I. Buddhaghosa's Exposition

Translated from the Commentary to the "Middle Collection" (MN 4: Bhayabherava-sutta)

After listening to the Buddha's Discourse called "Fear and Dread," the Brahman Jaanussoni becomes a lay follower of the Buddha, by taking the Threefold Refuge. The words used by him differ slightly from the usual formula in so far as in the latter the words "the Lord Gotama" are replaced by "the Buddha." Buddhaghosa's comment, here slightly abridged, runs as follows:

II. Thoughts and Comments

by Nyanaponika Thera

In all Buddhist lands the followers of the Enlightened One profess their allegiance to him and his liberating doctrine by the ancient, simple, and yet so touching formula of "taking refuge," or, more literal and more expressive, by going for refuge to the Triple Gem.

The going for refuge, as this figurative expression itself suggests, should be a conscious act, not the mere profession of a theoretical belief, still less the habitual rite of traditional piety. The protecting refuge exists, but we have to go to it by our own effort. It will not come to us by itself, while we stay put. The Buddha, as He repeatedly declared, is only the teacher, "pointing out the Way." (see Dhp 276; MN 107). Therefore, the going for refuge, expressive of Buddhist faith (saddhaa), is in the first place a conscious act of will and determination, directed towards the goal of liberation. Hereby the conception of faith as a mere passive waiting for "saving grace" is rejected.

In the Commentary, translated above, there is the remarkable statement that the expression "going for refuge" is meant to convey, in addition, the idea of "knowing" and "understanding." This points to the second aspect of going for refuge, namely as a conscious act of understanding. Hereby unthinking credulity and blind faith based on external authority are rejected.

The commentator emphasizes this aspect by describing the going for refuge as a state of mind, not relying on others (aparapaccaya). On many occasions the Master warned his disciples not to accept his teachings out of mere trust in him, but only after personal experience, practice, and reflection. Here it may suffice to remember the famous Sermon to the Kalamas:

It is a threefold knowledge that is, or should be, implied in the act of going for refuge. It is a knowledge answering the following questions: Is this world of ours really such a place of danger and misery that there is a need for taking refuge? Does such a refuge actually exist? And what is its nature?

There are many who do not see any need for a refuge. Being well pleased with themselves and with the petty, momentary happiness of their life, they are fully convinced that "all is well with the world." They do not wish, or are not able, to look beyond their narrow horizon. For them neither the Buddha nor any other great religious teacher has yet appeared. But the majority of men know very well, by their own bitter experience, the hard and cruel face of the world which is only temporarily hidden by a friendly mask. There are some others who, sufficiently aware of a fellow being's actual existence, add to that personal experience by observation of other lives. And there is a still smaller number of people who are able to reflect wisely on both experience and observation. Particularly to those latter ones "whose eyes are less covered by dust," life will appear as a vast ocean of suffering, of unfathomable depth, on the surface of which beings swim about for a little while, or navigate in their fragile nutshells of which they are very proud. True, there are spells of calm on the waters when it is pleasant to float upon a smooth sea, or to prove and to enjoy the strength of one's body by a long swim. But those with open eyes and minds are not deceived by these short moments of respite: they know the overpowering fierceness of a storm-swept sea, they know the dangerous currents and whirlpools in it, and the demons and monsters of the deep. They know that, even under the most favorable conditions, the feeble strength of man will soon be exhausted by the impact of life's elemental forces. The vicissitudes of life give no chance of maintaining permanently, during the unlimited sequence of transformations, even the lowest degree of happiness, even the lowest standard of moral worth. There is nothing to gain by traversing ever anew the infinite expanse of life's ocean, in any of its regions. There is only the same senseless repetition of the ups and downs, of ebb and tide. Faced by the ever-present perils of life and by its essential monotony, there will be only the one cry for refuge in a heart and mind that has truly grasped its situation within the world. A refuge is the one great need of all life and "going to it" the one sane act demanded by that situation.

But granting its necessity, does a refuge from the world's ills actually exist? The Buddhist affirms it and proves by that affirmation to be anything but a pessimist. The refuge to which he turns his steps is the triad of the Buddha, his Doctrine, and the Fraternity of holy disciples. Being what is most precious and most pure, it has been called "The Triple Gem." But the fact that it provides the final refuge and not only a temporary shelter, cannot otherwise be proved than through the actual attainment of that refuge by those who are going to it.

The Triple Gem has objective existence as an impersonal idea or ideal as long as it is known and cherished. In so far it is doubtlessly a still persisting and active source of energy for the world. But it is transformed from an impersonal idea to a personal refuge only to the extent of its being realized in one's own mind and manifested in one's own life. Therefore the existence of the Triple Gem in its characteristic nature as a refuge cannot be proven to others than those who find this refuge in themselves by their own efforts.

The refuge becomes and grows by the process of going to it.

The refuge exists for us only in so far as something within ourselves responds and corresponds to it.

Therefore the Sixth Zen Patriarch said:

With regard to the first refuge, in the Buddha, the Master himself said, shortly after His Enlightenment:

Concerning the second refuge, in the Dhamma, the Buddha said shortly before his decease:

In the commentarial literature it is said (in reference to another passage, but applicable to the one just quoted):

The third refuge, the Sangha, being the community of holy disciples, is the great and inspiring model for emulation. The actual foundation of that refuge is the capacity inherent in all beings to become one of the eight noble beings who form the Sangha of the refuge.

We turn now to the third subject of the knowledge implied in taking refuge, i.e., to the ultimate nature of the threefold refuge.

We have seen that the refuge becomes attainable and even perceptible only by way of the living roots, by the actual foundations it has within the average mind. Like the lotus, it arises within the waters of worldly existence; there it develops and from there it takes its nourishment. But what is still immersed in the ocean of worldliness and suffering cannot be the ultimate refuge, the place of safety and bliss. It must not only assuage, but finally transcend, the world of danger, fear and ill, like the lotus that rises above the surface of the water and remains unsullied by it. Therefore the consummate refuge meant in the traditional formula is of supramundane nature — lokuttara i.e., world-transcending.

Consequently, the first refuge is not the recluse Gotama, but the Buddha as the personification of world-transcending enlightenment (bodhi). In the Vimamsaka Sutta it is said of the Noble Disciple: "He believes in the Enlightenment of the Exalted One."

The Dhamma of the second refuge is not the faint, fragmentary, or even distorted picture of the Doctrine as mirrored in the mind of an unliberated worldling (puthujjana). It is the supramundane Eightfold Path and its consummation in Nibbana. The commentator underlines the supramundane nature of the second refuge by saying that the Dhamma, as an object of learning (pariyattidhamma), is only in so far included in the refuge as it arises in the Holy Disciple together with the fruition of stream-entry, etc.; i.e., only in so far as it is a formulation of that consummate knowledge acquired on the four stages of sanctity.

The Sangha of the third refuge is not the all-inclusive congregation of monks, having all the weaknesses of its single members and sharing in the shortcomings attaching to any human institution. It is rather the fraternity of holy disciples, not necessarily monks, who are united by the invisible tie of common attainment to the four stages of sanctity. In other words, it is likewise of supramundane nature. It is the assurance of possible progress to the world-transcending heights of a mind made holy and pure.

By this threefold knowledge, about the need, existence, and nature of the refuge, the Going to that refuge becomes a conscious act of understanding.

This knowledge and understanding forms the firm basis of the third, the emotional, aspect of taking refuge, having, as it were, three facets: confidence, devotion, and love. The knowledge of the existence of a refuge provides the basis for a firm and justified confidence, for the calmness of inner assurance, and the strength of conviction. The knowledge of the need for a refuge instills unswerving devotion to it; and the understanding of its sublime nature fills the heart with love towards the highest that can be conceived. Confidence is the firmness in faith; devotion is the patient endurance in loyal service and effort; and love adds the element of ardor, warmth, and joy. In the sense of these three constituents, the going for refuge is also a conscious act of wise faith.

We may now define the going for refuge as a conscious act of will directed towards liberation, based upon knowledge and inspired by faith; or briefly: a conscious act of determination, understanding, and devotion.

These three aspects of taking refuge have their counterparts in the volitional, rational, and emotional sides of the human mind. Therefore, for a harmonious development of character, the cultivation of all three is required.

Will, understanding, and faith support each other in their common task; will, transformed into purposive action, frees faith from the barrenness and dangers of emotional self-indulgence; it prevents intellectual understanding from stopping short at mere theoretical appreciation. Will harnesses the energies of both emotion and intellect to actual application. Understanding gives direction and method to will; it provides a check to the exuberance of faith and gives to it its true contents. Faith keeps will from slackening, and is the vitalizing and purposive factor in intellectual understanding.

The presence of these three aspects is the distinguishing feature of true Buddhist faith (saddha). In the conception of faith as found in all other world religions, only the emotional aspect is stressed (assurance, devotion, and love). The two other aspects, will and understanding, are absent, or in an undeveloped state, being impeded by the dictates of the creed. The element of self-responsible will is supplanted by the postulate of obedience, by authoritarian guidance, and by submission to the will of a God. Understanding is replaced by dogmatic belief, demanding or implying a sacrifice of intellect.

Against such a one-sided emphasis on emotional faith, Buddhism moves from the very beginning of its spiritual training towards wholeness and completeness, i.e., towards a harmonious development of mental faculties. Therefore the act of going for refuge in its true sense, is accomplished only if there is connected with it at least a minimal degree of purposeful will and genuine understanding. Only in that case, faith (saddha) will have the quality of a "seed" attributed to it by the Buddha, i.e., of a seed productive of further growth. The element of will in that seed of faith will grow until maturing into the irrepressible desire for liberation (muñcitu-kamyataa-ñaña) which is one of the advanced stages of Insight (vipassana; see Visuddhimagga). The element of initial understanding in true faith will grow into penetrative wisdom that will finally transform the assurance of faith into the inner certitude conferred by realization.

Taking refuge by way of thoughtless recital of the formula is a degradation of that venerable ancient practice. It deprives it of its true significance and of its efficacy. "Going for refuge" should be the expression of a genuine inner urge, in the same way as, in ordinary life, one may be urged by the awareness of a great danger to seek without delay the refuge of a place of safety.

When taking refuge, one should always keep in mind the implications of this act, as outlined above. This will be, at the same time, a beneficial training in right mindfulness. One should always ask oneself how the presently undertaken act of going for refuge could be translated into terms of will and understanding. Seeing that the house of our life is ablaze, it will not do merely to worship the safety and freedom that beckons outside, without making an actual move to reach it. The first step in that direction of safety and freedom is taking refuge in the right way, i.e., as a conscious act of determination, understanding, and devotion.

In the commentarial passage translated above, a precious document of ancient Buddhist practice is preserved, showing the thoughtful and discriminating way in which the devotees of old took refuge in the Triple Gem. Four different formulas are mentioned, given in what seems to be a descending order beginning from the highest form, the complete self-surrender, and ending with the lowest, the homage by prostration.

It is greatly to be regretted that the information we can derive from the commentarial passage in which these formulas are embedded, is rather scanty. Many questions that come to mind are left unanswered, as for instance: Have these four formulas been used instead of the traditional one, or in addition to it? By whom and on which occasions have the three lower kinds been used? Have they been administered to the devotees in a similar fashion as it is done today in the case of the traditional formula? Those three lower kinds, namely, have in common the last sentence, being a call to witness: "Thus may you know me!" (iti mamdharetha). Does the plural form used in the Pali sentence, refer to an assembly of devotees that witnessed the act or, what seems to be more probable, was it merely a respectful way of addressing the spiritual teacher (guru) or the monk who may have administered that special formula of refuge, perhaps as a kind of initiation? In any case, the concluding "call to witness" gives to those utterances a strong emphasis and the solemnity of a vow distinguishing it from the general formula of refuge. The commencing words ("From today onward...") too are stressing that character of a definite and personal dedication, as distinguished from an impersonal ritual. They mark the day of the first utterance as initiating a new period in the life of the devotee. Both the beginning and the end of these three modes of refuge are an echo of the earliest formulas of conversion, reported in the Suttas: "I take refuge in the Lord Gotama, the doctrine and the community of monks! May the Lord Gotama know of me as an upasaka! From today, as long as life lasts, I have taken refuge!" (...upaasaka.m ma.m bhava.m Gotama dhaaretu, ajjatagge pa.nupeta.m sara.nam gata.m.)

The commentator explains the three lower modes of refuge merely by reference to scriptural passages which do not enlighten us very much. From this fact we may conclude that in Buddhaghosa's time and environment those modes of refuge were no longer a living practice, but only a reminiscence for which explanation had to be sought in literature. Otherwise the commentator would certainly have dealt with them in greater detail and probably illustrated them by some stories which he is usually so fond of relating. The fourth and highest mode of refuge has obviously been more familiar at that time and was probably still in use by those undergoing strenuous meditative practice, as evinced by a passage in the Visuddhimagga which we shall quote later.

But despite the lack of authentic information, the following facts become sufficiently clear from the formulae themselves. The ancient devotees who coined and used them have been obviously very sensitive as to the deep significance of that act of going for refuge, perceiving it as a most momentous step, decisive for life. By making a fourfold distinction demanding a definite and personal choice, they made provision for saving the performance of that act from becoming a soulless habit. The ancient devotees knew well the implication of that apparently simple act and have been aware of the sacred responsibilities resulting from it. They knew that taking refuge is actually consummated only by a complete self-surrender to the Triple Gem, without any reservations. In the lesser modes of the act, there is still something of the presumed self that is kept back; it is a going for refuge with reservations. Nevertheless these lesser modes too are definite steps towards the Highest, and should be consciously cultivated. As in any harmonious mental development, here too the higher level will not exclude the lower one but absorb it into its wider compass. In trying to obtain a clearer picture of those four modes, we shall therefore start not from the highest, but from the lowest level.

I.

Homage is the mental attitude, and the bodily and verbal expression, of reverence, resulting from the recognition and appreciation of something higher than oneself. It breaks through the first and hardest shell of pride and self-contented ignorance that knows of nothing better than one's own petty self. When encountering something higher, animals and undeveloped men — "primitive" or "civilized" — will mostly react by distrust, fear, flight, attack, resentment, hostility, persecution, etc., because they can view that higher form of life only as something different, alien, and therefore suspect. It is the sign of a truly developed human mind that it meets the higher with due respect, with admiration, and the wish to emulate. Recognition and appreciation of something higher is therefore the preliminary condition of spiritual growth, and true respect, resulting from it, forms the basis of moral education too. Kungfutse names respect (li) as the first of qualities of "human heartedness" (jen).

Therefore in man's relation to the Highest, i.e., the Triple Gem, true homage comes first. As a way of taking refuge, homage is the spontaneous expression of the deep emotion felt when becoming aware of the existence and significance of the supreme refuge. It is the emotional reaction in gratitude, veneration, and joy when feeling the full weight of the tremendous fact that there is actually a refuge from this universe of suffering. Therefore the commentator's illustration of this mode of taking refuge is not the habitual act of worship by confirmed devotees, but the highly emotional conversion of an aged brahman who, deeply stirred, prostrates himself before the Exalted One, embracing and kissing his feet.

Homage represents the emotional side of taking refuge, being its aspect as a conscious act of faith. Through its single-heartedness and humility, the act of doing homage by body, speech, and mind, prepares the disciple emotionally for complete self-surrender. It is an indispensable step to it, but, being deficient with regard to understanding and determination, it requires the supplementation by the following two stages.

II.

While homage is still a distant and one-sided relationship to the Supreme, the devotee still being in the outer court of the sanctuary, the acceptance of discipleship is a direct approach to it. Through the process of learning, a mutual relationship is established, or we may even say, a gradual and partial identification of teacher, teaching, and pupil takes place. Here the mind of the disciple goes for refuge to supreme wisdom, and becomes gradually permeated by it.

Through respect and humility acquired by true homage, the disciple has earned for himself the right of entry into the sanctuary of wisdom. Only if approached in that attitude of respect and humility, the guru, the spiritual teacher of the East, will impart his knowledge, as these qualities are the first indication that the disciple is ready to receive.

If refuge is taken in the sense of discipleship, life becomes a constant act of learning, i.e., of adapting the mind to the standards set by the Buddha, the Dhamma, and the Sangha. It is the character of the wise man that he is always willing and anxious to learn.

The acceptance of discipleship represents the rational side of taking refuge which is here a conscious act of understanding. It supplies the full and satisfying reasons for the act of homage, and adds, in that way, to the strength and loyalty of devotion.

But man is not always devotee or learner. There remains much in life that cannot be mastered easily by faith and understanding alone. It requires a strong will and determination, as well as the skill of long experience, to change the course of the manifold habitual activities of life into the direction of the refuge. This task of making the refuge gradually the center of one's life is performed by the third mode of taking refuge.

III.

In accepting the Triple Gem as his guiding ideal the disciple pledges himself to subordinate gradually all the essential activities of his life to the ideals embodied in the Triple Gem. He vows to give all his strength to the task of impressing this sacred threefold seal upon his personal life and upon his environment too, as far as he is able to overcome its resistance. The threefold refuge in its aspect as the guiding ideal, or as the determining factor of life, calls for complete dedication in the sphere of external activities.

This, at least, is what we tentatively suggest as the meaning of this third variety of taking refuge, called in Pali tapparayanata. In putting forward this suggestion, we followed the trend of our previous thoughts about the three constituents of Buddhist faith, and we took up, in addition, the hint given in the illustrative passage quoted by the commentary in this connection. The canonical text to which that quotation belongs, tells of two deities who, after their conversion, vow to go through the world as "divine missionaries" of the Dhamma. This example given by the commentary may be taken as representative of the general task of establishing the sovereignty if the Triple Gem in one's own and in others' hearts.

But this dedication to the service of the Triple Gem is still not the highest form of taking refuge to which the disciple should aspire. Still there exists in the disciple's mind a difference between the noble objective and the person working for it. The delusive ego has been retained: it rejoices at the success of the work, and grieves when it fails. In a subtle way, the work, instead of the Triple Gem, becomes the refuge. If identification of self and work is not complete the ego, as it were, hides in the work, and evades the call for full surrender to the true refuge. Progress beyond this step is possible only if the service of the guiding ideal is done in a highly detached way, without looking for any reward.

IV.

This detached attitude towards work will be one of the many fruits of complete self-surrender to the Triple Gem. This last and highest form of refuge taken by the worldling is without reservations. If true understanding has told us before that nothing can be gained in samsara (which is the objective aspect of self), then, consequently, nothing can be lost by the surrender of self (which is the subjective aspect of samsara). Though this surrender of self is only the surrender of a delusion, it is a very hard sacrifice as all of us know. But if ever we wish to be free of the bonds of samsara, this self-surrender has to be done at one time or another, and therefore it may as well be done today as tomorrow.

The highest prize is won only by the highest stake, by the sacrifice of that illusive self that has assumed so much power that it requires the highest effort to break it. In taking refuge by way of self-surrender the disciple, in his modest way, will follow the example of the Exalted One who, in his last great struggle before Enlightenment, addressed his inner opponent, personified as Mara, with the following words: "It's Muñja grass I wear! Shame be on life! Fain in the battle I would die, than to live further as a vanquished one!" (Sn 3.2, v.440). The Muñja grass was the crest of those ancient Indian warriors who entered battle with the vow "to do or to die." It should be the symbol of the spiritual warrior too. If any reservations, regrets, or reluctances are retained there will be merely a half-hearted attempt, instead of a single-minded effort which alone can bring victory.

If the grave step of taking refuge by self-surrender has once been taken, a feeling of lightness, unconcernedness, and fearlessness will enter the heart of the disciple. A self that has been renounced cannot and need not have any fear for a life that has been surrendered and that is kept now only on trust for the definite purpose of being used for the highest realization. Therefore in the early days of the Dhamma, those of determined mind who entered the "field of spiritual action" (kammatthana) — i.e., who took up a subject of meditation to be cultivated up to sainthood — they used to start their work by taking the vow of self-surrender, as advised by the following passage of the "Visuddhi Magga":

This way of taking refuge by self-surrender is, of course, still far from the complete abolishing of egotism and self-delusion, but it is a powerful means to that end. It may mark the transition from the worldly or mundane refuge to which it still belongs, to the supramundane refuge at which it aims.

The formulae of self-surrender, as given in our commentarial text, differ even in their external form from the three lesser modes of refuge in so far as they lack that concluding "call to witness," characteristic of the other modes. From that we may conclude that this gravest of all vows was to be taken in the secrecy of one's heart, as befits the sacredness of that resolve. Here the presence of a witness as a kind of moral support for keeping the vow should no more be required; such a requirement would only prove that it is premature to take this step. Any publicity to it would only detract from the supreme dignity of the vow, and would render its observance more difficult by making the disciple too self-conscious or even proud. Needless to say, a deliberate parading of the vow would defeat its very purpose by reinstating the self that was to be surrendered.

The longer formula of self-surrender enlarging upon the short sentence in the Visuddhimagga, has been rendered here into a Western language for the first time; and also its Pali original seems to have evoked little attention in our day. If we reproduce that formula here, we do it in the hope that it will be received with the reverence due to that precious document of ancient devotion, hallowed by the efforts and achievements of those who may have practiced in accordance with it. We add the earnest request not to make use of it lightly for the purpose of ordinary devotion and not to take the vow rashly on the spur of a moment's enthusiasm. This solemn pledge should be taken only after having tested one's strength and perseverance for a long time, by minor observances and renunciations. We should beware of making those highest things of the spirit cheap and common by approaching them in too facile a way; by talking too glibly about them, or by taking them into our hands and dropping them again when interest fades or our feeble fingers get tired. Therefore, if we are not sure of our strength, we should not take upon ourselves the severe demands of Self-surrender, but take our refuge by way of those lesser modes. For these will likewise prove to be powerful helpers to high spiritual achievements.

In making an actual and intelligent use of that fourfold devotional Road of the Ancients, we shall preserve the most popular religious practice in the Buddhist world, the going for refuge, from becoming stale and ineffective. We shall be able to turn it into a strong, life-giving current of devotion that will carry us one day to the Isle of Final Peace, to Nibbana, where the refugee and refuge are merged into one.