of Ten-thousand trees, khutUkhtus and lamas were seated closer to the emperor than Mongol nobles. 39 This is the sort of distinc -tion a supreme lord could make when cherishing men from afar.

These records indicate that conflicting and contradictory accounts of the signifying practices (i. e., movement in time along east-west and high-low axes, as well as bowing, kneeling, and enunciating) of ritual participants were not uncommon when lamas and emperors met. Such differential presentations of bodily practices tell us much about tre efforts of Manchu emperors and Buddhist hierarchs to incorporate each other as sub lords, patrons, or pupils. Even when honoring lamas and "alteitng audience protocols for them, the Qing court insisted that they were recipients of imperial grace (en), making it quite clear, at least by

37. Other occasions of feasting and bestowal followed, including one in the Preserving Harmony ball (Baohe dian) at Peking on October 29, 1780 (GZCSL, 1112, 17b-18a and 1116, 4a). 38. Rehe zhi, 24, lOb. The reason given in this case for allowing the lama to kneel was that it was customary in Buddbism to bow (bai) only to the Buddha. This particular reference to respect for the customs of others was not unusual. It is evident, for example, in the negotiations over the form of audi­ence during the Macartney embassy to Cbina, wbere again the issue was the sincerity of the act (see ZGCB, 3, 20b and Hevia 1989). It is also present in the instructions to the imperial envoy, Songyun, before his departure to Tibet in 1795. In order to accord with the teachings of the Yellow sect, be was ordered not to bow his bead to the ground (koubai) before the Dalai Lama, see GZCSL, 1458, 34b-35a. Tbese various examples suggest that interpretations of the "kowtow" ougbt to be re-evaluated, beginning with the tribute system version and Levinson's modification ofit (see 1968, 2, 68-69). 39. Also see Wan et al. 1985,76-77 and 288 for two paintings of banquets, one at the Ziguang pavilion and the other at the Garden of Ten-thousand Trees in Rebe. Tbese pictures show lamas positioned bigber and closer to the emperor than other Inner Asian dignitaries. Space prevents a more thorougb consideration of feasts, but clearly seating at imperial banquets was another way in wbicb bierarchy was constituted.

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the time of the Qianlong reign, that the lama was a loyal inferior of the supreme lord. In contrast, Tibetan and Mongol accounts seem con­cerned with the superior knowledge or expertise oft!Ie lamas relative to that of their imperial hosts as well as with specific acts of bodily practice that differ from those described in imperial ritual manuals. They also tend to construct the emperor as an offerer of gifts, and hence as a devotee/pupil, and the lama as receiver of alms.

The Pronouncements on Lamas and a SenSe Of an Ending It is within the context of these competing accounts of meetings between lamas and emperors that we might now consider the second of the two inscriptions at the YonghePalace, Hongli's Pronouncements on Lamas. Crucial to an understanding of this essay is the fact that the emperor poSitions himself as the ultimate authority on matters involving lamas and khutukhtus. After reviewing the history of interaction between Tibetan lamas and previous dynasties, Hongli asserted that the Qing had never used the title "Teacher of the Emperor" (dishi) , 40 only the title "Teacher of the Kingdom" (guoshi),. and that, as noted above, exclu­sively in the case oftheLcang skya Khutukhtu (WZTZ 1,23).

Second, in spite of evidence to the contrary such as that discussed above, Hongli pointed out that while the Qing dynasty acknowledged the importance of the Dalai and Panchen Lamas, it did so only because the Yellow sect (Dge lugs pa) was important to the Mongols. He added that the two lamas had submitted to Manchu lordship by making offer­ings of local products to the court in 1642 and had subsequently received titles and seals from the Qing dynasty. For their part, emperors accepted the submission of the lamas as they did any other lords-they were bound to obey the injunction of the cosmos (tian) to follow the path of cherishing and showing kindness to men from afar (huairou zhi dao, WZTZ 1,24) . . Third, after questioning the very notion of incarnate (zhuanshi) lamas,

Hongll proceeded to reorganize the selection process of the Dalai Lama and the Rje btsun dam pa Khutukhtu. Thoroughly criticizing what he saw as a selfish (si) monopoly of certain Tibetan and Mongol clans over succession, the emperor decreed in the name of his own disinterested­ness (gong) that in the future the names of potential incarnates would be

40. On the origins of this tenn and for citations of the relevant bibliography concerning its history see Dunnell 1992. On the Yuan use of the tenn see Franke 1981.

JAMES HEVIA 267

placed in a golden urn and, under the eyes Qfhis observers, determined by lot (WZIZ 1,24-25).41 The emperor had Tibetan, Mongol, Manchu, and Chinese versions of the Lamashuo produced. Apparently they were widely disseminated.

The importance of the Pronouncements on Lamas to issues raised throughout this essay can be summarized as follows. By establishing that the Qing dynasty had never considered lamas to be teachers or emperors their students, the Qianlong emperor effectively rejected any claims of spiritual superiority lamas might make in a relationship with a reigning emperor. In invoking an emperor's responsibilities to the cos ~ mos, Hongli displa<;ed any claims lamas made concerning their own constitutive agency as "teachers" onto the reality of an immanent cosmos and its earthly son, the emperor. Finally, in casting the relationship in terms of a hierarchy of rulership, the emperor effectively refuted Buddhist constructions of interdomainal relations as ones between lamas and patrons. In this context, the Lamashuo may be interpreted not only as a defense of imperial policy (Lessing 1942, 62), but as a gesture at closure; an attempt to halt Tibetan or Mongol Buddhist statements that privileged lama-patron relations over any other kind. The efforts of Qing emperors to end "assertions by lamas of superiority are epitomized best perhaps in the refusal by Hongli and his predecessors to award the title "Teacher of the Emperor" to a lama. They are also embodied in the imperial-sponsored construction of alternative sites for the practice of Tibetan Buddhism and in Hongli' s insistence that the two most impor­tant lamas of Tibetan Buddhism had submitted to Manchu ()verlordship

41. It is difficult to discern conclusively if in fact the policy initiated by Hongli was carried out. For an account of the selection process in Tibet see Waddell 1895, 248-251. If it had been employed to select the Dalai Lama, it would have affected the ninth through the thirteenth incarnations. Goldstein (1989, 44) notes that the thirteenth was not selected this way in 1879, but makes no reference to previous incarnations. According to Shakabpa, the sys­tem was not used for the selection of the ninth Dalai Lama (1806); it seems to have been used for the selection of the eleventh (1841) and twelfth (1858); and may have been used for the selection of the tenth Dalai Lama (1822); see 1967, 172, 174-76, and 183. It is also clear from Shakabpa's account that the use of the system was a volatile political issue in Tibet (186). Richardson (1984, 71) notes only that the decree was ignored in 1808, but insisted upon by 1818 when the tenth Dalai Lama was being sought. In the latter case the child already selected by the Tibetans was subsequently chosen by lot. Hongli's alteration of the process by which incarnations of the Dalai Lama and the Rje btsun dam pa Khutukhtu were selected continued a pattern of imperial intervention in such processes. See Bawden 1968, 132-133 and Rossabi 1975, 156-157.

268 JIABS 16.2

before tlle dynasty was established in China ..

Concluding Comments Like the stone inscriptions at the Yonghe Palace with which I began, the discussion presented here concerning audiences, initiation rituals, and encounters between emperors and Buddhist hierarchs maps difference and ambiguity, challenging efforts to reduce complicatedpriliticalrela­tionships to thetirheless regularities of cultural essences. How are we to reconcile or histOrically address the contrary accounts of lama-emperor engagement? What are we to make of audience protocols and alterations to them; of the interest of Manchu emperors in Tibetan initiations and in· titles such as cakravartin king; of the occasional imperial endorsement of· the Sa skya pa as opposed to the Dge lugs pa sect of Tibetan Buddhism; or of imperial action which seemed at times to countenance arid at other times oppose Manchu shamanism? What of the triangular relationship between the Qing emperor, the Dalai Lama, and the Rje btsun dam pa Khutukhtu, in which each was presented as a human incarnation of a celestial bodhisattva? There are no clear and easy answers to these questions because, among other things, to do them justice would require a wider reading in Mongol, Tibetan, and Manchu sources, as well as in archival materials still extant in China, than has yet been attempted. Moreover, there are simply too many instances of ideas, concepts, prac-

. tices, and terminologies flowing among these groups and being appro­priated and re-deployed within political struggles to continue to warrant dealing with Manchus, Tibetans, and Mongols as unitary and exclusive national entities. It may be necessary to reconceptualize sovereignty in terms other than those which map ethnicity and culture over territory (thus producing the requisite ingredients in a nation-state construction). Such an imperative is only intensified by the fact that Manchu emperors, lamas, and khutukhtus appear to have vied with one another for supremacy on the basis of cosmological principles, ones which could neither be ignored nor completely captured and incorporated into one over-arching cosmology.

The Dalai Lama's account of his meeting with the Shunzhi emperor acknowledges, for instance, that the lama was still given a seat below the height of .that of the emperor. This statement would seem to clearly sig­nal an acceptance of an i~erior status. Yet at the same time, there is little doubt that the lama also asserted superiority in that he suggested a lama-patronrelationshlp. Such subtle negotiations continued right into

JAMES HEVIA 269

the Qianlong era and only appear to end with the Pronouncements on Lamas. Indeed, the fact that it is so difficult to pin down whether Tibetans and Mongols ever actually complied with Hongli's alteration of the selection process of reincarnates suggests as much (see note 41).

Problems posed by such indeterminacy are only partly a function of conflicting accounts. They are also a product of the very formation of imperial sovereignty. Earlier I argued that the main feature of audience ritual was the constitution of such sovereignty, which by definition was hierarchical in nature. In the past, there has been a tendency to fix atten­tion on the superior in this relationship, assuming a notion of power that is fundamentally oppressive and instrumental. It seems to me, however, thatit makes just as much sense, after Foucault (1980), to view imperial power as productive, to see the specific relationship formed in superior­inferior relations as a joint construction which empowers the latter as well as the former. Audiences below the level of the emperor particu­larly emphasize the constitutive nature of power. Assuming the position of a superior, the emperor's servants themselves became "hosts" to vari­ous "guests" in audiences, addressing and forging relationships with others of the imperial polity. In this way the Manchu imperium extended the emperor's virtue (de, Waley's "power of the exemplar") globally, ordering the world in a specific way. For their part, lamas appear to have spread Tibetan Buddhism through recognizing powerful others (particularly military powers) as cakravartins and incarnate bod­hisattvas, as well as through the performance of initiation rituals. In these ways they asserted their superiority over lords of the world.

These considerations of power draw on certain insights which emerge from reading across the sources considered. The first of these is that "common sense" divisions between religion and politics and between ritual and "bureaucratic" routines obscure rather than explain these polit­ical relations. Second, a functionalist understanding of ritual as integra -tive and productive of community solidarity cannot adequately account for conflict or contradictory gestures within ritual action.42 Third, ritual action is as historically contingent and politically significant as the Qianlong emperor's stone inscriptions at the Yonghe Palace and ought to be treated as such, rather than as an aspect of the residual category of culture within political and social histories (see Farquhar and Hevia 1993}

42. The .classic articulation of this notion of ritual can be found in van Gennep 1960, first published in 1909.

270 JIABS 16.2

The Tibetan and Mongol accounts cited here may also be viewed as specific resistances to and strategies for deflecting the hegemonizing practices of the Qing imperium. They nevertheless seem to be organiZed through different metaphysical assumptions, different views of the nature of reality, and, more than likely, differing views of just how bodies can have signifying capabilities. Yet what they share is equally important. For both lamas and emperors, meetings appear to have been a kind of pivot at which asymmetrical hierarchies were faShioned, in which the present and future were significantly addressed, and in which bodily action constructed highly consequential relationships.

The disposition of bodies and the organization of ritual space were about who was actually submitting to whom, with the mutual recogni­tion that such submission had wide political consequences. Yet, since participants vied to hierarchize each other in audiences, submission was a complicated affair. On their side, Manchu emperors wanted lamas to offer themselves sincerely to the emperor; that is, to accept loyally a position of an inferior in a relationship with the supreme lord. For their part, lamas wanted emperors to humbly accept a position as patron and pupil of the lama. I do not think it would make much sense to either party for submission in such relations to be coerced. I suggest, there­fore, that at least on the Qing court's side, meetings between lamas and emperors were about constructing scales of sincere (cheng) loyalty. 43

Participants scrutinized the bodily movements of others as outward signs of inner conditions in an effort to determine whether verbal state­ments or other kinds of action (such as gift giving), all of which pre­sumably manifested loyalty and submission, were indeed sincere.

It is not clear to me the extent to which the parties involved in the encounters I have presented here were aware of each other's construc­tion of events, but it seems highly unlikely that the Qianlong emperor, for example, did not have some inkling of how lamas might present their meetings with him to others. In this respect, the Pronouncements on Larrws might be read as an assertion that lamas could not be counted on to be loyal inferiors, i. e., to bring to completion the emperor's initia­tives. The form the Qianlong emperor selected for determining incarnate lamas makes this point-it is a parody of a pre-existing Tibetan selection

43. In accounts of embassies found in various imperial court records, the emperor invariably reminded his officials to evaluate the sincerity of em­bassies. See, for example, the ZGCB on the Macartney embassy and Hevia 1986 and 1989.

JAIVIES HEVIA 271

process which looked for various signs on a child indicating advanced progress on the path to buddhahood. By introducing a lottery, the emperor declared that the Tibetan Buddhist beliefs associated with human incarnations of enlightened masters were about as conclusive as a game of chance.

The Qianlong emperor's casting of the relationship between the Qing court and the Yellow sect in terms that privilege hierarchies of lords over hierarchies of spiritual powers makes, I would argue, the concerns of the Manchu court easier to understand. Lama hierarchs posed a threat because they challenged the very premises upon which an encompassing imperial sovereignty was grounded. That is, they embodied a competing and equally powerful hierarchical view of the cosmos that placed them above the multitude of earthly lords, even if the latter be patrons. Moreover, if Tibetan lamas had been able reliably and consistently to incorporate Manchu emperors as pupils, then any claims emperors made in Inner Asia to supreme lordship could be challenged on cosmological grounds. Lamas were also dangerous because they had the potential for confusing the loyalties oflesser lords, such as Mongol Khans. Yet the problems lamas posed to imperial sovereignty were not easily resolved (cf. Ruegg 1991,451). While the Qianlong emperor might have paro­died incarnation, he remained profoundly interested in Tibetan Buddhism, patronized it, and seemed to have had little trouble with being treated by many as a incarnated bodhisattva. And if Hongli and other emperors were interested in tantric initiations, who is to say that they might not have seen them as one among other ways of fulfilling their cosmological responsibilities in a Manchu (as opposed to a Chinese) empire?

Seen from this position, the temporal and discursive distance posited earlier between the stone inSCriptions at the Yonghe Palace seems less dramatic. For the point is that the Pronouncements on Lamas is not so much directed at Tibetan Buddhism per se, as it challenges what the emperor saw as abuses by the Tibetan monastic nobility. These efforts at reform were given material density by the placement of the Lamashuo inscription. Rather than flanking the central path running south-north through the Yonghe Palace, as the 1744 inscription does, the Pronouncements on Lamas was placed at a more inner location directly on the center path. Hongli here centers and encompasses his authorita­tive version of Tibetan Buddhism deep within the Qing imperium.44

44. See the diagram of the palace complex in Lessing 1942.

272 JIABS 16.2

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LEONARD W. J. VAN DER KUIJP

Two Mongol Xylographs (Hor Par Ma) of the Tibetan Text of Sa Skya PaI].<Jita's Work on Buddhist Logic and Epistemology

The history of printing in Central Tibet has received the attention ofsev­eral scholars in recent years. David P. Jackson, who has written the most about early Tibetan prints, has pointed out that Tibetan authors are generally of the opinion that the printing of books by way of xylographs started in this area sometime during the beginning of the fifteenth cen­tury.I In addition, he has made significant contributions to our know-

This paper is one of the results obtained during my stay in Beijing from October to December 1992 that was made possible by a generous grant from the Committee on Scholarly Communication with the People's Republic of China, Washington D. C. My thanks are owed to the Chinese Center of Tibetological Research, Beijing, for their kind hospitality and assistance. I should also wish to express my gratitude to Messrs. Li Jiuqi, Chief Librar­ian, Shao Guoxian, Deputy Librarian, and Ngag dbang nor bu, Assistant Researcher, of the Library of the Cultural Palace of Nationalities for the warm cooperation I received, one which made it possible for me to survey a slight portion of the enonnous collection of Tibetan texts in their library. My thanks are likewise extended to Prof. Chen Jianjian of the Central Institute for Nationalities, Beijing, for her kind help, and last but not least, I am also very much indebted to Ms. Wu Wei of the Chinese Center for Tibetological Research for all the support given to me. 1. See Jackson 1983, and his "The Earliest Printings of Tsong-kha-pa's Works: The Old Dga' -ldan Editions," Reflections on Tibetan Culture. Essays in Memory of Turrell V. Wylie, eds. L. Epstein and R. Sherburne (Lewiston: E. Mellen Press, 1990) 107-116 and, "More on the Old Dga' ldan and Gong dkar ba Xylographic Editions," Studies in Central and East Asian Religions 2 (1989): 1e18. For a survey of a number of early (and not so early) printing projects in Tibet, see Tshe ring ph un tshogs, "Snga rabs bod kyi par skrun dang par khang skor mdo tsam gleng ba," Bod rig pa'i ched rtsom gees btus, ed. Ngag dbang (Lhasa: Bod ljongs mi rigs dpe skrun khang, 1987) 345-375, and Klu tshang Rdo Ije rin chen, "Rtsom rigs kyi rnam bzhag las par skrun gyi skor bshad pa," Bod ljongs zhib 'jug 1 (1989): 103-117. See also Chab spel Tshe brtan ph un tshogs and Nor brang U rgyan, Bod kyi 10 rgyus rags rim g.yu yi phreng ba, Bar Cha [Part 2] (Lhasa: Bod ljongs dpe rnying

279

280 JIABS 16.2

ledge of the corpus of texts that were committed to the printing block during that time. Heather Karmay was, to my knowledge, the first to provide evidelice that Tibetan texts were being printed as early as some­time around the year 1306, although not in the Tibetan cultural area, but rather in China proper.2 Elsewhere, we have examined various notices of Mongol-sponsored printing projects anent the Kalacakra literature and the dissemination of its esoteric doctrines, first in China and then in Mongolia. The earliest evidence for the preparation ofaxylograph of its main tantra, most likely in China, dates from either the last decade of the thirteenth or the first decade of the fourteenth century. 3 The present paper has to do in part with an even earlier xylograph of a Tibetan text that was to all appearances prepared in China as well.

Among the writings for which Sa skya Pa1)Qita Kun dga' rgyal mtshan (1182-1251), the fourth patriarch of the Sa skya school and one of the finest scholars of his (or any other) era, is justly famous by any standards, his most widely studied work, was the Tshad ma rigs pa'i gter and autocommentary, which he completed sometime in the 1220s. This study of Buddhist logic and epistemology (tshad rna) soon became a classic and went into numerous printings, in addition to eliciting an enormous commentarialliterature. 4 The Tibetan library of the Cultural Palace of Nationalities in Beijing contains two different xylographs of this work, one of which dates from the beginning, the other from the middle of the Yuan dynasty. The first of these is the earliest known blockprint of this work in particular and, perhaps, also constitutes the earliest Tibetan blockprint as such. An essential description of these and a reproduction of their print-colophons (par byang) can be found in Appendix One.

The first of these two xylographs was initially sponsored by empress Cabi (?-1284),5 or Ca[m]bui, the dpon mo chen mo, "Grand Lady,"

dpe skrun khang, 1990) 294. The allegation in the Life and Teachings of Tsong khapa, ed. R. Thunmin (Dharamsala: Library of Tibetan Works and Archives, 1982) 11, that Snar thang housed the printing blocks for the canon during Tsong kha pa's stay there is of course unacceptable. 2. See her Early Sino-Tibetan Art (Warminster: Aris and Phillips Ltd., 1975) 44. 3. See my "Fourteenth Century Tibetan Cultural History II: The Mongol Imperial Family and Tibetan Kalacakra Texts" which is forthcoming in Asia Major. 4. For this, see D. P. Jackson, "Commentaries on the Writings of Sa skya PaI,1qita: ABibliographical Sketch," The Tibet Journal 8.3 (1983): 8-12. 5. For the literature on her and the previous problems of dating her passing,

LEONARD W. J. VAN DER KUIJP 281

senibr wife of Qubilai and mother of prince Zhenjin (1243-5 January 1286), the heir apparent who passed away before his father. The cutting of the blocks apparently commenced under her patronage at the instiga­tion of a "Chos kyi rgyal po bzang po," whom I am unable to identify. The work was evidently left unfinished, presumably due to Cabi's passing, and the project was brought to completion by order of her daughter-in-law Go go cin (Koko~in, ?-1300), "the wife 'of [her] sup­reme son" (sras mchog gi btsun mo) Zhenjin, and like her husband a major sponsor of 'Phags pa Blo gros rgyal mtshan (1235-1280), Sa skya P~<;lita's nephew. The date given for this in the colophon is the eighth day of the rgyaZ ba (*pau~a) lunar month of the wood-male­monkey year. This would therefore be the oldest known xylograph of a Tibetan text Unfortunately, no place name is given for where the blocks were originally carved. Towards the very end of the colophon we read that a certain Dpal mo 'Bog gan, presumably a lady, realized two hun­dred [copies?] of the text (for purposes of acquiring good karma). Of further interest is the fact that its pagination, like that of the second blockprint, is given in Tibetan and Chinese on the left of the "a" side, and orlIy in Chinese on the "b" side of the folio. The only reason for having a Chinese pagination that I can think of is that it was added lest the Chinese block-carvers would be confused about the woodblock­order. Of equal interest is the fact that it has a marginal notation of "KA" (= Vol. 1) which could very well indicate that it was the first vol­ume of a projected printed edition of Sa skya P~<;lita' s collected oeuvre, one that presumably never materialized. The various catalogues of his writings known so far do not list the Tshad rna rigs pa'i gter autocom­mentary as comprising or being part of a first volume. 6

The colophon of the second xylograph is not altogether unproblematic. It basically begins with stating that the view of Vasubandhu and tre author of the 'Bum tik (= Satasahasrikiiprajfiapararnita'b.rhattlka), Gdang ta se na (sic), that is, DaIP:~![r]asena, is that the Buddhist doctrine will remain for five thousand years. This then lays the foundation for dating this print to the earth-female-hare (sa rno yos) year, 1339, which, it is alleged, completes three thousand four hundred and forty-nine years

see note two of my aforementioned paper. 6. For these, see Jackson 1987, 507-523. It may be that the "Mongol block­print" of Sa skya Pm:t4ita's Sdom gsum Tab tu dbye ba, alluded to in Jackson 1983,6 and 22, note 17, belongs to this same period. If so, then we could assume that the Mongol court was involved in having, if not his entire corpus, then at least some of his major writings published in print.

282 nABS 16.2

since the passing of the historical Buddha. However, the Sa skya schOOl dates the passing of the Buddha to the year 2133 B. C. E. so that the year 1339 does not come close to this chronology. The fact that imme­diately thereafter the colophon continues by stating that: "Henceforth, we claim that the Buddha's Teaching will remain for one thousand five hun­dred and fifty-one years," and that the earth-female-hare year is men­tioned once again below,leads us to suspect that the colophon's author either fell victim to an error in arithmetic, or that, more drastically, we may have to correct sa rno yos to shing rno yos, "wood-female-hare," which would be the year 1315. The plausibility of this correction is strengthened by the next reference to emperor Buyantu (Renzong, r. 7 April 1311 to 1 March 1320); note the use of the present stem of the verb skyong! This, in turn, is followed by the mention of a Orand Empress-Dowager (tha' i hu, Ch. taihou). If we allow for an error in the year of the colophon, then she must be identified as Hong-gu-la-shi-da­ji/gu, and not as Mai-lai-di, the mother of emperor Toyon Temiir (Shundi, r.in China 19 July 1333 to 14 September 1368; r. in MongOlia to 23 May 1370). The colophon then notes two other individuals, namely a cleric by the uninformative name of "Kun dga'" who had pro­posed the project to a Sha-zin- a-kho-che who then made the formal request (zhits) to have the print "established."7 The editor-in-chief of 1re text was the elderly(?) 'Jam snyeg,8 who was assisted by Zla ba and

7. The last line of this passage is not easy to interpret. It reads rnam 'grel rigs gter stong phrag par du bsgrubs II, which means "Established a thou­sand [copies of?] the roam 'grel rigs gter as a print," where the phrase roam 'grel rigs gter can be interpreted a dvandva compound meaning rnam 'grel and rigs gter, that is, a print of the Tibetan translation of Dharmakirti's [Prama!la1varttika and the Tshad rna rigs gter. Alternatively, we can also take it in the more likely sense of roam 'gre/ gyi rigs gter, that is to say, a "treasury of tshad ma anent the Varttika," bearing in mind the meaning of "tshad ma rigs pa'i gter." Thus far, a Yuan, "Mongol print" of Dharmakirti's work is not referred to in the known Tibetan literature. 8. A '''Jam nyeg"--nyeg and snyeg are homophones--is mentioned as one of the scribes of 'Phags pa's Kyai rdo rje'i bdag 'jug gi cho ga dbang la 'jug pa, Sa skya pa'i bka' 'bum, Vol. 6, compo Bsod nams rgya mtsho (Tokyo: The Toyo Bunko, 1968), no.47, 118.4.3. There this man is styled "won­drous scribe" Cphru/ gyi yig mkhan) and it is also said that he was among those who petitioned 'Phags pa to write it. The work in question is dated to the year 1266. Seng ge bzang po's biography of his master Dka' bzhi pa Rig[s] pa'i seng ge (1287-1375) of 1418 notes a Slob dpon 'Jam nyag in Khro phu monastery who taught him the Prama!lavinifcaya and a Summary [of logic and epistemology?] sometime early in 1322; see SENG 22 [SENG 58].

LEONARD W. J. V AN DER KUIJP 283

Thog dpon. The ones who were actually responsible for the printing process were the official (mi chen) Sar du, Ta'i hyo and Peb ha duo The preparation of the printing blocks was begun on the fourth day of the eighth month and completed on the fifteenth day of the eleventh month of the wood-female-hare year, that is, again if the correction is in order, they were cut and edited from 2 August to 14 November of 1315 (or from 9 August to 14 November 1339). Lastly, the place where the blocks were prepared is stated to be the monastery of "Ka'u lang ho." 9

It is of course tempting to hold that this print is simply a clone of the first one due to the good possibility that the original blocks of 1284 had worn out. This does not appear to be case, however. The differences between these two prints in terms of pagination are substantial enough to warrant the view that this second print derives from newly carved blocks.

The first indication that all was not well with the transmission of ~ Tshad rna rigs pa'i gter's verse-text and autocommentary in which the verses are also reproduced is found in a passage of Glo bo Mkhan chen Bsod nams lhun grub's (1456-1532) exegesis of Sa skya Pa1).<;lita's auto commentary of 1482, where he quotes from the mid-fourteenth century commentator Gnas drug pa BIo gros mtshungs med to the effect that there were conflicting readings in at least two manuscripts of the text's tenth chapter. 10 Other important notices of conflicting readings in the eleventh and last chapter are alluded to expressis verbis in Bo dong P~chen 'Jigs med grags pa's (1375-1451) biography of 1453 by his disciple and patron' Jigs med 'bangs, that is, the Sna dkar rtse scion Nam mkha' bzang po of Yar 'brog. ll The issue at hand was Sa skya

9. This could refer to a monastery at Gaolang river, (at the time) south of Dadu. My thanks to my colleague A. Yue-Hashimoto for drawing my atten­tion to this possibility. This may be confirmed by a passage in one of the Wang Guowei writings to which F. W. Cleaves has drawn attention in his "The Bodistw-a c:ari-a awatar-un tayilbur of 1312 by Cosgi Odsir," Harvard Journal of Asiatic Studies 17 (1954): 15, 33, note 18. The "monastery at Gaoliang" river is none other than the well-known monastery of Da Renwang huguo, built by Qubilai, which was located on a site that is right behind the Beijing National Library. One wonders if this be an alternate name for what the Yuanshi refers to as the Southern Monastery (nansi) in YS 2, [20] 434 and 8, [90] 2284. This was the locale where Rong po Rdo Ije rgyal mtshan (1283-1325) had the KalacakramUlatantra printed sometime between 1310 and 1325. 10. GLO 352 [GLOI 358, GL02 223]. 11. See the Dpalldan bla rna thams cad mkhyen pa phyogs thams cad las rnam par rgyal ba'i zhabs kyi rnam par thar pa ngo mtshar gyi dga' ston,

284 HABS 16.2

P~<;lita' s numerical determination of two kinds of a refutation by way of a reductio ad absurdum (that' gyur, * prasa?zga), one which in its con­traposed form implies a proof of a· similar logical type and structure (bzlog/ldog pa rang rigs 'phen pa) and one which implies a dissimilar one (gzhan rigs 'phen pa). 12 Apart from the intellectual satisfaction of establishing the correct reading, the textual problems raised by these divergent manuscript (and blockprint) traditions were not exclusively a scholastic exercise in philology. On the contrary, it was something that had obvious practical Significance when we bear in mind that the art of disputation was one that was very well developed in the Tibetan monas­tic environment.

It is also precisely at this juncture that the Tshad rna rigs pa'i gter commentaries of Go rams pa Bsod nams seng ge (1429-1489) of 1471 and Gser mdog Pal). chen Shakya mchog ldan (1428-1507) of 1474 refer to the readings of a Mongol print (hal' splpar rna) which had a classifi­cation of these two in, respectively, four and fourteen types. The read­ing they assert of this print is confirmed by both blockprints, 13 so that we may conclude that the hor par rna (singular!) to which they refer . indicates one or both of these. Whereas Go rams pa accepts the hor par rna's reading, Gser mdog Pal). chen does not with some vehemence and argues instead for accepting a four by sixteen classification, for which,

Encyclopedia Tibetica. The Collected Works of Bo-don(sic) Pan(sic)-chen Phyogs-las rnam-rgyal, Vol. I, (New Delhi: The Tibet House, 1981) 283 [= Bo dong phyogs las rnam rgyal gyi rnam thar (Chengdu: Si khron mi rigs dpe skrun khang, 1990) 203]. . . 12. The textual conundrums and philosophical issues were first discussed in S .. Onoda, "Phya pa Chos kyi seng ge's Classification of ThaI 'gyur," Berliner Indologische Studien 2 (1986): 65-85, and the points made in this paper are now made with more precision and somewhat expanded in his excel­lentOnoda 1992: 71-86; see now also the involved T. Tani, "Rang rgyud 'phen pa'i thaI 'gyur [Hypothetical Negative/Indirect Reasoning (prasa1Jga) with the Implication of Independent Direct Proof (svatantra)] [Tibetan Commentators' Meta-Interpretations on DharmakIrti's Interpretation of prasa1Jga];" Tibetan Studies. Proceedings of the 5th Seminar of the International Association for Buddhist Studies, Narita 1989, Vol. 1, eds. ShOren Ihara and ZuihO Yamaguchi (Narita: Naritasan Shinshoji, 1992) 281-301. For the relevant passage in Sa skya PaJ.l4ita's work, see the Sde dge print of the Tshad ma rigs pa'i gter gyi rang 'grel in the Sa skya pa'i bka' 'bum, Vol. 5, compo Bsod nams rgya mtsho (Tokyo: The Toyo Bunko, 1968), no. 20, 263.1.4-5 and 2.1~2. 13. Onoda 1992, 80; blockprint no.1 reads on fol. 187a: bzlog pa rang rigs 'phen pa bzhi II . . gzhan rigs 'phen pa bcu bzhi yod II, and blockprint no.2 has on fol. 187a-b: bzlog pa rang rigs 'phen pa bzhi II .. gzhan rigs 'phen pa bcu bzhi yod II. .

LEONARD W. 1. VAN DER KUIJP 285

as indicated by Glo bo Mkhan chen, there is already a thirteenth century precedent by way of the Sde bdun gsaZ ba'i rgyan of Lho pa Kun mkhyen Rin chen dpal, a disciple and biographer of Sa skya PaJ)<;lita. 14 It is of course likely that, when earlier fourteenth century exegeses of the text come to light-I am thinking here particularly of the works by Byams mgon dpal, alias Phyogs glang gsar rna, and his student Dka' bzhi pa Rigs pa'i seng ge IS-we shall have further evidence that these early xylographs of the Tshad rna rigs pa'i gter autocommentary were put to use in other interpretations of Sa skya Pa9-Qita's work. Aside from the fact that these blockprints are of undoubted historical signifi­cance, they also underscore the methodological imperative that textual criticism should precede translation (and interpretation), something that is all too often and easily forgotten these days in the study of Tibet's vast literary heritage. 16 Indeed, at least three different xylograph-edi­tions of the auto commentary were prepared during the fifteenth century. We now have located the GIang ri thang monastery blockprint, as ordered by Kun dga' rgyal mtshan dpal bzang po, that was completed on the fourteenth day of the third month of the wood-female-ox year, which can only refer to 22 March 1445.17 Other prints that have yet to come to light are the one prepared in Thub chen mngon par dg[y]es pa temple in Glo bo Smon thang in 1474, for which Gser mdog PaI.1 chen wrote a notice,18 and the one of Dpal rdo rje gdan mi 'gyur Me ba chen po

14. GLO 404 [GLOI 412, GL02 256]: sgrub byed 'phen pa nyi shu la II rang rigs 'phen pa rnams bzhi II gzhan rigs 'phen pa bcu drug ste II tsha reg gsum gyis grang reg gsum II 'gog pa'i spyod pa roam dgu las II rang rigs 'phen pa rnam gsum bri II [hag rna drug dag rang bzhin dang II 'bras bu'i thaI ba rnam gnyis te II brgyad las phye ba'i bcu drug nyid II Glo bo Mkhan chen concurs with this numerical determination. 15. SENG 20-21, 25, 36 [SENG 1 56, 60, 71]. Some of their views are cited severally in Glo bo Mkhan chen's exegesis. To be sure, Seng ge bzang po does not state that Phyogs glang gsar rna wrote a Tshad ma rigs pa'i gter commentary. Although he does mention that he enjoyed special renown in Sa skya for his expert know ledge of this difficult work. 16. This holds already for the serious inconsistencies in the most wide­spread available texts of both by way of the Sde dge print of 1736, for which see the useful tabulation of variant readings in the verse texts in the Tshad rna rigs pa'i gter, ed. Rdo tje rgyal po (Pe cin: Mi rigs dpe skrun khang, 1989) 395-40l. For the particulars of this print, see Jackson 1987,232-236. 17. This blockprint is housed in the Tibetan library of the Cultural Palace of Nationalities where it is catalogued under no. 004783(2). It consists of one hundred and fifteen folios and bears the marginal notation "Ka" (= Vol. 1). 18. See the Rigs gter gyi gzhung par du bsgrubs pa'i dkar chag in GSER

286 nABS 16.2

monastery that was effected through the financial patronage of Gong dkar Rdo rje gdan pa Kun dga' mam rgyal (1432-1496). 19 It may be that the Sa skya xylograph of the verse-text of the Tshad rna rigs pa'i gter as sllch also belongs to this century. 20 '

In his discussion of these arguments, S. Onoda points out that the four by sixteen scenario is al-so met with in the later Dga' ldan pa and Dge lugs pa bsdus grwa texts, the earliest of which he signalled is the work by Mchog lha 'od zer (1429-1500). He tentatively suggests that its ori­gin might be sought in Rgyal tshab Dar rna rin chen's (1364-1432) Tshad rna rigs pa'i gter commentary. This is perhaps unlikely given the fact that it was conSistently surpressed by later e(litors of his collected oeuvre, and is so far only extant by way of a Bla brang Bkra shis 'khyil blockprint. Like their mastyr Tsong kha pa, Mkhas grub Dge legs dpal biang po (l385~1438) is but content with giving a very general descrip­tion of both types, adding that one should look elsewhere for a detailed subdivision of their typology. 21 Lastly, their disciple Dge 'dun grub pa (1391-1474) is so far the earliest known Dga' ldan pa scholar to have argued for a four by sixteen scenario, one which we encounter in his survey of Buddhist logic and epistemology of 1437. 22

In addition to the dossier provided by S. Onoda, we may also refer to the discussion in the anonymous, undated, and hitherto unknown work on Buddhist logic and epistemology entitled the Tshad rna shes rab sgron rna, a beautifully calligraphied handwritten dbu rned manuscript of which we located in the Tibetan library of the Cultural Palace of Nationalities, which also accepts the four by sixteen classification with-

220"222. It was sponsored by her ruler Rkra shis mgon (?-1489). 19. Rgya stan Byang chub dban rgyal's biography of Gong dkar ba, the Chos kyi rje thams cad mkhyen pa rdo rje gdan chen po kun dga' rnam rgyal dpal bzang po'i mam par thar pa ngo mtshar rin po ehe'i gter mdzod, (ols. 45a, 49b. Two identical blockprints (on different size paper) of this biography are housed in the Tibetan library of the Cultural Palace of Nationalities where they are catalogued under nos. 002655(1), (2). -20. This xylograph is briefly noted in D. P. Jackson, "Sources for the Study of Tibetan Prami17J.a Traditions Preserved at the Bihar Research Society, Patna," Studies in the Buddhf.st Epistemological Tradition, ed. E. Steinkellner (Wien: Verlag der Osterreichischen Akademie der Wissen­schaften, 1991) 104. 2!. See his Tshad rna sde bdun gyi rgyan yid kyi mun sel [based on the Bkra shis !hun po print], ed. Rdo Ije rgyal po (Pe cin: Mi rigs dpe skrun kbang, 1984) 372. 22. See his Tshad ma'ibstan bcos chen po rigs pa'i rgyan, Collected Works, Vol. 4 (Gangtok: n. p., 1979) 367-370. -

LEONARD W. J. VAN DER KUIJP 287

out further comment. 23 Moreover, the recently published survey of . Indo-Tibetan Buddhist epistemology and logic by Bcom ldan Rigs pa'i

ral gri (ca. 1235-1314) makes it clear that this great controversialist accepted a total of seventeen different types of prasat.zgas which he classified by means of a four by thirteen division.24 Lastly, Bo dong Pa~ chen's monumental Tshad rna rigs pa'i snang ba 25 refers rather critically to three different positions which are not attributed to anyone specifically. These are a five by sixteen, a four by fourteen and a three by ten classification, the first two of which are attested in different Tshad rna rigs pa'i gter manuscripts (and other xylographs?).26 He

. himself argues for a three by eleven scenario. These issues deserve. further exploration.

We may take this opportunity to furnish some additional remarks on the Tshad ma shes rab sgron mao Its colophon does not shed any light on its authorship, the title does somewhat resemble the so-called Gzhal bya shes rab sgron ma'i phreng ba--the phreng ba is somewhat pecu­liar in this title-of unknown authorship which, according to Zhang Rgyal ba dpal, yet another biographer and disciple of Sa skya P~<;lita, the latter had studied under Mtshur Gzhon nu seng ge around the years 1200 to 1201. 27 This work has not been located so far. However,we can unequivocally say that the intellectual environment of the Tshad ma shes rab sgron ma is clearly the exegetical traditions that had their inception in Gsang phu ne'u thog monastery. With some modifications, it accepts its rather distinctive five-fold typology of the so-called non­valid means of cognition (tshad min) against which Sa skya Pa~<;lita reacted so critically.28 For example, its discussion of the notion of

23. AN fols. 65b-66a. For three other manuscripts of early tshad ma texts, see Appendix Two. 24. See his Tshad ma'i bstan bcos sde bdun rgyan gyi me tog, handwritten dbu med manuscript of the Tibetan library of the Cultural Palace of Nationalities, catalogue no. 002468(2), fo1s. 88b-89a [Ibid., ed. Rdo rje rgyal po (Pe dn: Krung go'i bod kyi shes rig dpe skrun khang, 1991): 128-129]. 25. See the text in Encyclopedia Tibetica. The Collected Works ofBo dong PaT} chen Phyogs las rnam rgyal, Vol. 8 (New Delhi: The Tibet House, 1970) 533-543. S. Onoda did not examine Bo dong PaI,1 chen's remarks. 26. GLO 404 [GL01 412, GL02256]. 27. Jackson 1987, 106. 28. For these, see the preliminary (and sometimes erroneous) remarks in my "Phya-pa Chos-kyi seng-ge's Impact on Tibetan Epistemological Theory," Journal of Indian Philosophy 5 (1978): 355-369. For Phya pa Chos kyi seng ge (1109-1169) there were a total of five types of invalid cognitions, a deter­mination that was followed in the PramaT}aviniicaya commentary by his dis-

288 nABS 16.2

reflection (yid dpyod),29 an epistemological type which Sa skya PaJ).<;lita is loathe to accept, begins with a negative reference to an earlier defini­tion in which it was maintained that itis a type of cognition that ascer­tains an object independent of either a direct experience of it, or a logical justification on which basis the object could be deduced. We find something very similar·to this in Gtsangnag pa's PramartaviniScaya commentary30 which belongs to the second half of the twelfth century, not to mention the fact that such a standpoint is also more or less attributed to Phya pa. The author's own position is that reflection con­sists of an ascertainment of an imperceptible object, on par with an [actual] object, that has not been previously cognized and which is, however, independent of a logical indicator (nags) or justification. The text is polemical and argumentative, but none of its references to other opinions are identified by their owners-an exception is made in its cita­tion of Indian Buddhist philosophers-the author being content with prefixing these opinions by the somewhat exasperating kha cig na re, "some say." However, several glosses in an unknown hand do iden­tify-future research will have to show whether rightly or wrongly­several such kha cigs. Among the first of these is a sublinear "Rgya" anent a definition of a cognition which does not ascertain what is present [to it] (snang la rna nges pa) with which the author disagreed. 31 It is quite probable that "Rgya" refers here not to an Indian (rgya[-gar]) scholar, but rather to Rgya dmar pa B yang chub grags, a diSCiple of Gangs pa She'u BIo gros byang chub and Khyung Rin chen grags and one ofPhya pa's masters, for an epistemological type of the snang la rna nges pa variety never seems to have been conceptualised in India. 32

ciple Gtsang nag pa Brtson 'grus seng ge, for which see GTSANG fols. 22b-24a. For these men, see also van der Kuijp 1983, 60-84, Jackson 1987 index, 590, 603, my Introduction to GTSANG 1-5, E. Steinkellner, "Early Tibetan Ideas on the Ascertainment of Validity (nges byed kyi tshad rna)," Tibetan Studies. Proceedings of the 5th Seminar of the International Asso­ciation for Tibetan Studies, Narita 1989, eds. ShOren Ihara and Zuiho Yamaguchi (Narita: " Naritasan Shinshoji, 1992) 257-273, the numerous con­tributions by S. Onoda referred to in Onoda 1992, 226-227. and his "Phya pa Chos kyi seng ge's Theory of 'gal ba," Tibetan Studies. Proceedings of the 5th Seminar'of the International Association for Tibetan Studies, Narita 1989, eds. ShOren Ihara and Zuiho Yamaguchi (Narita: Naritasan Shinshoji, 1992) 197-202. 29. AN fo1. 6a. 30. GTSANG fo1. 23a. 31. AN fo1. 5b. 32. For him, see van der Kuijp 1983, 60, 293, notes 213-215. The remain-

LEONARD W. LVAN DER KUIJP 289

Other klla cig na res are glossed by "Lo," "Gangs pa," and "Khyung," which would refer to possibly Rngog Lo tsa ba BIo ldan shes rab (1059-1109) and his disciples Gangs pa She'u and Khyung.33 On the strength of the glosses of "Rtsang nag pa," that is, "Gtsang nag pa," we can argue that it postdates Gtsang nag pa's logical oeuvre. 34 Moreover, we may have to place the author at sometime between Gtsang nag pa and the Tshad rna rigs pa'i gter, although we can only adduce negative evidence for this inasmuch as, for instance, he does not take issue with Sa skya P~<;lita' s criticism of the earlier five-fold classification of the tshad min. Only a detailed study of our text will reveal whether or not there is evidence for the author having known Sa skya P~<;lita' s work. A po­tential snag in a pre-Tshad ma rigs pa'i gter dating of this work may be the two glosses that attribute a pOSition to a "S[R?]tag pa" or "S[R?] tag."35 The only individual who might be identified by "Stag" is Stag lung Lo tsa ba Shakya bzang po (1322-1404). The chronicle of the Stag lung Bka' brgyud sect written by Stag lung pa Ngag dbang mam rgyal (1571-1626) in 1609 states that he had written a Pramli{lavlirttika commentary which carried the subtitle of RigIs?] tshul snang chen.36 However, it seems unlikely that the Tshad ma shes rab sgron ma is to be placed sometime in the latter part of fourteenth century, or even beyond.

Excursus: The Rtses thang Print of Dignaga's Prama1).asamuccaya Aside from the numerous printing projects that were undertaken anent Tibet's indigenous literature, the fifteenth century also knows of various xylograph editions of canonical texts, including those of the Tibetan renditions of the writings of Dignaga and DharmakIrti. One such xrlo­graph is the Rtses thang print of the Tibetan rendition of Dignaga's

ing "Rgya" glosses are found in AN fols. 23a, 26a, 51b, and 62b, but these do not have parallel attributibns in other texts examined so far. AN fol. lOb does have an "insert" of rgya dag na re ... "Indians say .... " Other candi­dates for "Rgya" may also be Rgya MI' chims ru ba-GSERa 452 writes "Rgya stan Phying ru ba"-, the founder of Bde ba can and a onetime abbot of Gsang phu ne'u thog monastery's Gling stod college-for the literature on this monastery, see below note 43-0r any of the more or less contemporane-ous Rgya ston-s. . 33. For instance, AN fols. 21a, 23a, 31a. 34. See, for instance, AN fol. 22a. 35. See, for instance, AN fols. 5b, I5b. 36. See the Chos 'byung ngo mtshar rgya mtsho,Vol. I (Tashijong, 1972) 484.

290 JIABS 16.2

Pramii~zasamuccaya·-t.'1e blockprint specifies that it is the translation of Vasudhararak~ita andSeng ge rgyal mtshan-which is housed in the Tibetan library ofthe Cultural Palace of Nationalities where it is cata­logued under no. 004806(2). It consists of ten folios with seven lines per folio side and measures 9 x 61 cm. The upper center of the title page has a marking in red inkplJyi, zha, 18. Phyi, "external" would suggest that it was accessible to the "public," whereas nang in other manuscripts would mean that it was for "internal" circulation only. There is a mini a _ ture on either side of fol. 1 b; on the left MafijusrI and on the right Dignaga. The printer's colophon states that it was prepared by Bsod nams bkra shis in Rtses thang monastery for the fulfillment of [his] pre­ceptor's final wishes and the longevity of the Phag mo gru/Sne'u gdong ruler Grags pa 'byung gnas (1414-1445). The person who may have been in charge of the actual printing, or who had particular expertise in this text-I have difficulty in interpreting the phrase chos 'di mkhas pa-was a Lama Rin chen dga'.

Text of the Printer's Colophon bstan bcos kun gyi mi gcig thos pa'i mchod II thub pa'i bstan pa dngos stobs legs sgrubs pa'i II rigs lam dri rna med pa'i gzhung lugs 'di II dpal ldan bIa ma'ithugs dgongs rdzogs pa'i phyir dang I [here the text has a rin spungs shad] rgyal ba'i sras grags pa 'byung gnas kyi /1 sku tshe brtan cing chab srid brgyas bya'i phyir II chos gra chen po dpal gyi rtses thang du II bsod nams bkra shis bdag gis par du sgrubs II de' ang ?byung pa'i bde ba gang thob pas II rgyal ba'i dkyil 'khor bzang zhing dga' ba der II padmo dam pa shin du mdzes las skyes II snang ba mtha' yas rgyal bas mngon sum du II lung bstan pa yang bdag sogs der thob shog II chos 'di mkhas pa bla rna rin chen dga'?o I

Lastly, Gser mdog PaJ) chen signals the existence ofaxylograph of the Tibetan version of the Prama!wvarttika in Thub chen mngon par dgyes pa monastery in his notice Of this "publication" dated 1474.37 Like that ofthe Tshad ma rigs pa'i gter autocommentary, it too was sponsored by Bkra shis mgon. The scribe who prepared the manuscript was Shes rab grags and the carverlprinter was Dge legs seng ge.

37. See his Rnam 'greZ gyi gzung par du bsgrubs pa'i dkar chag in GSER 216-220. .

LEONARD W. J. VAN DER KUIJP 291

APPENDIX ONE

Note: "No." refers to the catalogue number of the Tibetan library of the Cultural Palace of Nationalities, Beijing.

1. No title page No. 004817. Folios: 2a-190a; six lines per folio side. Dimension: 12.5 x 64 cm: Incomplete: fols. 1 and 66 are missing. Marginal notation: KA Tibetan/Chinese pagination.

Incipit: [2a] ... pa mams kyang log par rtog pa du ina mthong pas de sun dbyung pa dang yang dag pa'i don gtan la dbab pa'i phyir 'di brtsam moll Printer's Colophon: [189b-190a] tshad mar gyur ba [read: pa] rgyal ba'i gsung rab kun II tshad rna nyid du nges byed gzhung kun gyi II tshad mas grub pa'i rigs mchog kun bsdus pa'i II tshad ma'i bstan bcos 'di ni rigs pa'i gter II'di ni shes bya'i gnas la mkhyen pa rab gsal zhing II 'gro ba kun la kun nas brtse ba'i thugs mnga' ba II chos kyi rgyal bo [read: po] bzang bo'i [read: po'i] zhabs kyi zha! snga nas II bstan pa dri med mam par spel phyir rab tu mdzad II gzhung lugs [190a] [gzhung lugs; reduplication] 'di yidri med 'thad pa mthong gyur zhing II gzhung rtsom de yi ngo mtshar dpag yas shes gyur nas II gzhung mchog 'di ni blo gsa! mams la rgyas pa'i phyir II gzhung 'di'ipar gi gter chen legs par phye ba yin II 'di ni rigs gzugs dge mtshan ldan zhing II dad dang brtse dang dpal 'byor phun sum tshogs II sna tshogs bkod pa'i tshulla rab mkhas pa II dpon mo chen mo cha bus mgo btsugs nas II de sras mchog gi btsun mo dpalldan pa II bstan pa'i rtsa lag skye rgu'i rna Ita bu II rigs gzugs yon tan phun sum tshogs pa yi I/go go cin gi lung gis rdzogs par bsgrubs II rgyal ba mams la dam chos mi zad Itar II par ' di las kyang chos tshulzad mi shes II de 'dra sgmb par gang zhig bka' sgo ba II de'i bsod nams tshul yang zad mi shes II de las byung ba'i dge ba rgya mtsho dang II rgyal sras rgya mtsho'i spyod pa 'dres gyur nas II sems can rgya mtsho'i tshogs mams smin byed cing II rgyal ba'i ye shes rgya mtshor 'jug par shog II gnas skabs su yang rgyal po yab sras dang II btsun mo sras dang brgyud par bcas pa mams I I sku khams bzang zhing

292 JIABS 16.2

sku tS.he ring ba dang II chos dang zang zing dpal 'byor phun tshogs shog 1/ 'di 'dra gang gis dran bskul byas pa dang II yi ger 'bri dang par du rko padang II yo byad sgrub pa'i gnyer pa la stsogs kun II gnas skabs mthar thug don rnams lhun grub shog II phyogs dus thams cad du bkra shis par gyur cig II shing phospre'u 10 I rgyal gyi zla ba yi I yar ngo'i tshis Jread: tshes] brgyad la /legs par grub pa yin I II [figure comprising a circle plus two semicircles underneath it] btsun mo dam pa mtho tis kyi II yon tan kun kyi brgyan pa can II dpal mo 'bol gan zhes bya bas II rigs gter brgya phrag gnyis bsgrubs te II bshad nyan spel phyir phul ba yis II rgyal po sku tshe legs brt:m zhing II kun gyi sangs rgyas thob par shog II bkra shis par gyur cig I .

2. No title page. No. 004796. Folios: 1-190b; six lines per folio side. Dimension: 12.5 x 65.2 cm. Tibetan/Chinese pagination. Fol. Ib has two miniatures in black and white: '''Jam dpal [Mafijusn]" on the left and "Chos rje Sa skya Palf <;li ta" on the right side. Fol. 190a has seven lines.

Printer's colophon: [190a-b] tshogs gnyis rgyas pa'i kling [read: gling] las legs 'khrungs shing I I legs spyad Ihun mdzes phan bde'i 10 'dab can II sku gsum 'bras Idan phrin las bsil grib kyis II nyon mongs gdung sel dkon mchog gsum la 'dud II me tog u dum stong gi Inga ltas las II gnas gtsarig Iha yis bzang po zhes bsgrags pa'i II bskal bzang 'di la bde gshegs stong 'byon pa'i II 'khor ba 'jig dang gser thub 'od bsrung 'das II brgyapa'i dus 'dir shakya'i [read: shakya'i] rgyal po byonllrgyal ba'i bstan 'di Inga stong gnas so zhes II sangs rgyas gnyis pa Itabu'i dbyig gnyen dang II 'bum tig mkhan po gdang ¥a se na bzhed II de la thub bstan 10 ni sum stong dang II bzhi brgya zhe dgu, sa mo yos los rdzogs II da phyis rgyal ba'i bstan pa 10 stong dang II lnga brgya Inga bcu nga gcig gnas par 'dod II de lta'i thub pa'i bstan pa'i rtsa lag mchog Illnga brgya bdun par 'dzam kling [read: gling] byang phyogs su II stobs kyi 'khor lobsgyur ba brgyad par ni II sngon bsags bsod nams mtsho chen 'khyil pa lall dam 'byor chu skyes yon tan ge sar 'khrigs II sa chen 'di na sa la mnga' mdzad pa II bu yan du gan rgyal srid skyong pa [read: ba] na II bsod nams stobs kyis sa la mnga' bsgyur zhing II dad pa'i stobs kyis dbu sde rnam gnyis mchod II snying rje'i stobs kyis mnga' ris chos

LEONARD W. J. VAN DER KUIJP 293

bzhin skyong II rigs gzigs 'byor ldan tha'i hu chen mo la II shes bya'i mIcha' la mkhyen pa'i chu 'dzin 'khrigs II shes rab klog 'khyug stong nyid 'brug sgra sgrogs II legs spy ad char gyis nyon mongs tshad gdung selll kun oga'i mtshan can bla ma'i gsung bzhin du II sna tshogs shes bya'i nam mkha' yangs pa la II dri med blo gros 'od zer rab 'phro zhing Ilthub bstan gsal byed bstan pa'i khur 'dzin pa'i II sha zin a ko che yis zhus nas ni II bstan pa yun du gnas zhing dar ba dang II yangs pa'i 'ro la bde skyid 'byung ba dang II 'gro kun byang chub chen po thob bya'i phyir II mam ggrel [read: 'gre!] rigs gter stong phrag par du bsgrubs II 'eli'i [read: 'eli yi] dran bskullag len zhus dag pa II mang thos sde snod 'dzin pa 'jam snyeg yin II lung rigs dbang phyug smra ba'i zla ba dang II thog dpon gnyis kyis zhus dag grogs ldan byas II dam chosdpar 'eli'i bya ba bsgrub byed pa II dad brtson ldan ba'i [read: pa'i] mi chen sar du dang II ta'i hyo dang peb ha du yis bsgrubs II de las byung ba'i dge ba rgya mtsho des II tshogs gnyis rgya mtsho yongs su rdzogs byas nas II sems can rgya mtsho yongs su smin byed [190b] cing : 'gro kun rgya mtsho'j tshogs dang bcas pa mams II sku gsum rgya mtsho'i kIing [read: gling] du phyin par shog II gnas skabs su yang rgyal po yab sras dang II btsun mo sras dang brgyud par bcas pa mams II sku khams bzang zhing sku tshe ring ba dang II chos dang zang zing dpal 'byor phun tshogs shog II 'di 'dra gang gis dran bskul byas pa dang II yi ger 'bri dang par du rko pa dang II yo byad sgrub pa'j gnyer pa la stsogs kun II gnas skabs mthar thug don mams lhun 'grub shog II sarno yos bu'i 10 I zla ba brgyad pa'i I tshes bzhi nas dbu btsugs nas I zla ba bcu gcig pa'i tshes bcwo Inga'i nang du ka'u lang ho'i sde chen por I legs par grub pa yin I phyogs dang dus dang gnas skabs thams cad du I bkra shis dang bde legs chen pos khyab par gyur cig II

APPENDIX TWO

The Tibetan library of the Cultural Palace of Nationalities houses a large number of other early treatises on tshad rna. Among these there are the following three manuscripts which I was able to inspect only very briefly due to exigencies of time:

l.Title: Bod snga rabs pa'i tshad ma'i spyi don No. 004783(1) Folios 1-97 a

294 JIABS 16.2

Upper center of the title page has Phyi, Zha, 17, for which see the remarks in the excursus.

Incipit: [lb] 'phags pa 'jam dpalla phyag 'tshallofl dag gsal mthu' ldan byams pa'i dkyil 'hor canl I gsung gi 'd zer 'gro ba'i lam ston pas I I rna rig mun se1 kun gyi sgron mer gyur I I rdzogs sangs nyi ma'i sku la phyag 'tshallo II Colophon: [97a] dad mos brtson pas yang dag don rtogs nas II rtog ge rigs pa'i brgyan gyi snying po brtsams II de [b]rtsams bdag gis dge ba gang thob pa II 'gro kun bde gshegs snying po myur thob shog II dgag dang sgrub pa bya ba'i gnas 'di la II lha ngan 'chal pa'i wa tshogs zil rnnan nas II rtsalldan smra ba'i seng ger 'gyur 'dod na II mtha' ldan rtog ge tshulla 'jug par gyis II rna rig mun gdongs srid pa'i lam dub la II lam ston rigs shes sgrone [= sgron me] par gyur pa yis II phan bde gtan gyi gnas mchog 'gyur 'dod na II gsal byed rtog ge'i tshulla 'jug par gyis II sdug bsngal rgyur gyi rtog ngan dra ba 'di II bden rtogs shes rab mtshon gyis mam bcad nas II zhi ba byang chub dam pa thob 'dod na II mam dpyod rtog ge'i tshulla 'jug par gyis II II rtog ge rigs pa'i brgyan [= rgyan] gyi snying po zhes bya ba I shag kya'i dge slong dha rma rad na zhes bya bas sbyar ba II rdzogs shyo II II rtog ge rigs pa'i snying po 'di II kho bo zhang gis gzabs nas bris II bshes gnyen se'i thugs mdzodll

Despite the title page, the actual title of this work by the monk Dharma rad[read: t]na was Rtog ge rigs pa'i [b]rgyan gyi snying po. It was carefully written out by a certain Zhang. Who was Dharmaratna, that is, Chos kyi rin chen!dkon mchog or Dar rna rin chen! dkon mchog? Ifmy suspicion is correct, then he may be identified as the late twelfth and early thirteenth century scholar signalled by Tshal pa Kun dga' rdo rje (1309-1364) as "Dar dkon."38 This is no doubt an abbreviation of "Dar rna dkon mchog." The bearer of this name, either a native of Phu thang, or one who was associated with this place on a professional basis, had been one of the disciples of the very influential Gnyal zhig 'Jam pa'i rdo Jje,39 himself a student of 'Dan bag pa Smra ba'i seng ge who in tum had studied with Phya pa. Dar rna dkon mchog is said to have been active in Yar lung and Mtsho smad temples. 'U yug pa Bsod nams seng ge, alias Rigs pa'i seng ge, the author of the first Tibetan commentary on

38. TSHAL 69-70 [TSHAL fol. 29a-b, Inaba-SaW 1963, ISO, Chen-Zhou 1988, 62]. 39. On him, see van der Kuijp 1983,117,314, note 356.

LEONARD W. J. VAN DER KUIJP 295

the Prama7}avarttika, had been one of Gnyal zhig's disciples prior to joining Sa skya Pal!9ita in Sa skya. It now appears that he wrote two other texts on tshad mao The first WQuld be the Bsdus pa text on tshad rna-it is entitled Rigs pa [s]grub pa-which might have been written when he was still with Gnyal zhig; he refers to it towards the end of his Pramil7}avarttika exegesis. 40 The other text would be his short Tshad rna mam 'greZ gyi bsdus don rigs pa'i sdom. I was ableto inspect a late nineteenth century Sde dge print of the latter through the kind offices of Mr. Rgya rong BIo bzang of the department of nationalities' literature of the Beijing National Library where it is catalogued under no. 3154-l. This little text is nothing but a topical outline of his Prama7}avarttika exegesis which he possibly wrote while at Sa skya, so that it must be assigned to a later period of his life.

2. No title page No. Fols.

004827(4) I-IS2a.

Incipit: [Ib] thugs rje chen po la phyag 'tshal 10 II sangs rgyas gzhan phan dgongs pa can I I kun bzang rab zhi gnyis myed cing I I thams cad khyab pa'i sku ldan pa I I skyob pa mchog la phyag 'tshallo II Colophon: [IS2a] II rgya shes rab dbang phyug dang 'jang shag kya dpal dang s/rkyel grags pa seng ge la sogs pa chen po mams kyi zhabs kyi rdul spyi bos blangs te mang du thos pa rgya mtsho'i pha r01 du phyin pa'i don I slob dpon chos mchog gis mdzad pa'iti ka 'thad ldan dang I kha che dznya na shri'i ti ka la sogs pa mthong ba'i don I bsams pa las byung ba'i shes rab kyis legs par gtan la phab pa'i don ston par byed pa I blo la zin pa tsam gyis mkhas pa'i mchog tu 'gyur zhing mkhas pa rtag tu mi nyams par byed pa'i ti ka chen po 'di I shag kya'i dge slong gtsang chu mig pa seng ge dpal gyis gsang phu ne'u thog gi gtsug lag khang du brtsams te yar lung kha 'brug gi gtsug lag khang,du yi ger bkod pa'o II,

This is a Pram{j~l{lviniScaya commentary which, as is to be expected, takes to some extent the Indian exegeses of Dharmottara and JfianaSrI as its point of departure, was begun by Gtsang Chu mig pa Seng ge dpal 41

in the monastery of Gsang phu ne'u thog, and committed to writing in

40. van der Kuijp 1983, 117; Jackson 1987, 153, note 40. 41. For later references to him, see van der Kuijp 1983, 117,314, note 356,

296 JIABS 16.2

the temple of Kha 'brug in the Yarlung river valley. His masters were evidently Rgya Shes rab dbang phyug, 'Jang Shakya dpal and Skyel Grags pa seng ge. Tshal pa writes that Skyel nag G~ags [pal seng [ge] had been a student of Gnyal zhig and DanaSila; a member of SakyaSribhadra'S party, that he was responsible for setting up a tradition of tshad ma study in SIiar thang monastery and that this attracted such men as Skyo stonGrags [pa] 'bum and Chu mig pa Seng ge dpal. 42 It seems therefore rather likely that this Skyel nag is none other than the colophon's "Skyel Grags pa seng ge." Most sources have it that Chu mig pa succeeded Rgya MI' chims ru ba as abbot of Gsang phu ne'u thog's Gling stod college, a post which he allegedly occupied for eigh­teen years. 43

3. No title page. No. 004827(1) Folios 1-68a Upper center of the first page has phyi, zha, 9.

Incipit: [lb] tshad rna bde bdun gyi-phyogs cig du bsdus pa gzhan gyi phyogs thams cad las mam par rgyal ba I .. Colophon: [68a] II gzhan gyi phyogs thams cad las mam par rgyal ba zhes bya ba I rigs par smra ba'i dge slong sing ha shris gsang phu ne'u thog gi gtsug lag khang du logs par brtsams te I dpal rtse dkar gyi gtsug lag khangdu yi ger bkod pa'o II rdzogs sho II

42. TSHAL 63, 71, 73 [TSHAL 1 fols. 26b, 30a-31a, Inaba-SatO 1963, 142, 152, 154, Chen-Zhou 198857,64-65]. Dpa' bo Gtsug lag phreng ba (1504-1566) relates that although Chu mig pa was a scholar at Snar thang, he had come to Rgya MI' ching ru ba [in the Gling stod college of Gsang phu ne'u thog] to debate with him. Unable to defeat him, he became his disciple; see his Coos 'byung mkhas pa'i dga' ston, Vol. 1 (New Delhi: Delhi Katmapae chodey gyalwae sungrab partun khang, 1981) 749 [Ibid., Stod-cha, ed. Rdo tje rgyal po (Pe cin: Mi rigs dpe skrun khang, 1986) 734]. 43. For Gsang phu [s]ne'u thog, see my "The Monastery of Gsang phu ne'u thog and Its Abbatial Succession from ca. 1073 to 1250," Berliner Indolo­gische Studien 3 (1987): 103-127, and the studies by S. Onoda in his "The Chronology of the Abbatial Successions of the Gsang phu sne'u thog Monastery," Wiener Zeitschrift flir die Kunde Sudasiens 8 (1989): 203-213, and "Abbatial Succession of the Colleges of Gsang phu sne'u thog Monastery," Bulletin of the National Museum of Ethnology, Osaka 15.4 (1990): 1049-1071. GSERa 453 is unique in stating that Chu mig pa, Gnyal zhig's nying slob, "grand-disciple," was never abbot of [the Gling stod col­lege otT Gsang phu, but that he did teach there for a long time.

LEONARD W. J. V AN DER KUIJP 297

This work was evidently entitled the Gzhan gyi phyogs thams cad las mam par rgyal ba, which is described a summary of the purport of DharmakIrti's tshad rna writings. The colophon gives the author's name

. in Sanskrit as "Sing ha shri" which in Tibetan would read "Seng ge dpal." He may therefore have to be identified as Chu mig pa as well. The text was begun in Gsang phu ne'u thog, and completely committed to writing in the monastery of Dpal rtse dkar.

BIBLIOGRAPHY

Abbreviations AN

GLO

GLOI

GL02

GSER

GSERa

GTSANG

SENG

Anonymous. Tshad ma shes rab sgron mao Handwritten dbu med manuscript in fols. 67. Tibetan library of the Cul­tural Palace of Nationalities, catalogue no. 004827(5). Glo bo Mkhan chen Bsod nams !hun grub. 1985. Sde bdun mdo dang bcas pa'i dgongs 'grel tshad ma rig[s] pa'i gter gyi 'grel pa'i rnam bshad rig[s] lam gsal ba'i nyi rna [Sde dge print]. Dehra Dun: Pal Evam Chodan Ngorpa Centre. Ibid. 1970. Tshad rna rigs pa'i gter gyi rnarn par bshad pa rigs pa rna ius pa la 'jug pa'i sgo. Gangtok. Ibid. 1988. Tshad ma rigs gter gyi 'greZ pa [based on the Sde dge print]. Ed. Rdo Ije rgyal po. Pe cin: Krung go bod kyi shes rig dpe skrun khang. Gser mdog Pa~ chen Shakya mchog ldan. 1975. Glo bo phar phyin gyi par bzhengs pa'i dkar chag tu gnang ba, Collected Works. Vol. 17. Thimphu. 213-242. Ibid. 1975. Rngog Lo tstsha ba chen pos bstan pa ji ltar bskyangs pa'i tshul mdo tsam du bya ba ngo mtshar gtam gyi rol mtsho, Collected Works. Vol. 16. Thimphu. 443-456. Gtsang nag pa Brtson 'grus seng ge. 1989. Tshad ma main par nges pa'i ,tl ka legs bshad bsdus pa. An Ancient Commentary on Dharmakirti's Pramtir:tavinifctiya. Otani University Collection No. 13971, in Otani University Tibetan Works Series. Vol. 2. Kyoto: Rinsen Book Co. Seng ge bzang po. 1983. Mkhan chen bka' bzhi pa chen po rig pa'i seng ge'i rnam par thar pa yon tan rin po che'i rgya mtsho. Dehradun: Sakya Centre.

298 JIABS 16.2

SENGI

TSHAL

TSHALI YS

Ibid. 1986. Mi nyag mkhas dbang lnga'i rnam thar. Chengdu: Si khron mi rigs dpe skrun khang. 37-115. Tshal pa Kun dga' rdo Ije. 1981. Del? ther dmar po. Ed. Dung dkar Blo bzang 'phrin las. Pe cin: Mi rigs dpe skrun khang. Ibid. 1961. Gangtok: Namgyal Institute of Tibetology. Song Lian, et al. 1976. Yuanshi. 15 Vols. Beijing: Zhonghua shuqu.

Other References Chen Qingying, and Runnian Zhou, trans. 1988. Hongshi. Lhasa: Xizang

renmin chubanshe; translation of TSHAL. Inaba ShOju, and Hisashi SaW, trans. 1964. Hu lan deb ther. Ancient

Chronicle of Tibet [in Japanese]. Kyoto: Hozokan. Jackson, D. P. 1983. "Notes on Two Early Printed Editions of Sa-skya-pa

Works." The Tibet Journal 8 (1983): 5-24. ______ . 1987. The Entrance Gate for the Wise (Section III). Sa

skya Par;ljita on Indian and Tibetan Traditions of Pramar;a and Philosophical Debate. 2 Vols. Wiener Studien zur Tibetologie und Buddhismuskunde. Heft 17,2. Wien: Arbeitskreis fUr Tibetische und Buddhistische Studien Universillit Wien.

van der Kuijp, L. W. J. 1983. Contributions to the Development of Tibetan Buddhist Epistemology-from the Eleventh to the Thirteenth Century. Alt­und Neu-Indische Studien 26. Wiesbaden: Franz Steiner.

Onoda, S. 1992. Monastic Debate in Tibet. A Study on the History and Structures of Bsdus gnva Logic. Wiener Studien zur Tibetologie und Buddhismuskunde. Heft 27. Wien: Arbeitskreis fUr Tibetische und Buddhistische Studien der Universillit Wien.

PER KVAERNE

. Recent French Contributions to Himalayan and Tibetan Studies

Alexander W. Macdonald, ed. Rituels himalayens. L'Ethnographie 83 (special volume). Paris: Societe d'ethnographie de Paris, 1986. Pp. 328.

The journal L' Ethnographie has devoted a special volume to Himalayan ritual reflecting not only the diversity of "Himalayan" studies in France in the 1980's, but also the renewed emphasis placed by anthropologists as well as historians of religion on ritual as a cru­cially important theme of study in order to understand the foundations of any social entity, whether local community or regional civilization. Not only have studies of ritual in the Himalayan area (understood in the broadest geographical sense so as to include the trans-Himalayan Tibetan plateau as well) been scarce, but, as the editor points out in his introduction to the volume, "Few comparative analyses of ritual have been attempted. Each specialist had a tendency to shut himself up in his own field: Ladakh, Nepal, Sikkim, Bhutan continue to be studied separately" (p. 5). The present volume attempts to remedy this, not by proposing far-flung comparative vistas (which would be premature), but by juxtaposing eleven substantial articles having ritual in one form or another as their common theme. Unfortunately, there are no con­tributions dealing with Bhutan; here a vast and complex field awaits study.

The contributions to this volume can, in a very rough and ready way, be divided into three groups: those dealing with Tibet; Tibeto-Burman speaking peoples ("tribes") of the Himalayas, subject to Tibetan cul­tural and religious influence; peoples not subjected to Tibetan influence.

A very limited number of anthropologists have been able to do field­work in Tibet itself in recent years, but only after the present volume was edited. The Tibetological contributions to this volume are there-

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fore either philological, i. e., based on textual studies, or anthropologi_ cal, but based on field-work outside Tibet itself.

There are two contributions based on textual material: KaHa Buffetrille, "Un rituel de mariage tibetain", and Samten G. Karmay, "L' arne et Ia turquoise: un ritual tibetain." The former contains the text and translation of a text detailing the rituals to be performed by the lama at the moment when the bride arrives in front of the door of the house of her future husband. It was composed by Kong-sprul Blo­gros-mtha' -yas (1813-1899) on the occasion of the marriage of the prince of Derge in 1870. As Kong-sprul was one of the founders of the eclectic (ris-med) movement in eastern Tibet, it is not surprising that the text is characterized by the inclusion of both Bonpo and Buddhist elements. The same text had already been translated by D. Schuh, "Die Darlegungen des tibetischen Enzykloptidisten Koil-sprul Blo-gros mtha' -yas tiber osttibetische Hochzeitsbrauche," in R. Kaschewsky (ed.), Serta Tibeto-Mongolica (Wiesbaden, 1973) 295-349. This was only brought to the author's notice after she had fin­ished her own translation, but differences in translation are commented on in the notes.

Karrnay's article deals with the concept of bIa, "soul," on the basis of beliefs attested from the period of the royal dynasty as well as in later texts (Padma gling-pa 1450-1521, and a Bonpo text from 1852). The concept of the "soul"-which of course runs counter to orthodox Buddhist doctrine-is a fundamental one in Tibetan "popular" religion, and Karmay convincingly shows that rituals of "calling" or "ransoming" the soul (believed to have temporarily left the body, thus exposing the latter to illness and misfortune) are not of Indian origin, but perpetuate very ancient indigenous Tibetan beliefs.

Ladakh is still largely a land of Tibetan culture. Pascale Dollfus, "Lo-Gsar, Ie Nouvel An populaire au Ladakh," provides a detailed day-by-day description of the so-caned so-nam lo-gsar, "agricultural New Year," which is celebrated two months before the official New Year, not only in Ladakh, but also in certain communities in Nepal (Dolpo, Langtang, and Yolmo), in Sikkim, and in Tibet. Dollfus, who has done extensive fieldwork in Ladakh, especially points out the co­existence of Buddhist and non-Buddhist elements in the Ladakhi rit­uals, thus joining, thematically, the focus of the articles by Buffetrille and Karmay.

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The contribution of Charles Ramble likewise employs anthropologi­cal method and perspective, but attention is now shifted to a population of Tibetan culture in Nepal, the villages of the Baragaon region of the Upper Kali ,Gandaki: "The Muktinath Yartung: A Tibetan Harvest Fes­tival in its Social and Historical Context." The Yartung (dbyar-ston) festival is one of the three annual seasonal festivals in the. area, and as such related to the "agricultural New Year" of Ladakh. It takes place in the seventh month, corresponding to September. Ramble not only gives a description of the festival, but shows that it discloses an obso­lete,social order. The festival is described with special emphasis on tracing the course of events from the point of view of one of the three principal communities involved, the Bonpo village of Lubra. (An in­teresting pOint for further investigation and reflection is the apparently double significance of the term bon-po in this area, i.e., both as a fol~ lower of the Bon religion in general, and as a specific religious special­ist, p. 240). Although there is no enmity between Bonpos and Buddhists in the Baragaon area today, this may not always have been so, as a closer scrutiny of the Muktinath Yartung festival reveals.

Four articles deal 'with ethnic groups iI?- Nepal speaking Tibeto­Burman languages and subject in varying degrees to cultural influence from the Tibetan (and largely Buddhist) world to the north and the Indian (and Hindu) world to the south (the latter augmented by politi­cal domination by the Nepali-Hindu government in Kathmandu). As N. J. Allen pOints out in "Thulung Weddings: the Hinduization of a ritual cycle in East Nepal," one must be wary of simplifications: "The Hindu-tribal dichotomy provides a model that is exceedingly crude" (p. 33), among other reasons because "it risks attributing to the Thulung a changelessness which .. '. is certainly unrea1." Further, "it risks attributing to Hinduism a homogeneity that is possibly even more unrea1.". The goal should be to "look for an underlying unity and

homogeneity in Himalayan society" (p. 16), for" ... eventually the social history of the various peoples of Nepal will need to be studied as a unitary field" (p. 33). Allen seeks to reconstruct the traditional style of wedding among the Thulung, based on the accounts of informants as well as comparative linguistic data; he sees it "as the result of Hindu influence operating of a culture that was essentially tribal" (p. 15).

Philippe Sagant, "La cure du chamane et 1'interpretation des laIcs," deals with shamanism among another people of East Nepal, the Limbu. As indicated by the title, his chief concern is to study the position of

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the shaman in a particular community, and the understanding among his patients and clients of the cures he is believed to effect. Numerous aspects of the role of the shaman are examined within the framework of the Limbu world-view; no comparative thrusts are attempted, but the article is fundamental for the comparative study of Himalayan shamanism.

The Magar of the village of Sankh at first sight seems to present an extreme case of acculturation to Indo-Nepalese culture. Among other things, they have forgotten their Tibeto-Burmese language and only speak Nepali. Nevertheless, they are proud ·of their Magar identity (defined as caste identity), and in her contribution to this volume, "Papini bitha; Ie mariage de la mauvaise fille: Essai d'identification d'une fete magar," Anne de Sales analyses a ritual which is unique to this village and which expresses the Magar identity of its inhabitants. Although it reflects influences not only from the dominant Indo­Nepalese culture but also from Tibet; it is essentially the result of an active, creative process of ''bricolage'' in which the Magar have made use of whatever "symbolic objects" that could serve their purpose.

Brigitte Steinmann deals with an aspect of the ritual life of the Tamang: "Le culte des dieux du clan les Tamang: la terre, Ie livre et la lignee." Steinmann has discussed Tamang rituals in several recent articles as well as in a monograph, Les tamang du Nepal (Paris 1987). In the present article she deals with the cult of the clan deities of the Tamang of Eastern Nepal. The Tamang are not strongly influenced by Hinduism; on the contrary, they are in a certain sense Tibetan Buddhists, and have married lamas belonging to the Rnying-ma-pa order. However, they have put Tibetan Buddhism to their own use within the general framework of their complex religious institutions. This leads to the typical duality of Tamang religion, in which archaic, indigenous beliefs and institutions coexist with--or, as the case may be, are opposed to-the lamaist interpretation of those beliefs. The cult of the clan deities is no exception to this pattern. Thus the lamas officiate at the cult of the deities of Tibetan origin associated with cer -. tain clans, and the non-Buddhists priests, the labon, venerate the ances­tors of the lineages (p.304).

The remaining three articles deal with very different communities. None of them, however, are influenced by Tibetan culture. These arti­cles are mentioned briefly here, not because they are of less interest or Significance than the others, but because the present reviewer is less

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qualified to discuss them. "N aissance d'un village tharu: a propos de rites de claustration villageoise" by Gisele Krauskopff "provides an analysis of Tharu representations of village territory and its boundaries through two rituals: the first being the village-shrine foundation and the second one a village Gloistering ritual" (p. 131). Such rituals were regularly performed in earlier times when there was less. pressure on forest and empty land, allowing a village to move to a new site; how­ever, the great influx of hill people and subsequent increased ecologi­cal degradation of the Terai had rendered these rituals practically obso­lete. The author describes a ritual of demarcation, performed in 1983, twelve years after disastrous floods forced an entire village to buy land from a neighboring village in order to move to a new site on higher ground.

John K: Locke, S. J., deals with a Buddhist Tantric ritual performed by the Newars,"The Upo~adha Vrata of Amoghapasa LokeSvara in Nepal." He traces the history and the development of the ritual and provides a detailed description of the ritual as performed today, in a specific form recorded at one of the twelve pilgrimage sites (GuhYeSvarI) associated with this deity in the Kathmandu Valley. He also summarizes the legends connected with each of the twelve pil­grimage places.

The last article to be noted deals with the Kalash of the Hindu Kush; Jean-Yves Loude and Viviane Lievre, "Fetes d' ete chez les Kalash du Nord-Pakistan." The Kalash are the only remaining non-Muslim peo­ple in Pakistan, and although their freedom of religion is protected by the authorities, motorable roads have opened their hitherto inaccessible valleys in the Hindu Kush to modernization. It is therefore of great importance to record their rituals while there yet is time.

Fernand Meyer, ed. Tibet. Civilisation et societe. Paris: Editions de la Fondation Singer-Polignac! Editions de la Maison des Sciences de I'Homme, 1990. Pp. 204 + 53 plates.

This volume contains papers delivered at the seminar organized in April 1987 by the Fondation Singer-Polignac in Paris. With the ex­ception of three very short papers contributed by scholars from the Chinese People's Republic, the papers are all substantial and original contributions to Tibetan studies, including studies of related population in Nepal.

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Several papers may be grouped under the heading of art, architecture and iconography. The first is that of Gilles Beguin, "Remarques Con­cernant les influences new ares dans la peinture tiMtaine a l'epoque des Phag-mo-gru-pa." Beguin deals in turn with mural painting and with thankas. The former is studied principally on the b~sis of the early fifteenth century Gyantse sku-'bum (stiipa), and while pointing out the conspicuous presence of Newar influence, Beguin stresses that the murals also show a considerable degree of originality. As for thankas, Newar influence is traced from the fifteenth to the early seventeenth century, and a preliminary fourfold stylistic classification (depending upon the degree of Newar influence) is attempted.

The extremely complex historical evolution of the iconography of two protective deities is studied by Amy Heller in "Remarques prelim­in aires sur les divinites protectrices Srung-ma dmar-nag du Potala." The paper does not offer any final identification of the 'Red and Black Deities' who since the Third Dalai Lama have been the protectors of the Dalai Lama, but explores their fluctuating and complex relation-ship to other deities, principally Beg-tse. .

Anne Chayet writes on the architectural history of Bsam-yas, the first monastery to be founded, in the eighth century AD, in Tibet: "Contribution aux recherches sur les etats successifs du monastere du bSam-yas." Having to some extent escaped the destruction wrought by the Chinese on religious buildings in Tibet, Bsam-yas still presents a group of edifices which can provide the historian of architecture with much invaluable information. The author concludes (p.114) that sev­eral sources of inspiration may have influenced the lay-out and shape of Bsam-yas: the Indian monastery of Otantapuri (or perhaps Nalanda) as well as, on a deeper level, Mount Meru and, corresponding to it, the ma~:l(;tala; non-Buddhist models such as the royal encampment of the Tibetan kings, the ritual edifice of the mdos, and even the mingtang palace of ancient China. The study of the origins of Bsam-yas thus opens perspectives pointing back to a very early period in Tibetan history.

A fundamental study of Tibetan paintings is presented by Fernand Meyer: "Introduction a l'etude d'une serie de peintures medicales creee a Lhasa au XVIIe siecle." Starting with L. A. Waddell, Western schol­arS have published a number of Tibetan anatomical paintings· which remained unconnected until the existence of a set of seventeen paint­ings, preserved in the Ethnographic Museum of Ulan Ude, was made

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known in 1979. The following year a similar set was reported from the Institute of Medicine and Astrology in Lhasa (Sman-rtsis-khang). The latter set was published in Lhasa in 1986. In this very substantial

. article, Mexer studies the impressive set of no less than seventy-nine medical and anatomical paintings prepared by order of the regent Sangs-rgyas-rgya-rtltsho (1653-1705) in order to illustrate the medical text Vaidurya sngon po of which he was the author.

This vast series of paintings, completed, at the latest, by 1703 (p. 33), reflects the great interest of the regent in the science of medicine. The set preserved in the Sman-rtsis-khang, which contains several thankas that may belong to the original set dating from the late seven­teenth century. was restored and completed by the famous medical scholar Mkhyen-rab-nor-bu (1883-1962) on the order ofthe Thirteenth Dalai Lama. A second set, still preserved in Lhasa, was likewise assembled by the Thirteenth Dalai Lama and is said to have been pre­viously kept in the Norbulinka. The Ulan Ude set was copied in Lhasa for the Buryat monk Dorjiev (1849-1938). Meyer's conclusion (p. 48) is worth quoting in full:

The series of medical paintings, created in Lhasa between 1687 and 1703, under the auspices of the regent Sangs-rgyas-rgya-mtsho, constitutes, with regard to its amplitude and originality of conception, an extraordinary iconographical whole, not only for Tibet, but in the general history of medicine. It is both the result of various earlier traditions and the expres­sion of the genius of a man who, continuing the work of the Fifth Dalai Lama, strove to construct the vast institutional and cultural system which' was to unify Tibet under the authority of the dge-lugs-pa school. In addi­tion to its technical purpose, the iconography was also conceived of as a prestigious aesthetic work and a political act. '

Recently the whole set has been magnificently reproduced in two vol­umes: Anthony Aris, ed., Tibetan Medical Paintings, (London: Serindia, 1992).

Another field within Tibetan studies which is dominated by French scholars, is that of Tibetan music, especially liturgic music. To an al­ready impressive series of musicological articles, published in various journals, Mireille Helffer now adds "Recherches. recentes concernant l' emploi des notations musicales dans la tradition tibetaine." In this extremely important article, the various systems of notation are pre­sented and analyzed according to a double grid. The types of notation are first of all classified according to instrument: human voice, drums and cymbals, and wind instruments. Within each class, the traditions

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of each major school. of Tibetan Buddhism are discussed, in some cases taking different monastic traditions within a single school into account. For reasons which are not mentioned, systems of notation used by adherents of the Bon religion are not dealt with, but Helffer has studied Bon traditions extensively in other articles.

Pre-Buddhist and popular religious traditions is a field of study com­pletely dominated. by French Tibetologists: one need only invoke names such as Lalou, Stein, Macdonald, Spanien, Karmay, and Blondeau. In the present volume anew and fascinating contribution to the study of symbolism and ritual is the article by Anne-Marie Blondeau, "Questions pnSliminaires sur les rituels mdos." Blondeau does away, once and for all, with the widespread misunderstanding in Western Tibetologicalliterature that mdos signifies the same as the nam-mkha' ("thread-crosses") used in various rituals. Blondeau traces this misunderstanding to the dictionaries of Jaschke (1881) and Das (1902), the latter inspired by G. Sandberg (Hand-book of Colloquial Tibetan, 1894). In fact, the term mdos has a much wider implication, being the "totality of ritual constructions and ritual objects and materials which are assembled, including, as the case may be, nam, mkha'." (p. 95). Blondeau stresses that the question of the nature and function (in relation to the glud, "ransom"), and origin (Buddhist or non-Buddhist) of the mdos can only be decided by having recourse to relevant Tibetan texts. In fact, the Tibetan ritual literature dealing with mdos is extremely abundant, and Blondeau concludes that the mdos rituals are performed with a great variety of purposes, and have, in a general way, the function of removing spiritual as well as material obstacles. Finally, two rituals involving mdos are analyzed, one of which is integrated into a Buddhist framework, while the other is practically free of Buddhist associations. Blondeau takes care to avoid hasty conclusions, but accepts a non-Buddhist origin for the mdos rituals as probable, and citing a large number of parallel traits, suggests a link with the ancient funerary rites.

Two historical studies are included in this volume: a short· note by Samten G. Karmay,"A propos d'un sceau en or offert par l'empereur Shunzi," and Patrick Mansier, "La guerre du Jinchuan (rGyal-rong): son Contexte politico-religieux." Gyarong is a region in which Tibetan culture predominates, and which remains little studied. Mansier's article is of considerable scope and interest, as it gives a broad overview of the political and religious situation in the Gyarong region

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in the 18th century. The enforcing of direct imperial rule, which only succeeded after overcoming fierce resistance, had aspects which fore­shadowed the occupation of Tibet itself two centuries later, including the manipulation of religious rivalries between Dge-lugs-pa, Karma­pa, and Bon-po factions.

Two articles within lfterature and linguistics round off the collection of articles directly concerned with Tibet: Alexander W. Macdonald, "Cendrillon au Tibet," which discusses a Tibetan version of the Cinderella story (the text was published by Macdonald already in 1967), and Nicolas Tournadre, "Presentation de la grammaire tradi­tionelle et des cas du tiMtain. Approche classique et analyse moderne." The latter constitutes a welcome clarification of the nature of the Tibetan "case" system.

Finally, two substantial articles deal with populations in Nepal. The contribution of Philippe Sagant, "Les tambours de Nyi-shang (Nepal). Rituel et centralization politi que" demonstrates the importance of the small Tibetan communities of northern Nepal for a proper understand­ing of Tibetan civilization. On the basis of an analysis of a communal ritual in the Nyi-shang area, Sagant discloses two mutually opposed ideologies: an archruc, decentralized pOlitical system where personal prowess of those "elected" by the local mountain deity constitutes the basis of power, and a centralized system, based on the primacy of age, heredity, and clan privilege. The latter system was adopted by the Yar-lung dynasty of the ancient Tibetan kings and later sanctioned by Buddhism. In the case of the ritual in question, one can observe the shift of emphasis from the first to the second.

Finally, Brigitte Steinmann, the foremost French expert on Tamang culture and religion, has contributed to this volume: "Interpretation de concepts tiMtains par des lamas tamang rnying-ma-pa du Nepal, dans Ie ritual funeraire." The article discusses the extraordinary complexity of Tamang religion, in which various elements--Buddhism, local shamanism, the cult of clan deities-have retained their distinctive profiles. This is strikingly brought out by the fact that each strand in Tamang religion has its own class of priests: the lhabon are in charge of the cult of the clan deities; the tamba recites cosmogonic myths; the bombo are the shamans; and the lamas represent a non-monastic Tibetan Buddhist tradition of the Rnying-ma-pa order. Steinmann does not undertake a chronological analysis of these various elements of Tamang religion, but instead raises the question as to which

308 JIABS 16.2

elements of Tibetan auddhism correspond to indigenous (and already heterogeneous) Tamang beliefs, and thus have been appropriated by the Tamang. This is the perspective in which she analy~es the Tamang funerary ritual, leading to the conclusion that it may be more fruitful to regard Tibetan texts such as the Bar do thos sgol ("The Book of Lib­eration from the Intermediate State through Hearing") as learned elaborations of existing popular rituals (corresponding to the basic structure of the Tamang ritual) rather than to seek an explanation of Tamang ritual in the Tibetan texts which are actually reGited.

TODD T. LEWIS

Contributions to the Study of Popular Buddhism: The Newar Buddhist Festival of Gumla Dharma .

Buddhist monasticism arose to provide refuge and support for renun­ciates seeking enlightenment, but the tradition survived by building multifaceted relationships with lay patron communities that provided for the monks' subsistence. Solidifying the loyalty of a cross-section of society's economic classes, Buddhism evolved to espouse the basic foundations of spiritually-centered civilization. Centered on high moral standards and attuned to daily life, local Buddhist traditions en­compassed a broad range of intellectual discourse and ritual perfor­mances. Over the first millennium, the sa~gha' s role developed as monks taught a variety of audiences, provided ritual assistance, and participated in a yearly festival agenda, adapting to myriad local tradi­tions in the process.!

The author would like to thank the family of Karkot Man Tuladhar, Subama Tuladhar, and Sanu Bajracarya for the always generous assistance they showed to me while I researched Buddhism in their community. My studies would not have been possible without the kind toleration and guidance of countless other individuals in Kathmandu's Buddhist community and I thank the beloved Newar uptlsakas. I am also grateful to acknowledge research funding from several sources: for 1979-1982, the Fulbright-Hays Dissertation Program; throughout 1987, the Faculty Fulbright Program; and in summer, 1991, a College of the Holy Cross Batchelor-Ford Fellowship. A final thanks to Gregory Schopen and Robin Lewis who offered helpful suggestions in the drafting of this manuscript. 1. The norm of Buddhist pluralism is a striking feature in the tradition's socio-historical profile. The Vinayas all show an early sensitivity to the greatly varying ecological, social, and cultural contexts that monks had to face. Recognizing this legitimate "malleability to contextual adaptation" helps explain the great differences in praxis seen even in the early sources. G. Schopenhas begun to articulate this central historical variable, noting how the saI!lgha must have adapted amidst varying societies and cultures, from tribal rain forest dwellers, to highlander nomadic pastoralists, to highly brahmanical societies. This is an emic Buddhist perception: a Vinaya distinction between situations in central places where the rules must be strictly observed (madhya-

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Since exchange is the basis of social life (Murphy 1971; Harris 1989), studies of Buddhist cultural history must account for exchanges central to the tradition's community life and specify how cultural per­formances served this fundamental relationship. The general ideal is well-outlined in the monastic literature. The monastic community served the world through its example of renunciation and meditation (Wijayaratna 1989), by performing rituals (Gombrich 1971, 201ff; Lewis 1993b) and providing medical service (Zysk 1991). As pre­servers and transmitters of the Dharma, the sarpgha's duty was to attract the Buddhist lay community's merit-making donations by being spiritually worthy (Lamotte 1984); complementing this, monks were explicitly taught to seek outprasaditas ("dedicated sympathizers") and danapatis ("generous donors") (Lamotte 1988, 78) so as to insure the Buddhist sasana's existence amidst lay society.2

Guided by a missionary ethos, Buddhist monks and laity adapted practices to diverse ecological, linguistic, and cultural circumstances. Inclusive and practical, this tradition spread across Asia as a rich multi-stranded fabric, carefully adapted to the logic of local life. Future ethnographic studies and textual historical research is needed to provide the data for understanding the diversity of Buddhist domesti­cations and the transcultural logic of Buddhism's global adaptations. This process of applying the universal Buddhist teachings and textual norms to the logic of local life includes human contexts as diverse as settled farming villages, nomadic pastoralists, and urban communities. The "genius" of Buddhism is evident, in part, in its acceptance of plu­ralism, especially in its many textual voices; it is also found in the accommodation of multipraxis while still retaining a strong center that could "re-form" indigenous ancestral religions.

Indic Buddhism shows an array of evolutionary trajectories sharing common traits: srupas as centers of community ritual (Lewis 1993c); viharas as refuges for meditation, study, and material resources; sarpgha members who assume leadership of the community's ritual

defa "middle country," i. e. the Buddhist homeland) and the far-off areas where less strict standards were tolerated (pratyantajanapada, "frontier prin­cipalities") (Lamotte 1988, 8). 2. The specific benefits of being a generous Buddhist donor are extolled in a Pali text: appreciation by everyone, loved by worthy individuals, renowned everywhere, fearless in any company, rebirth in heavenly realm (Lamotte 1988,415). The literatures of all schools in all periods extol the great worth and rewards for dana.

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life.3 . Yet Buddhism in practice so encompassed the elaboration of myriad distinctive lifestyles and cultures that even by Fa-Hsien's time (400 CE) there was seemingly' indescribable diversity: "Practices of

. the sramaJ}as are so various and have increased so that they cannot be recorded." (Beal1970, xxix).

This study fills in a small portion of the mosaic regarding the Mahayana-Vajrayana calendrical orientation. Grounded in a prelimi­nary overview of ancient Indic practices and comparative precedents, it documents and analyzes the Mahayana Buddhist observances still undertaken during the summer festival month of GUlp1a Dharma (or just GUI!lla), a yearly time of intensive observances for the Newar Buddhist community of the Kathmandu Valley.

NOTES ON BUDDHIST FESTIVAL OBSERVANCES

Among the many positions represented in the Pali Nikayas, there is one (doubtless monastic) voice that would regard the rich festiv.allife of ancient and modern Buddhist countries as a wrong turn. Passages from the S01J1yutta (V. 4) defining the "Stream-Entering" stage declare "belief in the efficacy of rituals" (silabbata-parlimlisa) as detrimental (Dutt 1945a, 181). This puritanical virtuoso voice is echoed in one portion of the well-known Sigolavlida Sutta where Sakyamuni preach­es restraint from attending dramatic performances (Dutt 1945a, 170). Yet such references, which have been used to posit a pure, antiseptic "primitive" tradition, must be connected to a context of very advanced laity and monks, a group never constituting more than a small minority in any Buddhist society. The judgment thus was not a blanket procla­mation regarding society at large or in opposition to other textual views.

Many other early textual discourses present rationales for activities that make positive contributions toward serving the tradition and the Buddhist community: texts note simple mantras or textual passages

3. An early 6-fold division of monastic specialization gives clear evidence for the sarp.gha's engaged orientation toward society: 1. instructors (dharma­kathika);2. meditators (dhylInin); 3. folklorists (tira1cakathika); 4. sutra spe­cialists (sutradhara); 5. Vinaya specialists (vinayadhara); 6. catecheticists (mi1~rklidhara) (Lamotte 1988, 149). Another specific designation often men­tioned in inscriptions is the reciter (bhlir.zaka), which also suggests popular service.

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given bySakyamuni that could be effective in repelling negative influ­ences in any environment; in the Milindapaiiha, the laity are instructed to listen to the Dharma and make exertions to resist its decline (Dutt 1945a, 175). The Dlghanikaya speaks of the upasaka's duty to, "Help others in increasing faith, moral virtues, knowledge, charity" (ibid., 169). An early proof text in the P~Hi tradition is, again, the Sigolavada Sutta, which specifically enjoins the layman to "maintain .. ; the tradi­tions of family and lineage; make himself worthy of his heritage; and he should make offerings to the spirits of the departed" (de Bary 1972, 43). Still other voices (quoted below) speak about the merit of spiri~ tual celebrations in the presence of the Buddha's relics.

The early formulation called "the graded teaching': (anupurvlkatha) established pUT}ya/dana as the foundation for Buddhism in practice, while also legitimating a Buddhist community's diverse cultural activ­ity. The anupurvlkatha are: 1. danalpuT}ya; 2. silalsvarga; 3. evils of papa/kama; 4. value of renunciation; 5. Four Noble Truths (Lamotte 1988, 77). This hierarchy oflegitimate, progressive activities defines a "syllabus" for advanCing in spiritual attainment.

As pUT}ya provided the chief theoretical orientation in the Buddhist layman's world view and ethos, dana has always been the dOminant, starting practice and life-long foundation of spiritual advancement. Merit-making remained the universal, integrating transaction of Buddhism in practice (Dargyay 1986, 180), regardless of the res­pective intellectual elite's orientation toward competing Theravada, Mahayana, or Vajrayana doctrinal formulations or spiritual disciplines.

PUT}ya has soteriological as well as practical, worldly consequences. Pali suttas urge all disciples, monastic and lay, to cultivate the five cardinal precepts (si~apadani) to maximize pUT}ya and so the course of spiritual advancement: 1. sraddhii ("faith"); 2. Slla ("moral obser­vances"); 3. tyaga ("generosity"); 4., sruta ("listening"); 5. prajfia ("insight") (Lamotte 1988, 70). The Indic sources thus implicitly authorized festival possibilities through which Buddhists could accom­plish the precepts: venerating images, taking precepts and fasting, arranging public recitations of sutras, and encouraging meditation (Conze 1967, 47-55; Warder 1970, 191). It will be evident in this essay how all five cardinal precepts are amply encouraged during Gul!lia Dharma in the Kathmandu Valley.

The most constant expression of lay Buddhist faith and generosity occurred through donations: dana. Dana's "investment" is described

TODD T. LEWIS 313

and celebrated in the vast jataka and avadana literature and in the great Mahayana s11tras. The Mahayana fully sustained the e.arly framework with dana as the foundation for householder bodhisattva

. practice. Generosity to all beings is applauded, although the best "pUl}ya return" accrues to gifts made to the buddhas, bodhisattvas, and the srupgha. Passages in the sl1tras discussing the paramitas develop a host of possibilities, emphasizing both the value of dana to the indi­vidual, as an expression of karuI.1a, and its value as renunciatory prac­tice (Dayal 1932, 165-193). Some texts make quite specific recom­mendations to the laity on the best pUlJ.ya investments.4

It was for regularizing dana presentations and valued pu!Zya-making that monks and laity doubtless developed standard ritual procedures and calendrical norms. Orthoprax rituals evolved that complemented meditation and study; employing medical terms, specific rituals were seen as compassionate action (Stablein 1973; 1978) that could achieve specific results for suffering humanity. (For the Mahayana writers, rit­ual (pllja) was quintessentially an expression of upaya, a disciplined act that aids the spiritual destiny of all beings, self and others [Pye 1978,58-9, 98]. )

Buddhist rituals include spoken words and Simple deeds. The paritta of the Pali Canon are one early manifestation (Skilling 1992); the earliest Mahayana elaboration is on the bodhisattva's ritual service emphasizing dharaI.11 mastery (Dayal 1934, 267-69). These long mantras can be spoken to protect both the speaker, the srupgha, and entire settlements. Resort to these formulae was one of the divisions in Buddhist medicine (Zysk 1991, 66). Later Buddhist ritualism furthers the foundations of spiritual practice and provides infusions of good karma and radiant auspiciousness for towns, residences, and at moments of individual life-cycle passage or crisis.

Ritual service dominated mature Indic Buddhism in its missionary program. This is clear in early East Asian Buddhist history, where cumulative dhara¢ traditions were instrumental in the successful mis­sionization of China (Strickmann 1989). Myriad other Buddhist householder rituals evolved to insure the regular performance of such mantra recitations that both expressed and, through recitation, orches-

4. The Pu~yakriYilvastu arranges the following hierarchy: 1. donating land to the srup.gha; 2. building a vihara on it; 3. furnishing it; 4. allocating revenue for it; 5. assisting strangers; 6. tending the sick; 7. in cold weather or famine, giving food to the saI!lgha (Lamotte 1988, 72).

314 JIABS 16.2

trated the attempt to actualize such ideals. The Paficaraqa is an early example of such traditions (Skilling 1992; Lewis 1994a).

The concern shown by the smpgha in the early Vinayas to please the sensitivities of local society, especially monarchs and rich merchants (Schopen 1992a), suggests that ritual service was always a part of the saIpgha's mission. Monastic rituals and dana "events" sponsored by notable individuals likely set precedents for later traditions (Beal 1970 ed., xxxvii). The wider Mahayana rationale for later Buddhism's lux­uriant ritualism is succinctly expressed in the guru maJ.1<;lala puja, which includes the repetition of the three refuges, six paramitas, the bodhisattva vow, and the eightfold path (Gellner 1992). This trend toward ritual service continued in great elaboration with the Vajrayana (Skilling 1992; Lewis 1993b).

In South Asia, including Nepal, it was the competing brahmaJ.1a priesthood and the distinctive k~atriya-enforced caste-ordered society of South Asia that shaped Mahayana-Vajrayana ritualism. The later Buddhist adaptation of pollution-purity norms, formal life-cycle rites (saIpskaras), procedures for image veneration, and calendarical organi­zation all represent, within the faith, the upaya of helping the lay soci­ety survive amidst the subcontinent's Hindu cultures. Likewise, later Buddhist mantra collections for puja, a Buddhist homa, Buddhist saIpskaras (Lewis 1993b), Buddhist vratas (Locke 1987; Lewis 1989a) and festivals, ideals of Buddhist royalty (Reynolds 1972; Gokhale 1966), etc. all reflect the Indic cultural contextS and the Buddhist ethos of adaptation.

BUDDHIST FESTIVAL TRADITIONS OF SOUTH ASIA

Like other great world religions, Buddhism shaped cultures that ordered time through regular yearly festivals. Some festivals orches­trated the reliving of classical Buddhist events in illo tempore (Eliade 1959, 70): celebrations of the Buddha's birth, enlightenment, and

5. This state of Hindu-Buddhist competition has continued for at least 1500 years and endures in modern Nepal today. Another area in which Newar religious study provides insight on greater lndic history (Gellner 1992; Lienhard 1977), I will explore this topic in a future essay and further develop the argument that the destiny of Buddhist tradition was much less contingent upon doctrine and much more hinging upon competing modes of ritual service and the economics of monasticism.

TODD T. LEWIS 315

parinirvlil}a are universal, although differing as to season (Swearer 1987); other more regional sacred events likewise mark the year (Strong 1992), as different communities were free to assign their own definitions for these "auspicious daYs."6 These include: Sakyamuni's descent from heaven where he preached to his mother, or events mark­ing a key point in a bodhisattva's life, be it Vessantara (Cone and Gombrich 1977), Avalokitesvara, or the death anniversary of a local saint (Tambiah 1984; Strong 1992). Across Asia, local communities have domesticated stories of visits by buddhas or bodhisattvas, often explaining the ordering of the local pantheon and sacred geography through conquest and conversion. Hsuan Tsang also notes that Indic rituals performed at srupas dedicated to specific early saints were based upon the individual monk's (or nun's) "school" or specialization (BeaI197.D ed., 180~81).

Each fortnight on the new and full moon days, all early Indic saIp.gha members had to recite the pratimok~a, a summary of the community's Vinaya regulations. This recitation came after any transgressions were confessed (alocanli) in private to the monk's superior. Uposatha became the regular occasions to review, correct, and certify the proper standards of monastery discipline (Prebish 1975; Wijayaratna 1989). (Based upon the Indic lunar calendar [Das 1928], uposatha includes the overnight of the full-moon and no-moon period, hence each can span two solar days· each month [Lamotte 1988, 70]. )

Emphasizing the fundamental interdependence between saIp.gha and lay community, householders were encouraged to visit their viharas on the uposatha days to make offerings (dana). On these uposatha days, devout lay folk (upasakas) have the regular opportunity to observe eight of the ten monastic rules while residing continuously on the vihara grounds. (The frequent lay observance of fasting after mid-day led to their being commonly referred to as "fasting days" [Beal1970 ed., lxxiv].) In many places across India, upl(sakas donned white robes while living under their extended vows (Dutt 1945a, 176). Another common uposatha custom was for lay folk to remain in the vihara to hear monks preach the Dharma. Thus, the lunar fortnight rhythm clearly dominated. the early Buddhist festival year: each year's passing had the absolutely regular succession of uposathas. (The

6. In China, themonastic tradition did not follow lndic precedents rigorously. See Welch 1967, 110. Welch does note several Chinese monasteries that did -follow the lndic norm exactingly.

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316 JIABS 16.2

Aryii§.tal}ga Uposatha Vrata, a later Newar Mahayana tradition dis~ cussed below, elaborates upon this tradition and focuses the laity's bhakti upon Amogapasa Lokesvara [Locke 1987].)

The Indic Buddhist calendar also utilized the -eighth lunar day (~tami) of each fortnight as another auspicious time for pious actions and vow-taking. In the Pall canon (Mahavagga II, 1),asin I-Tsing's time, these also were called "fasting days." A~taml seems to have been the common day chosen for the early festivals outside the viharas: a~tamiOf Jye~!ha is also mentioned (around 400 CE) by Fa-Hsien as the day when a great ratha yiitriiis celebrated in Pa!aliputra (Legge 1965, 79; Dutt 1977, 39). These, too, have remained focal days for Newar Mahayana festivais and special GUlpla observances. Hsuan Tsang records that there were also three months each year-PhaJguna, A.~a<;1ha, Kartika-when Buddhists observed "long fasts" (Beal 1970 ed., 180), another Gmpla custom that is now nearly obsolete.

Meshed with the lunar month system, the most prominent yearly Indic Buddhist observance was the monsoon rain retreat called varsiivilsa (paIi: vassa or vassiiviisa) (Dutt 1962, 54). Dating from . , pre-Buddhist sram~as and adopted by Sakyamuni, the rain ietre~t practice required by the Vinaya cUrtailed monks' mobility outside the monastery and encouraged meditation and study for its three-month duration (Wijayaratna 1989). In most of South Asia, this period coin­cides with the slack agricultural season (between planting and harvest); it was likewise a time for intensive lay devotional exertions, as it is until today in Thailand (Tambiah 1970, 155). Hsuan Tsang notes that the time for retreat in India could be either A.sadha, 15 to A.svina, 15 or Sravana, 15 to Kartika, 15 (Beal I, 72-3), ~ v·ariation allowed in the PaJi Vinaya (Warren 1922,412). His account also suggests that monks could alter the time for retreat to suit local conditions: in Baluka (Central Asia) monks retreated during the winter-spring rainy season (Beal,38).

Special ceremonies for var~iiviisa came to mark the beginning7,

formal ending (paviiral:zii), and new robe donations (ka.thina) to monks who completed the retreat. The paviiral}ii ceremony is much like the

7. Special ceremonies were developed by the community around the monastic initiations for novices (pabbajjii) and full monks (upasampadii). Along with the custom of adolescent, premarital short-term monasticism evolved in cer­tain contexts-in Theravadin Burma (Spiro 1970) and Thailand (Tambiah 1970) and in modem Mahayana Nepal (Gellner 1992)-there also developed the preference for initiation right before var~li.

TODD T. LEWIS 317

bi-weekly uposatha for the saI!igha, but for the lay community the emphasis is on a grander scale of merit-making, as the texts specify that dana made on this day would be more fruitful than at other times (Dutt 194.5b, 249). The post-var~a presentation of new robes by the laity-some traditions also evolved to have the laity sew them in spe-

. cia! ways-likewise garners special karmic rewards. Pavara!la, the day marking the completion of the rain retreat, be­

came the year's merit-making landmark for the early community (Beal, xxxix), a tradition that endures across South and Southeast Asia. (Tambiah 1970, 154-160). Ancient Indic caitya veneration recounted by 1-Tsing on this day in 690 CE exactly resembles the City-wide Newar GUlpla: rituals, especially Mataya in Patan (Gellner 1992, 218-9) ..

[On the PavaraIJa day] the assembly should invite a preceptor to mount a high seat and recite a Buddhist sutra, when lay devotees as well as priests throng together like clouds of mist They light lamps continually, and offer incense and flowers. The following morning they all go out round villages or towns and worship all the caityas with sincere minds. They bring storied carriages, images in sedan chairs, drums, and other music resounding in the sky, banners and canopies hoisted high ... At this time, laymen present gifts ... (1896, 87)

All Buddhist lineages applaud the great pU!lya accruing to those who build viharas. Ancient texts (Lamotte 1988, 72) and modern belief (Spiro 1986,458; Tambiah 1970, 147ff; Welch 1967, 210ft) assert this as the greatest possible dana. There are indications that ancient yearly festivals were established locally to celebrate each shrine's anniversary of dedication, and these became thereby its yearly "birthday" when donor families should refurbish, clean, and ritually renew it (Beal, xxxix). (This is a widespread practice in the modern Newar Buddhist community [Lewis 1984, 394]. )

Just as the vihara was the institution that ordered and sustained the saIpgha's communal life, so, too, were there institutions that advanced the Buddhist interests of the laity. Some inscriptions indicate the coordinated pious activities of craft guilds (sre!li); more common are the go:\:thi-"assemblies, associations, fellowships" (Monier Williams 1956 ed., 367)-that coordinate large donations or regular rituals. These institutions are ancient, as the Pa:li jatakas cite subscription plans among upasakas (Rbys-Davids 1901, 886). Such groups were often formed to complete caityas or meditation caves, or for ren-

318 ]lABS 16.2

novation projects (Dehejia 1972; Kosambi 1965, 182). There are very old Newar go~thi traditions which organize regular rituals, pilgrimage, restorations, even shrine cleanings (Toffin 1975; Lewis 1984, 179-182). Another even more important aspect of Newar practice should be underlined: go~this hold collective properties, including money; most include some provision for increasing the group treasury by lending these funds at interest serially through the membership. Thus, go~this not only underwrote pious Buddhist practice: such institutions became important sources of community investment capital.

Stopa veneration constituted the earliest ritual focus for both monks (Schopen 1987; 1989; 1991a,b,c) and laity. Rules and regulations for their establishment and maintenance doubtless followed, as did the custom of celebrating the monument's foundation "birthday." For all Buddhist schools, the srupa became a focal pOint, the singular land­mark denoting the tradition's spiritual presence on the landscape (Dallapiccola 1980; Harvey 1984; Snodgrass 1985; Lewis 1993c). Buddhist writers advanced many understandings of srupas, but for pre­sent purposes let us observe that srupas marking events associated with the tathagata(s) were the natural sites for Buddhist festivals of remembrance and veneration. 8 I-Tsing's recounting of a ritual at an Indian vihara around 685 CE shows the centering of traditional cele­brations at caityas:

The ... priests perform worship of a caitya and the ordinary service late in the afternoon or at evening twilight. All the assembled priests come out of the gate of their monastery, and walk three times around the Stiipa, offering incense and flowers. They all kneel down, and one of them who sings well begins to chant hymns describing the virtues of the Great Teacher with a

8. Symbiotically, great regional stUpas were pivotal in the social history of Buddhism: these monuments became magnets attracting vihara building and votive construction, for local piija and pilgrimage. The economics of Buddhist devotionalism at these centers generated income for local s~ghas, artisans, and merchants (Liu 1987), an alliance basic to Buddhism throughout its history (Dehejia 1972; Lewis 1993d). At these geographical centers arrayed arqund the symbolic monument, diverse devotional exertions, tex­tual/doctrinal studies, and devotees' mercantile pursuits could all prosper in synergistic style. The regional Mahacaitya complexes, with their interlinked components-viharas with land endowments, votive/pilgrimage centers, mar­kets, state support, etc.-represent central fixtures in Buddhist civilization. For local communities, such stiipas were also focal points in the yearly festi­val round, drawing Buddhists toward the sacred precincts. Empowered votive artifacts bought by the pilgrims at key lndic sites were likely used in the establishment of caityas and buddha images in frontier settlements.

TODD T. LEWIS 319

melodious, pure, and sonorous voice, and continues to sing ten or twenty slokas. They in succession return to the place in the monastery ... when ... a Siitra-reciter, mounting the Lion-Seat, reads a short siitra ... among the scriptures which are to be read, [is] the "Service in Three Parts" ... by the venerable Asvaghosha ... from which its name is derived. (Takakusu 1896, 152-3)

Once the making of Buddha images became accepted (Dehejia 1989, Lancaster 1974), their construction, consecration, and upkeep must likewise have entailed ritual observances. I-Tsing makes the funda­mental case for their role in Mahayana Buddhism:

Tnere is no more reverent worship than that of the Three Jewels, and there is no higher road to perfect understanding than meditation on the Four Noble Truths. But the meaning of the Truths is so profound that it is a mat­ter beyond the comprehension of vulgar minds, while the ablution of the Holy Image is practicable to all. Though the Great Teacher has entered Nirvlll}a, yet his image exists, and we should worship it with zeal as though in his very presence. Those who constantly offer incense and flowers to it are enabled to purify their thoughts, and also those who perpetually bathe his image are enabled to overcome their sins ... receive rewards, and those who advise others to perform it are doing good to themselves as well as to others ... (Takakusu 1896, 147)

Such were the sentiments that by Gupta times legitimated the fun elaboration of Buddhist ritual and festival traditions, and this historical observation is matched by texts such as the Bodhicaryavatara that laud precisely these activities. As we have seen in I -Tsing' s account, Buddhist puja was practiced by entire viharas in conjunction with the lay community and by individual monks with their private icons. He mentions detailed procedures, including image~bathing rites with anointed water, repainting, pOlishing; accompanied by music, the icon would then be reinstated in the temple, with offerings of incense and flowers. The water used for this ritual is likewise described as medic­inal (Takakusu 1896, 147).

Another example of Buddhist ritualism is the "bathing the Buddha Image" puja that commemorated Sakyamuni's birthday in the month Vaisakha. As found in the Kashrniri NilamatapuralJa: "In the bright fortnight, the image of the Buddha is to be bathed with water contain­ing all herbs, jewels, and scents and by uttering the words of the Buddha. The place is to be carefully besmeared with honey; the tem­ple and stilpa must have frescoes, and there should be dancing and

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320 JIABS 16.2

amusements" (Dutt 1977, 14). This ritual spread across Asia (Lessing 1976). -

I-Tsing underlines the immense pU1J.ya earned by Buddhist pujas: "The washing of the holy image is a meritorious deed which leads to a meeting with the Buddha in every birth, and the offering of incense

- and flowers is a cause of riches and joy in every life to come. Do it yourself, and teach others to do the same, then you will gain immea­surable blessings" (Takakusu, 151-2). A popular -Khotanese Maha­yana text concurs, stating that to make a buddha image is to guarantee rebirth in Maitreya's era (Emmerick 1968,321); in another verse, wor­shipping an image is said to be equal in merit to worshipping the Buddha himself, as both emanate from the dharmakaya: "Whoever in my presence should perform merits, or whoever should produce faith equally before an image, equal will be his many, innumerable, great merits. There is really no difference between them" (Emmerick 1968, 201). Thus, many Mahayana sutras, in agreement with the Pali Parinibbana Sutta's description of relic veneration, laud as especially meritorious offerings of incense and flowers to images, encouraging the presentation with musical accompaniment. Sites identified with bodhisattvas were also centers of Mahayana worship: "Whatever Bodhisattvas for the sake of bodhi have performed difficult tasks such as giving, this place I worship" (Emmerick 1968, 163).

Travel to venerate the stiipas and caityas marking important events in the Buddha's life also defined early Buddhist pilgrimage (Lamotte 1988, 665; Gokhale -1980). This meritorious veneration of the Buddha's "sacred traces" (Falk 1977) was organized into extended processional rituals. The development of pilgrimage traditions shaped the composition of site-coordinated biographies of Sakyamuni (Lamotte 1988, 669; Foucher 1949) and likely did so for some of the jataka and avadana compilations. -Such texts promised the laity vast improvements in their karma as wen as such mundane benefits as rewards for undertaking pilgrimage. The Chinese reports on the notable sites visited seem to rely on such texts for the information provided; their accounts also give clear testimony to the sense of the wide-ranging benefits (pwJ.ya, blessings, health, etc.) that the pilgrim accrued.

The traditional deSignation of Buddhist sites specified first four, and then eight centers marked by monuments (Bagchi 1941; Tucci 1988). By the time of the Asokavadana's composition, thirty-two pilgrimage

TODD T. LEWIS 321

centers existed in the Gangetic basin visited by devotees (Strong 1983, 119ft). There was also a circuit in northwest India (Lamotte 1988, 335). Such religious travel had important economic effects, and local economies developed around the great caityas. By 400 CE, the world of Mahayana Buddhist pilgrimage had long transcended the Gangetic culture hearth to include stOpa sites in Khotan, Sri Lanka, Srlvijaya Java, Funan, and China. Monks, pilgrims, and traders ·traveled the same routes (Takakusu 1896; Birnbaum 1989- 90, 115-120).

Relatively little is known about the history of regional Buddhist pil­grimage traditions in India. The Chinese accounts give a sense of a regular ~equence, roughly guided by a clockwise pradak#rzli path (Lamotte 1988, 665). If modem customs reported in the ethnographic literature (e. g. Keyes 1975) have ancient precedents, then uplisakas from localities likely organized group outings, read from the textual guidebooks, followed the lead. of local guides in visiting the many places linked to Sakyamuni's biography. There·were probably sea­sonal preferences for viSiting certain sites, such as being in Bodh Gaya for the full moon in Vaisakha, when Sakyamuni's birth, nirv~a, and parinirvlirza were celebrated. Hsuan Tsang notes a festival of bathing the Bodhi tree at Gaya (Beal II, 117; cf. Strong 1983, 125-127), of ascending· a nearby mountain overnight before the dlina presentations are made after var~li (Beal II, 115), and the belief that circumambulat­ing the tree secures power of knowing former births (Beal II, 124).

Another Mahayana festival focused on the "cult of the book" (Schopen 1975). According to the early Prajfilipliramitli texts, ven­eration of the Buddha's Dharma was vastly superior to worshipping his bodily relics. A section of the, Saddhannapurztj.arika describes the superior ritual in which a Mahayana text is venerated (Kern 1884, 96) (and in the Chinese version is carried on the devotees' heads [Hurvitz 1976, 82]). As will be seen, such traditions are still evident in the Newar GUl!lla observances.

The most extraordinary form of Buddha image veneration noted in numerous locations was the ratha ylitrli ("chariot festival"). The Chinese pilgrim Fa-IDen noted that in Pataliputra, there were images ofbuddhas and bodhisattvas placed on twenty four-wheeled, five-story rathas made of wood and bamboo. Beginning on an a~.tami day and continuing for two nights, the local vaisyas are said to have made vast' donations from speCially-erected dwellings along the path; in Khotan, too, there was a fourteen-day event that was attended by the entire city,

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for which each monastery constructed a different four-wheeled ratha (Legge .1965, 18-19) .. Although ratha yatriis are not held during GUlpla, the greatest yearly festivals of Newar Buddhism are the ratha yatriis of Pat an and Kathmandu dedicated to A valokitesvara each spring (Locke 1980; Owens 1988).

The early texts also mention an extraordinary quinquennial festival called pancavarsika (Strong 1987,91-97; Strong 1990), pancavarsika pari~ad (Beal I, 50), or mok~a by the Chinese pilgrims (Beal I, 214). Although there is no clear consensus as to its origins (e. g. Lamotte 1988, 66; Edgerton 1953), pancavarsika was clearly a time when vast royal donations were made to the saIpgha, other deserving ascetics, brahma~as, and the destitute. The Chinese accounts and the avadana citations point to the custom of a king giving all material goods he owned to the saIpgha, followed by his ministers buying it all back with gold from the treasury. There are a number of these celebrations in . Central Asia and India, several during the autumnal equinox. Pancavarsika was also a time for displaying extraordinary images or renowned relics during festivities organized by kings'and merchants, while witnessed by a huge social gathering. This "Five-Year Ja:tra:" was the most dramatic single cultural performance that contributed to the saIpgha's material existence.9

THE NEPALESE AND NEW AR BUDDHIST CONTEXT OF GU¥LA

According to Newar Buddhist tradition, the pumima (full moon) of GUIpla: commemorates the day Sakyamuni Budctha attained enlighten­ment and defeated Mara. The two weeks surrounding this day are thus

9. There is some evidence that th,e name itself did not stem from the time period. Hsuan Tsang's report of SIladitya's Paficavarsika (Beal, 233) sug­gests that the name may derive from the view that five years' wealth is expended in bestowing the necessary dana. Other sources support this, imply­ing that the festival could be done at any time by a donor with the requisites for feeding all the local srup.gha and others who were needy. The Sanskrit tale of Sanavasa, a merchant who returns home and "celebrates a paficavarsika," suggests this (Lamotte 1988, 207), as does a passage from the Har~acarita. (See Dutt 1977, 51). In both Patan and Kathmandu, five-year and twelve-year Samyaka dana festivals (respectively) doubtless represent a continuity of this ancient custom (Sakya 1979; Lewis 1984; Lewis 1994b).

TODD T. LEWIS 323

the natural focus of the local Buddhist year. 10 Although no direct identification of Gumla (ninth month) as varsli exists, the activities in . . the Kathmandu Valley communities, the monsoon time of year, and the Pafica .Dana custom (discussed below) all invite the supposition that some historical association must exist. II This section provides a minimal background sketch of modem Newar Buddhism necessary for appreciating the details of festival practice. 12

The riches from trans-Himalayan trade, the fertility of valley soils, and ·relative political isolation all endowed the Kathmandu Valley (until 1769, the defining area of all "Nepal") with the ability to support a rich, artistic, and predominantly Indicized civilization. Although mentioned in passing references across earlier Indian literature, no epigraphic evidence has been found in Nepal before 464 CE when Sanskrit inscriptions attest to the Kathmandu Valley as an Indic fron­tier zone ruled by a rlijavamsa calling itself Licchavi. Diverse Hindu and Buddhist traditions existed in close proximity (Beal II, 80-81), with the most mentioned srup.gha that of the Mahasarp.ghikas. Among over 200 recorded inscriptions, there are references to caityas, land­owning viharas, bhik~us and bhik~u1}iS, and patronage by caravan lead­ers. A few hints of Vajrayana practice are discernible, but Mahayana themes predOminate: votive praises are addressed to Sakyamu~ and other tathagatas as well as to the bodhisattvas Mafijusrl, Vajrapa~, Samantabhadra, and, most frequently, Arya Avalokitesvara (pal 1974).

10. The Newar lunar month is divided into a waxing fortnight. including the full moon day (punhi), is indicated by the suffix thva (hence, "G~Hithva"), and a waning fortnight, indicated by the suffix gli ("G~la-ga"). As pro­moted by the modernist Theravada movement (Kloppenberg 1978; Tewari 1983), most Newar Buddhists have also adopted the Buddha Jayanti festival (in mid-spring), which offers an earlier and contradictory date for commemo­rating these same events. For a summary of the Newar Hindu festival year in Bhaktapur, see R. Levy (1990). 11. As the rain retreat is an inauspicious time for weddings in Tberavada countries (Spiro 1970; Tambiah 1970), so, too, is G~la an inauspicious month for Newar weddings. 12. In accounts of Buddhist history generally, a socio-culturally informed depiction of Mahayana Buddhism in practice has been neglected. Such lacu­nae have been often noted and recent anthropological studies on Himalayan Buddhism have begun to illuminate northern Buddhism in practice (e.g. Ortner 1989; Holmberg 1989; Mumford 1989). On Newar Buddhism, the great Indologist Sylvain Levi's classic study of Nepal (1905-8) is still valu­able. Important recent studies of the Newar Buddhist context are listed in the bibliography under Allen, Lienhard, Locke, Toffin and Owens. David Gellner's monograph (1992) is a recently published landmark study.

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Although little has been published on Nepalese Buddhism in the post-Licchavi period (900 AD-1200) or the MalIa era (1200-1769); there is ample evidence of continuing archaic texts and artistic tradi- . tions (Macclonald and Stahl 1979; Slusser 1982). Unconquered by the Muslim or British empires that ruled South Asia, Kathmandu Valley civilization still preserves many ancient Indic traditions tbat endure in the distinctive urban society and culture of the Newars (Lienhard 1984), who speak a Tibeto-Burman language. This is true of both the Hindu and Buddhist religious traditions which are observed in rich multiplicity .

The former city-states of the Valley-Bhaktapur, Patan, and Kathmandu-all evolved in parallel form according to the caturvan:za model, though differing in details of their caste nomenclature. Caste defines the social order and dominates socio-cultural discourse with Hindu or Buddhist identity a boundary marker at the highest levels.

The Newar Buddhist community consists entirely or house-holders (Locke 1985; Gellner 1992). The saIpgha has for centuries married and now a two-section endogamous caste group with surnames Vajracarya and Sakya maintain the "monastic traditions." They still . inhabit dwellings referred to as vihara (New. bllhll) and over three hundred viharas exist in the Valley today (Gellner 1987). This domes­tication evolved centuries ago, as no vestige of fortnightly uposatha endures and Vinaya texts are rare in Newar manuscript collections (Takaoka 1981; Novak 1986; Mitra 1971 ed.). For over five centuries, however, Newars desiring the classical celibate monastic diSCipline could take ordination in the local Tibetan viharas (Lewis and Jamspal 1988; Lewis 1989c).

Like married Tibetan lamas of the Rnying-ma-pa order, the house­holder vajrllcllryas take training and serve the community's ritual needs (Gellner 1989), with some among them specializing in textual study, medicine, astrology, and meditation. The Newari ,Acllrya­kriyasamuccaya 13 defends the evolved role of the householder llcllrya as superior to the celibate monk according to Mahayana-Vajrayana ideology that individuals should engage with their society and culture. This llcllrya bodhisattva is similar to the textual bodhisattva VimalaIdrti:

13. Tibetan version in the Tanjur is entitled Vajracaryakriyasamuccaya (Shukla 1975, 129).

TODD T. LEWIS 325

The real teacher is he who apart from other qualities, does not live like a monk, does not shave his head and puts on good clothes and beautiful ornaments. Amongst other qualities of a teacher are counted his knowledge about purificatory rites, his kind disposition, pleasing humor, maintenance of all theacaryas, insight into the art of architecture and in the science of mantras, skill as a profound astronomer ... and his capability to select an auspicious plot for the construction of a stupa and for the installation of the idol of the Buddha. (Shukla 1975, 127-8)

The Newar Buddhist spiritual elite still passes on vajrayana initia­tions (Skt. abhi~eka; New. dekka) through guru-chela ("teacher-disci­ple") lineages. Only those born as vajrilcilryas may take formal initia­tions into the householder sarpgha as each male must be ritually empowered to be eligible to perform basic rituals for laymen (Gellner 1988). The traditional line of this ahhi~eka is in the main vihara (New. rna bilhil) of the patrilineage. The folklore about great Newar tantric masters describes special retreats called purascaral} cwanegu under­taken to build upon this foundation to pursue spiritual insight and supernormal powers. As only select groups may take the esoteric vajrayana initiations, the Newar Buddhist tradition is formally two­tiered, with only high-caste Vajracaryas, Sakyas, and Uray (merchant and artisan subcastes) eligible for the di~ilS that direct meditation and ritual to tantric deities such as Sarpvara, Hevajra, and their consorts.

Most Newar Buddhists, including all from the lower castes, partici­pate exclusively in the exoteric level of Mahayana devotionalism. They direct their devotions to caityas (especially the great srupas such as SvayambhU) and make regular offerings at temples dedicated to the celestial bodhisattvas. Lay folk created hundreds of voluntary organi­zations (New. guthi, from Skt. go~.thl), some with land endowments, that have supported devotional practices for centuries. Buddhist insti­tutions and devotions in Nepal have been underwritten by guthis since Licchavi times (Riccardi 1979).

Despite the anomaly of a caste-delimited sarpgha, Newar Buddhist laymen closely resemble co-religionists in other countries. They sup­port their local vajrilcilrya sarpgha who, in return, help them look after their spiritual destiny in this world and beyond. A vast and complex web of ritual relations link laymen to their vajrilcilrya sarpgha who perform life cycle rituals (Lewis 1993b), festival pOjas, textual recita­tions, healing rites, site consecration ceremonies (Gellner 1992; Slusser 1982,420-1). We now survey the specific observances of the Gurpla festival to note how spiritual service exchanges (dilna) , fun-

326 JIABS 16.2

damental to all Buddhist communities, have been domesticated in the Newar community.

GU1y1LA OBSERVANCES: ETHNOGRAPHIC PRESENTATION

As was common throughout Asian history, merchants and artisans are prominent among Newar Buddhist laymen and have been the major patrons of stiipas and viharas across the Kathmandu Valley. Like all Newar Buddhists, they have formal ties to the Newar sarpgha through their family vajrllcllrya purohit: the ritual traditions that came to de­fine Newar Buddhist identity involve frequent yearly and life-long resort to this purohit's pujas.

But Kathmandu Vaney Buddhism has for a millennium been an international phenomenon: one segment among Newar Buddhists has for centuries sustained alliances with Tibetan Buddhism (Lewis ,1989; Lewis and Jamspal 1988; Lewis 1993a; Lewis 1994a); more recently (since the 1920's), another faction has helped transplant Theravada modernism from Sri Lanka and Southeast Asia (Kloppenberg 1977; Tewari 1983; Lewis 1984). The Uray merchants of Kathmandu (who derive their name from the Sanskrit upllsaka) have been'leaders in supporting both of these camps as well as in performing the special devotions that define the greatest Newar Buddhist festivals. Based upon continuing research among one prominent Uray subcaste, the Tuladhars ("Scale Holders"), this section describes the many aspects of Gumla as it is celebrated in Kathmandu's old bazaar.

We must at this juncture introduce the focal point of Valley Buddhism and Gurpla celebrations in Kathmandu city: Svayambhu Mahacaitya. 14 The Mahayana history of Nepal, claiming origins in earlier yugas, recounts Svayambhu's origins-and the entire Nepal Valley's establishment-as the product of Mahayana hierophony and the compassionate actions of bodhisattva MafijusrI. The epigraphic evidence is that "SvayambhU Mahacaitya" was founded in the Licchavi period (400-879 CE) in the early fifth century (Slusser 1982,

14. In a remarkable final section appended around 1830 by a Newar vajracaryapandit to the Sanskrit version of the Buddhqcarita (Cowell 1969 ed.), Svayambbi:i is described as the last site visited by Sakyamuni before his parinirva!}il. Another Mahayana source on the origins of this focal stupa in GmpJa observances is the SvayambhU Pura1}a (Shastri 1894), a late text known only in Nepal and Tibet.

TODD T. LEWIS 327

174; Riccardi 1979). Today, this hilltop stupa over twenty-five meters in diameter is surrounded by five monasteries and quite regularly linked to the Buddhist festival year of Kathmandu City (Lewis 1984). It is also tied to all Buddhists in the Kathmandu Valley and surround­ing regions through the twelve-year Kathmandu Samyaka festival (Sakya 1979; Lewis 1994b). Svayambhil once had extensive land endowments traditionally dedicated to its upkeep (Sakya 1978) and in many respects the history of regional Buddhism is embedded in the layers of thissrupa's successive iconography, patronage, and restora­tion. Thus, Svayambhil is a chief point of reference for the GUIP.Ia festival as wen for the upasakas of Kathmandu City: living proximate to it is thought to be so great a blessing that Buddhists use the term pU7:zyak~etra ("merit-field") as a synonym for their Valley.

The Month-long GUlJ1lil Activities The saIp.gha members of a few large viharas recite Buddhist texts each day during GUlp.Hi. There is an old practice of reading out the entire Nava Grantha (Nine Tomes) distinctive to Newar Buddhist tradition.l5

Throughout GUlp.la, many vajrilcilrya priests go in early morning to read siltras at the most frequented centers of Newar Buddhism: Kanakacaitya Mahavihara (colloquially, "Jana Baha"), Svayambhl1, and Santighata Mahavihara (SrI gha: baha). They most often :recite texts that confer protection (e. g., Paficara~il [Lewis 1994a] ) and, at a layman's request, chant protective mantras which are sealed by his touching a leaf of the text to the person's bowed head. For this service he receives a small payment in money and/or rice.

Among Newar lay folk, there are several guthis (Skt. go~.thl) orga­nized for the purpose of text recitation daily during Gurp.la in Jana Baha, Asan Baha, and in Uray courtyards. The most common text chosen is the Mafijusrl NilmasalJ1glti (Bajracarya 1991; Davidson 1981; Wayman 1985). To accommodate those who go to Svayambhil individually or with the Gurp.la biijan (see below), the tutaJ:t bvanegu ("siltra recitation") begins about the time the biijan returns to the bazaar, i.e. about 7 AM, or else is done in the evenings.

15. The Nava Dharma or Nava Grantha are: Prajfiaparamita; GaTJ4avyilha; Dasabhilmi; Samtidhiraja; Lankiivatara; Saddharmapw:ujarika; Lalitavistara; SuvanJaprabhtisa; Tathligatagilhya (Hodgson 1874). No scholastic or philo­sophical tradition ordering these works has been discerned; more likely is their grouping for ritual purposes where they are arranged in the guru m31)<;Iala piija within the dharma illaIf4ala, with Prajfiaparamita at the center.

328 HABS 16.2

Although month-long text lecture series (dharmade.§anil) by the Newar srupgha were until the last decade common at important viharas in Kathmandu, from 1979-82 only one such series was done during GurpIa. '

Offerings of pleasant sounds at stiipas and before images of the buddhas and bodhisattvaS are advocated in many Mahayana sutras. Generations of Newar musicians have responded with devotional fer­vor to the Mahayana's resounding encouragement of such ritual cele­brations. The bajan's morning serenade reminds city Buddhists each morning of it being Gurpla (Lewis 1989b).

The bajan is best defined as a "music playing group" and there are . many bajan forms in Newar culture (Wegner 1986; 1987; 1988), each

with the religiOUS purpose of adding a musical component to devo­tional processions. During Gurpla, the Tuladhar Gurpla bajan plays two kinds of portable drums, the naykhilJ1. and the dhaJ:!, and two kinds of cymbals, the tab and the chusya. In modern times, the group has employed low-caste Damai musicians who play the melody lines using Western instruments: clarinets and trumpets. 16 The master of the taJ:! cymbals, who leads the bajan's playing, is the role of highest musical expertise since he signals the other musicians and leads the orchestra in playing together.

In every Newar Buddhist caste, leadership of the bajan's devotional activities rotates through internal sub-groups,l7 Every year a new senior leader (pala) with his sub-group leaders are in charge of the actual performance of the bajan's devotions, both during GurpIa and for the other activities. IS

16. High caste Newars traditionally never played the flute or other wind . instruments because these connote low caste status; until recent decades, they used to employ Jyapus (agriculturalists, ranked as siidras in caste lists) who still play (among themselves) a variety of flutes and maintain many other old musical traditions. 17. The Newar procession tradition defines every major institution in local Buddhist organization (Lewis 1984; M. Allen, n. d.) and orchestrates all important "cultural performances" (Singer 1972, 70). Newar Buddhist mer­chants today form eight different kinds of devotional processions. 18. The yearly schedule of GmpIa activities in the Asan Tuladhar community actually begins before the month commences. For up to a whole month beforehand, . the paWs organize informal instructional classes for younger members. The first required gathering occurs several days before the start of GU:qlla: the group employs the senio011ost Vajracarya from the neighborhood to perform a piija to Nasa dyalf (Siva-Nataraja), the deity whom Newar Buddhists must worship before devotional playing of any sort can officially

TODD T. LEWIS 329

A standard day19 for the Asan bajan during GUIpla goes as follows: a group of bajan drummers leave Asan just after sun-rise and proceed directly to the Svayambhii hilltop. Once they reach the great srupa, they go around it once in pradalqi1Ja. After this, the group settles at a traditional site just north of the Arnitabha niche. Others who left Asan after the bajan arrive for the next half hour. The palas also arrange for the delivery of the extra drums, usually by employing a hired worker (most often still a member of the Jyapu farmer caste) to carry them. Some stand around and talk, others make private devotional rounds, some may practice drumming. At a publicized time (1991: 6:30 AM), a group-gathering drumbeat is played on the naykhilJ'L, and the head paW takes roll to insure that all of the year's pala-comrnittee house:. holds are represented. By this time, the Damais have appeared and the bajan's daily piija offerings, already prepared by the women of pala­committee households, is distributed among those present. These items are offered at the shrines around the hilltop as the group pro­cesses.'

The Svayambhii complex pradalqil}a begins by all present standing before the elaborate Amitabha shrine on the western side of the srupa. As the piija plate is presented to the shrine attendant, the group stands, hands in "namaskara," and sings one or more of the standard Newar Mahayana devotions: Da.sabala Stotra, the Saptaparamita Stotra, the Bandesi or the Bhadra-cari.20 Once the piija plate is returnel;i, the

begin (Ellingson 1990). The bajan group tllen proceeds to the pala's house where the fIrst offIcial drumming is ceremonially begun and all take prasad from the puja, and then the group is served a snack of beaten rice, meat, and other vegetables, plus aylaJ;" "distilled spirits." 19. This description is of a typical day in 1981; in this as in many other devotional activities among the Tuladhars, the individuals involved have a wide range of acceptable alternatives they can introduce. Minor variations from this description occur, based upon the leadership of that year's pala committee. 20. These texts have been reproduced in many modem published devotional texts in Kathmandu. The Dasabala ("Ten Strengths") celebrates the ten pow-ers of the Buddhas (e. g. Shrestha 1983). ,

Bandeirl is a dharaI)I dedicated to Vajrasattva and praises: Bodhisattvas Amoghapasa, Lokanatha, and Samantabhadra; dharmadhatu caityas; the bud­dha consorts (Tara, MamakI, LocanI, PadmanI); and the Saddharma-pU1y;!afika. _

The full name of the Ne_wari Bhadracari is the Sanskrit Aryabhadra­caripraT} idhana raja , verses oliginally appended to ,the GaI)c;lavyUha (Beyer 1973, 478; translation 188-9). These litually repeated Jines date from the early centuries CE; the dharaI)I verses praise buddhas and bodhisattvas,

---- --~----------

330 JIABS 16.2

group follows a route that completes a double prada10i(la of the stUpa and then visits, in a clockwise order, all of the important shrines on the hilltop including: the Bka' rgyud Tibetan gompa, Basundhara, the "Sikkimese gompa," HarIti Ajima, and the tantriC shrine Santipur. When this cycle is complete, the group returns to its "base." After a short rest, the bajan again takes up the drums and cymbals, plays the assembly drumbeat and then launches into the prime instrumental composition played by Buddhist GUl11la blijans: "Bhagavan Gvara." All Kathmandu bajans play this (Sakya 1971). On a good day, the group will have swelled to sixty or seventy with more late arrivals for the final pradak~i(la of the stupa and the descent down the main stairs.

On the way down and back to town, the group is careful to move in a clockwise manner around any shrine or stupa it passes. The older gen­eration knows that different compositions and drumming riffs should be played at different pOints along the route back to town, but such strict details are not usually followed these days.

A key stop on the way back is at Bijesvar!, a yogini temple promi­nent in the Newar Vajrayana tradition. Here the bajan pauses for darsan and, if desired, individual pl1ja. Some of the elderly Uray men from the Asan community come out to meet the bajan only here where the final group attendance record is noted. After crossing the river and entering back into town, all the hajan proceeds to the lana BaM Avalokitesvara temple for prada10i(la, exits around the Kel Tol Ajima temple just outside the entrance, then goes around the three main tem­ples (Annapl1f1,1a Dev!, Vi~I,1u, GaI,1esa) in'central Asan.

To complete the morning procession, the group proceeds to Asan Baha for a prada10i(la of the tall Asoka Caitya there, navigates the aUeys for a closing darsan of Siva Na!araja (Newari: Nasa dya~ [Ellingson 1990]) outside Ta Che BaM, then returns to the plila's house where it plays a closing drumbeat. The palli takes the drums for safekeeping and the bajan' s daily round is complete.

The GUl11la bajan provides a rich and satisfying devotional channel for Newar Buddhists who value the old musical traditions and who wish to venerate the sacred caityas, viMras, bodhisatvas, and deities who protect their locality (Harm, G3I,1esa, Vi~I,1u, and Siva-Nataraja).

delineate bfferings, confess transgressions, rejoice in merit, request teachings, and share the pUl}ya earned from personal devotion. The bodhisattva Samantabhadra, invoked in these texts, finds little other devotional attention in Newar tradition (Tuladhar 1986, 8-20).

TODD T. LEWIS 331

The ability to play the drums and cymbals is one traditional measure of the culturally-accomplished Newar Buddhist layman. Likewise, each Newar caste's musical performance of the bajan during GUl!1la

. reflects .upon the sub-community's status and solidarity .. During GUI!11a, this-is evident during the morning excursions to Svayambhll and on other outings discussed below. The Buddhist bajan remains a vibrant tradition, as there is still a core of Tuladhars-including many young men-who enjoy heartily rapping out drumbeats, clanging cym­bals, and singing in praise of buddhas, bodhisattvas, and other deities.

Svayambha Jfilinamlila Bhajan Before leaving Svayambhl1, we must visit another musical expression of Buddhist devotion prominent there: the Jfianamala Bhajan. Until the later Rana period (1846-1950), the bhajan style of devotional· music was practiced only by Hindu devotees in the Kathmandu Valley. Newar Buddhists have in this century also incorporated this type of musical playing into their own tradition, taking up instruments (tabla, sitar, harmonium, violin) and composition style imported from India. Once the Buddhists learned the instruments, they soon composed songs to their divinities and formed groups that now organize regular devotional singing. .

Bhajans play each night in many city neighborhood rest houses, after many shops have closed and they are open to all who wish to join in. Composed of many Newar Buddhist castes from all over Kathmandu, the Jfianamala Bhajan at Svayambhl1 must be noted for many men also participate there and contribute financially. The bhajan plays in the rest house adjoining the main stairs at the hilltop several hours each morning on all important days of the lunar year and daily during GUl!1la.

A typical playing session begins with offerings to the gods of the bhajan site, a hymn to Nasa dyaJ:1, Ga~esa, and then moves to "Govinda," in which all of the important gods' names are recited and during which a conch is blown. The balance of the morning's songs are devotional hymns to the great Buddhist divinities (Avalokitesvara, Sakyamuni Buddha, Basundhara, etc.). The conch is blown again to signal the last sequence of hymns as an oil wick lamp is lit and shown to all of the bhajan house deities. (This offering light is called arati after it is offered to the gods.) The men hold their fingers close to the

332 nABS 16.2

flame, then touch them to their eyes· and foreheads. A final salute to Nasa dyal). ends the playing.

When the iarge bhajan convenes, enthusiastically-rendered songs of praise and supplication abound. As the bhajan has grown in popular­ity, it has emphasized the bhakti dimension of Mahayana lay Buddhism. This trend also reflects the extent of Indian influences on modem Newar life, a fact that is illustrated by the popular use of Hindi film melodies for new bhajan songs. However, Newar uplisakas feel pride in their adaptation of this musical genre but with songs of their own composition with Buddhist content. (New compositions are still being composed.) The words and ethos expressed in the Newar bhajan capture the spirit of modem Newar devotionalism. As one Tuladhar layman said to me: "If you want to seek the rasa (taste) of our Dharma, you must listen to the bhajan."

Household Devotions Individual families may call a vajriiciirya priest into their homes for the daily reading of privately-owned Buddhist texts. The families pay him a daily stipend and then make a special offering at the end of the month. The traditional ideal is that every text in the household collec-. tion should be read during GUlpH. Where texts are still read, for most Uray families it is a mechanical ritual nQt attended to for content since few Vajracarya readers (or laity) can understand the Sanskrit or archaic Newari.

Several generations ago, especially devout individuals would retreat to a vihara for the entire period to meditate, study, and fast (Locke 1980,235). Today, some individuals try to set aside during the month a period for modest textual study or more extended periods of medita­tion. Another type of ritual observance is abstention from different foods which is sealed by a- vow at the beginning of the month. Uray laymen may choose to avoid meat, onions, garlic, and/or alcohol for the entire month. Several informants asserted that some individuals used to "fast" for the entire month, but I saw no evidence of this prac­tice in Kathmandu.21

Many families light the fixed votive lamps around the caityas in their local town vihara every night during GUlpH. Although the wealthiest neighbors were the most active, every family usually contributes oil to the wick lamps there. On the main days of Gurpla-full moon. and

21. Gellner 1987, 359.

TODD T. LEWIS 333

eighth days (a:S'.tami)-the lamps are also lit at sunrise as well. Family offerings to the main vihara shrine (Newari: kvlipli~ dyaJ:t) are more elaborate and individuals make a greater point than at other times in

. the year to. do pradalqi1)li of the caitya complex in the courtyard. In a: Kathmandu·blihli courtyard where I lived in 1982 and 1987, the early evenings throughout GUIpHi were alive with devotions and socializing by most who lived nearby.

Gurpla is also the special season for families to participate in vratas dedicated to the bodhisattvas. As Locke (1987) and I (1989a) have published separate accounts of several of these one- or two-day long periods of fasting, ritual, and textual recitation, no further remarks on these traditions will be made he~e, except to note that observing the vratas is one of the most demanding .forms of Newar devotional obser­vance.

After a purificatory ritual for the family at the start of the month (which may involve the abstention from meat and alcohol), individuals sit together each morning to make as many caitya images as they can using special black clay and small molds. Women are usually the most active in the usually indoor and private work of dya[! thliyegu;22 their role here complements the mens' participation in the public blijan. (Menstruating women, however, must abstain from this task.)

There are a variety of molds, but most are ofcaityas of varying sizes. To make an individual image acco~ding to "high Buddhist standards" -a tradition known only to Dray, Sakyas, and Vajracaryas-entailsa twelve-step process marked at each turn by a mantra recitation.23 Each image also gets a grain of rice that gives jiva (life) to it.

22. The Newar use of this tenn dya~ (Skt. deva) here for caityas and images (and in other traditions, as below) matches the Khotanese Mahayana tradition as recorded in the Book of Zambasta which also uses the epithet "deva" to refer to buddhas and bodhisattvas (Emmerick 1968). 23. The steps are given here with the accompanying mantras: 1. o'!l basudhe svahil, taking the clay; 2. 01Jl vajra bhilvay sVlihil, shaping the clay; 3. o'!l arje viraje svahil, putting oil in the mold; 4. o'!l vajra dhtltu garbhe svahil, putting the clay in the mold; 5. 01Jl vajra klrti chedaya hU1Jl phat svahil, removing the excess clay; 6. o'!l dharma dhiltu garbhe svahil, putting in a paddy grain; 7. o'!l vajra mungaratko hu'!l phat svahil, covering up the paddy grain; 8. o'!l vajra dharma rate svahil, putting on extra clay to remove the image; 9. 0'!l. supratisthata vajre svahil, putting the image with others already made; 10. O'!l mani sata dipte svahil, after placing it. Tucci (1988 ed., 57-60) has given two other sets of mantras for this process based upon Sanskrit and Tibetan sources.

334 nABS 16.2

In some families, the dya~ thliyegu is actually the work of a formal rituaJc·alled the lak~acaitya vrata (Newari: luchidyatt vrata), and as the name implies, 100,000 images must be molded-to fulfill the vow made at the outset. At the end of the month, the sum: of clay images is molded into a large three-dimensional maI,1Qala and worshipped by the fasting family with a kalasa pujli performed by a vajrliclirya. The entire mass having been consecrated with offerings, it may be used to build a family votive caitya or (more commonly) be taken out and deposited at a tirtha along the Vi~I).umati River, along with offerings to the nligas .24 .

Special Community Observances During GWJ1.lli In several Kathmandu viharas, there is a tradition of vajrlicliryas exhibiting gold-lettered Prajfitipliramitli texts. (The text itself is read each mOrning and evening.) Characteristic of early Mahayana tradi­tion (Schopen 1975, 168), this "cult of the book" is seen each Gmpla morning: sa:rp.gha members cover the large text in brocade, and to receive blessings lay folk make an offering for the privilege of a short darsan and having one leaf of the manuscript touched to the forehead. Viewing is supposed to. confer health and protection.

For five days after the middle of Gu:rp.la, the owners of notable Buddhist images (in most cases, Dlpa:rp.kara Buddha) display them in public, usually in the ground floor area of their houses. The sa:rp.ghas of some viharas also display images, texts, and art that they own and some also hang out long scroll paintings that illustrate the important avadlin(1,S emphasized by Newar tradition.25 This period of display is the time when Mahayana Buddhists set out in public their non-tantric religious treasures in what was once the greatest yearly Buddhist dis­play. Such "cultural performances" (Singer 1972, 67ff) invariably draw large crowds who come for daily puja and darsan throughout the period.

24. The dyaly, thliyegu rituals I observed in Newar homes closely conformed to the guidelines in the Lak~acaitya Vrata text (New. luchi dyaly,) translated by Tissa (1974). Not all Kathmandu families who make these images do so as part of the lak~acaitya vrata. 25. The following four scrolls were displayed at viharas visited by the GUIp.Ia blijans: 1. SiI!ilialasartabahu in Bhagawan Baba, Thamel; 2. Story of Kesa Chandra in Itum Baba (stolen in 1980); 3. }fabasattva Raja Kumar, Naradevi courtyard; 4. Painting of Buddhist hells in Sri gha: Baba.

TODD T. LEWIS 335

Although over twenty-five Kathmandu households own Samyaka images, in 1987 only three still chose to display them in public for Bah! Dya~ Bvayegu. For the others, their images are now simply arranged upstairs where only family members and invited guests can view them and make offerings. Owners who elect not to display their images cite fear of thievery as the main deterrent. Even the few who still put out their Baht Dya~s recount attempted robberies and the actual theft of many ornaments and smaller objects.26

Even with the vast reduction in scale, Baht Dya~ Bvayegu provides an opportunity for the Asan Buddhist community to experience the grandeur of its highest art traditions, visit the town's viharas, and rec­ognize the prestige of its greatest lay patrons. This yearly spectacle shows the classical role of merchants as leaders among upasakas who underwrite local Buddhist tradition and draw together the community through their pious display of wealth.

The display attracts a day-long procession by Gurpla bajans that visit many of the displayed deities in uptown, midtown, and downtown Kathmandu. Many caste groups form processions to make the rounds for darsan across the important landmarks in the entire city's Buddhist geography.

The visitation starts during the morning return from Svayambhil when the bajan visits the viharas in the far uptown: Bhagawan Baha

26. In this domain, contact with international art networks has had a clear detrimental effect on Newar Buddhist culture. The "security provisions" that local groups have put in place to safeguard temple art from thieves have often distorted the original architectural-artistic order of the shrines and limited the laity's contact with their sacred icons: images and paintings must be locked away from everyone. This commoditization has corrupted the communities from within, too: the temptation for an impoverished palZi to sell off guthi art has been another cause for loss and breakdown. The display of empowered Buddhist treasures has been a fundamental mechanism of Buddhist cultural transmission since antiquity, and thievery has seriously undermined this in the Kathmandu Valley (Sassoon 1989).

Some scholars, particularly art historians, have been unwilling to acknowl­edge the cultural consequences of these "art transactions." The language of art connoisseurship suppresses the reality of their data's path from Newar neighborhood, to thief, to smuggler, to American "collection." For example, " ... [The painting] was last displayed in August 1967 on the occasion of bahldya~ bvayegu ... Then, like so many other Nepalese paintings it passed into a private collection" (Slusser 1987, 20). This scholarship of "pieces" does not acknowledge the problematic tradeoff: undermining living traditions in order to, purportedly, understand isolated objects. An excellent recent pub­lication documenting this legacy is found in L. S. Bangdel1991.

336 JIABS 16.2

(Bajracarya 1979), Chusya Baha, Musya Balla, SrI gha: Balla, Nhu Balla, Jana Baha. Although the morning return that starts the day's Bahl Dya!l Svayegu usually attracts more participants than a regular day during Gurp.la (1981, 45), it is the afternoon-evening procession that draws the larger crowd (1981, 250), the maximum number of Tuladhar drummers (1981, 10), and the most hired Damai musicians (1981: 3 trumpets, 2 clarinets). The only women who come along are very small girls brought by their fathers, mother's brothers, or grand­fathers. During this five-hour procession, the group in 1981 visited about 25 different viharas, stopping approximately midway for a pala­coordinated snack. In summary, the Baht DyaJ:! Svayegu procession attracts the best musicians and is the time when Buddhist laymen join en masse to have darsan of and worship the greatest treasures of their city's cumulative Buddhist tradition.

On the thirteenth day of the waning moon near the end of Gurp.la is Pafica Dana,27 when all but the poorest Buddhist laymen open their storerooms and engage their kitchens for the purpose of making offer­ings to samgha members who come to receive alms in their house­holds. Vajracaryas and Sakyas from the city of Patan also come to Kathmandu as their town's Pafica Dana day is held several weeks earlier (Gellner 1992).

On this day, the bazaar streets become crowded a bit more than usual as Vajracaryas bearing bags for offerings make their way from house to house. Individuals do so either on an individual basis or for their entire vihara. (If the latter, they must carry a large brass bowl and wear a special cap.) Most lay Buddhists give five measures of paddy for group collections and two to individuals.

There are a number of small guthis in Uray neighborhoods whose endowment is for the purpose of making paficadana offerings to the sarpgha. One guthiyar (member) stays in a store-front or rest house

27. Hem Raj Sakya (1979, 78ft) has noted an alternative derivation for this name: nadam (that I never heard among Uray in Kathmandu) that he relates to the navadana of the Bodhisattvabht1mi. These are: l. svabhava-danam; 2. sarvadanam; 3. du~kara1J1. dana; 4. sarvato-mukha1J1. danam; 5. sat-puru~a­danam; 6. sarvakt'ira1J1. danam; 7. vigMtarthika1J1. danam; 8. iMmutra-sukha1J1. danam; 9. Visuddha1J1. danam (Dayal 1970, 173ft). Another possible deriva­tive usage preceding paiicadana mentioned by Gellner (1987, 294) is pur;ya­ja ("merit boiled rice") that refers to the gift of khlr. Manandhar (1986, 141) lists pa1J1.jaram as an alternative rendering.

TODD T. LEWIS 337

that is'often decorated with guthi-owned Buddhist paintings or images to give paddy to any who appears.

In many courtyards where Buddhists live, householders decorate their house walls with paintings hung from first-floor windows. Some families distribute rice from large bowls placed outside the front door while others invite their closer sarpgha acquaintances or family purohit to come upstairs where their baht dyaJ:rs and other images are displayed and the offerings are more elaborate.

When the sarpgha member enters the room, he immediately sits on the straw mats arranged for this purpose. A woman of the house offers purificatory water to his right hand and applies a red tikli to his fore­head, prasad from the house'~ morning bodhisattva pOja offerings. Depending on the family's preference for that year, the household's designated ritual leader will present the vajracarya with various food­stuffs and gifts: although the name paiica dana ("five gifts") implies a set number of offerings, many more possibilities exist (R. K. Bajracarya 19'80, 100-1). Paddy grains presented in an offering bowl (pinda patra) are one essential donation. Other grains such as de­husked rice, wheat, soybeans, chickpeas may be donated; gifts such as fruit, sweets, and money are also made.

Khtr (rice pudding; Skt. k~lra) is another indispensable offering and. it is served on a leaf plate. For the Uray, this acceptance of cooked rice signifies social equality with the vajracaryas, an issue of con­tention in recent years in the caste context of the modern Hindu polity of Nepal (Rosser 1964; Lewis 1989c). The reason Newar household­ers give for presenting this is that they are imitating the textual figure Sujata, the woman who gave khtr to the Buddha on the eve of his enlightenment.28 Buddhist lay folk also offer ayla~, distilled spirits, to the Vajracaryas they know.29

Newar Buddhists also have "Special Paiica Dana" traditions as well: a single family makes offerings to the entire Newar saIpgha, including a parcel of land and a vihara, with a portable image from Svayambho brought down as witness. This can be do.ne on the appropriate day during GUIpla or at another auspicious time during the year. For these

28. For those versed in Vajrayana symbolism, the khir symbolizes bodhicitta and the esoteric conviction that without the woman's contribution of prajfia, enlightenment is impossible. 29. The Newar Mahayana-Vajrayana norm does not proscribe liquor con­sump !:ion as it is essential in tantric ritual. Many families feel ambiguity here, however, distinguishing ritual use from profane drunkeness.

338 JIABS 16.2

day-long events, other householders can join in making their own diina to the smp.gha members who pass, sharing thereby in the great PU1}ya generated. 3o The Newar Pafica Dana offering by a single family Ukely has ancient precedents: a similar ritual is described by 1-TSing in the Snvijaya region around 690 CE (Takakusu 1896, 45-6).

Other aspects of Pafica Dana must be considered in the context of cross-cultural Buddhist studies. On this day, householder vajracaryas and sakyas take up the occupation of begging, the classical occupation of the celibate monk. 31 Here, as in the modern Newar sarp.gha initia­tion, a connection is made with the classical ludic norm and the Mahayana claim that the bodhisattva's life need not be bounded by celibate monasticism. Thus, each year the vajracliryas reiterate the implicit claim that they are Buddhist masters as worthy as bhik~us to receive dana that produces great pU1}ya for the giver.

Another connection made in the Newar Pafica Dana tradition is with DIparp.kara Buddha. This former Buddha, before whom Sakyamuni began his bodhisattva career and who was popular across Asia as "Calmer of Waters," protector of merchants (Coedes 1971,21), has in Nepal been adopted according to later Mahayana Buddhist cosmology: as the embodiment of the Adibuddha's power and the dharmakaya, sharing this manifestation presence with SvayambhO Mahacaitya (Shakya 1979, 75). There is a yearly spring festival to Dlparpkara in Kathmandu (where he has the colloquial name "Cakan Dyal,l" [Lienhard 1985] ) and his images are requisite for the great Samyaka festivals. Newar tradition has also domesticated Dlparpkara as their special figure who receives and witnesses great dana ceremonies. At the time of presentations to the sarpgha, individuals receiving dana

30. See Lewis 1984,252 for the curious permutations that govern the choice of the special sarp.gha recipients: the greatest dana gifts are presented to the first in line, not according to scholastic accomplishment or spiritual mastery. This apparently has been true for over 150 years (Wright 1877, 36). 31. The alms round is now rare even in Theravada countries (Spiro 1970; Tarnbiah 1970). The only other occasion for this type of association in Newar tradition is during each young vajracarya's initiation ceremony, the acarya dik~a. Before their installment into the vajracarya caste, each must take up the monastic life for four day~, living on alms (Locke 1975). After this period, the boys renounce the "Sravakayana" and embrace the "Bodhisattva­yana" as householders pursuing the career of Vajrayana ritual hierophant. Each does so saying that the monk's life is "too difficult" (Gellner 1988).

The Tibeto-Burman Tarnangs living northwest of the Kathmandu Valley also have a yearly one-day alms round by their householder monks (Holmberg 1984, 700). This custom could be in iinitation of Newar GmpJa practice.

TODD T. LEWIS 339

first chant, "OT}'L nama':t sri dipaT}'Lkaraya" (Shakya 1979, 75). As Gellner has shown, the Newar understanding of DipaIp.kara is expressed in the popular story collection, the Kapisavadana.32 In these

_ works, King Sarvananda gives lavishly to the saIp.gha headed by DipaIp.kara -and is propelled toward buddhahood. Modern Newar upasakas evoke this royal figure to frame their offerings' same pur­pose (Gellner 1987, 298).

Modern-Vray and Vajracaryas understand the connection between Pai'ica Dana and pU1:zya explicitly. As one Vajracarya said, "DipaIp.kara Buddha _provided a great service to humanity by establishing Pai'ica Dana.33 The devout can make great pU1:zya that protects households, rescues beings from bad fates, and may secure a high rebirth state, even Arnitabha's paradise, Sukhavati, for those who give generously." As one layman stated during a recent Pafica Dana: "Just as one paddy grain given here sprouts and produces a great harvest, so will the good effects of this dana produce good fortune for the householder." This analogy has been recorded throughout the modern Buddhist world (Moerman 1966, 159; Gombrich 1971), as it has been since antiquity (e. g. Takakusu 1896,45-6).

In conformity with another popular text domesticated into Newar practice, individuals sponsor veneration of Svayambhii by a special blijan during GUIp.la. In keeping with the text's narrative describing the reuniting of a married couple in their next existence through per­forming a special ritual before a caitya, mourning families sponsor similar offerings. The regular performance of ~n:zgabheri caitya ven­eration is now made by a special vihara guthi at Svayambhii: several young boys circumambulate the Svayambhii hilltop complex playing buffalo horns each morning during GUIp.la. Their service is usually contracted for by families at the start of the month in a short ceremony dedicating the merit to the deceased. The full moon day of GuIp.1a is usually chosen for the family to accompany the musical procession. (See Lewis 1993c for a translation of this text and a discussion of its Nepalese domestication.)

32. The Mahavastu recounts this same story, but the one who makes the vow to Buddhahood is the Brahman Megha (Basak 1963, I, lxviii) 33. Locke reports that Pmlca Dana in Patan, held on sukla a~tam;; two weeks earlier, is thought to commemorate a visit of Dlpffi!1kara Buddha to the Kathmandu Valley (Locke 1980, 234). -

--------------------------

340 nABS 16.2

Hindu-Buddhist Relations During GU1J1la Dharma The peak season for Newar Mahayana devotionalism coincides with two distinctively Hindu festivals, and the Buddhist community's inter­action with these events must be factored into the full understanding of GUI!llil Dharma's Nepalese Buddhist domestication.

Only Hindus observe the distinctly Newar festival called Saparu or Gai Jatra (Cow Festival) which is held in all major Newar towns on the first day after the full moon in SravaJ)a. According to the local his­tory, the Newar king Pratap MalIa (ruled 1641-1674) established this one-day observance to assuage his queen's grief -after the death of her son. To demonstrate the ubiquity of death and grief in the WOrld, all households in which a death occurred were summoned to pass in a procession by the palace. This royal history is also the reason, say . informants, for the appearance of male "jokers" in the processions: to lighten the burden of mourning they are free to satirize anything, and dress as women, clowns, or performers.

The festival's religious roots lie in the belief that dead individuals must cross many rivers to reach the realm of death ruled by Yama. According to pan-Indic traditjons, cows are of invaluable assistance in this journey. Both Hindu and Buddhist Newars act on their belief that making a gift of a cow (godana) to a brahmaI)a insures this service to the departed.34 With this purpose in mind, Hindu families in mourning dress up one or more sons in cow costumes and complete a procession throughout the town. 35 Some may also lead a real cow who has been groomed· and garlanded. The women of the house extend the meritorious service to cows by taking a position along this route near their mmes to make food offerings to all the other "cow groups" which pass. The spectacle draws crowds all along the route and espe­cially at the royal palace.

34. Buddhist Newars perform a life-cycle rite for elders ("Bura Hikwo") that enhances their karma and establishes them in an exalted status at seventy­seven years old. This includes making a cow gift to a BrahmID:la as part of an otherwise purely Vajrayana ritual ceremony (Lewis 1984,299-307). 35. The Buddhist community specifies another festival for its mourning families to make a similiar town circumambulation: lndra Iatra, \yhich falls soon after GUIpla. Instead of making offerings to cows, however, the Buddhist fa9J.ilies make offerings to stiipas and caityas, making their way around town to greet friends while making pUlJ.ya dedicated to the recently deceased.

TODD T. LEWIS 341

Newar Buddhists do not join in celebrating this festival. 36· Saparu in fact is very often the day chosen for BahI Dya[.1 Svayegu by the Asan Uray. (In 1981, the Asan bajan passed the royal palace area seemingly

. oblivious to the Gill Jatra crowds there.) According to local tradition, not only should Buddhists abstain from participating: they should also not even witness the processions for it is "Mara vala" ("Mara has come"). By identifying Hindu practice with the Buddha's defeated foe, this polemic reflects a classical ideological assertion by which Buddhist tradition subordinates Hindu deities and observances. Most adult Buddhist lay folk know of this contention.

Hindu-Buddhist competition is also evident during the yearly festival dedicated to Kr~1).a, Kr~1).a A~tami (Kr~1)a' s Eighth Day). Although in modern times Newar Hindus of Kathmandu have fallen away from a stronger Kr~1).a devotionalism that marked Nepal's pre-modern era, this two-day spring festival is still the occasion of the yearly palanquin festival to "the Dark Lord." The local custom for Hindu groups is to display devotional pictures of Kr~1).a and other Hindu deities outside of homes and at prominent public places. At the Annapur1)a temple rest house in northeast Kathmandu (Bhotahity), for example, local Hindu shopkeepers hang over 100 pictures, almost all of which are from the orthodox Hindu pantheon: Lak~mi, Siva, Ga1).esa, and, most com­monly, scenes from the life of Kr~1).a.

But in another courtyard, the same Hindu pantheon is present, but about half of the paintings are Buddhist: as part of their GurpJa devo­tions, prominent Buddhist families set up competing displays alongside their Hindu neighbors. In yet other courtyards, the content is almost completely Buddhist in subject matter: in 1981 we found a series of paintings in one courtyard depicting: Mahasattva Raja Kumara Jataka, Tara, MafijusrI, the S.n.lgabherl AvadZina, AvalokiteSvara, and tantric deities. Yet another display was totally Buddhist, presenting the SilJ'thalasartabilhu Avadana and the life of the Buddha in framed lithographs. There were also other framed deities from the Mahayana pantheon.

36. The Sat!lg ha piijl1ris in J ana BaM do perform a special pflja petitioning Avalokitesvara to intercede for any members reborn in the hells.

342 JIABS 16.2

CONCLUDING OBSERVA nONS: MAHAyANA BUDDHISM AND SOCIETY

We have surveyed a host of Mahayana observances held each summer by Newar Buddhists in Nepal: music-enlivened devotional processions and pujas given to images of buddhas, bodhisattvas, stiipas, local deities; daily pilgrimage to Svayambii; presentation of dana offerings

. to many viharas; intensive sutra or dharal)I recitations; special occa­sions to present dana to the sarpgha, including events involving extraordinary munificence; ceremonies (puja) generating pUlJya for the recently dead; public and private recitations of the dharma from Buddhist literature; Mahayana vratas orchestrating many (of the above) activities; special avadana-related rituals; cults to Mahayana sutras; displays of treasured, empowered Dlparpkara images shared with the community. In Newar Gurpla Dharma, one sees a broad sample of Indic Mahayana traditions in practice.

Conforming to the desiderata of the five cardinal precepts and the classical Mahayana seven-fold worship,37 the .ritual traditions of Gurpla Dharma have clearly been crafted and accumulated to serve the devout's seeking both practical blessings and final salvation (cf. Dargyay 1986, 179-80). Indeed, the Newar evidence suggests the im­portance of ritual traditions expressing and shaping Buddhist history, while orchestrating exchanges insuring the local sarpgha's mainte­nance. Buddhism has always been engaged in this domestication pro­cess. As John Strong has recently noted, "Buddhism, as it is popularly practiced, consists primarily of deeds done and stories told, that is of rituals·that regulate life both inside and olltside the monastery, and of legends, myths, and tales that are recalled by, for, and about the faith­ful" (1992, xi). With the addition of dharaI)I (or paritta) recitation as the "practical religion" and contextualizing these attributes within a nexus of community exchange, this description aptly describes the nature of surviving Mahayana tradition in the Newar context.

The traditions of Gurpla Dharma allow further characterizations of Mahayana Buddhism in practice: it has been primarily through ritual that individuals express Buddhist identity and seek their spiritual aspi-

37. Often cited in the Mahayana literature is the seven-fold puja: 1. honor the Buddha; 2. serve the Buddha; 3. confession of misdeeds; 4. delight in good actions of beings; 5. invitation of budd has to preach the dharma; 6. arouse the thought of enlightenment; 7. dedication of merit to all beings (Lamotte 1988, 433).

TODD T. LEWIS 343

rations (Beyer 1973, xii). Through paja, vrata, chanting, bajan and bhajan, devotees conform to ideals set forth in canonical texts; though varying in style of cultural performance, all these rituals seek the COffi-

. passion of budd has and bodhisattvas, planting karmic seeds fostering bodhi, and these blessings alter destiny both in this world and beyond. The meaning that Newar Buddhists place on their Gurp.la rituals finds clear expression in a popular story collection, the Janabilhadya~ Bakh(Jl}1-. This text recounts the salvation work of A valokitesvara pri­marily through refuge in bodhisattva rituals:

If those who are born in Nepal observe the gUf!!la dharma, if they show devotion to Svayambhii, if they play five traditional instruments at the jtltras, if they revere the paficatathtigatas, they will get the four fruits: dharma, artha, kama, nwk~a and be freed from all pap. When they die they will be free from the fear of Yamaraja and go for rebirth in Sukbavati bhuvana. (Vajracarya 1972, 6)

In practice, the· Mahayana-like the HInayana-has held up the Dharma as the path that "shows the lay folk the way toheaven." It was not sublime philosophical exegesis nor meditative rapture but ritual acts directed to heavenly rebirth that inspired the practice of most Buddhists throughout history.

Hindu-Buddhist Competition and Boundaries Newar Gurp.la Dharma tradition in Nepal gives insight regarding the later history of Indian Buddhism: once the tradition came to uphold and depend upon elaborate ritual events to unite the community, then proper form, procedure, and pollution-purity regulation also became Buddhist concerns. (This is quite evident, for example, in I-Tsing's account.) Buddhist ritualists had to conform to the logic of brahmani­cal aesthetics and paja procedures, sanctioning one major avenue of assimilation. The developmental history of Newar Buddhism likewise illustrates this trajectory of Mahayana evolution: as an immense agenda of buddha and bodhisattva image veneration and temple life developed, Buddhist paja, yatra, and sarp.skara evolved to adapt to the Brahmanical ritual context. To adopt the highest Indic standards of cleanliness and image purity, Buddhists thereby adopted Brahmanical ritual views, including caste reckonings of individual purity. In so doing, the tradition also imported an ongoing and increasing problem: the laity's confusion between Buddhist and Hindu cults given identical

344 JIABS 16.2

ritual veneration. 38 To contend with this, the contestation traditions of Newar Buddhism $"e'likewise instructive: to endure amidst a Hindu majority required the elaboration of sharp contradistinctive traditions such as those drawn up around the Cow and Kr~I,la festivals. (Many others endure in the Newar context [Lewis 1984, 468-481; Gellner 1992, 73-104].)

Lay Buddhism, Domestication, and Redistribution Although there are few historical' sources available for reconstructing the exact nature of the Newar saIJIgha's evolution to its present house­holder and caste-defined Mahayana-Vajrayana form, (with periods of crisis39 hypothesized to explain the departure from the classical norms), what is clear is the reworking of earlier celibate monastic customs, as .David Gellner has so brilliantly demonstrated, (1992). GUIJIla month seems to have been a part of this development in several respects. The, rainy season period has become a time when the com­munity forgoes marriage ceremonies and focuses on Buddhist practice (textual study, meditation, construction, piija) , in conformity with aspects of the classical var~livlisa ideal.

Certain GUIJIla Dharma practices highlight other transformations evident in the domestication of Newar Mahayana Buddhism. The emphasis on textual ownership and recitation by the modern saIJIgha underlines their place as heirs and holders of the spiritual powers culti­vated by the Mahayana. Conducting bodhisattva rituals and transmit­ting meditation traditions (tantric and non-tantric) became the right of certain Newars lineages exclusively. Esoteric Mahayana-Vaj ray ana initiations in Nepal are now, as in traditional Tibet, open only to those of high birth status who can give'the necessary dana, making the tra­dition-in part-a commodity. Thus, a high-caste saIJIgha now holds the monopoly right to mediate the Mahayana pantheon to the laity through the rituals of veneration, protection, and initiation.

38. This is true in Nepal today in the devolution of traditional Mahayana culture (Lewis 1984,555-589), a situation also discussed by Mus (1964). 39. On the possible role of disease in Newar Buddhist history, we now know of the effects of a severe pestilence in the town of Kathmandu about 1724 recounted in the writings of Situ Panchen. See Lewis and Jamspal 1988, 199. The prevalence of disease in pre-modern societies should cause scholars of Buddhism to underline the importance 'of apotropaic ritualism in securing the tradition's success (Lewis 1994a).

TODD T. LEWIS 345

Guip.1a Parka Dana traditions have evolved to ensure the essential contributions to this sarpgha. We have painted out how this day of dana is congruent with the modem Newar monastic initiation by allud-

. ing to the classical monasticism but ultimately affirming a Mahayana superiority.' Newar tradition has domesticated Diparpkara Buddha imagery and stories to have him as witness and to legitimate' the great­est yearly redistribution ritual. In Kathmandu until qllite recently, Pafica Dana was quite a lavish windfall for individual sarpgha mem­bers.4o Whatever else we might surmise about Buddhism's variegated history, the Newar Gurpla Dharma traditions point to the central propensity to ritualize spiritual ideals and to adapt buddha and bod­hisattva traditions into the cultic and festival practices' of specific localities. In Nepal, as in every other venue of Buddhism's successful missionization, rituals evolved to accomplish two crucial and related tasks: doinesticate the slisana and redistribute the laity's wealth to the sarpgha.

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JOHN C. HUNTINGTON

A Re-examination of a Kaniska Period Tetradrachm . Coin Type with an Image of Metrago/Maitreya on the Reverse (GobI 793.1) and a Brief Notice on the Importance of the Inscription Relative to Bactro- . Gandharan Buddhist Iconography of the Period

In an earlier issue of this journal, Joseph Cribb presented an article, "Kani~ka' s Buddha Coins-The Official Iconography of Sakyamuni and Maitreya," in which he published for the first time a number of coins representing Maitreya Buddha. 1 However, some of these coins raised more questions than they answered. Cribb himself corrected the reading for some of the coin inscriptions from Metrauo Boudo to Metrago Boudo in his subsequent paper, "The Origin of the Buddha Image-The Numismatic Evidence."2 In addition, some iconographic details were still left unresolved and the relationship of the coins to particular image types was not thoroughly explored. 3

I am most indebted to Joseph Cribb for allowing me access to the extensive Ku§ru:a numismatic holdings in the British Musel.lm, to WilliamF. Spengler for his suggestions, and to B. N. Mukherjee for sharing his many rich and creative ideas and his vast enthusiasm. The Encyclopedia of Buddhist Icono­graphy project, from which this article is a "spinoff," has been and is being supported by numerous granting agencies and offices of The Ohio State University. Those granting agencies whose support bears directly on this· article are: The National Endowment for the Humanities, the Kress Foundation, and the Smithsonian Institution. Those Ohio State University offices bearing the most direct relationship to this article are the College of the Arts, the Department of History of Art, the Office of the Vice President for Research and The Office of In ternational Studies. 1. Joseph Cribb, "Kani§ka's Buddha Coins-The Official Iconography of Sakyamuni & Maitreya," JIABS 3.2 (1980): 79-88. 2. Joseph Cribb, "The Origin of the Buddha Image-The Numismatic Evi­dence," South Asian Archaeology 1981: Proceedings of the Sixth Inter­national Conference of the Association of South Asian Archaeologists in Western Europe (Cambridge: Cambridge University Press, 1984) 231-244. 3. One important question is the problem of why boudo, i. e., buddha, is used as the term for what is clearly a bodhisattva image. While there is no defini­tive answer for the Bactro-Gandharan usage, it may be suggested that the Chinese may have learned their usage of the termfo, buddha, for virtually all of the deities in the Buddhist soteriological system from such a Gandharan

355

356 JIABS 16.2

One coin in particular, identifiable for sake of convenience as GobI 793.1,4 in the British Museum collection, has been the source of con­siderable additional study (Figure 1).5 Cribb originally read the in­sCription as Met[rJauo Bou[doJ (}{Jl./[P]~yo goy[~O]) and inter­preted the image as one of Maitreya who was actually known as Metrago (}{Jl./p~<O) in Ku~~a Greek lexicography (Figure Z). This variation in orthography was well within the limits of known variants and posed no particular problem to those of us who are concerned with the inSCriptions on these coins. Indeed, the coins themselves are usu­ally inpoor to terrible condition and Cribb had rendered the field of Ku~a1).a studies a service by deciphering several very difficult coin in­sCriptions. However, although his identification of MetragolMaitreya would prove to be correct, there were several errors in his reading.

It is no criticism of Cribb that this problematic coin soon gave rise to another reading. B. N. Mukherjee, apparently working only from published 1: 1 photographs, saw the reading in an entirely different light and read it as ~}{Jl.TogOI, i. e., Amitabha (Figure 3).6 If this reading was accurate, it would have been an important addition to the slowly growing body of AmitabhalSukhavatl information for the Bactro-Gandharan region) Mukherjee is well known for his many contributions to Ku~a1).a studies and, in all candor, because I believe that a clear understanding of the Amitabha cult in Gandhara is key to a better understanding of initial transmission and early development of what was to become East Asian "Pure-Land" Buddhism, I frankly hoped that he was correct. An inscribed tetradrachm of Kani~ka's

practice. More study will be necessary before the solution to this intriguing linguistic question is known. 4. The number is that used by Robert Gobi in his System und Chronologie der ManzprtLgung des KU'Slinreiche (Wien: Verlag der bsterreichischen Akademie der Wissenschaften, 1984) pi 79. 5. For those readers who wish to follow the arguments regarding the reading of the letters on the coin carefully, I have added an appendix of Ku~ill).a Greek letters as they appear on th~ coins. Please see Appendix I. 6. B. N. Mukherjee, "Amitabha on Kusha~a Coins," Journal of the Numis­matic Society of India 49 (1987 [1991]): 44-45. 7. John C. Huntington "A Gandharan Image of Amitabha's SukhavatI," Annali dell 'Istituto Orientale di Napoli 40 (n.s. 30) (1980): 651-672; John Brough, "Amitabha and AvalokiteSvara in an Inscribed Gandharan Sculp­ture," Indologica Taurinensia: Official Organ of the International Association of Sanskrit Studies 10 (1982): 65-70.

JOHN C. HUNTINGTON 357

reign would have been "good" evidence of both the cult and its date in Bactro-Gandhara. Unfortunately, it was not to be.

. In either case, the reading of the coin was critically important for the study of Bactro-Gandharan Buddhist iconography, for it could either identify an image of Amitabha or an important variant type of the MetragolMaitreya image as found in the Buddhist sculpture of the region. My current work on the Bactro-Gandharan volume of my Encyclopedia of Buddhist Iconography has led me to examine as much of the iconographically relevant inscribed evidence as possible. Simply stated, my research indicates that there is ample technical evi­dence that neither Cribb's nor Mukherjee's readings is correct. How­ever, each reading is problematic for different reasons. My first clue to the error of Mukherjee's reading was my observation as an icono­grapher, not as an epigraphist-that the image in the center of the field is a bodhisattva (Figure 4), not a buddha. Specifically, he wears arm­bands or armlets on both arms, something that is unknown on images of buddhas in the Bactro-Gandharan sculptural idiom. On the other hand, Cribb's interpretation relied on what would have to have been characters in impossible positions and an erroneous reading of several of the characters.

In his first article, Cribb read the inscription as l'v1e[r]//auo Bou[do] by reading counterclockwise from 11 :00 to 9:30, to 7:30 as MET (HJ-'.7"); then jumping to the top right to 1:00,2:00,2:30, 3:00, and 4:00 as AY[U]OBOY[U] (tA '(o&oY), with the last two letters crammed together in what, at first impression appears to be a single ligature (Figure 2). While KU9al!a Greek Oike classical Greek inscriptions on pottery, for example) is written every which way imaginable: right to left, left to right, tops of the letter towards the inside, tops of the letters towards the outside, and so on, a break in the line such as Cribb pro­posed would be most unusual. Clearly, this reading was questionable. but, given the frequent irregularities of KU9al!a Greek inscriptions. not out of the question. Note in particular that Cribb assumes that the rho for MET[R] and both the delta and the omicron from his reading of BOU[DO] are missing, giving his interpretation a somewhat demand­ing reliance on three missing letters across the bottom.

Mukherjee's reading is based on two epigraphical errors and I think it will be both instructive and possibly cautionary to go through the process of examining just what went wrong in his interpretation. Several years ago, at the 1984 KU9al!a Studies conference in

358 JIABS 16.2

Lucknow,8 Mukherjee announced during the discussions following a paper that he had identified a Kani~ka tetradrachm with the reverse inscribed with the name Amitabha.His article was not forthcoming, however, until 1991.9 To fully understand what actually transpired, it must be understood t.."'1at Robert GobI's monumental corpus of Kusana numismatics, System und Chronologie der Munzpriigung· des Kusanreiche, had been published in 1984, detailing hundreds of types of Ku·sana coins, sometimes with several examples from similar or even the· same dies.lO In GobI's volume, the majority of the coins are published actual size, in accordance with standard numismatic practice. However, for technical study, one-to-one reproduction has serious drawbacks.. When coins are in poor condition, if they have been poorly photographed, or worse, when they are in both poor condition and poorly photographed, this can lead to very serious problems. Indeed, for detailed study of coins it is often necessary to use enlarge­ments (I prefer about 10 diameters), drawings made from the actual coin, and photographs made in acute angle raking lighting from several positions around the coin in order to glean the most information from the surface of the coin.

Apparently working only from small (1:1) published photographs of the coin, Mukherjee read the tau at 7:30 as an alpha and what is actu­ally a gamma at 4:30 as an upsilon (Figure 3). Given the very poor condition of the coin and the actual appearance of both letters in the photographs in both Cribb and GobI's publications, I freely admit that, at first, I did not initially find Mukherjee's reading to be based on un­reasonable interpretations of the letters in question. On the contrary, even computer enhancements of the presumed alpha, generated from the published images in GobI and Cribb's first article, suggested that Mukherjee was correct. However, by using other resources, it was clear that Cribb's Original interpretation of the letter at 7:30 as tau was correct. As for the letter at 4:30, in the reproductions that Mukherjee apparently used there is visually the appearance of a small tab on the outside of the bend in the letter gamma, which made it look like an abbreviated limb of an upsilon, usually rendered U in the translitera­tion of Ku~a~a Greek although Mukherjee's ''Y'' is not incorrect.

8. Organized and presided over by Dr. R. C. Shanna, then Director of the Lucknow Musewn. (Regrettably the proceedings have yet to be published.) 9. See note 7. 10. See note 5.

JOHN C. HUNTINGTON 359

A careful examination of the coin itself,11 and using large photo­graphic silver halide prints of the coin (Figure 1), a set of eight slides made of the coin in rotating raking light, and various computer en­hancements of selected images from this group leaves very little doubt as to what is and is not present in the inscription (Figure 5). The letter tau at 7:30 is a tau and there is little chance for it to be anything else. In comparison to the mu and et~ it is upside down, but, because letter orientations vary in Ku~a~a coins, this is not a problem. At 4:30 the double ligature is actually two letters, a gamma and an omicron. As may be seen from Figure 1, the small tab is not there. There simply is no stroke on the gamma extending into the opening of the omicron as suggested by the GobI photograph, and, thus, while it is reversed, it is a gamma followed by an omicron. The beta is, like the gamma, re­versed, but is an obvious letter as is the omicron following it. Counterclockwise from those is a clearly rendered upsilon which is arranged vertically in relation to the figure in the center of the coin, and after that an obvious delta also arranged vertically. Curiously, the delta at 1 :00 is very unclear in most photographs, resembling an omi­cron in some cases and in others simply an engraver's error or possibly even a damage. However, Figure 1 shows it clearly and that is why I have selected this particular photograph to illustrate the coin.

According to the foregoing, it is my reading that there is an uninter­rupted counterclockwise reading, of M-e-t [r] [a] g-o B-o-u-d [0] (H)-C./[Pl>..]<o &o''(t)[oJ), accepting that there are two missing letters in the 6:00 position. Thus, we have another Metrago Boudo coin, al­though not read in quite the way Cribb saw it.

When a preliminary version of this paper was presented at the Ku~a~a studies paneJl2 at the 21st Annual Conference on South Asian Studies held at The University of Wisconsin at Madison in November of 1992, a well-known collector of Ku~a~a coins, William F. Spengler, shared from his collection a second specimen apparently from the same dies as the British Museum example (Figure 6). Significantly, it was struck in such a manner that the presumed missing alpha and rho are still present (albeit transposed from the expected spelling). Thus, the actual reading is "Metargo Boud[o]" (HJ-C./[APJ> 0 .3oY~O) (Figure 7). With the gamma and the beta reversed, the tau, upsilon and delta aligned with different orientation than the other letters which

11. Courtesy of Joseph Cribb, Keeper of Indian coins at the British Museum. 12. Organized by Drs. Martha Carter and Carolyn Schmidt.

360 JIABS 16.2

are radially aligned relative to the circumference of the coin and the rho and alpha transposed, it is indeed a very difficult inscription. However, in the discussion about the coins at the meeting, William Spengler cogently noted that the best die cutters were probably engaged in producing the dies for the gold staters of the Kani~ka era and that much less skilled craftsmen were at work on the copper tetradrachms. As we have just seen, coins of the GobI 793,1 type seem to have r befm, particularly the work of either a marginally literate or possibly even illiterate die cutter.

One cannot fault either Cribb or Mukherjee for their readings and certainly neither had the benefit of a second coin from the same dies confirming the "missing letters" presented to them. Mukherjee's erro­neous reading illustrates the problems of dealing with secondary and even tertiary materials--we all must do it, but one needs to be careful and, the more problematic the piece, the more careful one must be. Both Cribb and Mukherjee have contributed greatly to Ku~a1:la numis­matics, far more than I ever even hope to, and it is certainly not my intention to be critical of the work of either of these friends. Quite the contrary, the inscriptions on these coins are as difficult as any in the Asian numismatic world, often fragmentary, with, as we have just seen, misspellings and often in such poor conditions that they are nearly impossible to read. Even with the computer based analysis techniques that I am using, there are many problems that are simply beyond technological solutions. The study of such coins needs the skills and intuitive sense of someone like either Mukherjee or Cribb to solve the problems that the coin presents.

Although I have been a relatively serious numismatist for more than thirty years, my numismatic interests are in other regions of Asia, and, relative to Ku~aI).a coins, my intellectual goals are vastly more limited than either Cribb's or Mukherjee's. I am simply lOOking for contem­poreaneously inscribed identi'fications of Buddhist images for inclusion in the Encyclopedia of Buddhist Iconography. In this context, it must be noted that Cribb's analysis of the iconography of these coins13 also needs updating in light of the inscriptive evidence actually present on the coin and in light of what it is now possible to see in the image on the coins. First of all, his identification of major Bactro-Gandharan images as the Buddha Sakyamuni must be

13. Cribb, "Kani~ka's Buddha Coins-The Official Iconography of Sakya­muni & Maitreya," 81-84.

JOHN c.. HUNTINGTON 361

considered to be very tentative at best and, in many cases, probably wrong. Images of Buddha Maitreya (Ketumatr Maitreya) exist in Bactro-Gandharan art and, except for minor details of pedestals, these

. images are .indistinguishable from Sakyamuni images.14 Thus, any image of a standing buddha without a pedestal or an inscription (of which there is only one known at present) simply cannot be identified as to whether it is Ketumati Maitreya Buddha or Sakyarnuni Buddha, or even another Buddha.

Regarding this pOint, it must be understood that images of Maitreya in both the buddha and bodhisattva forms were very popular in Bactro­Gandharan Buddhism. Indeed, a survey of the more than 3000 photo­graphs of Bactro-Gandharan material in The John and Susan Huntington Photographic Archive at The Ohio State University reveals that a majority of individual standing bodhisattva images are represen­tations of the Bodhisattva Maitreya,15 proving beyond any doubt the popularity of Maitreya among the image~dedicating practitioners of Buddhism in the Bactro-Gandharan regions. This probably reflects the popular desire to be reborn in either Tu~ita Paradise or at the time of Ketumati here in the Saha world some 25,000 years after the death of Sakyamuni Buddha. While such a Bactro-Gandharan "pure-land" cult was nbt described by the Chinese pilgrims, nor has it been substan­tiated by extant historical literature or inscriptions; the evidence of the cult as known in other contexts, especially China, and the very signifi­cant number of Maitreya imag~s in itself would seem to demonstrate the presence of the cult in Bactro-Gandhara.

In his first article, Cribb stated that aU the images of Metrago/Maitreya that he illustrates are depicted displaying abhliyamudrli. 16 However, this is neither accurate nor is it an accurate

14. John C. Huntington, "The Iconography and Iconology of Maitreya Images in Gandhara," Journal a/Central Asia 7.1 (July 1984): 149-152. 15. It must be acknowledged ,that if one counts the small life narrative events and scenes, then the Buddha Sakyamuni does predominate, but in major indi­vidual images, thy identifiable depictions of Maitreya actually predominate over the those of Sakyamuni Buddha 16. Cribb, "Kani~ka's Buddha Coins-The Official Iconography of Sakyamuni & Maitreya," 82. Actually, Cribb's statement is Qnclear. The first part of the paragraph says, "The forthcoming study of these coins will show that only the gesture of reassurance (abhliyamudrli) is depicted on them." "These coins" appears to refer to MetragolMaitreya images described in the preceding paragraph. However, the subject of the next sentence is the stand-

362 JIABS 16.2

impression of images of Maitreya on Ku~a1)a coinage. In the corpus compiled by Gobl,17 four types of MaitreyaIMetrago coins are listed: numbers 790, 791, 792, and 793. Of this group, numbers 790, 791 and 792 all have an image of MetragolMaitreya with his right hand raised and the left hand resting on his left leg. In the 790 and 792 types the right hand is in abhayamudra and, for example, in the 790.1 coin traces of MetragolMaitreya's usual attribute of a bottle (kamm).¢aZu) can be seen quite clearly in computer enhancements (Figures 8 and 9). This seems to have been a popular type of image in the Bactro­Gandharan region and several intact or nearly intact stone examples survive. One of the best preserved stone examples of the type is presently housed in the Royal Ontario Museum in Toronto (Figure 10).

However, of special interest to the issue of the varieties of mudra displayed by Metrago/Maitreya images in Bactro-Gandhara is the coin illustrated as 791.1 in GobI. The figure of MetragolMaitreya appears to have been represented with the right hand making vitarkamudra, a very rare gesture for him in Gandhara. This gesture is clearly visible in the illustration in GobI. To date, I have not yet found a stone image of MetragolMaitreya making vitarkamudra and the coin may represent either a very rare type or a single image that is no longer known.

More importantly, the GobI 793.1 type coin (Figure 1) in the British Museum example illustrates MaitreyaiMetrago making dharmacakra­mudra and, in the Spengler example (Figure 6), the thumb of the proper right hand is clearly visible at the top of the right hand, giving absolute certainty that the palm of the hand is toward the chest of the figure and not extending away from the chest as would be necessary in the abhayamudra gesture. Moreover, even in examples of the coin type where the thumb cannot be seen, the position of the right hand in front of the chest and the angle of the left arm, which extends across the Chest instead of angling down towards the left leg, make it certain that both hands were in front of the chest-exactly the pOSition that is demanded by the Bactro-Gandharan version of dharmacakramudra. Significantly, there is neither a bottle nor a vase associated with Metrago/Maitreya in the coin image. This is the exact pattern of some tentatively identified Gandharan stone images of Metrago/Maitreya.

ing buddhas and it is possible that "these coins" refers to the standing bud­dhas. My observations are based on taking his sentence structure literally. 17. See note 5.

JOHN C. HUNTINGTON 363

Prior to the correct reading of the inscription and analysis of the image on this particular coin type, certain stone images were identified as MetragolMaitreya on the basis of key secondary characteristics, such as hair am1ngements, 18 but inscriptive evidence has been lacking.

One of the best preserved stone images of the type is in the Peshawar Museum (Figure 11). It exhibits dharmacakramudra and has been identified as MetragolMaitreya primarily because of the long looping hair arrangement of the japimuku.ta, which is often pointed out to be reminiscent of the hair style on the Apollo Belvedere. This par­ticular type of hair arrangement has long been identified with MetragolMaitreya images in Bactro-Gandhara, but the usual attributes are lacking. With the reading of the GobI 793.1 coin type and the accurate analysis of the image type on the coin, it is clear that exactly this type of MetragolMaitreya image is intended. Thus, the coin type adds another inSCriptional identification to the iconography of Metrago IMaitreya in the Bactro-Gandhara region.

A note on the drawings accompanying this article: The drawings of the coins have been prepared by two distinct

means. The first method, for example, used for the GobI 790.1 coin, was done by tracing a scanned image in a good drawing program on a Macintosh computer. Using enlargements of the coin with high resolution computer technology it is possible to work directly over a photograph of the coin at a magnification of as much as 1600 diameters, which allows for much greater accuracy than the usual eye copies. The second method of drawing is to make a composite drawing using the technique described above but from several different sources. In this case, the drawing does not reflect either a single speciman or anyone view of the coin, but a composite of several different coins, or, in the case of the British Museum's GobI no. 793.1, photographs of the same coin.

18. Huntington, "The Iconography and Iconology of Maitreya Images in Gandhara," 148-149.

364 JIABS 16.2

Appendix I

Greek letters occurring on KU9flI).a coins Letters in the following chart have been drawn from inscriptions on the coins of Kanir;;ka 1. Those to the left occur most commonly; less common variants fallow.

A Alpha AAAA A

B Beta ~ ~

r Gamma (

Ll

E

Z

H

e

I

K

Delta

Epislon

Zeta

Eta

Theta

Iota

Kappa

E

~ 9

A Lambd, A

M Mu M

N Nu N

B

) G

D

E

z

Th

I

r K

L

M H M ...

n N

.......

0

n

p

L

T

Y

<P

X

\f'

Q

--Xi

X -,.

Omicror 0 • • 0

Pi It [~ t. ... 1\ P

Rho P f .... -:· q R

Sigma c= C S

Tau T T T

Upsilon y f ){ u :j" y

Phi + Ph

Chi )( Ch [X]

Psi Ps

Omega W 0 I

"Sha" p 8h S

JOHN C. HUNTINGTON 365

Figure 1. Reverse of a copper tetradrachrn of the reign of Kani~ka I. British Museun Collection. GobI 793.1

366 JIABS 16.2

1 Counterclockwise

t;::::.

Drawing of the coin showing the directions of reading and position of the missing letters

necessary for Cribb's reading.

2 Clockwise

I:>

hr ~1PD &~@' &~ D D M E T [P] A Y 0 BOY [~] [0]

MET[R]AUO BOU[DO] i.e., METRAUO BaUDO Cribb, GobI (presumably), etc., reading counterclockwise starting at 11:00, breaking the line at the double bars at

6:30 and restarting reading clockwise at LOO.

Figure 2. Cribb's reading of the inscription on GobI 793.1.

JOHN C. HUNTINGTON 367

lorY? Drawing of the coin showing the key problematic letters.

~~M~~ ~ It( ~ ~ ~lnJ~~ u (Y ~liJ IJ

A M E TO BOY AMEDTOBOY (sic. for U), i.e., Amitabha Mukherjee's reading clockwise starting at the lower left letter (7:00) based on GobI 793.1. Boxed figure omitted.

The real source of the problem Appearance of the Ku~aI.1a-Greek letters as seen in the photograph of the coin as published in GobI.

. ~ Alpha in the first ~ position.

~ Upsilon in the ~ final position.

The same letters seen in both British Museum photograph and JCH photographs. r Tau ~ Gamma

Figure 3. Mukherjee's reading of the inscription on GobI 793.1.

._----------

368 JIABS 16.2

Figure 4. Composite drawing of the reverse of GobI 793.1 showing the image of MetragolMaitreya.

~jiC?DD ~~'~t D MET [P] [A] rOB 0 Y L1 [0]

METPAro BOYi10 i.e., METRAGO BOUDO

Figure 5. The reading of the inscription on GobI 793.1 suggested in this article.

JOHN C. HUNTINGTON 369

Figure 6, Reverse of a copper tetradrachm of the reign of Kani~ka I. William F. Spengler Collection.

370 JIABS 16.2

Figure 7. Drawing of the British Museum coin (GobI 793.1) with the letters alpha and rho added in the position in which they occur on the

Spengler coin.

JOHN C. HUNTINGTON 371

Figure 8. Reverse of a copper tetradrachm of the reign of Kani~ka 1. Berlin Museum Collection. GobI 793.1. (After GobI.)

372 JIABS 16.2

Figure 9. Drawing of the reverse of a copper tetradrachm from the reign of Kani~ka I.

(The alpha is lacking in the inscription which, therefore, reads: MetrDgo Baudo.) GobI 793.1.

JOHN C. HUNTINGTON 373

Figure 10. The Bodhisattva Metrago/Maitreya originally displaying abhliyamudra and carrying the kama[lrjalu.

Royal Ontario Museum Collection.

374 JIABS 16.2

Figure 11. The Bodhisattva Metrago/Maitreya displaying a variant of the Bactro-Gandharan version of dhannacakramudra.

RODERlCK S. BUCKNELL

Reinterpreting the Jhiinas

The jhanas, the stages of progressively deepening concentration that figure so prominently in Buddhist meditation theory, have recently been the subject of several excellent critical studies. l

Two such studies, those of Griffiths (1983) and Stuart-Fox (1989), have drawn attention to one problem in particular that is demonstrably crucial in any attempt to understand the jhZina series. Ithas to do with the composition of the first jhZina. The Pali Abhidhamma and classical meditation manuals, and with them most present-day accounts of Theravadin meditation theory, consistently state that the first jhana has mental onepointedness (cittass' ekaggatZi) as one of its component "factors." Yet the description which appears repeatedly in the first four Nikayas (and which, therefore, certainly antedates the Abhidhamma version) states that mental onepointedness becomes established in the secondjhZina, not in the first. Stuart-Fox, who discusses this matter in detail, concludes that the Abhidhamma description of the flIst jhZina is a secondary development, a result of scholastic editing of the earlier Nikaya account.

Both Griffiths (briefly and in passing) and Stuart-Fox (at length and explicitly) draw another closely related conclusion regarding the com­position of the firstjhZina as described in the Nikayas: vitakka-vicara,

1. See in particular Martin Stuart-Fox, "Jhana and Buddhist Scholasticism," Journal of the International Association of Buddhist Studies 12.2 (1989): 79-110; and Paul Griffiths, "Buddhist Jhana: A fonn-critical study," Religion 13 (1983): 55-68. Also relevant are Winston L. King, Theravada Meditation: The Buddhist Transformation of Yoga (University Park and London: Pennsylvania State University Press, 1980) (esp. Chapters 3-6); and Johannes Bronkhorst, The Two Traditions of Meditation in Ancient India, Alt- und Neu-Indische Studien 28 (Stuttgart: Franz Steiner, 1986). Such critical stud­ies contrast with the largely uncritical, though very thorough and useful, descriptive account by Henepola Gunaratana, The Path of Serenity and In­sight (Delhi: Motilal Banarsidass, 1985). The present paper was presented in much abbreviated fonn to the International Congress on Religion, Melbourne, July 1992.

375

376 JlABS 16.2

the factor that particularly characterizes the first jhlina, is probably nothing other than the noimal process of discursive thought, the famili~ but usually unnoticed stream of mental imagery and verbalization. 2

These conclusions conflict with the widespread conception of the fITst jhlina as a state of deep concentration, a profoundly altered state of con­sciousness attainable only after long and arduous practice. 3 They can be shown also to challenge some long-held notions about the jhlina series as a whole. To investigate the further implications of this revised under­standing of the firstjhiina is a major objective of the present study.

As to method, this study employs the kind of text-critical approach adopted by Griffiths and Stuart-Fox, while also taking into account what is known of the practical-experiential side of jhlina meditation. It care­fully distinguishes the earliest account of jhlina, found throughout the Nikayas, from the historically later versions found in some tate suttas, the Abhidhamma, and Buddhaghosa's Visuddhimagga. Indeed, one of its specific aims is to clarify the relationship between the earlier and later accounts.

The inclusion of meditative experience among the data to be used in the interpretive process raises some difficult methodological issues. 4

For present purposes the central problem is that scholars who are non­meditators, and whQ are therefore in no position to check the accuracy of accounts of meditative experience, are naturally inclined to have reserva­tions about interpretive procedures that draw on such accounts. Ade­quate discussion of this and related methodological issues is clearly beyond the scope of this paper, so it must suffice here to make just the following point. In the present case the account of meditative experience in question is shown to agree substantially with the relevant description given by Buddhaghosa in his Visuddhimagga-a situatio~ that should minimize possible concern on the part of non-meditator scholars.

Whereas previous studies have focused on the first two jhlinas, the present analysis covers the entire series, comprising the four basic

2. Griffiths 59-60; Stuart-Fox 81-82 and passim. :to For a typical example of that conception, see Bhikkhu Buddhadasa, Anapanasati (Mindfulness of Breathing), trans. Bhikkhu Nagasena, (Bangkok: Sublime Life Mission, 1976). The first 153 pages of Buddhadasa's book are devoted to the practicalities of attaining the first jhi1na. 4. Some of the methodological issues raised in this paragraph are noted briefly by Stuart-Fox 94-96. The field of Buddhist Studies will eventually have to come to terms with such issues if it is ever to do justice to medita­tion.

RODERICK S. BUCKNELL 377

jhliruis (called, in the Abhiclhamma and Visuddhimagga, rupa-jhlinas, "materialjhlinas") and the four liruppas (arupa-jhlinas, "non-material jhlinas").5 For convenience, the separate jhlinas are henceforth referred

. to as "jhlina 1," "jhlina 2," and so on up to "jhlina 8" (neva sannli nlisannliyatana).6 The Nikaya account is examined first, followed by Buddhaghosa's more elaborate version. The two are then considered in the light of meditative experience. Finally; conclusions are drawnre­garding the relationship between the two versions, and regarding th~ identities of the various stages in terms of meditative practices and at­tainments. These conclusions are seen as indicating a need to revise some long-established ideas about the jhlinas.

Analysis ofyhe Nikaya Account· The often repeated jhlina formula or "peri cope" may be provisionally, and rather literally, translated as follows'?

5. All eight are listed at, e. g., M i 40-41; the first four alone (i. e. the rupa­jhlinas) are listed at, e. g., D i 73-75. (All such source references are to vol­ume and page numbers in the Pali Text Society's editions of the PaIi texts. D = Dlgha Nikaya, etc.; Vism = Visuddhimagga; Vibh = Vibhanga.) Griffiths states (57) that the shorter listing occurs at least 86 times in the first four Nikayas. Because the ilruppas are often omitted from textual accounts, some investigators have suggested that they were not part of the Buddha's original teaching; e. g. Friedrich Heiler, Die Buddhistische Versenkung (Miinchen: Reinhardt, 1922) 47-51; King 14-15; and Bronkhorst 82-86. That debate is not pursued here. Instead, the jhilnas, rupa and arupa, are considered to­gether, as they are in many suttas, as constituting a single series. 6. Cf. Amadeo Sole-Leris, Tranquillity and Insight (Boston: ShambhaIa, 1986) 68-71, where essentially the same nomenclature is adopted. 7. The Pilii reads: 1) vivicceva kilmehi vivicca akusalehi dhammehi savitakka1[l savicilra~n vivekaja~n pitisukha1[l pa/halna1[ljhlina1[l upasampajja viharati. 2) vitakkavicilrilna'll vupasamil ajjhatta1[l sampasiidana1[l cetaso ekodibhliva1!l avitakka~n aviCilra'll samiidhija'll pitisukha1[l dutiya1[l jhlina1[l upasampajja viharati. 3) pitiyil ca virilgil upekhako ca viharati sato ca sampajilno sukhaii ca kilyena pa/isa1[lvedeti yan ta1[l ariyil ilcikkhanti upekhako satimil sukhavihlirl ti tatiya'll jhlina1[l upasampajja viharati. 4) sukhassa ca pahilnil dukkhassa ca pahilnil pubbeva somanas­sadomanaSSilnal!l atthagamil adukkham asukha1[l ujJekhiisatipilrisuddhi1[l catuttha'll jhlina1[l upasampajja viharati. 5) sabbaso rupasaiiiiilna1[l samatikkarna pa/ighasaiiiiilna1[l atthagamil nilnattasaiiiilina1[l amanasiklirli ananto ilkliso tiilkilsilnaiicilytana~n upasampajja viharati. 6) sabbaso iiklislinaiicliyatana'll samatikkamma ananta~n viiiiiil~n ti viiiiiilIJaiicilyatana1[l upasampajja viharati. 7) sabbaso viiiiiilIJaiicilyatana1[l satnatikkamtna natthi kiiici ti ilkiiicaiiiiilyatana1[l upasampajja viharati. 8) sabbaso likiiicaiiiiilyatana~n satnatikkamma nevasaiiiiilnlisaiifiilyatana1[l upasampajja viharati.

378 JIABS 16.2

Jhilna 1: Quite separated from sense desires, separated from unwhole­some mental states, he [the meditator] attains and abides in the fIrst jhilna, in which are present initial thought (vitakka), sustained thought (vicara), and separation-born zest (pui) and pleasure (sukha). Jhana 2: Through the suppression of initial thought and sustained thought, he attains and abides in the second jMina, in which there is inner tranquillity and oneness of mind, and in which initial thought and sustained thought are absent, and concentration-born zest and pleasure are present. Jhiina 3: Through the fading away of zest, he abides equanimous, mindful and discerning; and experiencing pleasure with the body, he attains and abides in the third jhana, of which the Noble Ones say "equanimous, mindful, abiding in pleasure." Jhana 4: Through the relinquishing of pleasure, through the relin~ quishing of pain, through the previous disappearance of happiness and sorrow, he attains and abides in the fourth jhana, in which pleasure and pain are absent, and the purity of equanimity and mindfuless is present. Jhana 5: Through the complete transcending of material perceptions, through the disappearance of impact-perceptions, through non-atten­tion to variety-perceptions, [aware] that space is endless, he attains and abides in the realm of endless space (aklisanaiicayatana). Jhana 6: Through the complete transcending of the realm of endless space, [aware] that consciousness is endless, he attains and abides in the realm of endless consciousness (vififiar;aiicayatana). Jhana 7: Through the complete transcending of the realm of endless consciousness, [aware] that there is nothing, he attains and abides in the realm of nothingness (akiiicaiifiayatana). Jhiina 8: TIlrough the complete transcending of the realm of nothing­ness, he attains and abides in the realm of neither perception nor non­perception (n' eva saiifia niisafifiayatana).

This translation is tentative and subject to later revision, particularly in respect of the major technical terms. Some of the renderings adopted are based simply on common western usage, for want of more adequate criteria at this early stage in the investigation. For example, piti is provisionally given as "zest" because that word is often preferred in English translations. There are also some syntactic ambiguities in the PaIi, which will be addressed as the analysis proceeds.

RODERICK S. BUCK..1\ffiLL 379

The above standard description of the jha.rws will now be examined critically within a purely linguistic-textual-doctrinal framework, i. e. without at this stage making any attempt to link it to meditative practice. Since it is the Nikaya description that is in question, the later interpreta­tions and explanations found in the Abhidhamma and the Visuddhimagga will be referred to only sparingly and with caution. Attention focuses first on the four rupa-jhifnas (jhilnas 1 to 4).

Each of the first four paragraphs consists essentially in a statement of (a) the mental factors that are present or absent in each jhifna, and (b) the factors that are developed or eliminated in making the transition to that jhi1na from the one preceding it. The mental condition of the monk or meditator before beginning the jhi1na practice is not described directly. Indirectly, however, the account does indicate that this pre-jhilna condition is characterized by the presence of sense desires (kama) and other unwholesome mental states (akusala dhammas), for it is by becoming separated or isolated (vivicca) from these that the meditator attains jhana 1.

It is stated that injMna 1 there exist initial thought (vitakka) and sus­tained thought (vicara), together with zest (piti) and pleasure (sukha), both of which are "separation-born" (viveka-ja). 8 The adjective "separation-born" amounts to a reiteration of the statement that the medi­tator attains this jhana through becoming separated (vivicca)-i. e. sepa­rated from sense desires and unwholesome states. Its application to "zest" and "pleasure" (which immediately follow it in the.~entence) and not to "initial thought" and "sustained thought" (which immediately pre­cede it) indicates that it is above all this separation, with resulting zest and pleasure, that distinguishes jhilna 1 from the pre-jhifna condition. It indicates that the presence of initial and sustained thought in jhana 1 is not a consequence of the separation from sense desires and unwhole­some states; that is, initial and sustained thought are present already in the pre-jhifna condition and merely perSist through the transition. The essence of the transition from normal consciousness to jhilna 1 consists,

8. Buddhaghosa suggests that viveka-ja~n can be seen as qualifying either p}tisukhal[! or jhtinal[! (Vism 145). I follow ~le former interpretation, as do NaI)amoli and many others. See Bhikkhu NaI)amoli, trans., The Path of Pyrification (Visuddhimagga) (Berkeley & London: Shambhala, 1976) 15I. (N~amoli's translation is hereafter denoted Path.)

380 JIABS 16.2

therefore, in (a) the elimination of sense desires and other unwholesome states, and" (b) the arising of zest and pleasure.9

The transition fromjhlina 1 to jhiina 2 is achieved t11!0ugh the sup­pression or stilling (vupasamli) of initial and sustained thought, and the estabiishing of inner tranquillity (ajjhatta1J1. sampaSlidana1J1.) and one­ness of mind (cetaso ekodibhliva1J1.). This is reiterated in the statement thatjhlina 2 is without initial thought and su~tained thought (av"itakka, aviclira). Zest and pleasure, already established in the preceding jhiina, are still present but are now described as "concentration-born" (samlidhi-ja). "Concentration," "inner tranquillity," and "oneness of mind" are evidently synonyms. 10 The essence of the transition to jhlina 2 is, then, the elimination of initial and sustained thought and the estab­lishing of concentration.

The transition to jhlina 3 comes about through the fading away of zest (pUi), as the meditator becomes equanimous or conatively neutral (upekhako or upekkhako) and also mindful and self-possessed (sato, sampajiino). Pleasure continues, but is now, for the first time, said to be experienced with the body (kliyena). As Gunaratana points out, the term "upekkhli," though having many different applications, always signifies a midpoint or point of neutrality between extremes. I I In the present case the reference is clearly to neutrality in the domain of conation, i. e. to a

9. The vague rendering "states" for dhammehi sidesteps the question which of the many meanings of dhamma is intended here. One important meaning of dhamma is "mental object" or "mental image," and this could well be tOe meaning intended in the present context. (See T. W. Rbys Davids and William Stede, PaZi-English Dictionary (London: Luzac, 1959) 336, dham­ma.) If it is, then the factors said to be eliminated in the transition from ordinary consciousness to jhlina 1 are sense desires and unwholesome images. This would explain what otherwise appears an unnecessary repetition; for "vivicc' eva klimehi, vivicca akusalehi dhammeht' would then be referring to two different mental elements. (In Table 1 they would be in two different columns, "Conation" (kamas) and "Thought" (akusaladhammas), rather than in the same column as shown.) A further implication would be that the vitakka-viClira ofjhlina 1, being free of unwholesome thoughts, does after all differ from the normal flow of thought. 10. Cetaso ekodibhliva is equated at Vibh 258 with cittassa .thiti (steadiness of mind) and sammlisamlidhi (right concentration); it is defined in the Pali­English Dictionary (160) as "concentration, fixing one's mind on one point." The term's equivalence with cittass' ekaggatli is self-evident. Sampaslidana is explained at Vibh 258 as "saddhli (faith, confidence)"; the Pali-English Dictionary definition is "tranquilizing" (692). Gunaratana (83) notes these two meanings, "confidence" and "tranquillity," and opts for the former, though the latter is clearly more appropriate in the context. 11. Gunaratana 88-90. Cf. Vism 160-161; Path 166-167.

RODERICK S. BUCKNELL 381

state.of affective detachment. The meditator becomes upekhako through the disappearance of piti, a conative factor (placed under sankhlira­khandha in the Abhidhamma classifIcation).12 Thus, the essence of the

. transition from jhlina 2 to jhlina 3 is the replacement of piti (zest?) by the conatively neutral sati-sampajafifia (mindfulness and self­possession). That the pleasure (sukha) is now explicitly physical appears to represent another significant development.

In the transition to jhlina 4, pleasure (sukha) is relinquished or al­lowed to disappear. The description states that pain (dukkha) disappears also, though it was not mentioned as present in earlier jhlinas. Since jhlinas 1,2, and 3 are all described as pleasurable, this disappearance of pain makes sense only if understood as having been "entailed in the establishing ofjhlina 1. Such a meaning is the more likely because the next two factors mentioned, happiness (somanassa) and sorrow (domanassa), are explicitly stated to have disappeared previously or earlier (pubbeva).

As Gunaratana pOints out, analysis of the description is complicated by the existence of two different Nikaya usages of the terms sukha and dukkha: 13

First usage: sukha: dukkha:

Second usage: sukha: dukkha: somanassa: domanassa:

physical and mental pleasUre physical and mental pain physical pleasure physical pain mental pleasure (happiness) mental pain (sorrow)

In the description of jhlina 4 all four terms occur, whence it is clear that the second usage is being followed. Thus the sukha that is relinquished in attainingjhlina 4 is physical or bodily pleasure, which is in keeping with the fact that the sukha present in jhlina 3 is experienced "with the body." The description is not explicit regarding the type of sukha pre­sent injhlinas 1 and 2.

In the final string of adjectives describing jhlina 4, the pair asukham adukkha1Jl (without pleasure, without pain) is followed by upekkhli-sati-

12. Gunaratana 60,91. 13. Gunaratana 62-63.

382 JIABS 16.2

parisuddhiTft (having purity of equanimity and mindfulness). 14 Since upekkha and sati were already present in the preceding jhana, the addition of the word parisuddhiTft ("purity") evidently signifies that upekkhii and sati are now no longer associated with sukha; that is, parisuddhi signifies absence of sukha, just as (in jhiina 3) upekkha sig­nifies absence of pUi .

The account of the four rupa-jhlinas exhibits a stylistic feature typical of the Pili canon in general: frequent reiteration through the use of syn-0nyms and (in negations) antonyms .. For example, the statement that jhiina 2 is attained through suppression of initial thougnt and sustained thought (vitakka-vicaranaTft vupasama) is reiterated in the further state­ments that thatjhlina is without initial and sustained thought (avitakkaTft·· avicaraTft), that it is characterized by inner tranquility (ajjhatta7Jt sampasadanaTft) and oneness of mind (cetaso ekodibhavaTft), and that the associated zest and pleasure are born of concentration (samadhi­ja7Jt). Accordingly the above analysis has, in large part, consisted in identifying such sets of synonyms and antonyms, a procedure that greatly simplifies the description.

It will be helpful at this point to depict the results' of the analysis dia­grammatically. This is done in Table 1. Each transition between jhlinas is represented by a downward-pointing arrow, and the factors respon­sible for the transition are indicated by the boxed terms attached to the arrow.

Table 1 draws attention to some further characteristics of the jhana description. One evident characteristic is inconsistency in mentioning the continued existence of a factor in jhanas subsequent to the one in which that factor first becomes established. For example, equanimity (upekkhii), which becomes established in jhlina 3, is stated to be present also injhlina 4. On the other hand, the quality "without initial and sus­tained thought" (avitakkaTft, avicaraTft)-otherwise "having tranquillity" (sampasadanaTft), and "having oneness of mind" (cetaso ekodibhava7Jt) -which is attributed to jhlina 2, is not similarly applied to jhlinas 3 and .

14. This seems more likely to be the meaning of the compound than "having mindfulness purified by equanimity," because upekkhli (equanimity) was already present in jhlina 3. However, cf. Path 174; Vism 167-168; Vibh 261.

RODERICK S. BUCK.NELL 383

4, though it is clearly to be understood to apply to them, and indeed al­ways has been by commentators classical and modem. 15

Another characteristic evident in Ta,ble 1 is that the composition of the . rupa-jhiinas is specified in terms of three implicit categories. This has been emphasized by providing the three relevant columns with headings:

. "Thought," "Conation," and "Peeling" (i. e. hedonic tone). When the above points are taken into account, Table 1 reduces to the

much simpler Table 2. In Table 2 we immediately see the jhlina series as a process of successively eliminating mental factors. The term below each arrow is functionally the negation of the one above it; e. g. ekodibhiiva is the negation of vitakka-vicara .16

Table'2 can in its turn be simplified by replacing each negating term with a dash, on the understanding that a dash Signifies the absence or elimination of the factor immediately above it. The result is the maxi -mally economical representation shown in Table 3.

The terms that appear in Table 3 are the first four of the familiar five "jhiina factors" (jhiinanglinl): vitakka, vicara, pili, sukha, ekaggata. The practice of summarizing the composition of the jhlinas by listing the rel­evant jhlina factors appears sporadically in a few late suttas, and be­comes well established in the Abhidhamma. 17 The odd development whereby the factor ekaggata (= ekodibhava) came to be attributed to jhlinal is among the problems dealt with by Stuart-Fox.

The analysis can now move on to the arupa-jhlinas, the non-material jhlinas. The first of these (in our terminology, jhlJna 5) is the realm of endless space (iiklisanancayatana). It is attained "through the complete transcending of material perceptions (rupa-sanna), through the disap­pearance of impact-perceptions (pa,tigha-sannii), through non-attention to variety-perceptions" (nlinatta-safina), and it entails the awareness that "space is endless" (ananto iikiiso). . Of the tbree terms ending in -sanna, the first, rupa-sanna, is familiar as denoting perception of visual forms, the first of six recognized classes

15. Cf. Buddhaclasa 158: " ... it should be understood that anything dis­carded in a lower stage remains absent in higher stages and is therefore not mentioned again." 16. In choosing such negative terms for inclusion in Table 2, I have inten­tionally avoided the visually self-evident ones (e. g. avitakka as the negation ofvitakka) in order to make the diagram maximally informative. That ekodibhtiva is the negation of vitakka-viciira is not immediately apparent and therefore worth stating explici t1 y . 17. In the suttas it appears (with ekaggatii included) at M i 294, M iii 25-29, S iv 263. See Stuart-Fox 85 ff.

384 nABS 16.2

of sense perception. 18 However, in the present context it clearly has a wider scope, justifying the usual translation "material perceptions" or "perceptions of matter." 19 (Buddhaghosa explains it as perceptions of the nlpa-jhanas and of their objects-presumably the kasi1}a disks, the breathing, etc.)2o This ambiguity of rapa-sanna corresponds to an am­biguity in the word rapa:rupa is sometimes "visible fonn" (the object of visual perception) and sometimes "matter, materiality" (as when contrasted with ila11U/, or with arapa).21 In the present context, then, rapa-sanna covers all but the sixth class of sanna, i. e. aU but dhamma­safina, the type that has mental images (dhammas) as its objects.

The second of the three terms, pa.tigha-safina ("impact-perception"), is explained in the Vibhaliga as denoting perceptions of visual forms, sounds, odors, tastes, and tangible objects. 22 This indicates that pa.tigha-sanna is identical with the preceding item, rapa-sanna. The third tenn, nanatta-sanna, ("variety-perception") contains in its literal meaning little indication just what type of perception is being referred to. However, the pattern established by rapa-saiina and pa,tigha-sanna makes it likely that nanatta-sanna is a further synonym, i. e. that it too signifies "sense-perception," an interpretation explicitly affinned by Buddhaghosa.23

18. The six are: rapa-sanna, sadda-, gandha-, rasa-, phoyhabba-, dhamma­sanna. See D ii 309 and S iii 60. 19. See Path 356, and many other translations of the jhllna description. 20. Vism 328; Path 356-357. 21. See Pali-English Dictionary 574-575, rapa, 1 and 2. 22. Vibh 261. See also Vibh 6 and D if 62, where. pa.tigha-samphassa is contrasted with adhivacana-samphassa "verbal (or conceptual, i. e. mental) impression." (Definition from Nyanatiloka, Buddhist Dictionary [Colombo: Frewin and Co., 1972] 142.) The Vibhanga's explanations of rapa-sanna and nllnatta-Sanna are uninfonnative. 23. In such a succession of parallel tenns we may expect either that all have the same meaning (appositional relationship) or that all have different mean­ings (additive relationship). Clearly the fonner applies here. (An example of the latter occurs at the beginning -of thejhana 4 fonnula.) Buddhaghosa's support for this interpretation of nanatta-sanna comes in the following statement. '''Through the disappearance of impact-perceptions, through non­attention to variety-perceptions': by this is meant the relinquishing of and non-attention to all sense-sphere consciousness and its concomitants" (Vism 331). Buddhaghosa implausibly also states that such perceptions were already abandoned in jhllna 1 (Vism 329-330)--evidently in an attempt to reconcile the Nikaya account of the jhllnas (which he professes to be explicating) with the Abhidhainma understanding ofjhllna 1.

RODERICK S. BUCKNELL 385

We therefore have here a thrice uttered statement that the transition from jhana 4 to jMina 5 entails the cessation of physical sense percep­tions. It is appropriate that this cessation of physical or material percep­tion (rU.pa~/pa.tigha-/nanatta-saiiftii) coincides with the transition out of the physical or material (rl1pa)jhiinas. The first arl1pa-jhlina (jhlina 5) can, therefore, be readily incorporated into the condensed table of the jhOnas by adding a further column, headed "Sense Perception" (see Table 4).

Jhana 5 is further characterized by the awareness or realization that "Space (liklisa) is endless." In the Nikayas, liklisa is occasionally ap­pended to the list of four elements or mahlibhl1tas, and in later times it assumes the status of a flfih element. 24 The four-earth, water, fire, and air-are together equated with rl1pa, i. e. materiality or physicality, sometimes more specifically the human body. Aklisa is what remains when these four are removed. Thus the awareness that" likiisa is end­less" amounts to the awareness that" rl1pa is non-existent"; and this again is an appropriate concomitant to the transition from the material or rl1pa jhlinas to the non-material or arl1pa jhlina s. The contrast between 'Tl1pa as earth, water, fire, and air, and arl1pa . as the realms of endless space, endless consciousness, etc., is apparent in the well known Udlina passage: "There exists, monks, a realm in which there is not earth, nor water, nor fire, nor air, nor realm of endless space, nor realm of endless consciousness, nor realm of nothingness, nor realm of neither perception nor non-perception .... "25

The transition to jhlina 6, the realm of infinite consciousness (viftftli[laiicayatana), is achieved by transcending the realm of endless space and realizing that consciousness (viftftli[la) is endless. The type of analysis applied in earlier jhanas is hardly applicable here. By this stage . in the series the information given has become so meager that nothing remains to be considered except the significance of the term viftftli[lG.

24. In the Nikayas the set of four elements occurs frequently, e. g. at D i 55, M i 53; the set of five occurs only rarely, e. g. at M i 413, S iii 227. On the seemingly late addition of llkllsa, see G. P. Malalasekera, ed., Encyclopaedia of Buddhism, vol. 1 (Colombo: Government of Ceylon, 1966) 341. 25. Udana 80. atthi bhikkhave tad llyatanaf!! yattha neva pa!haVl na llpo na tejo na vllyo na llkllsllnancllyatanaf!! na vinnll1Jancllyatanaf!! na llkincannllyatanaf!L na nevasannll-nlisannllyatanaf!L . ... See the Vibhanga analysis of jhllna 5, which explains that llkllsa is "untouched by the four pri­mary elements, asamphuHhaf!L cattlhi mahllbhlltehi" (Vibh 262).

-----_._._--

386 JIABS16.2

That is itself a daunting problem; discussion of which will be deferred until later in the paper.

The situation becomes even more difficult with the two remaining jhiinas, the realm of nothingness and the realm of neither'perception nor non-perception, each of which is attained by "transcending" the realm that precedes it. The possibilities of the text-analytical approach, as it can be applied to the Nikaya account, have, therefore, been exhausted for the present. Accordingly, we now turn to other source~, sources that provide information on the techniques and experiences associated with attaining the jhlina s in practice.

The Nikaya account of the jhiinas provides little information for the practiCing meditator. Suttas such as the Aniipilna-sati Sutta do give some guidance; however, the standard source of practical information is· the post-canonical manuals, particularly Buddhaghosa's Visuddhimagga (5th century CE), to which we now turn.

Analysis ofBuddhaghosa's Account The description of jhilna practice that Buddhaghosa presents in his Visuddhimagga is widely regarded, rightly or wrongly, as authoritative on Theravadin meditation. It undoubtedly represents an already well established tradition, for essentially the same description is found in the less well known Vimuttimagga of Upatissa, dated a few centuries ear­lier. 26 (I shall nevertheless, for convenience, refer to this deSCription as "Buddhaghosa's.") Buddhaghosa's account has been largely respon­sible for the widespread understanding of jhiina 1 as a state of deep con­centration. In it he indicates that attainment of jhiina 1 entails a long and difficult progression through a series of sub-stages, of which the more advanced clearly do involve deep concentration. His portrayal of jhilna 1 as a deeply concentrated state therefore affirms the Abhidhamma ac­count (which ascribes ekaggatil to jhiina 1), while conflicting with the earlier Nikaya account.

The task of sorting out the relationship between these two accounts, and discovering how the differences may have come about, has already been tackled in a preliminary way by Griffiths and Stuart-Fox. Here it ' will be dealt with more thoroughly, by first conSidering certain problems that arise out of the series of sub-stages which Buddhaghosa describes

26. Vimuttimagga of Upatissa (TaishO 1648), transl. by N. R. M. Ebara, Soma Thera, and Kheminda Thera as The Path of Freedom (Colombo: D. Roland D. Weerasuria, 1961).

RODERICK S. BUCKNELL 387

as leading up to jhiina 1 (and to each subsequentjhiIna.) 'This series is not mentioned in the Nikayas, nor even in the canonical Abhidhamma texts. Its appearance in the post-canonical Vimuttimagga and Visuddhi-

. magga is evidently associated with the revision whereby ekaggatii was ascribed to j-hlina 1. Consequently, any elucidation of the significance of Buddhaghosa's sub-stages may be expected to contribute to an im­proved understanding of the entire jhlina series. To that end a summary of Buddhaghosa' s account is now provided. 27

In the example given by Buddhaghosa the meditation object is a spe­cially prepared "earth kasilJa, " a disk of clay about two spans in diame -ter. The meditating monk begins by gazing with ,concentrated attention at this disk, which therefore serves as the "preliminary sign" (parikamma-nimitta). After long and persistent effort, he becomes able not only to keep his attention firmly fixed on the disk itself, but also to retain an accurate mental image of it, i. e. to "see" inwardly a clear mental replica of the disk when he closes his eyes. 'This replica image is the "acquired sign" (uggaha-nimitta). The monk thereafter gives up gazing at the Original disk and concentrates on the replica image instead. Through this exercise the replica image is progressively stabilized and reinforced until eventually it gives way to a different type of image, the "counterpart sign" (Pa.tibhiiga-nimitta). This is an abstract derivative of the preceding image, bearing a general resemblance to it but lacking its "faults" and its specific identifying features. Whereas the acquired sign was a near -perfect mental replica of the original clay "disk, the counter­part sign is likely to appear as a pure disk of light, for example resem­bling the full moon or a well polished mirror. The meditator now focus­es on this counterpart sign, seeking to "extend" it progressively. 'This exercise is carried out in two stages: "access concentration" (upaciira­sarriiidhi) and "fixed concentration" (appanii-samiidhi). With the per­fection of appanii-samiidlzi, the meditator attains the first jhlina.

Once he has fully mastered these practices, the meditator may go on to develop the second jlzana. This entails, according to Buddhaghosa, the same series of SUb-stages, but preceded by practice of five "masteries" (vast). These include reflection on the grossness and undesirability of the jhiina factor to be eliminated next, which in this case is vitakka (Buddhaghosa here follows the Abhidhamma division of jhiina 1 into two separate jlzanas: vitakka and viciira are eliminated successively.)

27. Tbe summary is based on Vism 118-155; Path 122-161. Also, cf. Vimuttimagga (Ebara et al.) 71-92.

388 JIABS 16.2

Much the same procedure applies for each of the remaining jhi1nas in tum. Thus, for every one of the jhilnas, nlpa and arupa, the meditator passes through the same series of sUb-stages: concentration on the chosen physical object (parikamma-nimitta), development of the acquired sign (uggaha-nimitta), development of the counterpart sign (pa.tibhaga-nimitta), access concentration (upacara-samadhi), and finally fixed concentration (appana-samadhi). On each occasion, the perfection of appana-samlidhi marks attainment of the relevant jhi'ina.

It can be fairly readily confirmed that B uddhaghosa' s account is gen­erally accurate as a description of the meditative practice. Numerous practicing meditators, particularly in the Buddhist countries of southeast Asia, routinely experience many of the stages Buddhaghosa describes. They are well able-though not always very willing-to discuss the process as far as they have experienced it. 28 Such meditators and their teachers do not necessarily use Buddhaghosa's terminology; however, some of the stages they describe can be readily recognized and correlated with his account. In particular, a sequence of three meditation objects­the original physical object, a replica image of it, and an abstract image derived from the replica image-is well attested. And for competent meditators the process culminates in attainment of an imageless state barely distinguishable from total unconsciousness, which masters iden -tify as "entry into jhilna. "29

Researchers wishing to investigate the matter at first hand can do so by taking up intensive meditation themselves. Such experimentation will support the claim that all meditators pass through essentially the same sequence of stages, provided they pursue the practice intenSively and persistently enough, in a suitable environment, and with competent guid-

28. A major difficulty in finding out about meditation practice is that medi­tators are often very reticent about discussing their experiences and attain­ments. Such reticence is usually enjoined by their meditation masters on var­ious grounds, e. g. that to talk about one's attainments could generate conceit and thereby hinder one's further progress. However, for alternative views on this question see Winston L. King, "A Comparison of Theravada and Zen Meditational Methods and Goals," History of Religions 9 (1970): 313; and Rod Bucknell, "Experiments in Insight Meditation," The Australian Journal of Transpersonal Psychology 3.2 (1983): 115. 29. Regarding these practical details, I am drawing particularly on a series of verbal communications with the late Chaokhun Rajasiddhimuni, formerly meditation master at Khana 5, Wat Mahathat, Bangkok. Though the style of meditation he taught was purported to be vipassana-bhtivana, insight medita­tion (in the Mahasi Sayadaw tradition), it entailed a large component of samatha-bhavana, concentration meditation.

RODERICK S. BUCKNELL 389

ance.30 That kasilJa disks are rarely if ever used nowadays isunimpor­tant, because the sequence is largely the same, whether the concentration object is a clay disk, a chanted mantra, or the sensation of the breath at

. the nostril.. (Details are given in the next section.) Buddhaghosa's ac­count therefore deserves acceptance as a reliable description of the stages in jhlina practice as far as the attainment of what he calls "the first jhlina. "

However, as an interpretation of those stages in terms of Buddhist doctrine, Buddhaghosa's account presents several problems. One obvi -ous problem has to do with the above-noted question concerning the nature of the first jhlina. Development of a stable mental image as the object of concentration-whether a replica image (uggaha-nimitta) or an abstract derived image (pO;tibhZlga-nimitta)-implies well established mental onepointedness. The final stage, appan a-samZldhi (which Buddhaghosaidentifies with jMna I-subsequently also jhlina 2, etc.) is portrayed as an even more advanced stage of samadhi. It follows that Buddhaghosa's account is in conflict with the Nikaya account; because, as the Stuart-Fox study makes clear, the jhlina 1 of the Nikaya account is a rather preliminary stage in which mental onepointedness has not yet been established. The condition attained by the meditator who has mas­tered appanZl-samadhi cannot be identical with the stage which the Nikayas call "the firstjhZlna" (pO;thamaT}1jhlinaT}1).

It could be suggested, in Buddhaghosa's defense, that perfect corres­pondence is not to be expected: in his account of kasi1:za meditation Buddhaghosa is referring to the firstjhlina of the Abhidhamma, not the frrstjhZlna of the Nikayas. (The Abhidhamma version states that the firstjhZlna has mental one pointedness as a factor; the Nikaya version does not.) But such an argument would carry no weight, because Buddhaghosa understands the Abhidhamma and Nikaya descriptions of "the firstjhana" to be referring to one and the same meditative attain­ment. He maintains that the verbal discrepancies between the two de­scriptions are of no consequence, but merely reflect differing perceptions about what was worth mentioning. 31

30. Such claims entail certain problems, on which see Frank J. Hoffman, Rationality and Mind in Early Buddhism (Delhi: Motilal Banarsiciass, 1987) 98. 31. On the question whether ekaggatti was worth mentioning as a factor in jhana 1, see the suggestions by Gunaratana, 67 and 84, and the refutation of them by Stuart-Fox, 88.

390 JIABS 16.2

Another problem with Buddhaghosa's account is that such details as the uggaha- andpa.tibhliga-nimittas, and upacara- and appana-samii· dhi are nowhere explicitly mentioned in the Nikayas. There is not even any indication in the Nikayas that attainment of jhana 1 entails a lengthy sequence of sub-stages such as Buddhaghosa describes. This raises questions concerning the transmission of the teaching. If this very basic information is genuine, why was it not recorded in t.he Nikayas? And how did commentators like Upatissa and Buddhaghosa manage to come by it?

It is now evident that the interpretation implicit in Buddhaghosa's account of kasil}a meditation is problematic. As a description, Buddhaghosa's account of the sequence of meditative stages as far as appana-samadhi appears to be accurate; it corresponds with meditative experience. However, as an interpretation, it is demonstrably in conflict with the Nikaya account.

We therefore confront the question: How does Buddhaghosa's de­scription, with its detailed series of sub-stages, relate to the much sim­pler Nikaya account of the jMnas? This question will be approached initially by considering in greater detail the techniques and experiences actually involved in the practice of jhZilla meditation.

The Practice of Concentration KasiJ}a disks are rarely, if ever, used by present day meditators. The ac­count that follows therefore describes, instead, the practice of minclful­ness of breathing (aniiptina-sati), which is probably the most widely used, and certainly the best documented, Buddhist technique for jhi1na. 32 The description is based on the standard Theravadin style of practice, but in respect of the resulting experiences and attainments it is probably valid for all styles.

The meditator, having found a quiet spot in which to practice, and having adopted the approved sitting posture, begins by developing an appropriate mental attitude. This may entail reflecting for a few minutes on the value and purpose of the practice he or she is about to undertake, on the virtues of Buddha, Dhamma, and Sangha, or on any similarly up-

32. For rel~vant textual sources, see Bhikkhu Na1}amoli, Mindfulness of Breathing (Anliplinasati), (Kandy: Buddhist Publication Society, 1973). For a very detailed discussion of the practice, see Buddhadasa, op. cit. Buddbadasa's monastery (Suan Mok, near Chaiya in southern Thailand) is one of the main centers at which linliplina-sati is currently taught and prac­ticed on a large scale.

RODERICK S. BUCKNELL 391

lifting topic. Thus prepared, he or she then closes the eyes and begins concentrating on the breathing.

This involves focusing attention on the fine tactile sensation experi­enced at the rim of one nostril as the breath passes in and out. That sen­sation is the concentration object. At each sitting attention must be fo -cused on it and restrained from wandering. Invariably, however, atten­tion does wander. After only a few breaths the meditator realizes that instead of concentrating on the sensation at the nostril rim, he or she is involved in a train of thought having no apparent connection with the practice. He or she immediately returns attention to the concentration object and begins again, but before long the same thing happens. Repeatedly, despite all efforts to keep the mind fixed on the concentra­tion object, thoughts arise; and the trains of mental imagery and inner speech sometimes continue for a minute or more before the meditator realizes the digression and is able to cut them short. Only after long and persistent effort-over weeks or months, depending on individual tem­perament and the intensity of the practice~oes success come. Finally, however, the dedicated meditator does succeed in keeping attention fixed on the concentration object for up to a minute without any thoughts intervening.

With further practice the periods of full concentration and freedom from thought grow longer and more intense. The meditator becomes able to sit fully concentrated for several minutes together. With thought totally absent, there is no sense of boredom; the practice, which had formerly seemed dull and tiresome in the extreVle, has now become irre­sistibly interesting.

During this phase of the practice the meditator often finds the body making strange involuntary movements, for example a pronounced trem­bling, intermittent jerking, or creeping goose-flesh. The meditation mas­ter reassures the student that reactions of this kind are common. They are by-products of the high level of mental energy being developed, and have no importance other than as signs that progress is being made. The meditator must merely note their presence and resume the concentration practice.

Following this advice, the meditator finds that the strange movements do soon cease, and facility in concentration improves accordingly. But now a new effect appears, in the form of various delightful bodily feel­ings: a feeling of lightness as if the body were floating some distance above the seat, or a pervading warmth as if the body were glowing. The

392 JIABS 16.2

meditator may find it possible to bring about an intensification of these effects; however, the master warns against this. The pleasant feelings are once again unimportant by-products of the practice; the meditator must merely acknowledge their existence and return to the 'concentration object

With further practice the delightful feelings subside in their turn, leaving nothing in consciousness but the concentration object. Formerly faint and barely discernible, the sensation at the nostril rim is now expe­rienced vividly as a zone of intense tactile sensation. There is now nothing else in consciousness. As far as the meditator is concerned the rest of the body is non-existent.

Further prolonged concentration eventually results in a strange trans­formation of the object. The zone of intense tactile sensation is replaced by a glowing patch of light of similar shape and orientation, experienced inwardly as a vivid mental image. (The eyes remain closed throughout these exercises.) For example, if the zone of sensation at the nostril was experienced as crescent-shaped, the glowing patch of light that takes its place is likely to be similarly crescent -shaped. This abstract image is of variable color, indeed the meditator may find that its color and brightness can to some extent be modified at will. Its size seems indeterminate, there being no other content of consciousness with which it might be compared. Having once developed such an abstract image, the meditator is instructed to adopt it as the new concentration object. At each sitting he or she must begin by concentrating on the breath as usual; but as soon as the abstract image appears, that must be made the concentration object instead. This has the effect of causing the abstract image to arise more rapidly ~ach time, and, once arisen, to become progressively more vivid and stable.

The meditator continues practicing in this way, until one day, without warning, the abstract image suddenly disappears. Thus deprived of the only content of consciousness, the meditator has the sense of con­fronting an infinite black vacuum. This strange experience may lead to a loss of composure, with a consequent abrupt return to normal con­sciousness. However, the master gives reassurance and advises the stu­dent to cultivate this state of mental emptiness, entering it at every opportunity. In addition, the master advocates prolonging its duration by making a resolution to that effect at the beginning of each meditation session. Following these instructions, the meditator finds that the state of emptiness stabilizes and, as promised, lasts progressively longer.

RODERICK S. BUCKNELL 393

IIi this state of emptiness, as at all previous stages of the practice, the meditator remains conscious of the condition, retaining a detached awareness of the state of zero mental content. However, there eventually comes a time when even this residual consciousness abruptly ceases. The effect is as if the meditator had suddenly gone under total anesthetic, or fallen into deep dreamless sleep. It cannot be said of this state that the meditator experiences it; rather, he or she infers it after the event, per­haps by referring to a clock or some other indicator of the passage of time.

It is said that particularly competent meditators develop the ability to sit in this state of unconsciousness for as long as seven days together. Some masters set up the less ambitious goal of twenty-four hours, and tell their students that when they have achieved that they will have gone as far as this style of practice can take them.

The above account, based on mindfulness of breathing, is broadly applicable for all forms of concentration meditation (samatha-bhiivanll), though with some variations in detail depending on the type of object . used. For example, concentration on the sound of a clock ticking natu­rally differs in the early stages. (Some meditators find an auditory object easier to concentrate on than a tactile one; others find it more difficult.) The abstract image develops in much the same way as with mindfulness of breathing, though it is likely to be different in appearance, e. g. ex­hibiting a rhythmic movement in time with the ticking. Thereafter the· sequence of events is identical.

A substantial difference from the course of events described above exists in the case of a visual object or a chanted mantra. With a visual object, the meditator begins with the eyes open, but closes them once the object has so imprinted itself on the memory that it can be visualized clearly "in the mind's eye." With a mantra, the meditator begins by repeating the phrase softly, and continues doing so until he or she can "hear" it inwardly after the voice stops. In either case, the mental replica -the image of the visual object or the internalized sound of the mantra -becomes the new concentration object, and in time yields an abstract image as before.

Practice based on a visual object or a mantra therefore differs from practice based on the types of Object described earlier (e. g. the breath­ing) in having a distinct extra stage, that in which the original object is replaced by a mental replica. However, this difference is perhaps more apparent than real. It may well be that concentration on the breathing

394 HABS 16.2

does actually give rise to a mental replica of the original tactile sensation; for such a mental replica would naturally be masked by the original sen­sation, which itself continues. With a visual object, the o~iginal sensa­tion can be terminated at any time by shutting the eyes, which makes the replica image clearly distinguishable from it; but one cannot simply stop breathing at will, whence the apparent Skipping of one stage. It is the funer sequence of stages that is presented by Buddhaghosa in his account of the kasbJa practice.

Correlating Doctrine and Practice Despite the overall correspondence between the above description and Buddhaghosa's account, there are some evident differences. One that deserves mention here has to do with the phenomenon of goose-flesh, trembling, and other involuntary bodily movements, which meditators commonly experience early in the practice. Present day meditation mas­ters identify these effects as plti ,a component "factor" (anga) of jhiinas 1 and 2. The main basis for this identification is a vivid description given by Buddhaghosa. 33 However, that description occurs not in his account of the sub-stages leading to jhlina, but rather in his deSCription of jhflna itself.

Before discussing the significance of this discrepancy, let us note the potential usefulness of piti as a landmark for correlating the practical sequence of meditative stages with the textual sequence ofjhlinas. All accounts of the jh1lnas agree in stating that the jhflna factor piti is present injhfJnas 1 and 2, but ceases with the attainment of jhana 3. If piti is correctly identified with the goose-flesh and similar reactions, then the ceasing of those reactions in the course of meditation should correspond to the transition from jMina 2 to jhiina 3.

In considering such apparent correspondences, one has to be prepared to put aside long-held notions about the nature of the jhflnas. The old understanding ofjhana 1 as a deeply concentrated state has already been rendered dubious, and that means that both scholars and meditators now have to be ready to re-think the entire jhana series. In such an enterprise intellectual flexibility is naturally essential.

33. Vism 143-144; Path 149-150. Mahasi Sayadaw, Practical Insight Meditation (Kandy: Buddhist Publication Society, 1971) 21, gives the fol­lowing brief description:· "There arises also in him rapture [Plti], causing 'goose-flesh,' falling of tears, tremor in the limbs. It produces in him a subtle thrill and exhilaration. He feels as if on a swing. He even wonders whether he is just giddy."

RODERICK S. BUCKNELL 395

Another potentially useful landmark for correlating meditative stages withjhiinas is provided by the classification of the jhiinas into two cate­gories: rapa and arapa, material and non-material. Common sense indi­cates that this classification would appropriately be applied to the medi­tative stages as follows: Those stages in which attention is directed to a 'physical object-the actual kasb}a disk, the breathing, a chanted mantra, etc.-are nlpa, material; and those in which it is directed to a mental image, or in which there is no specifiable object at all, are anlpa, non­material. 34 On this basis, the arising of the mental replica of the medita­tion object would mark the transition fromjhiina 4 (the last nlpa-jhiina) to jhiina 5 (the first arapa-jhana).

Here a further conflict with Buddhaghosa's account becomes appar­ent. We have already noted that one of the earlier sub-stages listed in his account, namely the arising of the uggaha-nimitta, clearly corresponds to the arising of the replica image in the medi tation practice. Yet now we have grounds for inferring that the transition fromjhiina 4 to jhiina 5 corresponds to that same meditative event. This is another problem that will be deferred until later. For the present, the discussion will focus on possible correspondences between the meditative series and the Nikaya jMna series, independently of any connection with Buddhaghosa's sub­stages.

Two points of correspondence between the meditative series and the jhiina series have already been tentatively identified. Application of similar reasoning elsewhere in the two series yields the following tenta­tive pattern of correspondence.

34. Present-day writers on jhlina often translate the nlpa in rupa-jhtina as "fine-material" (e. g. Gunaratana 108, Nyanaponika 70, 71; contrast Sole­Leris, 57). This addition of "fine," for which there is no textual justification, has evidently been felt necessary because of the seeming inappropriateness of "material" (let alone "physical") to describe the very subtle state thatjhiina 1 is widely assumed to be. Similar considerations no doubt lie behind the "explanation" (e. g., Gunaratana 92-93, following Vism 163) that the body referred to injhiina 3 (sukhafi ca kiiyena pa.tiswnvedeti) is actually "the men­tal body," i. e. the mind, When "body" has to be interpreted as meaning "mind," there is clearly something seriously wrong.

396 JIABS 16.2

Comparison of Meditative Stages and Jhanas

:MEDITATIVE STAGES Stage 1: The meditator's efforts at concentrating on the assigned. object fail to stop the flow of thought, but do bring a pleasant freedom from affective involvement.

Stage 2: The flow of thought ceases, yielding a pleasant stillness. Trembling, gooseflesh, . etc. occur.

Stage 3: The trembling, etc. cease, as the power of attention becomes more balanced. Pleasant bodily feelings of warmth etc. are experienced.

Stage 4: The pleasant bodily feel­ings cease. Balanced attention to the concentration object continues.

Stage 5: Physical sensation ceases, giving way to a mental image which is a replica of the original concentration object.

Stage 6: There develops a derived image, an abstract counterpart of the preceding replica image.

Stage 7: This abstract image dis­appears, giving way to mental emptiness, and leaving a sense of being suspended in an endless black vacuum.

JHANAS Jhana 1 : Vitakka and vicara are present, along with plti and sukha, both of which are born of sep­aralion from sense desires and unwholesome states.

Jhilna 2: Vitakka and vicara cease with the attaining of ekodibhava. Piti and sukha are now samadhi­born.

Jhana 3: Pili ceases, as upekkM and sati-sampajafifia are established. Sukha is now felt with the body.

Jhana 4: Sukha ceases, leaving pure upekkha and sati.

JMna 5: RJ1pa-lpa,tigha-Intinatta­sanfia ceases. There comes the awareness that akilsa is endless.

Jhtina 6: Endless akilsa is tran­scended and there comes the awareness that vififililJa is endless.

JMna 7: Endless vififiilna is tran­scended and there comes the awareness that nothing whatever exists.

Stage 8: Even the sense of experi­encing mental emptiness ceases, as total unconsciousness super­venes; however, the meditator is aware of this only in retrospect.

RODERICK S. BUCKNELL 397

Jhilna 8: Nothingness is tran­scended and the realm of neither salina nor non-sanna is attained.

The reasoning behind this proposed pattern of correspondences will now be spelled out by considering, in order of their occurrence, those PaIi terms whose meanings are of Significance in defining the different jhilnas.

Vitakka-vicara. The meaning of these paired terms is a key issue in Stuart-Fox's analysis ofjhanas 1 and 2. Outside of the jhilna context, vitakka and vicara together mean, as Rhys Davids and Stede note, "just thought, thinking." 35 The evidence adduced by Stuart-Fox indicates that this is also what they mean in the standard jhllna formula as we find it in the Nikayas: vitakka-vicara simply denotes the normal flow of thought, the stream of imagery and verbalizing which, like a television program that is rarely switched off, provides a persistent though vague and unob­trusive background to our everyday waking consciousness. 36 Rarely noticed under normal circumstances, the thought-stream becomes only too obvious to the meditator when he or she tries to bring it to a halt and keep all attention focused on the concentration object. Indeed, as practi­tioners of concentration meditation well know, stopping the flow of thought is one of the most difficult aspects of the practice. Success in this task represents a major breakthrough; and the resulting state of pro­longed freedom from thought (cittass' ekaggatll) constitutes a radically

35. Pali-English Dictionary 620, vitakka; and 615, vicara. 36. For details see Bucknell, "Experiments ... " 103-104. The verbalizing or "inner speech" aspect of the thought-stream is stressed in the textual expla­nation of vitakka as vacl-sankhara, "speech-activity," or the precursor of ac­tual physical speech (M i 301). It is also recognized in the equating of jhtIna 2 with "ariyan silence" (5 ii 273). Reinterpretation of "vitakka-vicara" as some kind of focused attention was one of the ad hoc adjustments that became necessary once ekaggata had been attributed to jhana 1. For an example of the inconsistencies to which this reinterpretation continues to give rise, see Phra Khantipalo, ed., A Treasury of the Buddha's Discourses from. the Majjhima-nikaya (Middle Collection), vol. 2 (Bangkok: Mahamakut Rajavidyalaya Press, n. d.) 62 (translation of Dantabhami-sutta). There vitakka is translated "thoughts" in one sentence ("Do not think thoughts ... "), and "initial application" in the next sentence (a description of jhtIna). The editor acknowledges the inconsistency (note 4), but claims it is unavoidable.

398 JIABS 16.2

altered state of consciousness, a most satisfying and encouraging attain­ment

It is, therefore, to be expected that the thought-stream, and the task of suppressing it, should figure prominently in the textual account ofjMna practice. 'This expectation is fulfilled once one allows that vitakka-vicara in the jhana description has the same meaning it has in other more gen­eral contexts in the Nikayas. These various considerations support the identification of vitakka-vicara with the normal flow of thought; the sup­pression of vitakka-vicara in the transition fromjhllna 1 to jhllna 2 is the meditative achievement of bringing the flow of thought to a standstill.

Piti. The jMna deSCription indicates two different varieties of Plti: separation-born and concentration-born (viveka-ja and samlidhi-ja).37 Accordingly, the "Conation" column of Table 1 presents the following series:

pre-jhllna : jhllna 1: jhllna 2: jhllna 3:

sense desires and unwholesome states separation-born piti concentration-born pUi equanimous mindfulness and self-possession

Concentration-born pUi, the phenomenon of trembling, gooseflesh, etc., is easy to identify; and indeed for an experienced meditator, particularly one who has also done some insight meditation, the progression through the entire series is fairly readily perceived, as follows. The practice can begin only if the meditator is able to curb for a time the mind's habit of reacting emotionally to the contents of consciousness, i. e. to external sense objects and mental images. Such affective reaction~ndless in its variety but adequately covered by the broad opposing categories "liking" and "disliking" -represents a pointless squandering of the energy that is indispensable for attentive focusing, and thus for the establishing of mental onepointedness. The beginning meditator, struggling to block the flow of thought and keep attention fixed on the prescribed concentration object, applies considerable mental effort, sometimes so much as to cause sweat to stream from the body. This blOCking and fixing, once achieved, can be maintained with a much lower level of effort; however, inexperienced meditators usually fail to make the appropriate adjustment. Having achieved onepointedness, they continue to put out the same high level of effort, with the result that the excess manifests in the form of un-

37. On these two types, cf. Buddhadasa 157, 159.

RODERICK S. BUCKNELL 399

controlled physical movements. With practice, meditators learn to di­minish the intenSity of the attentive focusing, yielding a state of equilib­rium which, because it entails no wasteful loss of energy, can be main­tained for long periods. 38

This view of the process indicates that the relevantjhlina terms are to be understood as follows: "Sense desires and unwholesome states" are the varied affective reactions that characterize the pre-jMna condition, i. e. ordinary consciousness. "Separation-bornpUi" is the high-powered attentive focusing on the concentration object which the meditator brings to bear by redeploying the energy normally expended in affective reac­tion. "Concentration-born piti" is the phenomenon whose outward maifestation is physical trembling, etc., and whose cause is the maintain­ing of this high level of attentive focusing after it is no longer needed, i. e. after onepointedness has been established. And "mindfulness and self-possession" is the condition of balanced attention that is ultimately achieved by reducing the intensity of the focusing and establishing the appropriate equilibrium (upekkNl).

Sukha. As noted in the textual analysis, sukha is said to be present in jhilnas 1,2, and 3, but is stated to be felt with the body only injhlina 3. This tallies with the meditator's experience of delightful bodily feelings following the cessation of the physical forms of pili. In addition it sug­gests' though not unequivocally, that the sukha of jhiinas 1 and 2 is to be understood as purely mental pleasure (i. e. somanassa). This again is in keeping with experience: freedom from affective involvement (jhilna 1) is a pleasurable state of mind, and so too is steady mental onepointed­ness (jhilna 2). It is doubtful, however, if a phenomenological distinc­tion between "separation-born sukha" (jhlina 1) and "samadhi-born sukha" (jhilna 2) can really be drawn.

Akiisa. We have already noted the appropriateness of the term iiklisa ("space") in the title of the first arupa-jhiina: space is all that remains following cessation of the four material elements (earth, water, fire, and air), 1. e. following the cessation of nJpa. "Realm of endless space" is therefore appropriate as a term for the meditative state in which all input

38. If one may invoke a simile worthy of Buddhaghosa, it is like cooking a stew. The cook at first turns the gas up high in order to bring the contents of the pot to boiling point. If, being inexperienced, he leaves the flame higb after that point has been reached, the pot boils over. He then learns to tum down the flame to a level just sufficient to maintain a steady simmer. Tbe flame in these three situations corresponds to separation-born pUi injhlina 1, concentration-born piti injhlina 2, and sati injhlina 3.

400 JIABS 16.2

from the five physical sense organs (rupa-sanntilpa,.tigha-saniitilnanatta -sanna) has ceased. For the meditator in tIllS state there exists only the replica image (dharruna-sanna). Here it is well to recall that aklisa is not emptiness or notllingness, a fact emphasized by the contrast with the "realm of notllingness" (jhllna 7).

Vinno:~lQ. Given the very incomplete state of research into the actual identities of Buddhist psychological categories, any attempt at interpret­ing the term vifinli1}a in the jhllna context is necessarily speculative. 39 Nevertheless, some useful observations are possible, especially as re­gards the distinction between vinnlil}a and sanna. Buddhaghosa likens sanna to a cllild's perception of a coin (awareness of its color, shape, texture, etc.), and vilifiol}a to an adult's perception of the same coin (awareness of its purchasing power and usefulness). 40 This explana­tion, if valid, indicates that vifiiilil}a is a processed, more abstract deriva­tive of sanna. Such an understanding of the relationship between sanna and vinnlil}a makes good sense in the case ofjhanas 5 and 6, for those two stages can now be interpreted as follows. The awareness of the replica image (jhllna 5) is an example of the sixth class of sanna (dhamma-sanna) , while the awareness of the derived abstract image (jhlina 6) is. an example of the sixth class of viniwl}a (mano-vinnal}a).41 The steady persistence of each type of image, as the only content of the meditator's consciousness, makes good sense of the phrases "[aware] that liklisa is endless" (jhlina 5) and "[aware] that vinnlil}a is endless" (jhllna 6).

Akineanna. This word, meaning "notllingness," indicates a meditative state having zero content. The description of jhllna 7 includes the state­ment "n'atthi kine! ti, [aware] that there is nothing," which, like the parallel" ti" clauses for jhllnas 5 and 6, implies that the meditator is con-

39. For an example of such research, see Rune E. A. Johansson, "CHta, Mano, VififtaI).a-a Psychosemantic Investigation," University of Ceylon Review 23 (1965): 165-215. 40. Vism 436-437; Path 480. 41. The six classes of vififia1}a are: cakkhu-vififia1}a, sota-, ghana-, jivha-, kaya-, mano-vififia1}a. See D ii 308, S iii 61; and cf. the corresponding six classes of safifia at note 18. In many contexts the words vififia1}a and safifia appear to be used loosely and almost interchangeably to denote a general, non-specific awareness or consciousness. Examples are the usage of vififia1}a at M i 293 (cited by Johansson 196), and the seeming interchangeability of vififia1}a, safifia, and vedana at M i 293 (Johansson 202). Nevertheless, it is clearly appropriate to focus on the distinction between safifia and vififia1}a in the case of jMnas 5 and 6, where the two stand contrasted.

RODERICK S. BUCKNELL 401

sciolls of the condition. This is, therefore, an accurate description of the meditative state in which, following the disappearance of the abstract image, consciousness is empty of all content and the meditator is left only with a sense of an endless void. 42

Neva sanna nasmlna. Buddhaghosa states that "neither sanna nor non-sanna" implies also "neither vedana nor non-vedana," "neither citta nor non-Gitta," and "neither phassa nor non-phassa."43 If he is right, then the expression" neva sarlrla nasmlna," though specifying only salina, actually covers all mental components.44 Now, this expression ("neither smlna nor non-sanna") has the form of the fourth member of the Indian tetralemma. To the question "Is there sanna?" Indian logic allows not only for "There is" and "There is not," but also for "There both is and is not" and "There neither is nor is not." A connection with the meditative practice can now be made. In the eighth and final stage the meditator becomes totally unconscious, but can know this only by infer­ence after the event. Consequently, it can be argued, the presence of consciousness, or of any specified mental factor, can be neither affmned nor denied. Any question about whether there is consciousness can be answered, strictly speaking, only with "There neither is nor is not." But

42. The question whether consciousness with zero content is possible con­tinues to be debated within the field of mysticism studies. The case against such a state of consciousness (variously called "contentless experience," "pure consciousness," "unmediated consciousness," etc.) is particularly identified with Steven Katz; the case for it has been no less persuasively put by W. T. Stace and others. See, for example, Steven T. Katz, "Language, Epistemol­ogy, and Mysticism," in Steven T. Katz, ed., Mysticism and Philosophical Analysis (New York: Oxford University Press, 1978) 22-74; W. T. Stace, Mysticism and Philosophy (London: Macmillan, 1960) (esp. 110); Philip C. Almond, Mystical Experience and Religious Doctrine (Berlin: Mouton, 1982) (esp. 174-175); and Robert K. C. Forman, "Mysticism, Constructivism, and Forgetting," in Robert K. C. Fonnan, ed., The Problem of Pure Conscious­ness: Mysticism and Philosophy (New York: Oxford University Press, 1990) 3-49. Also see Rode11ck S. Bucknell, "Buddhist Jhtlna as Mystical Experi­ence," in G. K. Zollschan, J. F. Schumaker, and G. F. Walsh, eds., Explor­ing the Paranormal (Bridport: Prism Press, 1989) 131-149, where (fore­shadowing the conclusions reached in the present paper) I identify jhana 7 as contentless experience, and jhana 8 as what one might call con tentless non­experience. 43. Vism 337; Path 367. 44. The four expressions effectively cover all four mental khandhas: vedana, sanna, saiLkhtlra (citta), and vinniiJ:za (phassa). In any case, we have the fact (see note 41) that sanna is sometimes used in a very loose sense to refer to any consciousness. Also cf. Nyanaponika 164: "Sanna stands sometimes for consciousness in its entirety, e. g., in neva sanna-nasann' ayatana .... "

402 JIABS 16.2

to non-Indian minds this is philosophical hair-splitting; by generally ac­cepted standards oflogicality and phenomenological accuracy, the final meditative stage would be quite correctly described as a state oftotal un­consCiousness. It is therefore noteworthy that there does exist (in the po.tJhapada-sutta, belonging to the earliest stratum of the Nikayas) a single variant version of the· account of the eight jhlina s in which the eighth stage is described straight-forwardly in terms of cessation of saiina (sanna nirujjhantl). 45

Implications The above discussion has shown that the series of eight jhlinas des­cribed at numerous places in the Nikayas, correlates well with the series of eight stages experienced by practitioners of concentration meditation. One can hardly escape the conclusion that the eightjhlinas are the eight meditative stages.

This conclusion has serious implications for Buddhaghosa's series of sub-stages. That series is said to precede attainment of each jhlina; but, as already noted, some of the sub-stages appear to be identical with cer-

45. D i 184-5. According to this sutta, the monk who has attained the realm of nothingness recognizes that he is at tile peak of sannli, but that to be with­out sannli would be a still higher attainment. He therefore practices further until he "touches cessation" (nirodha phusati). This phrase provides a link with a common variant of tile jhana description, according to which jhlina 8 is followed by a yet higher attainment wherein the meditator "touches cessa­tion" (e. g. M i 455-456). As described in the texts, this ninth attainment; "cessation of perception and feeling" (sannli-vedayita-nirodha) or "attainment of cessation" (nirodha-samlipatti), tallies well with the state of total uncon­sciousness already identified with jhtina 8. For several good reasons, includ­ing its frequent anomalous association Witil "destruction of the lisavas" (e. g. M iii 28), this ninth attainment is under suspicion of being a later addition to what was already a complete list of the stages in concentration meditation­see Paul Griffiths, On Being Mindless: Buddhist Meditation and the Mind­Body Problem (La Salle, Ill.: Open court, 1986) 16-31; also Bronkhorst 77-78; and King 17. The evidence, particularly the existence of the PO!.thaplida version, suggests that the description of jhlina 8 and the description of nirodha-samlipatti, though usually made to follow each other in accounts of the jhlinas, were in origin two alternative descriptions of one and the same meditative attainment. (The Chinese counterpart of the Pilii PO!.thaplida-sutta [TaishO vol. 1, lID b 12-16] does recognize a discrete ninth stage, its descrip­tion being identical in wording WiUl the above-mentioned descriptions of jhlina 8 followed by nirodha-samlipatti. This discrepancy between the PaIi and Chinese versions of the Po.t.thapadais most readily explained on the premise that the unique Pali version preserves the "original," since· the Chinese version can then be attributed to editing designed to yield confonnity with the stereotype.)

RODERICK S. BUCKNELL 403

tainofthe jhllnas. For example, Buddhaghosa's sub-stage characterized by the pa.tibhaga-nimitta clearly corresponds to the meditative stage in which an abstract image becomes established; and that meditative stage has been shown to correspond also to jhllna 6. The first three of Buddhaghosa's sub-stages can be fairly positively equated with jhllnas in this way, which points to the pattern of correspondences shown in Table 5. 46 Thus, Buddhaghosa's series of sub-stages duplicates the series ofjhilnas. What Buddhaghosa portrays as steps on the way to tre frrstjhllna (and to each subsequentjhilna) are in fact steps on the way to the last jhllna .

It is now evident thatBuddhaghosa's account is not, as generally sup­posed, merely a more detailed and precise formulation of the account found throughout the Nikayas. Rather, it is a fundamentally different version which is in serious conflict with the Nikaya account. By Buddhaghosa's day the jhana doctrine had been drastically modified. The flISt and crucial modification, already introduced, it seems, by the earliest A.bhidhammikas, consisted in equating the final stage of the meditative sequence (i. e. the state of total unconsciousness) with attain­ment of the first jhana rather than the last (jhana 8). Once this new equation had been set up, two further things became necessary: (1) a set of terms for the meditative stages passed through on the way to this new "first jhllna"; and (2) a description of a series of further meditative prac -tices whereby the remaining jhanas could (allegedly) be attained. Accordingly, the new set of terms, uggaha-nimitta, etc., was created and brought into association with a practice consisting in systematic refiee-

46. The correspondence shown in Table 5 is less secure for upacara- and appana-samadhi than it is for the three nimittas. It is based in part on the sequence of sub-stages as described in the texts, and that sequence is not entirely clear. The Vimuttimagga (79) states: "And if the (after-)image [pa.tibhaga-nimitta] appears in his mind, he gains access-meditation

. [upaclira-samadhi]. And if access-meditation appears in his mind, he, by means of this, accomplishes fixed meditation [appana-samadhi]." This indi­cates the sequence: pa.tibhaga-nimitta, upacara-samadhi, appana-samadhi. The Visuddhimagga appears to indicate the same sequence, but with some overlap:" ... he should besides extend the counterpart sign [pa.tibhliga-nimitta] ... for it is possible to extend it on reaching access [upacara-samadhi] and on reaching absorption [appana-samadhi]" (Vism 152). However, at another point (Vism 126) the Visuddhimagga refers to " ... the counterpart sign, which arises together with access concentration [upacara­samadhi] ... ," suggesting that the pa.tibhliga-nimitta arises simultaneously with upacara-samiidhi rather than before it. The resulting slight uncertainty is acknowledged by the query marks in Table 5.

404 HABS 16.2

tion on the need to eliminate the next jhana factor, or (in the case of the arupa-jhiinds) to move on to the next, more subtle object.

These developments must have been fairly directly linked with the de­velopments discussed by Stuart-Fox, whereby ekaggata was attributed to jhiina 1 ,and vitakka-vicara was reinterpreted as some kind of atten­tive focusing. Only on the basis of such a revised description of jhiina 1 would it have been plausible, and therefore possible, to identify that jhiina with a deeply concentrated meditative state. Indeed, it may well be that the seemingly minor step of attributing ekaggatii to jhiina 1 was what initiated the entire process.

That such modification of the jhana doctrine could corne about may seem to raise doubts about the meditative credentials of those responsi­ble for it; it suggests that the authors of the Vimuttimagga and Visuddhi­magga had little practical acquaintance with meditation. However, this does not necessarily follow, because it is only the interpretation of the jhiina doctrine that is at fault in Buddhaghosa's account; the description of the practice (as far as the first attainment of appana-samadhi) is gen­erally satisfactory. Indeed, the fact that a new set of names for the medi­tative stages was developed, centuries after the correspondences with the original set ofjhiinas had been lost sight of, indicates rather that the tra­dition ofjhiina practice had survived intact down to Buddhaghosa's day, and that he at least knew about the stages it entailed.

That the original correspondences between jhana practice and jhiina doctrine were lost sight of in the first place is in keeping with the now widely acknowledged development of an early split, within the Sangha, between meditator-monks and scholar-monks.47 The Abhidhamma-like statements about the jhiinas contained in the Smigiti, Dasuttara, and other late suttas, are consistent with this split having begun to develop not long after the founder's death. 48 Already in the early days of the Sangha meditators and Dhamma-expounders were going their separate ways; a serious communication gap was developing.

47. On the split between the scholar-monks and the jhayins or meditators, cf. A iii 355. Also see Sukumar Dutt, The Buddha and Five After-Centuries (London: Luzac,1957) 99,116-117; Louis de La Vallee Poussin, "MusIl a et Narada," Melanges chinois et bouddhiques 5 (1937): 210-222; and Rod Bucknell and Martin Stuart-Fox, "Did the Buddha Impart an Esoteric Teaching?" Journal of Indian History 61.1-3 (1983) 14-15. 48. See D iii 219, D iii 274, where vitakka and victira are said to be lost successively; also cf. M i 294, M iii 25-29, S iv 263, where ekaggata is said to be present in the firstjhilna.

RODERICK S. BUCKNELL 405

One negative consequence of Buddhaghosa's complex account of jhiina was that mastery of the higher jhanas was made to seem a super­human attainment. With the entire series multiplied by itself, as it were, the total number of stages was greatly increased; and no genuine instruc­tions were available for the attainment of any jhana beyond the sup­posed first one. This effect continues to the present day. To most Bud­dhist meditators, even "the second jhtina" seems hardly a realistic goal, while "the anlpa-jhanas" appear impossibly remote. The present re­vised understanding of the jMnas should, therefore, give encouragement to practicing meditators. The path of concentration practice is not nearly as long and arduous as Buddhaghosa made it seem.

pre-jhiina condition:

jhT

jhiina 2:

i jhana 3:

jhana4:

THOUGHT

vitakka-viciira (initial and sustained

thought)

vitilla-viciira

viipasama

! avitakka, aviciira

(absence of thought) sampasiidana (tranquility)

cetaso ekodibhiiva (oneness of mind)

_-,L

CONATION

kama (sense desires)

FEELING

sukha,dukkha (pleasure, pain)

akusaladhammii somanassa, domanassa (unwholesome states) (happiness, sorrow)

I I

!

viveka (separation)

! pid sukha

l samiidhi

(concentration)

piti

I upekkhii

(equanimity) sati-sampajafifia

(mindfulness & self-possession)

I I I I

upekkhii, sad

sukha

kiiyasukha (bodily pleasure)

! asukha

(absence of pleasure) piirisuddhi

(purity)

..., §. --(1)

......

t:l .... po

. Qq

'"' S 0 ...., '-. ~ §I (::l en ...... ..... 0

f'-

§ '-I -6; CI'1 ...... 0\ N

:;c; o t:l m ~ n ~ CI'1

ttl ~ n

~ .t:..

8

408 JIABS 16.2

Table 2. Sunimary ofjhlillaS 1 to 4.

TIIOUGHT CONATION FEELING

jhiina 1 vitakka-vicara . piti sukha J. J,

jhiina 2 ekodibhilva piti sukha J. J.

jhlina 3 ekodibhilva upekkhli sukha J. J.

jhlina 4 ekodibhllva upekkhli parisuddhi

Table 3. Simplified summary of jhlinas 1 to 4.

THOUGHT CONATION FEELING

jhlina 1 vitakka-vicara piti sukha J. J,

jhlina 2 pUi sukha J. J.

jhlina 3 sukha J. J.

jhlina 4

Table 4. Simplified summary ofjhlinas 1 to 5.

TIIOUGHT CONATION FEELING SENSE

PERCEPTION

jhlina 1 vitakka-vicara piti sukha rupasaiiiill J. J,

jhlina 2 piti sukha rupasaiiiill J. J.

jhlina 3 sukha r,upasaiiiia J. J.

jhlina 4 rupasaiifill J. J.

jhlina 5

RODERICK S. BUCKl'ffiLL 409

Table 5. Equivalences between sub-stages and jhlinas

SUB-STAGE JHANA

parikamma-nimitta 1-4. rupa-jhllnas (preliminary sign) l uggaha-nimitta 5. akasanaficayatana (acquired sign) (endless space)

pa.ribhllga-nimitta 6. vififililJaficayatana (counterpart sign) (endless consciousness)

? upacara-samadhi 7. akificafifiliyatana (access concentration) (notllingness)

? appana-samlidhi 8. neva safifia nasafifiayatana (fixed concentration) (neither perception nor non-perception)

The International Assocation of Buddhist Studies

David Seyfort Ruegg President

Alexander Macdonald General Secretary

Lewis R. Lancaster Treasurer

Regional Secretaries: Leslie S. Kawamura (Americas), Akira Yuyama (Asia), Alexander Macdonald (Europe)

Members of the Board: Heinz Bechert, Collett Cox, Richard Gard, Yuichi Kajiyama, Per Kvaerne,

Lokesh Chandra, Donald S. Lopez, A. K. Narain, Jikido Takasaki, Paul Williams, Hsiang-chou Yo

The International Association of Buddhist Studies, founded in 1976, is devoted to promoting and supporting scholarship in Buddhist Studies in all its aspects, past and present, around the world. Membership is open to scholars of all academic disciplines.

Membership dues are: $35 or ¥5500 for full members, $20 or ¥4000 for student members, $1000 or ¥150,000 for life members. Prospec­tive members from developing countries may contact the General Secretary concerning subsidized membership rates. Dues are payable per calendar year by December 31 of the previous year. Payments may be sent in US dollars to Professor Lewis Lancaster, Treasurer lABS, Department of East Asian Languages, 104 Durant Hall, University of California Berkeley CA 94720 USA or in Japanese Yen to the lABS account supervised by Dr. Akira Yuyama, Regional Secretary for Asia: No. 041-4502280, Kokusai Bukkyo Gakkai, Toranomon Branch, Mitsubishi Bank, Tokyo, JAPAN.

The Eleventh Conference of the lABS will be held in Mexico City

October 24-28, 1994

For information, please contact: Professor F10ra Botton

Center for Asian and African Studies, EI Colegio de Mexico Camino al Ajusco No. 20

Codiga Postal OJOOO Mexico, D. F., MEXICO