You say you want a revolution?

John Lennon asked this question and concluded that the way to have a revolution was not to change the world, but to "change your mind instead". In this he was probably influenced by his Hindu guru. Behind the idea that we should give up trying to change the world and focus solely on changing our mind lies a fatalism about the world on a larger scale, and indeed a fatalism about what any one individual could achieve. As it says in the Bhagavad Gita (3.35)

śreyān svadharmo viguṇaḥ,
paradharmat svanuṣṭitāt.

Your own duty performed badly is more auspicious,
Than the duty of another performed correctly.

i.e. don't mess with the order of things.

This is not a sentiment I share and in this essay I'm going to assume that some of us still want to change the world. If you don't then look away now. In 1991 I studied library management at Victoria University in New Zealand. In my studies I read about the quality "revolution" in industry especially in Japan in the 1970's. I went on to participate in quality circles in service organisations (mainly libraries) and even went through an ISO 9000 registration, so I saw the theory put into practice. In this essay I'm going to compare some observations about the so-called "quality revolution" in Japan in the 1950s, with some observations about the introduction of Buddhism to Japan in the 6th century. Finally I'll use these disparate case studies to try to illuminate a problem that Western Buddhists face. Inevitably this will be too large a task to do justice to in this format, and I'm relying on my memory of books read decades ago. But here goes...

In the aftermath of World War II, the USA poured money into Japan to rebuild its economic base. Some politicians had learnt the lesson of post-WWI Germany, and, despite having bombed Japan into submission with weapons of mass destruction, the Allies were keen not to leave a ticking bomb in Japan as they had in Germany in 1918. So they rebuilt Japan with a constitutional democracy and an economy based on manufacturing. This proved to be quite successful. However, Japanese goods initially had a deserved reputation for being shoddy. When I was growing up in New Zealand there was a certain amount of racism influenced by the bitterness of our parents after WWII (many of us had relatives who'd spent time in Japanese POW camps). We unselfconsciously referred to Japanese cars as "Jap crap". But the fact was that, despite our bias, their manufacturing standards were much lower than the Brits or the Americans at the time. Indeed in NZ in those days we prized British engineering, but that is another story, and one that did not end happily.

How the Japanese turned this around and became the world's leading manufacturer of automobiles, and in the process more or less destroyed the British, and crippled the US car industries is a fascinating story. I want to focus on the contribution of W. Edwards Deming. He was a management theorist and academic who thought a lot about how to improve manufacturing. His ideas initially received a lukewarm response in the USA. After all no bombs had fallen on the mainland and they did not need to rebuild. As Bill Bryson has observed they simply switched from making tanks and bombs to making cars and fridges over night and continued on at the same rate. The USA was enjoying the first of many post-war booms, and was milking it. So industry leaders would send their middle managers to Deming's seminars, while they themselves never got to hear his ideas directly. Without the involvement of senior management America's corporate culture could not and did not change.

However in Japan the situation was different. When Deming started going to Japan not long after the war, it was soul-searching chief executives, fresh from having lost a quest for world domination, who went to his seminars. This lead to a change of culture in Japanese companies, and by the late 1970's to the emergence of Japan as an industrial giant: they still have the 3rd largest economy in the world (after the USA and China) despite the vicissitudes of the last two decades. Deming's big idea was quality control. Building quality into the process, and using quality control meant that they created fewer defective items, and shipped fewer to their customers. In my lifetime the reputation of Japanese cars, for instance, went from execrable to excellent. In my childhood virtually all the cars on the roads where British or Australian made. By the time I was an adult one in four cars was a Toyota with a fantastic reputation for reliability, and most cars were Japanese.

Deming was not solely responsible for this transformation, but the way that Japanese business leaders took on his ideas and changed their organisations is in direct contrast to what happened in the USA. The Americans eventually caught on and took up his ideas, but the damage had been done to US industry by then. It is now a shadow of its former self, and will probably never recover. The British car industry just died, helped on by Victorian labour relations. Although some UK luxury brands are still in business they are no long British owned. Land Rover is now owned by India's Tata motors, and Bentley by Germany's Volkswagen Group! (Oh the irony!)

My other case study occurred in the same country, but many centuries earlier. In the 6th century the Japanese nation as we know it was still being forged. The Japanese national identity was in its formative stages and they still looked to China for the lead in cultural matters. The ruling elite were educated according to Chinese models: they studied Chinese language, classical Chinese poetry, and the works of Kǒngzǐ (aka Confucius). The conversations of the literati were peppered with allusions to Chinese poets. The Japanese court was modelled on the Tang Chinese Court, both in the layout and architecture of the building, and in the structure of the government. Government officials even dressed according to Chinese models.

In about 552 a Korean King presented the Japanese Emperor with a statue of the Buddha, and some monks who told him about Buddhism. While it was initially divisive Buddhism became the state religion with patronage from Empress Suiko (592-628) and her regent Prince Shōtoku (573-621). Japan was in crisis with loss of territory and allies on the Korean Peninsular along with a flood of Korean refugees. Behind this was the aggressive expansion of the Chinese who also threatened to invade Japan. Now the Buddhism being transmitted at this time was not a religion of personal salvation. Though they may have found it attractive personally, the aristocracy of Japan adopted Buddhism mainly for political reasons. In texts like the Golden Light Sutra and the White Lotus Sutra, Buddhism promised magical protection for rulers and nations that supported it by propagating the sutras.

In outlook the Japanese ruling class were distinctly Confucian. The Emperor was Emperor by divine right, hence his title (copied from the Chinese): Tenno 'Son of Heaven'. And in this worldview the physical world would be ordered only if the political world was: if the Emperor was good and just (by the standards of Kǒngzǐ) then the nation would be protected from natural disasters and the people would be happy. The Chinese imperialism of the day (and both Chinese and Japanese imperialism in modern times) was seen in terms of extending the benevolent order of the Son of Heaven to chaotic barbarians. Which is not so different from Western imperialism.

Order in the royal court equated to order in heaven, and therefore order on earth generally. Keep in mind that then, as now, Japan was particularly susceptible to natural disasters: earthquakes, volcanic eruptions, tsunami (itself a Japanese word), floods, and typhoons were (and still are) common. Added to this the Japanese were almost constantly at war with the aboriginal people of the islands, the Ainu, whom they were displacing from Honshu Island toward the far North. With the added threat of invasion they needed protection, and Buddhism promised it.

Anyone familiar with Mahāyāna texts will be familiar with the offers of protection in them for anyone who recites, copies, or upholds the sutra. And this is what the Buddhism of aristocratic Japan consisted of. The Buddhist monasteries were employed to recite and copy sutras. A later emperor more or less bankrupted the state with his temple building program following a series of famines and natural disasters, and the recovery took centuries.

The upshot of this was that Buddhism became a national religion with the Emperor as sponsor. To be sure it continued to co-exist and syncretise with Shinto, and Confucianism remained at the heart of their political philosophy. We know a lot less, in English publications anyway, about how Pure Land Buddhism became absorbed at the popular level, but by the 9th century it was common for the eclectic wandering holy-men and healers to include elements of Buddhism in their spiels. Had it only been a religion of individuals, making their own personal revolutions, and raising themselves beyond the circumstances of their birth, I have no doubt that the Japanese ruling classes would have ruthlessly stamped it out. Their idea of order was strictly and inflexibly hierarchical and everyone stayed in their place. One could only become a monk with state approval, and the clergy and monasteries were a government department from the beginning. I haven't space to explore it more fully, but the pattern was repeated when Kūkai and Saichō introduced esoteric Buddhism into Japan in the 9th century. It was the interest of the royal family which secured the place of esoteric Buddhism in Japanese history.

The moral I am seeking to illustrate is that by converting leaders rather than followers, both Deming and the Koreans who introduced Buddhism into Japan, ensured the successful establishment of Buddhism in new domains. My understanding of Buddhist history is that this story is repeated down the years in India, China, Tibet, Sri Lanka Thailand etc. Except in the last 200 years and the introduction of Buddhism into the West. Here Buddhism was introduced not to the ruling elite, but to an intellectual elite. It was subsequently spread to the middle classes, but has not made much impression either amongst the leaders and decision makers, nor amongst working class people. I've lived in the UK for the last 10 years so my view is particularly informed by this still class-ridden (and -riven) society, but I think this observation holds true in New Zealand as well, and from what I can gather something similar has happened in the USA, and across Europe.

The only place I know of that has been different is the reintroduction of Buddhism to India, initiated mainly by Dr Ambedkar and his followers, which has taken root in the lowest socio-economic groups: the Dalits. However in India Buddhism has remained largely a religion of the oppressed classes, making little headway outside that group. And they are largely dependent on help from Europe and Taiwan to fund their activities because they are typically amongst the 400 million Indians living in poverty.

So though Buddhism has steadily grown in Europe and America, and helped by the exiled Tibetan community generated lots of good publicity, the possibility of a Buddhist revolution seems as far off as it ever has. After 200 years just 0.3% of the British population called themselves Buddhist in the 2001 census (results of the 2011 census come out this year). Most of our politicians and economists still seem to be in the grip of neo-conservative ideologies, often inspired, directly or indirectly, by the mad ideas of Ayn Rand and her disciples who denied the good of altruism, and elevated self-interest to the status of a sacrament. They dressed their ideology up as 'rational' though clearly Rand herself was at times highly irrational. Neo-cons persuaded many leaders and decision makers that perusing self-interest leads to the greater good - a philosophy that tends to appeal to ruling elites. As a result the rich are certainly richer, but sadly the poor are poorer. There really is no sign that the self-interest of the rich benefits society as a whole, and plenty that it is detrimental.

Buddhists, practising Buddhists, remain a tiny minority in the west. Probably less than 1% of the population even with the explosion of interest in our techniques. We have very little influence. So when some of my colleagues say that they teach mindfulness in a corporate setting I am both cheered and suspicious. If we are going to make a difference to the world, then we must influence decision makers. But I suspect that those corporate settings are middle-management with influence down the chain and not up. Just as with Deming in American they probably won't make a difference. We need to be teaching CEOs not middle managers. And we do not have a successful competitor to spur us on.

There are those who recoil at the idea of politically engaged Buddhism. The arena of politics is one that seems to taint and corrupt everyone who enters it, or even watches from the sidelines. I am dismayed at the stupidity and self-interest of politicians across the spectrum of political ideologies. There is no politician I can think of that I do not see as part of the problem. And yet we Buddhists toil away teaching (on the whole) the middle-aged and middle-classes. Their concerns are typically: stability, financial security, family, career, and so on. By the time they come to our centres they are heavily encumbered with obligations related to these concerns. It is not that they are unworthy, or unwelcome, they aren't, but history shows that a vigorous core of unencumbered men and women is required to lead Buddhist movements lest they become overly concerned with stability and security (this appears to be true of monastics as well!)

One of the responses to this acknowledged problem is to try to reach out to "young people". Though I notice that the current definition of "young" is stretched to the point of near meaninglessness. In my mid-forties I only just don't qualify. The phrase puer aeternis keeps floating through my head. While I agree that the obvious response to an ageing saṅgha is to recruit youngsters, I think we have to take a wider perspective. Reaching out to youngsters (and I think of people younger than 30 at the outside) may well help us survive the inevitable decimation as the Baby Boomers generation fades away. But we want to do more than fill our meditation and Buddhism classes. We want to change the world, we want all living beings to be well and happy. Don't we? Buddhism in all it's forms is revolutionary and has transformed most of Asia (though the continued enthusiasm for Buddhism is not assured) so why not the world?

One question we might want to ask ourselves is why the children of Baby Boomers have not taken up Buddhism with the same enthusiasm as their parents did? In Britain the summer of love was replaced by the winter of discontent (and reading about it you wonder how we can not have learned the error of spending more than we earn!). Donovan gave way to Johnny Rotten. Vote buying Labour governments capitulated to Neo-conservatism. And so on.

I believe that we must change ourselves, that I must change myself. It is imperative that we make ourselves exemplars of the good life. But I'm not convinced that we will create a revolution this way. I may (at a pinch) inspire my little circle, but the reach of my influence is limited. I think we must learn from history and reach out to people with wide spheres of influence, people who make decisions, who create policy, who are widely trusted. We must make them aware of how our ideas can contribute to everyone's well being. Opposing leaders in the West is probably important, but ultimately it achieves little. What we need to do is convert our leaders, and we stand a better chance that other kinds of ideologues such as eco-activists because our interest is not limited to ideology or single issues. In 10 minutes of sitting quietly we can demonstrate that a different approach to life itself is possible.

This is not to say that popular movements aren't useful, though Buddhism is not that popular compared to say bird watching in the UK. We have a problem in that the compromises we make for Buddhism to appeal to a wider audience often strike serious practitioners as counter productive. There's a lot of criticism of "Buddhism lite" for instance, or "Consensus Buddhism" as David Chapman calls it. Buddhism at the popular level has always appealed to the concerns of the masses and focussed on virtue rather than transformation - though a (re)focussing on virtue would be a positive thing for contemporary British society! Buddhism as a practice leading to transformation and freedom has always appealed to a much smaller audience because it is so demanding - traditionally it has demanded renunciation for instance. In the West where everyone is an elite of one, we might have a chance of getting everyone to practice towards freedom with all of the benefits that accrue along the way. I think this would make the world a better place, and provide an environment where the more dedicated and determined practitioners would be supported to pursue liberation, and provide leadership.

Our predecessors sought audiences with kings and emperors and convinced them of the benefits of Buddhism. This more than any other factor is why Buddhism became established in Japan, and China, and Tibet. So every time I see a world leader meeting with the Dalai Lama, I smile. I'm not one of his followers; I don't always agree with his doctrines or his aims; I'm not particularly inspired by Tibetan forms of Buddhism. However he gets to meet presidents and prime ministers. And that is precisely what we need to be doing if we're going to change the world. Perhaps in Britain, since no one trusts politicians any more, we should be thinking in terms of talking to the monarchy about how we can improve the lives of their subjects?

~~oOo~~

My thinking in this essay is also influenced by Malcolm Gladwell's book The Tipping Point: How Little Things Can Make a Big Difference. And by the Adam Curtis's TV documentary All Watched Over by Machines of Loving Grace.

Arising in Dependence on Conditions

FOR SOME YEARS NOW I have been interested in the the question: what is it that arises in dependence on conditions? I treat the question as a kind of koan, digging deeper though textual scholarship, and using it as a focus for reflection on my own experience from moment to moment, hoping to see through it. My studies have led to the conclusion that the important thing is that experiences arise in dependence on conditions. This may not exhaust the possibilities, but it's the most useful thing to focus on.

Recently I came across a short text, the Selā Sutta (SN 5.9; S i.134), which gives an interesting answer to my koan. This analysis seems to anticipate later developments in Buddhist theory - particularly the elaborations of the Abhidhamma.

Yathā aññataraṃ bījaṃ, khette vuttaṃ virūhati;
Pathavīrasañ cāgamma, sinehañca tadūbhayaṃ.

Evaṃ khandhā ca dhātuyo, cha ca āyatanā ime;
Hetuṃ paṭicca sambhūtā, hetubhaṅgā nirujjhareti.

Just as a kind of seed, sown in the ground will sprout,
Resulting from both nutrients in the earth, and moisture

Thus the masses, elements and six sense spheres
Are produced from a condition, and cease when the condition disappears.

So here the answer to my question is that what arises (sabhūtā) in dependence (paṭicca) on conditions (hetu) is threefold: the 'masses' (khandha), the elements (dhātu) and the sense spheres (āyatana). I will deal with them in the order: khandha, āyatana, dhātu for reasons which will become obvious.

I have dealt with the khandhas before now (see: The Apparatus of Experience), so I'll be brief here. I follow Sue Hamilton in seeing the khandhas as analysing experience into the most important factors. The five khandhas are: 1. the living body (kāya) which is the locus of experience, sometimes more specifically referred to as 'body endowed with cognition' (saviññāṇa kāya e.g. M iii.18; S ii.252); 2. feelings (vedanā); 3. apperception (saññā); 4. volitions (saṅkhārā); and 5. consciousness (viññāṇa). Hamilton emphasises the collective nature of the khandhas - they do not represent a lasting self either singly or all together. As far as I am aware the khandhas always occur in this order, but are not treated a sequence in the Pāli texts.

The six āyatanas are the six sensory 'spheres' - āyatana is from ā√yam 'to reach out, to extend'. We often read about the 12 āyatanas which are the 6 internal (ajjhatika) and 6 external (bāhira) spheres. The internal āyatanas are the sense organs: eye, ear, nose, tongue, body, and mind; while the the external āyatanas are the respective objects: forms, sounds, smells, tastes, touch, and mental activity (also confusingly called dhammas). It is this set of 12 that is referred to as "everything (sabbaṃ)" in the Sabba Sutta (SN 35.23 PTS: S iv 15). Here we have a resonance with Vedic texts which refer to the cosmos as idaṃ sarvaṃ 'all this' meaning all of the created world. The Buddhist Sabba Sutta seems to be explicitly contradicting the ontological and cosmological implications of the Vedic texts such as Bṛhadāranyaka Upaniṣad (e.g. BU 1.4.1) or Ṛgveda (8.58.2):

éka evā́gnír bahudhā́ sámiddha
ékaḥ sū́ryo víśvam ánu prábhūtaḥ
ékaivóṣā́ḥ sárvam idáṃ ví bhāti
ékaṃ vā́ idáṃ ví babhūva sárvam

Only one fire kindles many times
One sun penetrates everything
Dawns as one, shines on all this
From this one, unfolds the whole

I read this aspect of Buddhist doctrine as saying something very important about epistemology. In saying that "everything" is the senses and their objects what the Buddha is doing is articulating limits on what we can know about. Although it feels real to us, our experience is a construction which relies equally on the thing being observed and the observer. And note carefully that this is a statement about the nature of experience, not a statement about the nature of reality. Reality remains at arms (or more accurately eye's) length from us, because our cognitions are constructed (saṅkhata) from sense impressions and mental activity.

The next set categories for analysing experience take the 12 āyatanas and add the 6 corresponding kinds of consciousness to make a set of 18. This brings together two basic ideas about the processes of consciousness. The first is that when cognition (viññāṇa) arises it is always associated with the sensory modality.

Yaññadeva, bhikkhave, paccayaṃ paṭicca uppajjati viññāṇaṃ, tena teneva viññāṇaṃtveva saṅkhaṃ gacchati.

Whatever kind of condition gives rise to cognition, it is known as that kind of cognition. (M i.259)

With the eye (cakkhu) and form (rūpa) as condition, eye consciousness (cukkhuviññāṇa) arises, and so on so up to mind cognition (manoviññāṇa) which gives us six kinds of conscious. The second important idea is that the process of having an experience is always constructed from at least three elements:

Cakkhuñca, paṭicca rūpe ca uppajjati cakkhuviññāṇaṃ, tiṇṇaṃ saṅgati phasso, phassapaccayā vedanā, yaṃ vedeti taṃ sañjānāti, yaṃ sañjānāti taṃ vitakketi, , yaṃ vitakketi taṃ papañceti,... (M i.111)

With the eye and form as condition arises eye cognition, the three together constitute contact; with contact as condition there is feeling. What one feels one comes to know. What one knows one thinks about, and what one thinks about proliferates...

Each of these groups of factors (dhammas) - khandhas, āyatanas and dhātus - is a way of analysing experience. One of the key practices in relation to experience is examining it for any permanent, satisfying or substantial content of which one could truly say "this is mine" or "I am this", or "this is me" (etaṃ mama, eso'haṃasmi, eso me attā). Variations on this practice remain central to many forms of Buddhism from Theravāda to Madhyamaka.

As I suggested above these categories were foundational for the Abhidhamma which endlessly analysed them and their relationships. I have complained that the Abhidharmikas lost sight of the experiential nature of all this and at least some of them started to speculate about the reality or otherwise of the dhammas. (The Post-Abhidharma Doctrine Disaster) Such speculation was a dead end. I also think Buddhists are wasting their time trying to apply this analysis outside the sphere of experience. The sphere of experience is "everything" in the sense both of what we have to work with, and what we can know about the world. These categories acknowledge the pragmatic and epistemological limitations on human experience, though liberation from dukkha is still an option from within this framework. It's not illogical to argue that this idea has broader implications. For instance the Buddha sometimes used examples from nature to illustrate the principle of dependent arising, which suggests that we see analogues of dependent arising in nature. However I believe the Buddha, especially in texts such as the Sabba Sutta, warned us to stay focussed on experience as the most fruitful course.

~~oOo~~

The Son of the Śākyas

Scythian Horseman
Lessing Photo Archive

IN 2009 WHEN I WAS writing about the name of the Buddha I mentioned in passing that some people thought that marriage customs attributed to the Buddha's family in the Pāli Commentarial tradition pointed to the Buddha being Dravidian rather than Aryan. Someone asked for references and at the time I didn't have them to hand. So three years later I'm interested in this again...

The idea seems to go back at least to 1923 when A. M. Hocart tried to use observations from the traditional genealogies Śākyas and Koliyas to explain the relationship between the Buddha and his cousin Devadatta (Cited in Emeneau 1939: 220). The story of the origins of the Śākyas (Pāli Sakya) is found in several places, but particularly the Ambaṭṭha Sutta (DN 3). "The Śākyans regard King Okkāka as their ancestor" (Walsh 1995: 114). This story itself is explored in more detail by Silk (1973). In the version in the Sumaṅgalavilāsinī (the 5th century CE Theravāda commentary on the Dīgha Nikāya) there is some evidence that cross-cousin marriage occurred at the origin of the Śākya and Koliya clans (Emeneau 1939: 222). In addition there are extensive genealogies in the Mahāvaṃsa which show cross-cousin marriages (Trautman 1973: 158-160).

A cross cousin marriage is one in which a boy would marry his mother's brother's daughter, or a girl would marry her father's sister's son. This is one of the preferred matches in South India amongst the Dravidian speaking peoples, and also practised in Sri Lanka. However Good (1996) has been critical of the idea that cross-cousin marriage is the only or most preferred kin relationship, and shows that other marriage matches are made. Be that as it may, cross-cousin marriage is a feature of South Indian kinship, and the Brahmanical law books (the Dharmasūtras) make it clear that cousin marriage is forbidden for Aryas. (Thapar 2010: 306). The perception, then is that if the Buddha's family practised cross-cousin marriage, they cannot have been Aryas and were likely Dravidians.

Already in 1939 Emeneau saw the main flaw in the argument. The earliest sources we have for these propositions are Theravāda commentarial texts. They were written in about the 5th century CE in Sri Lanka. To a great extent they reflect the society of 5th century Sri Lanka. Indeed there is no corroborating evidence from the suttas or Vinaya that cross-cousin marriage took place at all. The obvious conclusion is that when the authors of the Mahāvaṃsa and the commentaries upon which the Sumaṅgalavilāsinī was based sat down to compose a genealogy for the Buddha they used familiar figures from the old texts, but arranged them in a way which seemed natural. In other words they unselfconsciously modelled the Buddha's family on their own. So I concur with Emeneau that the story is not plausible.

In my essay on the Buddha's name I posed the problem of the Buddha having a Brahmin gotra name. The gotra name was a paternal lineage name which in the case of Gautama stretches back to the Ṛgveda. Gotama, the ancestor of the Gautama clan, complied the 4th book of the Ṛgveda and is mentioned in several sūktas. [1] The Gautama clan continued to be prominent before, during and after the time of the Buddha, for example the name appears in lineages in the (pre-Buddhist) Bṛhadāraṇyaka Upaniṣad and there is a (post-Asoka) Gautama Dharmasūtra.

Some authors have suggested that the name Gautama was adopted by the Śākyas from their purohita (hierophant, or ritual master). (Kosambi 1967: 37; Karve in Patil 1973: 42). This appears to be based on a later tradition whereby a kṣatriya king would adopt the gotra name of his purohita. The implication is that the Buddha's father Suddhodana must have employed a Brahmin purohita. This suggestion has several weaknesses. Firstly there is no mention of any Brahmins in relation to the Buddha's family in the earlier texts - later on we do find a Brahmin in the court, but he is part of a hugely elaborated hagiography in which the Buddha walks and talks immediately after being born. During the time of the Buddha the Brahmins were a presence but not a dominant presence. Secondly although Suddhodana is called a rāja and this is usually interpreted as king in later hagiographies, in the context of the Śākya tribe it was probably more akin to 'chief' or 'head man'. Thirdly the Buddha never has a good word to say about Brahmin ritualists, and often has bad words to say about them - he likens them to dogs in the Aṅguttara Nikāya. The Buddha's attitude, especially with respect to class (varṇa) or caste (jāti) is often taken as evidence that the Śākyas found the is often taken as indicating they these were novel ideas that he found peculiar. Finally the tradition itself is attested in the "post-epic period" (Karve in Patil 1973: 42), and it seems very likely that the compilation of the Epics out of the pre-existing oral traditions was at least partly a response to the success of Buddhism.

Although the Buddha is almost always represented as a kṣatriya I see no sign in the Pāli texts that he felt he lacked prestige such that taking a Brahmin name would improve it. There is also no hint of it happening further back in his line. In fact neither the Buddha's father nor any of his male relatives, is ever called Gautama in the suttas. So on the whole this idea of adopting a Brahmin gotra seems unlikely to me.

Very few other Gautamas are met with in Pāli. However both the Buddha's mother (Māyā, or Māyadevī) and his aunt (Mahāprajāpatī) are called Gotamī. The simplest explanation is that the Buddha was a Gautama on his mother's side, and that like several other male figures in the Pāli Canon—notably Śāriputra, the son (putra) of (his mother) Rūpasārī—the Buddha went by his mother's gotra name. I plan a longer essay pulling all this together with a more in-depth argument, but this is an outline and shows the kinds of sources that the ideas draw on.

One more note on the Śākyas. For many years sensible people have been telling overly enthusiastic amateurs that the Indian name for the Scythians (Śaka) is only similar to the name Śākya by coincidence. Recently I found some rough notes on an Indology forum by Harvard Professor Michael Witzel who's work I hold in very high regard. Witzel says that the similarity is not a coincidence, though we still have the solid historical fact that the Śaka did not enter Indian until 140 CE. However he also suggests that the Śākyas, like the Mallas, Licchavis, Vṛjis and other tribes that are found in Great Magadha were not originally from there but migrated only shortly before the lifetime of the Buddha.

"The Malla are a Rajasthan desert tribe in Jaiminiya Brahmana, and are still known on the Middle Indus as Malloi in Alexander's time."

Witzel suggests Iranian links for the Śākyas including their building of funeral mounds (aka stūpas), the names of some of their kings, marriage patterns (based on the origin story in the Ambaṭṭha Sutta [DN 3] and elsewhere, which is better attested than cross-cousin marriage), and also

"Then there also is the new idea of weighing one’s guilt after death. This was first an Egyptian, then a Zoroastrian and Iranian concept. It is connected with the idea of personal responsibility for one’s action (karma). "

The latter is very intriguing indeed. Some of this material, has made it into Witzel's published oeuvre, but it has yet to receive a detailed treatment. Long time readers may recall that I have noted some Persian Influences in Buddhism (20.6.08), and this seems to make the case quite a lot stronger. I would just add that a lot of crazy stuff can be found on the internet regarding the Scythians, and most of it cannot be taken seriously. We even find the suggestions that the Buddha was a Scythian or an Iranian, which are facile. Whatever their origins the Śākyas had lived in India for probably 500 years before the Buddha, and were thoroughly naturalised Indians with very little memory of their background.

~~oOo~~

Notes

1. There is a potential confusion here. In Sanskrit the ancestor's name is Gotama (he who has the most cows). When the word becomes an adjective describing those associated with Gotama the root vowel o is stretched (vṛddhi) to become au. So Gautama means 'of or associated with Gotama. However in Pāli the vowel au is condensed back down to o, so Gautama becomes Gotama. We need to distinguish between Gotama the Ṛṣi of the Vedas (in Sanskrit), and Gotama the Buddha (in Pāli).
   

Bibliography

• Emeneau, M. B. 1939. 'Was There Cross-Cousin Marriage among the Śākyas?' Journal of the American Oriental Society. 59( 2): 220-226.
• Good, Anthony. 1990. 'On the Non-Existence of "Dravidian Kinship".' Edinburgh Papers In South Asian Studies. 6. Centre for South Asian Studies, University of Edinburgh.
• Kosambi, D. D. 1967. 'The Vedic "Five Tribes".' Journal of the American Oriental Society. 87 (1): 33-39.
• Patil, Sharad. 1973. 'Some Aspects of Matriarchy in Ancient India: Clan Mother to Tribal Mother.' Social Scientist. 2 (4): 42-58.
• Silk, Jonathan A. 2008. 'Incestuous Ancestries: The Family Origins of Gautama Siddhārtha, Abraham and Sarah in Genesis 20:12, and The Status of Scripture in Buddhism.' History of Religions. 47 (4): 253-281.
• Thapar, Romila. 2010. Ancient Indian Social History: Some Interpretations. 2nd Rev. ed. Orient Blackswan.
  
• Trautmann, Thomas R. 1973 'Consanguineous Marriage in Pali Literature.' Journal of the American Oriental Society. 93(2): 158-180.
• Walsh, Maurice. 1995. The Long Discourses of the Buddha: A Translation of the Dīgha Nikāya. Wisdom Publications.
  

Morality in Relationship

MANY OF MY BUDDHIST FRIENDS struggle with the idea that the intentions behind actions determine the ethical value of them, i.e. whether they are skilful or unskilful. Some really don't see how this could be. In studying the Kālāma Sutta a penny dropped for me about intention and action.

There is a tendency in the West to discuss ethics and morality in the abstract. We have hypothetical discussions about whether karma might have caught up with Hitler in his next life, or whether one could kill another human being if the intention really was kindness (in the case of euthanasia for instance). We don't always ground our discussion of morality in the day to day and personal. The Kālāma Sutta suggests that this is a mistake. The Buddha critiques a series of ten criteria for making ethical decisions. The first four relate to religious traditions: revelations, lineage, quotations, and tradition. The next five to ways of thinking: speculation, inference, interpreting signs, ideologies, and uncritical acceptance of what seems likely. The last criteria is respect for holy men. [1] He then offers the positive criteria of personal experience as a much better guide to ethical decisions.

My exploration of the terms and my justifications for these translations are set out in my full translation and commentary. Here I want to look at these criteria and what they tell us about the Buddha's morality. In the case of tradition the criteria refer to forms of knowledge which are revealed in various ways and passed down though a teaching lineage. Someone has a vision and organises a movement around themselves (or someone else organises it around them) and everyone who joins is expected to behave a similar way. The rationale for morality is the original vision - but this is not always rooted in practical relationships, and sometimes it ignores the reality of human interactions. Often this kind of morality includes arbitrary elements, morality which is not ethical but simply etiquette. The Vinaya rules for example are largely etiquette with no overt moral significance.

Similarly the various kinds of intellectual criteria refer to ways of thinking about morality which are not rooted in experience. The first is something like Kant's 'pure reason'. When we imagine what the world is like without any reference to experience we can come to some odd conclusions. Think about how influential the idea of the "four humours" has been in Western Society for instance - for may centuries they formed, on almost no evidence, the basis of psychology and medicine. This is one of the great achievements of the Enlightenment - that it grounded medicine in anatomy and physiology rather than abstract ideas. We might think also of some of the early psycho-analytic theories and how they sought to explain human behaviour in terms of imaginary psychic entities like ego, id, and super-ego; or complexes, or archetypes; or more recently 'repressed' memories. [2]

The last criteria amounts to aping the behaviour of a spiritual teacher. This has caused enough problems in Western Buddhism to need little in the way of elucidation.

Because the terms are actually quite vague and the translations less than certain, the thinking about them has been ambiguous. I wanted to relate the terms to what I perceived to be the dynamic of the sutta. Looking at what comes next the Buddha questions the Kālāmas about the effects of craving, aversion and confusion and points out that these root poisons make people behave unskilfully. The penny dropped for me when I saw that all of the resulting wrong actions are about how we relate to other people.

Buddhist morality is primarily about the quality of our relationships to other people. We extend this to all breathing beings (pāṇa), but it's mainly about people. Morality is often thought of as all of our behaviour, all willed actions. Ethics is the narrower subject of the limits which we place on our behaviour. Here we see that Buddhist morality is actually a slightly narrower subject again. It is not simply acting with craving or aversion that is problematic. It can be broader, but the basic Buddhist precepts emphasise relationship. It is relating to other people on the basis of craving or aversion that is primarily problematic, and it is working at this level which is transformative.

There is a caveat. Imagine that you eat what looks like a juicy sweet berry, but it turns out to be bitter. The aversion you feel is because the bitter berry is likely to be poisonous, and you spit it out in order not to be poisoned. This is not morally significant aversion. The attraction to the sweet berry in the first place is not morally significant craving. It is hunger, and a preference for high calorie food that is entirely logical and built into us by evolution. These kinds of attractions and repulsions are active within us all the time. Sometimes we make the mistake of demonising natural desires and aversions, and in doing so we miss the point.

Of course there are a lot of fat people in the developed world who just eat too much. But we could see this as taking the not given, as taking food which really would be better for someone else, perhaps a starving person to eat. Being fat does have health consequences for us, but the morally significance might be better located in the fact that other people are starving to death while we eat ourselves to death; and in the civilised world which has public health provision, the cost to other tax payers in dealing with the health problems that arise from obesity. Being fat is because we eat too much is a matter of moral consequence, though there is emerging evidence that our propensity to eat may be determined to some extent by how our parents and grandparents lived.

So what I'm saying is that the most morally significant craving is the craving that is expressed in relationship to other people, that makes us take their life or well being, their property (their food), their sexual partner, or lie to them. The Kālāma Sutta leaves off the fifth precept but adds that we might also incite other people to these kinds of acts. Similarly with aversion and confusion.

In the Kālāma Sutta the ideal Buddhist—the ariyasāvaka—is portrayed as radiating loving kindness to all beings everywhere. The morally bad person relates to people from craving and hatred and causes harm and misery. The morally good person relates to people from love, compassion, joy, and equanimity and not only does not cause harm or misery, but causes benefit and happiness. For someone who relates in this way there are said to be four consolations.

Now much too much has been made of these consolations, people see the Buddha equivocating on karma and rebirth, but I think they have been over interpreted. I do not think this text provides any justification for not believing in karma and rebirth (my reasons require more space than I have here, so please read my Kālāma Sutta commentary if you are interested). The Buddha clearly understands that acting unskilfully causes harm. I would like to comment briefly on the consolations regarding karma though. The Pāli is

sace kho pana karoto karīyati pāpaṃ, na kho panāhaṃ kassaci pāpaṃ cetemi. Akarontaṃ kho pana maṃ pāpakammaṃ kuto dukkhaṃ phusissatīti?

If evil is done to the [evil] doer, but I do not think (na... cetemi) evil of anyone - not doing evil acts, how will misery touch me?

Here, again, we see an evil action (pāpakammaṃ) explicitly linked to an evil thought or intention (pāpaṃ ceteti). The logic here is: because I do not intend evil, I do not act evilly, and therefore no evil will befall me. However we know, from hard experience, that life is not so simple. Evil happens to good people and vice versa. This cannot be a generalised statement about the nature of reality. But they are words to guide how we relate to other people.

If we approach people with aversion, for instance, we repel people. I have observed that no matter how apposite and insightful the information one is trying to convey, shouting it angrily almost guarantees that the intended recipient is not listening. If we are communicating angrily then the message is just "I am angry" and all subtlety is lost, the non-verbal communication overwhelms the verbal. I notice that street evangelists often sound angry because they are shouting, and here in England people avoid them like the plague.

Similarly we all know what it is like to be approached by someone who only wants to take from us. Take the case of the professional street fund-raisers who way-lay shoppers in the streets (called charity muggers or 'chuggers' in the UK). They use all the forms of polite human interaction: they greet with a smile, make a cheerful and often witty approach; they may even be a bit flirtatious. The forms are OK, but the context is all wrong. In the UK strangers do not approach you in the street, and if they do—if for instance they are lost or need the time—the approach is very hesitant and apologetic even. Under normal circumstances people here would not even make eye contact, let alone speak to strangers at random. The Chuggers exploit the conventions of intimacy without offering any actual relationship, they just want to get your money. So my sense is that there is something terribly wrong about chuggers. They give me the creeps.

When we see Buddhist ethics in this framework of the quality of our relationships and interactions it seems to me that the link between intention and outcome is much clearer. The consequences of our intentions manifest in our interactions with other people. It also becomes clear why skilful/unskilful are preferable to the more absolute terms good/bad. If ethics is concerned with how we relate to others, then this is a practical matter. So the notion of skill is relevant and skill is a spectrum: we can be more or less skilled. Also we can learn skills, which gets us beyond the idea of inherent good and evil which seems quite prevalent.

~~oOo~~

Notes

1. Some people interpret the 9th criteria differently and group it with the 10th. For instance Nyanaponika & Bodhi in their Aṅguttara Nikāya anthology, Numerical Discourses, translate it as 'the seeming competence of the speaker' which is how Buddhaghosa's commentary understands the term. There is a certain symmetry to this and I may just be wilfully idiosyncratic.
   
2. See also: 'Theory, and Why it's Time Psychology Got One.' Notes from Two Scientific Psychologists. 10.11.2011
   

See Also

On Action and Intention

• Action and Intention III - some supporting evidence linking intention and action.
  
• Action and Intention II - a closer look at the domain in which ethics applies.
  
• Ethics and Intention - examining the phrase cetanāhaṃ, bhikkhave, kammaṃ vadāmi (AN vi.63).

On the Kālāma Sutta

• Full translation and commentary.

• Negative Criteria for Moral Decision Making in The Kālāma Sutta.
• Positive Criteria for Moral Decision Making in The Kālāma Sutta.
• Parallels to the Kālāma Sutta.

Of Miracles.

DAVID HUME is perhaps the greatest thinker to write in the English language, or so everyone says. I've been looking at his 1748 essay Of Miracles [1] which is very readable and couched in English not too different from my own. I think it is still relevant to the kinds of discussions that religious people still have about unusual experiences. The crux of the argument is this:

"...no testimony is sufficient to establish a miracle, unless the testimony be of a kind, that its falsehood would be more miraculous, than the fact, which it endeavours to establish..." (p.32)

Hume begins by establishing how we make decisions about reported facts. He argues that when we hear a report about something we weight it against experience. So if I tell you that I met an elephant on the road, you might immediately be doubtful because their are very few elephants wandering the streets of Cambridge. If I add that I was India at the time, my report becomes more credible because India is the kind of place on might expect to meet an elephant on the road. (It was in Kushinagar)

One of Hume's great insights is that we do not see causation per se. If we roll two billiards balls toward each other, they collide and continue on in different direction. The inferences we draw about the nature of their interaction is not based on observing causation, but "...are founded merely on our experience of their constant and regular conjunction." In other words the collision of two balls has a predictable sequence. Hume is not, of course, the last word on this observation - probably Kant had the last word (to date), but Hume's is a very important observation. We do not see causation, we see a sequence of events, and it is the regularity of our observations which gives rise to the idea of causality.

However none of us will only believe things that seem likely. Unlikely things do happen. People win billions-to-one lotteries, are struck by lightening, etc. But, Hume argues, we do require stronger evidence in order to establish the veracity of and extraordinary claim. It is reasonable to entertain doubts about unlikely events. Hume sums up the reasons why we might doubt a report:

"We entertain a suspicion concerning any matter of fact, when the witnesses contradict each other; when they are but few, or of a doubtful character; when they have an interest in what they affirm; when they deliver their testimony with hesitation, or on the contrary, with too violent asseverations." (p.28)

So we must weigh up evidence when deciding whether what some says is true, or whether they have been deceived, or are trying to deceive us. With regard to miracles, these are all extraordinary because they defy what Hume calls the "laws of nature". Hume is not using this phrase in the scientific sense; nor, notice does he absolutise the idea by capitalising the words. He means such things as are observed with universal regularity:

"that... all men must die; that lead cannot, of itself, remain suspended in the air; that fire consumes wood, and is extinguished by water". (p. 31)

This might these days be seen as a quaint definition, but in fact it still carries a lot of authority. We might quibble with the notion that the sun rises everyday - by saying that actually the earth turns; or that the sun will die in 5 million years; or by saying that it does not rise in the high Arctic during winter - but in everyday life the sun is observed to return each day by everyone on the earth, and the exceptions are do not deny the regularity of the observations of billions over thousands of years. The sun always rises. A miracle, according to Hume, is "a transgression of a law of nature by a particular volition of the Deity, or by the interposition of some invisible agent". The example he uses is the raising of a man from the dead. It would be extraordinary for a healthy person to drop down dead. But it would not be a miracle because we know that such things have been observed in the past, and that it breaks no law of mature. But the opposite, the raising of a person from the dead into life, does break the laws of nature. Hume probably chose this example to directly irritate Christians whose religion centres on the belief that Jesus died and was resurrected, and that they themselves will have everlasting life after death.

But note that Hume is not denying that miracles can happen. What he is doing is trying to establish the basis on which a reported miracle might be credible. And in Hume's mind a miracle would only be credible if other explanations were less believable, less consistent with experience, than the miracle itself. In the case of a dead Jesus being reanimated the report is scarcely credible at all, and is most likely false. At least there is no evidence presented which outweighs the breaking of the laws of nature. In which case Christians have most likely been deceived in the first place, and are deceiving us when they insist it happened.

Hume sets the bar for credibility rather high. And this will be a difficult bar for Buddhists, let alone Christians to reach. One of the ways we escape it comes from the psychoanalytic movement. We can see miracle stories as allegories for how our mind functions. Dreams, and fantasies need not obey the laws of nature. In stories we can do whatever we like. But traditionally religieux have taken miracle stories as literally true, and this modern view, while rescuing us from literalism is not necessarily one that was available before Freud and company. In any case Hume hoped:

" [this argument will] ...be an everlasting check to all kinds of superstitious delusion, and consequently will be useful as long as the world endures; for so long, I presume, will the accounts of miracles and prodigies be found in all history, sacred and profane." (p.25)

I would say that after 263 years the argument has stood up well to the test of time.

~~oOo~~

Notes

1. Hume, David (1985) Of Miracles. Illinois: Open Court. [first published 1748]
   

For a slightly chaotic, but none the less fascinating introduction to Hume try listening to the BBC's In Our Time podcast. A more thorough online introduction can be found in the excellent Stanford Encyclopedia of Philosophy.

Commodification of the Self

I HAVE WRITTEN THAT I do not believe in virtual community, that the phrase itself is a misnomer, and I have been critical of the role of technology in our lives. Recently my attention was drawn to a rave entitled Pandora’s Vox: On Community in Cyberspace by Carmen 'humdog' Hermosillo posted on The Well, an early online "community" in which she talks about the commodification of the self via the Internet. If anything this phenomenon has become more ubiquitous since she wrote her essay in 1994. [1]

The self here is obviously self without any of the technical spin normally associated with a religious point of view. A single example will suffice to show how the internet commodifies and on-sells the self. This process is exemplified, and perhaps even finds it's apotheosis in Facebook and other online social networking sites. Facebook is a profit making enterprise. It exists to make the owners rich, which it has done beyond their wildest dreams, and it does this by pushing entertainment and selling advertising. The form of entertainment it uses is ersatz social relationships and commodified thoughts and emotions. Each user expresses them self by broadcasts their verbalised thoughts and emotions. This is then re-presented for our 'friends' along with a number of adverts. The friends are supposedly people we have a social relationship with, though often there is no offline relationship at all.

It is the adverts that pay for Facebook. "Free" blogs, like this one, are more or less the same business model. I broadcast my thoughts and opinions which you consume and it's paid for indirectly. I do have Google ads, and get paid about USD10 per year for them [NOTE Sept 2017 I stopped hosting Google ads some years ago, J]. Google don't mind that this is not a popular blog, as long as it's active and some people read it and see the ads. Google's business is all about aggregates of activity. There are tens of millions of blogs like mine, and 100,000s more each day, and some get massive readership. The popular ones subsidise the rest of us. If you want to write an uber blog then lists of top blogs suggest you write about celebrities, technology, politics (certainly do not write the arcane elements of early Buddhist philosophy and linguistics!)

If you don't like my opinions, you don't stop using the internet, you just go consume some other opinions that suit you better - that you find more entertaining. The Internet is an almost infinite source of entertainment. And what is entertainment? Entertainment is an activity we undertake purely in order to experience certain emotions. Emotions are the opiate of the world, which the Buddha clearly knew when he described people as intoxicated by sensory experience. We are often blind to the emotions naturally occurring in us, and only feel the kind of intense emotions evoked by more extreme stimuli. News media actively seek to stimulate our reptile brain, to induce fear, disgust and anger. Just occasionally they try to make us laugh or coo (what I call kitten stories). On the internet the range of emotional provocation is much broader. Whatever emotion you want to feel in yourself, you can turn to the internet to stimulate it. We live in environments that are highly artificial and hyper-stimulating. Modern life dulls our emotions, and so in order to feel alive we seek out artificial stimulation: we're like people who have to have chilli on every meal, and have lost any appreciation for subtle flavours.

Since these personal opinions and stories are now a product being on-sold by Facebook, Blogger, Google et al, then our inner lives have become a commodity with a commercial value. And do we ever stop to ask whether this is a good thing? Should we not be paid by social media for providing them with entertainment content for the businesses that have made them mega-rich? Facebook is basically a social parasite. It kids us that by repackaging a service we already have (email) into a broadcast medium, that we are more in touch with people. But there is no 'touch' involved in email.

In my critique of so-called "virtual community" - ersatz community would be more a more accurate name - I said that online relationships lack eyebrows, they lack the multiple dimensions of personal relationships. Psychologists have coined a term for these non-real relationships: they're called Parasocial Relationships. These can include TV and novel characters, as well as internet friends we've never met. The former are like imaginary friends. Why do we indulge in this kind of relationship? We are social primates. We thrive in small groups where we experience a sense of belonging by being involved in the lives of our community. One of the ways we express our membership of the group is grooming each other. Some people have theorised that language evolved as a form of grooming, and I imagine that language can certainly play this kind of role - especially our non-word sounds. I wonder if texting is another form of grooming.

In the absence of a community to be involved in, we find substitutes in, for example, soap operas. Even quite intelligent people can get caught up in the lives of fictional characters, or in media creations in the form of pop stars. Whether it's JR Ewing, Harry Potter, or Lady Gaga, we want to feel like they are part of our lives. We know all kinds of details about the lives of people who've never existed, because we have a faculty and a drive to be socially involved, and if we don't use it we suffer. Just like a horse or a dog kept in isolation will slowly go mad, we humans do not thrive alone. But more than this we don't thrive when we are surrounded by strangers most of the time. The individual is not the smallest viable unit of humanity. However our communities are no longer spatially contiguous, and we have begun to rely on technology to bridge the gap. For many people their "community" is a disparate group only loosely connected. Such a community may be no more than a series of overlapping sets of cellphone numbers. I suggest that this is why people will interrupt a face to face meeting to answer their phone. Community is a value we all share. But note how isolating relying on the one to one connection of the phone is in case of the interrupted personal conversation.

Our online persona becomes like a soap opera that is processed and sold as entertainment and enriches those who facilitate the process, with little or no real benefit to us despite the hype. All of our selves become commodities to be bought and sold. Nowadays our electronic identity can literally be stolen, and the selves of some celebrities are being hijacked by online impersonators. And we buy into this system, I suggest, at least in part because we are no longer embedded in a community. The whole enterprise is presented to us as a remarkable leap forward in human interactions that is facilitating closer relationships and easier communication, but it only seems attractive in a world where our neighbours are strangers and people are isolated. Accept no substitute.

~~oOo~~

Notes

1. The full text of Humdog's essay is online in many places. I consulted the version on The Alphaville Herald website.

Supplemental

"When girls stressed by a test talked with their moms, stress hormones dropped and comfort hormones rose. When they used IM, nothing happened. By the study’s neurophysiological measures, IM was barely different than not communicating at all." Wired Science. 7.1.12

Saṅkhāra qua Construct

This word saṅkhāra is one of the most puzzling terms in our Buddhist lexicon. It is used a number of different ways, meaning quite different things in different contexts. There is no reason why a word should not have different senses - a phenomenon known technically as polysemy 'many meanings'. Indeed polysemy is the rule with words in most languages. Take a word like gravity. It has a sense in Physics as one of the fundamental forces. As an adjective in ordinary speech it might signify that someone, or something is important or wise. Incidentally the Sanskrit word guru is cognate and means 'weighty'. Context usually resolves any contradictions so if I say that "Newton spoke with gravity about gravity", you'll probably be able to see the two distinct ways I'm using the word gravity. However within a technical jargon it is much less useful to have important words being polysemic, in fact it's downright confusing. And yet so many of our important Buddhists jargon terms are polysemic: dharma is particularly troublesome, and whole books have been written on this one word.

I want to highlight a particular use of this word saṅkhāra in a Pāli text, but let's see if I can encapsulate the main senses of the word to begin with. The Pāli saṅkhāra is equivalent to the Sanskrit saṃskāra - the skā conjunct being reduced to khā in Pāli. The root of the word is √kṛ 'do, make' and here the prefix saṃ is equivalent to the Latin com- and means 'with, together; or complete'. The basic sense here is 'to construct or make up', and a close English cousin is confect, where -fect is from the Latin facere 'to make, do'. The word has a technical meaning in Vedic, but we'll leave that aside for our present purposes.

Saṅkhāra occurs in Pāli as the second of 12 nidānas, and the 4th of 5 khandhas. In the first instance it seems to mean volitional activity (and is defined in terms of cetanā). In the second it suggests a wider definition of all mental activity or indeed everything constructed from conditions - e.g. in the phrase sabbe saṅkhārā anicca. It is used in the sense of 'function' in reference to the body, speech and mind. So we might say that it has the active sense of "putting together" and the passive sense of "having been put together". [1]

In the text I am exploring today - The Pālileyya Sutta (SN 22.81; S iii.94f) it seems to have the sense of 'construct'. I'm particularly interested in this sense because it appears to confirm an intuition I've had about this term for some time (which should alert readers to the problem of confirmation bias!). In the Pālileyya Sutta we find this equation - I have simplified the text a little:

rūpaṃ attato samanupassati... yā samanupassanā saṅkhāro so.
he perceives form as his self, that perception is a construct.

Why is the perception (samanupassanā) a construct? Because in order to have a perception sense object and sense faculty must come together in the presence of sense cognition - perceptions are constructed (saṅkhāta) from these specific building blocks. The text asks the same question and answers (again simplifying a little:)

avijjāsamphassajena vedayitena phuṭṭhassa [tassa] uppannā taṇhā, tatojo so saṅkhāro
thirst has arisen for the one affected by an experience born of a reaction from ignorance.

Bear with me here as this sentence is not easy to translate. Firstly uppannā taṇhā is easy 'desire has arisen'. Here tassa 'for him' is standing for assutavato putthujjanassa 'for the unlearned ordinary person' and phuṭṭhassa tassa 'for the one who has been affected (phuṭṭha)'. Then vedayitena 'by the experience [which is] 'avijjāsamphassaja'. This last compound needs unravelling: it is made up of three parts: avijjā 'ignorance' + samphassa 'contact, reaction' + ja 'born'. So the whole thing is probably: 'born of contact with ignorance' or perhaps 'born of a reaction from ignorance'. I suggest the latter makes more sense. Bhikkhu Bodhi has come up with a particularly torturous translation here: "When [he] is contacted by a feeling born of ignorance-contact, craving arises." It's not clear what "ignorance-contact" is. [2] Thanissaro does better on Access to Insight with "To [him] touched by the feeling born of contact with ignorance, craving arises." But what is "contact with ignorance"? In the Buddhist model of mental functioning it can only be contact while being ignorant surely? Hence my translation: "thirst has arisen for the one affected by an experience born of a reaction from ignorance." Thirst for existence perhaps?

The sutta notes that this construct is impermanent (anicca), constructed (saṅkhāta) and arisen in dependence on conditions (paṭiccasamuppanna). Similar constructs include

rūpavantaṃ attānaṃ samanupassati - perceiving myself as endowed with form
attani rūpaṃ samanupassati - regarding form as within myself
rūpasmiṃ attānaṃ samanupassati- seeing myself amongst forms

All of these are conditioned and impermanent constructs. The whole formula is repeated with other four khandhas vedanā, saññā, saṅkhārā and viññāṇa. Note the statement that saṅkhārā are a saṅkhāra does not seem to bother the author of the text, probably because he is consciously using the word in two different senses. In the plural it is defined in some places as the cetanā or 'intention' associated with the six senses (e.g. S iii.60).

So we may say that these perceptions of a being a self are only what we project onto experience., they are a construct, and not a property of experience. By the way, I see no connection here with Upaniṣadic thought on the nature of the ātman. There's no reason to think that this formulation of the teaching was in reaction to Brahmanical metaphysics.

~~oOo~~

Notes

1. Nyanatiloka in his Buddhist Dictionary insists that the interpretation of saṅkhāra as 'subconscious tendencies' (which is common in the Triratna Movement) is incorrect and "entirely inapplicable to the connotations of the term in Pali Buddhism" (p.193).
   
2. Bodhi. (2000) The Connected Discourses of the Buddha. Wisdom. P.922.
   

On Credulity.

JUST A LITTLE WHILE AGO at a Saṅgha picnic one of our group remarked that an elaborate crop circle had appeared in fields near where they live. The person began to speculate about the mystical symbolism of the crop circle and seemed unaware that crop circles are all artificially made. I mentioned that the original crop circle makers—Doug Bower and Dave Chorley—had confessed their hoax and demonstrated their method. My informant, tried to dodge the fact of the hoax, and pursue the mystical significance of the new crop circle. I'm puzzled by the attraction of mystical explanations for things—spirits, aliens, etc.—especially when there are more straightforward answers. When the original crop circle makers have confessed and showed how they did it, and crop circles are now routinely used by the advertising industry, why are people still attracted to the idea that crop circles have mystical significance?

What really sparked me off, however, was watching a documentary, Messiah [1], in which Derren Brown, an entertainer who specialises in using the power of suggestion and an ability to 'read' people's body language and facial expressions to create the illusion of psychic powers. Brown is different in that he admits he is a showman, and explains how he does what he does. In Messiah, Brown travels to the USA where he is virtually unknown, and proceeds to try to obtain personal endorsements from leading members of New Age or Alternative groups: psychics, mediums, alien abductees, and an evangelist. The evangelist is impressed though not willing to publicly endorse Brown, while the others—experts in their 'fields'—are entirely taken in and enthusiastically offer to endorse him.

In other words Brown uses his skills to convince a group of psychics that he is real psychic; a couple of alien abductees that he was abducted by aliens and can now tell them their medical histories; a group of strangers that he is in touch with their dead relatives (and knows intimate details of their relationships); and a prolific New Age publisher that he can record and play back her dreams with his dream device. With the evangelist he demonstrates an ability to instantly convert a roomful of sceptics to belief in God. He actually does this with a simple touch in one case, and by imitating those evangelists who "bring down the Holy Spirit" in another case, though his method for the rest is clearly plain old hypnotism. The pastor alone is cautious about accepting Brown on face value, but he is still visibly impressed.

A similar hoax—Project Alpha [2]—was perpetrated by the magician James Randi, aka The Amazing Randi. He commissioned two amateur sleight-of-hand magicians—Steve Shaw and Michael Edwards—to convince a team of researchers at the University of Washington that they could bend spoons with their psychic powers along the lines of the infamous faker Uri Geller. This they successfully did, managing to bypass all of the 'scientific scrutiny' of the research team, including video cameras! Shaw and Edwards continued with the hoax for a considerable time, even after it became clear to the university that when the experimental protocols were tightened up that the two could not perform any psychic feats. They became minor celebrities travelling the country to demonstrate their "powers". However eventually Randi himself admitted the fraud and the credulity of the "psychic" community was painfully exposed. Project Alpha subsequently inspired a number of copy-cat hoaxes with more or less the same result.

Randi has exposed other fraudulent psychics. Recently in the UK psychic Sally Morgan was exposed as a fraud. [4] She apparently uses the same technique as seen in the lesser known Steven Martin film Leap Of Faith: where assistants gather information from the crowd as they take their seats, and feed it to Martin through a concealed ear piece. However being exposed does not necessarily mean that a psychic is put out of business. In 1986 Randi exposed Peter Popoff as the same kind of fraud on Johnny Carsons's Tonight show, but he is back with a vengeance fleecing the credulous and making tens of millions of dollars doing it.

The message seems to be that people want to believe. They want to believe in spirits, in immaterial beings and gods, in mysterious energies, in crystal vibrations, in psychic powers. People want to believe in magic. This desire to believe affects our judgement: it affects what we pay attention to, and the weight that we give to what we see and hear. The effect of this is that what we believe is apparently confirmed. It's called confirmation bias. For every "proof" that people have psychic powers, there is a demonstration of cynical fraud. So we should at least be very sceptical about psychic powers. But a lot of us are not. We only look for evidence that confirms our views, and we wilfully ignore any contradictory evidence.

But more than simply wanting to belief, people don't want to not believe - they consciously reject the rational alternatives to magical thinking. People apparently don't want to believe in science which they see as prosaic, mundane, and uninspiring. Accurate, but dull and limited. Whereas magic is exciting and has infinite possibility. My own experience of science is completely the reverse of this: my encounters with science continue to expand my mind, make the world seem more amazing, more wonderful, more inspiring, more alive, less limited.

The real down side of credulity is that every day people are being ripped off by unscrupulous con-artists. For instance they are paying for 'healing' that at best is the placebo effect, but which as worst is harmful. Recently in the UK the writer Simon Singh was sued for libel by the British Chiropractic Association because he said "... it happily promotes bogus treatments" and that the treatment could be "lethal". [3] The law suit was eventually dropped as it became clear that they would not win. Singh had made truthful statements, based on published research, even if he was being sarcastic. One cannot be sued for being sarcastic in the UK, nor for being a science journalist how reports on research. This is not to say that science or medicine has all the answers. Patently it does not. Or that scientists and doctors have not harmed people. They have. But within medicine and science there are checks and balances. Magical thinking allows for no checks and balances. If something goes wrong it is because you did not believe. And of course we do know that the placebo effect is dependent on you believing you've had an effect treatment, but this is not very reassuring if we are genuinely ill.[5]

Somehow, because science undermines magical thinking, some people see it as destroying meaning, of making the world less meaningful, though only because "meaning" is associated with "magic"! I have never agreed with this. Knowledge comes from paying close attention to how things are. And as über-scientist Richard Feynman said:

"Science—knowledge—only adds to the excitement, the mystery, and the awe of a flower. It only adds. I don't understand how it subtracts." [6]

In the past I have been critical of the way Buddhists present their own beliefs as simple representations of Reality. (e.g. Rescuing the Dharma from Fundamentalists) This so-called Reality is often simply an intellectual regurgitation of metaphysical theories found in popular books on Buddhism. As such it's a blind belief not rooted in experience. David Chapman has referred to this as "effing the ineffable". And since we are explicitly against this approach to religion we Buddhists appear to be incoherent and self-contradictory at times. Buddhists, like other human beings, want to believe, and are often credulous in their approach to the traditional Buddhist narratives. Such credulousness is not helpful, but breaking out of it requires us open our minds to the possibility that we are wrong.

~~oOo~~

Notes.

1. Derren Brown. Messiah.
2. James Randi. Project Alpha.
3. 'Beware the spinal trap: Some practitioners claim it is a cure-all but research suggests chiropractic therapy can be lethal.' Guardian.19 Apr 2008.
4. 'Psychic Sally Morgan hears voices from the other side (via a hidden earpiece).' Guardian. 20 Sept 2011.
5. For a discussion of the other side of the placebo effect look at: The Dark Side of the Placebo Effect: When Intense Belief Kills; and What's the Harm?
   
6. Feynman. The Pleasure of Finding Things Out. BBC

Tim Minchin. If you open your mind too much your brain will fall out.

Taking the Not-given

©

I've just come across the website Buddha Torrents which specialises in linking to illegally copied and uploaded Dharma books. You would have thought that facilitating the stealing of Dharma books would be a no-brainer - just don't do it - but many Buddhists apparently feel quite comfortable with theft of electronic files when they would not walk into a shop and steal the physical book. Let me just be quite clear here. Copying is theft. All those pirated books, DVDs, and CDs are stolen. There is no grey area here. Consider the wording of the second precept:

adinnādānā veramaṇī sikkhāpadaṃ samādiyāmi
I undertake the training step of refraining from taking the not given.

Since I've covered the general outline of the precepts in other posts [1] I'll just concentrate on the main word: adinnādānā. The Pāli word dinna means 'given, granted, presented'. It's a past participle of the verb √dā 'to give'. In a Buddhist context it frequently refers to alms given to bhikkhus. The word is used in the negative adinna 'not-given, not-granted, not-presented'. The other part of the compound is ādānā which is a noun from the same verbal root. The stem dāna means 'that which is given, donated, granted', while the prefix ā- reverses the direction and gives it the meaning 'that which is taken, taking'.

If we take a step back into the Proto-Indo-European roots of the words, we see that the original form was *do meaning 'to give'. The word comes into Latin as donum 'gift' from which we get the English words donation, & donor. The root also underlies the words date, and time. [For more on this branch see the Online Etymological Dictionary].

So our word is a-dinna-ādāna 'taking the not-given'. In the precept verse the compound is in the ablative case - giving the sense of 'I undertake to abstain from taking what is not given'.

Clearly this is a precept about property. You cannot take someone's property against their will except by force or deception. If they give you everything they own of their own free will, in full knowledge of the consequences, that's fine. But if you take even a penny without being first offered it, then you are involved in doing something to that person against their will, i.e. doing violence. So it's not only about property, but an extension of the first precept against causing harm, with a focus on property.

It is true that as Buddhists we preach that we ourselves should not be attached to material possessions. I tend to agree with the line of reasoning that an abundance of material possessions causes more misery that it prevents. However without a roof over our heads and food to eat most of us don't cope very well. So ruling out all possessions for everyone would cause more pain that it relieved. It's not up to us to judge for other people what constitutes a minimal level of possessions. The precepts are carefully phrased in the first person: samādiyāmi 'I undertake'. It is we who undertake the training and our judgements should be directed to ourselves. So our non-attachment should make us less likely to take what is not given (in theory). If we feel that a close friend is in danger of breaking this precept, we might have a quiet word with them, tell them what we have observed and related our concerns in a kindly way. But there is little scope for standing in judgement on others. This creates a tension for people raised to believe that justices involves determining guilt, and meting out punishments.

However Sangharakshita has expanded the context of this precept beyond material possessions. He includes things like a person's time or their energy. If someone doesn't have time for us, we should not try to detain them. If they don't want to, for instance, listen to our problems, then we cannot make them. Each time we take the not given we seek to negate the other person; we seek to impose our will, and our ego, over theirs. It is a subtle form of violence. So this precept can be seen as an extension of the first precept against doing violence to other beings.

I'm going to assume that we understand the problem of doing violence and move on to consider some more specific issues.

In 2000 the internet music sharing service Napster was taken to court by the the band Metallica along with rapper Dr Dre. A separate case was brought by several major record labels. Judges ruled that Napster were indeed breaking the law by facilitating the sharing of illegal copies of music. But for some reason this remains a grey area. Lots of people I know are copying and not paying for music, films, and software. If what was being shared was physical property the issue would be clear cut. We would not condone either the burglar, nor the fence, nor any part of an operation which facilitated someone stealing our property. But apparently we are happy to do so with music. Music is different of course. Digital music is immaterial, very easily reproduced or copied, and it is very difficult for the average consumer to relate the mp3 file back to the performer.

Musician's make their livelihood from selling that music. There are some who are saying that the new media calls for new models of distribution and ownership. I notice that these people are typically already successful and wealthy, i.e. they do not have much to lose. They usually got into the position of being successful and wealthy by selling albums the old fashioned way. Start up bands, with no money, are not so convinced that giving away their music is such a good thing. Once you give people something for nothing you set up expectations.

Some people argue that so much money is made that it hardly matters if a few copies are made. But this is not an argument from Buddhist ethical principles. It seeks to bypass the principle of not taking the not given, and replace it with taking what will not be missed. And who says it won't be missed? The music industry say they are missing that revenue and record labels and music shops are struggling to stay in business. Whether or not this is good for the music is irrelevant to the Buddhist ethical case, because someone has come out and explicitly said: "do not copy this music without paying us for it." Music is not given except within the limits set out by music industry. Whether or not we think these limits are moral, ethical, or legal, is irrelevant because the relevant precept is about the not given. And outside the framework of buying CDs of MP3s the thing is not given.

There is such a thing as fair use. For instance in this blog I often cite the words of other people, from books and articles that form the basis of their livelihood. On the whole they ask that we do not copy their work wholesale, or use it without acknowledgement. So I quote little bits and endeavour to accurately state where the text comes from. This seems fair enough, and if we did not have this provision then any kind of dialogue about literature (scholarly or otherwise) would not be feasible. Indeed I believe I have raised the profile of several authors by bringing their work to the attention of a new audience.

I also use images. Images are usually classed as a whole work, so copying them is usually considered to be outside of fair use. I try to use images that are clearly free of copyright restrictions. Sometimes it's hard to tell, and I have to confess that I sometimes interpret fair use in my favour. I still stick to stating where I got the image, and when it's clear who made it I make sure I include that information. My purpose is to decorate a blog post, not suggest that I am an artist. I suspect that I could be criticised for this practice, and I'm always ready to remove images without a fight. So far no one has ever asked me to remove an image from this blog. But I would if asked to, even if fair use suggested I might get away with it. I do get a few pennies a day from Google ads and Amazon referrals but given the time I spend on this it could hardly be called a profit making venture. In my books, however, I had to be a lot more assiduous about observing copyright because the law says that where you are selling something then fair use provisions don't apply. I can't make money from someone else's work. This seems fair to me.

Buddhists are not always scrupulous when it comes to the internet and taking the not given. I have had several people copy my entire mantra website, for instance, and present it as their own work. They get quite hostile when I tackle them on the illegality and immorality of this. I've been called some nasty things because I've acted to protect my work from being degraded by poor copies. But taking the not given seems clear enough. And unless we take such principles seriously then we aren't likely to make progress, so it's in our best interests to keep the precepts.

~~oOo~~

I've had second thoughts about my addendum, and have removed it.

Notes

1. The Third Precept; the Fifth Precept.