A Survey of the development of the gotra doctrine of the Yogācāra School from the early texts, and the reconciliations of the gotra doctrine with other schools by the later Yogācārins.
A Survey of the development of the gotra doctrine of the Yogācāra School from the early texts, and the reconciliations of the gotra doctrine with other schools by the later Yogācārins.
從早期典籍探討瑜伽行派種性學説之發展，以及後期瑜伽行派如何將 種性學説與其它學派融和
The Dharmalakshana Buddhist Institute
Abstract
Lineage (gotra), also known as clan, nature or family, has been rooted as a social caste system in the Indian culture. As we know, most prominent Buddhist masters came from either Brahmin or the Ksayriya caste. Buddhist texts also incorporated a form of caste system into the three yāna theory. This is articulated in the Yogācāra tradition explicitly, and thus, further evolved to a five gotra-s doctrine. This doctrine includes the three yānas as the ultimate destination, the interdetminate gotra, and the non-gotra (agotrastha) which can never attain nirvāṇa. It is said that the great Chinese monk Xuanzang traveled to India was for the sake of settling his doubt on whether all sentiment beings have the potentialities of being awakened. Before returning to China, he discussed the issue with his teacher Śilabbhadra whether abolishing of the doctrine of the beings without the potentialities of attaining nirvāṇa nature could be possible in order to agreeing with the Chinese culture. His suggestion, however, was being strongly criticized by Śilabbhadra, and Xuanzang was being convinced to be faithful to the original texts. Unlike the Indian culture which was accustomed to caste system ideology, these controversies have been even more incandesced amongst the Chinese Buddhist Schools.
In this research, the origin and the establishment of the gotra doctrine will be examined exclusively (from segregating from the doctrine of Tathāgatagrabha) through the most fundamental and earliest Yogācāra texts/śāstra of Maitreya/Maitreya-nātha and Asaṇga, such as the Yogācārabhūmi-śāstra (“YBŚ”), Saṃdhinirmocana Sūtra
(“SS”), Mahāyāna-sūtrālamkāra (“MSA”), Mahāyāna-saṃgraha-śāstra (“MSŚ”) etc. The doctrine of gotra-s will then be further analyzed from the perspective of hindrances (āvaraṇa), and seeds (bīja), which are contemplated in these Yogācāra texts. Furthermore, a detailed survey will be focused on the characteristics of the non-gotra (aka icchantika3). Lastly, resolution of the difficulties in the gotra doctrine and its soteriological value will be finally concluded.
摘要種性（gotra）亦稱為種族、種屬、或族姓，是作為植根於印度文化中的社會階層制度。眾所周知，最為出色的佛教論師皆出於婆羅門或剎地利階層。佛教典籍亦將種姓制度融入其三乘學説中。這可於瑜伽行派傳統中清晰看到，並進一步發展成五種性的義理。 這義理包括三乘真實、不定種性、以及無種性（agotrastha）即永不能入涅槃者。據説中國偉大的玄奘法師西行印度是為了對一切有情眾生是否有覺悟的可能性這問題釋除疑惑。返回中國前，他與老師戒賢（Śilabbhadra）討論應否廢除無種性的學説以符合中國文化。然而，他的建議被戒賢強烈地批判，故玄奘被説服須忠於原典。中國非如印度文化這樣習慣於種姓制度的思想體系，這些爭論在中國佛教學派中更顯得白熱化。
這論文將透過彌勒及無著最根本及早期的瑜伽行派典籍，如《瑜伽師地論》
（Yogācārabhūmi-śāstra ）、《解深密經》（Saṃdhinirmocana Sūtra）、《大乘莊嚴經論》（Mahāyāna-sūtrālamkāra）、《攝大乘論》（Mahāyāna-saṃgraha-śāstra）等，以詳細考查種性學説的起源及建立（不包括如來藏學説）。種性學説更進一步從蓋（āvaraṇa）及種子（bīja）的角度分析，兩者皆於這些瑜伽行派典籍中討論。此外，論文亦會對無種性的特性作深入探討。最後，論文將對種性學説疑難的決斷及其淑世意義作最終總結。
Keywords: gotra, agotrastha, āvaraṇa, bīja, icchantika
關鍵字：種性、無種性、蓋、種子、一闡提
About the author: Francis Yau Kin, PhD Student in Buddhist Studies (PhD),
Institute of Pali and Buddhist Studies University of Kelaniya, Sri Lanka 作者簡介：尤堅, 凱拉尼亞大學博士研究生
CONTENT 1. Introduction
2. Origin and the meaning of Gotra 2.1 A General definition of Gotra 2.2 Origin of Gotra in Buddhism
3. Development and Analysis of the gotra doctrine 3.1 Gotra in the Yogācāra texts and its relationship with liberation
3.1.1 Śrāvaka-bhūmi (“ŚrBh”) of YBŚ 3.1.2 Bodhisattva-bhūmi (“BoBh”) of YBŚ 3.1.3 Saṃdhinirmocana Sūtra (“SS”) on the determinative and indeterminate gotras 3.1.4 Mahāyāna-sūtrālamkāra 3.2 The further development to the five gotras doctrine
4. 4. Gotra from other perspectives 4.1 From bīja, the seed 4.2 From āvaraṇa, the hindrances
5. Agostrastha and its six characteristics in ŚrBh
6. Reconciliations of the gotra doctrine with other schools by the later Yogācārins
6.1 Three yānas vs ekayāna as the ultimate goal 6.2 Saṃskṛta-anāsrava vs asaṃskṛta-anāsrava dharma for the gotra and agotra
7. Conclusion
Abbreviations
References
1. Introduction
Lineage (gotra), also known as clan, nature or family, has been rooted as a social caste system in the Indian culture. It is know that most prominent Buddhist masters came from either Brahmin or the Ksayriya caste. Buddhist texts also incorporated a form of caste system into the three yāna theory. This is especially more articulated in the Yogācāra tradition, and further evolved to a five gotra doctrine. This doctrine includes the the three yānas as the ultimate destination, the interdetminate gotra and the non-gotra (agotrastha), which can never attain nirvāṇa. It is said that the great Chinese monk Xuanzang traveled to India was for the sake of settling his doubt on whether all sentiment beings have the potentialities of being awakened. Before returning to China, he discussed with his teacher Śilabbhadra whether abolishing of the idea of the beings without the potentialities of attaining nirvāṇa nature could be possible in order to agreeing with the Chinese culture. His suggestion, however, was being strongly criticized by Śilabbhadra, and Xuanzang was being convinced to be faithful to the original texts. Unlike the Indian culture which was accustomed to caste system ideology, these controversies have been even more incandesced amongst the Chinese Buddhist Schools. In this research, the origin and the establishment of the gotra doctrine will be examined exclusively (from segregating from the doctrine of Tathāgatagrabha) through the most fundamental and earliest Yogācāra texts/śāstra of Maitreya/Maitreya-nātha and Asaṇga, such as the
Yogācārabhūmi-śāstra (“YBŚ”), Saṃdhinirmocana Sūtra (“SS”),
Mahāyāna-sūtrālamkāra (“MSA”), Mahāyāna-saṃgraha-śāstra (“MSŚ”) etc. The doctrine of gotra will then be further analyzed from the perspective of hindrances (āvaraṇa), and seeds (bīja), which are contemplated in these Yogācāra texts. Furthermore, a detailed survey will be focused on the characteristics of the non-gotra (aka icchantika ). Lastly, resolution of the difficulties in the gotra doctrine and its soteriological value will be finally concluded.
2. Origin and the meaning of Gotra
2.1 A General definition of Gotra
Gotra can be translated into various terms according to the context of the exposition in the sūtras or śāstras. Gotra can mean family (religious group), mine (of gem/ore), origin, basis, cause, seed, class etc. This is even more applicable to use as “spiritual lineage” when it comes to the attainment of three yānas and the sentiment beings lacking of such lineage. Ruegg suggests that gotra can be understood both extensionally and intensionally. It designates extensionally a (soteriological and gnosiological) category or class; or it designates intensionally the factor or capacity that determines classification in such a category or class. Thus, the term gotra is evidently related to the concept of a lineage, clan, or family, or of a genus; and its meanings are associated with a socio-biological
metaphor (family/vamsa) and a biological or botanical metaphor (bīja).
2.2. Origin of Gotra in Buddhism
It is apparent that gotra or the social class system has always been widely accepted in the Indian culture. For Buddhism, however, the mentioning of the gotras of the three yānas can be traced back to the Mahāvibhāṣa-Śāstra (“MVŚ”).
MVŚ states,
The Buddha-gotra is superior, the Pratyekabuddha-gotra is middling, and śrāvaka-gotra is inferior. It is further mentioned in the MVŚ that during the prayoga stage, the three yānas arise their faculties (indriya) according to their gotras.3 It can be noted that in MVŚ, that the ideology of the three gotras had already established. However, this cannot ascertain that gotra is the only decisive factor for the sentient being to attain the endowment of a determinative yāna. Since from the text, the faculties of the śrāvaka and pratyeka-buddha are interchangeable. For the Yogācāra School, whose part of its tradition succeeded from the Sarvāstivāda, also incorporates and evolves the ideology of gotra into its own teachings. The significances and the interpretations of gotra to the Yogācāra School will be contemplated in the followings.
3. Development and Analysis of the gotra doctrine
3.1 Gotra in the Yogācāra texts and its relationship with liberation
3.1.1 Śrāvaka-bhūmi (“ŚrBh”) of YBŚ
The basic section (mauli-bhūmi) of YBŚ is considered as an older portion before the commentary sections, thus it is essential to look into the basic section for the development of the gotra doctrine. ŚrBh of YBŚ defines the gotra,
What is gotra? This is the gotrastha-pudgala possess the seeds in present……When encountering with the essential conditions, (gotrastha-pudgala) possess the capability and strength to endow and attain nirvāṇa.
The gotrastha-pudgala has the capability of attaining nirvāṇa when necessary conditions exist. However, when the essential conditions are absent, the gotra within the pudgala is subtle and should not be known. Therefore, in order to attain nirvāṇa, both the cause (hetu), which is the seed, and the conditions (pratyaya) are all necessary. From another point of view, it can be said that only after the necessary conditions appear can the gotra/seed be deduced from the growing status (until nirvāṇa). The ŚrBh enlists numerous conditions for the attainment of nirvāṇa, and even gotrastha-pudgala with the gotra as cause, they are still in the torrent of saṃsāra when without these essential conditions. In contrary to the gotrastha-pudgala, there exists the agotrastha-pudgala. In the same place of ŚrBh, it mentions that pudgala without the quality of attaining nirvāṇa, even if he encounters the essential conditions, he still cannot attain nirvāṇa. Reason is also provided as a logical proof for that,1
There exists Pudgala who will not ent er into or being matured, ie., Pudgala who have been separated from gotra, without the dharma of Parinirvāṇa, this [[[Pudgala]]], indeed, absolutely will not enter into or being matured, will he enter in to Parinirvāṇa? From the non-existence of gotra as the cause, it is deduced that the impossibility for the agotrastha of entering into the noble path, thus consequently, the impossibility of attaining nirvāṇa. It can be ascertained that ŚrBh is established basing on the gotra, which is innate, as the foundation for the purpose of liberation, but not from the person’s conducts or behaviors. However, the characteristics of the agotra-pudgala who cannot attain nirvāṇa are elaborated from an empirical and posterior perspective on their behaviors. These characteristics will be further contemplated in the following in section 5. As a conclusion, the ŚrBh only focus on the stage of practice for śrāvaka, and it distinguishes the gotra, which represents the nirvāṇa for the śrāvakas, and non-gotra, as its twofold schema.
3.1.2 Bodhisattva-bhūmi (“BoBh”) of YBŚ
Bodhisattva is also known as the Mahāyāna or Buddhayāna. Since YBŚ subsumes all the teachings of the three yānas, Bodhisattva-bhūmi provides an even wider scope than ŚrBh regarding the discussion of gotra. In the first chapter,
Gotra-paṭalam of BoBh, already articulates that gotra is the fundamental
mya ṅan las 'da' ba'i skal ba med pa khona yin no // importance as regard to the basic condition (as cause) of a bodhisattva’s career.1 It defines gotra and its nature explicitly in the very beginning, Herein, what is gotra? Gotra, in brief [is twofold], prakṝti-sthaṃ samudānītaṃ gotram (本性住種姓) and samudānītaṃ gotram (習所成種 姓). Herein, prakṝti-sthaṃ gotra, which is the specific state of the six sense bases (āyatana) of the bodhisattvas. [iThis state] is successively transmitted from the beginningless past (to the present) and is similar to the possession of dharmatā. It is undisputable that gotra is a basis for the attainment of nirvāṇa, which is indifferent with the definition in ŚrBh. However, it furthers articulated that gotra is subsumed in the six sense bases. This is a resemblance of the bīja theory of the Sautrāntika that the mental series and material organs mutually hold the seeds on behalf of each other. The influences of the Sautrāntika cannot be disregarded in the development of the gotra doctrine of the Yogācāra, and further arrived at the Yogācāra’s own seed theory.
In order to distinct the supremacy of the bodhisattva-gotra, BoBh does not
1 Roth, Gustav, Observations on the First Chapter of Asaṇga’s Bodhisattvabhumi, ITaur 3-4, 1975-76, p.403. hesitate to point out gotra is fourfold,1 Herein, Pudgala being matured, in brief, is fourfold,: [[[pudgala]] who dwells in] i) the śrāvaka-gotra [should be matured] by śrāvaka; ii) pratyeka-buddha [should be matured] by pratyeka-buddha; iii) Buddha-gotra [should be matured] by the most supreme vehicle (mahāyāna); iv) agotra-stha pudgala, too, should be matured to be reborn to the sugati-gati…… The one who dwells in Buddha-gotra is also referring to the bodhisattva himself. The career of a bodhisattva is to take the bodhisattva vows, and aspires for the sake of the complete/fully enlightenment of all sentient beings by practicing the six perfections.2 He has to mature the two yānas to enter into their respective nirvāṇa-s, and in addition, to mature the non-gotras to be reborn as devas or human beings. Thus, the bodhisattva should be differentiated from the two yānas that he is benefitting both others and his own self. This differentiation can be established from the gotra as the starting point. First of all, BoBh develops that nature of the bodhisattva, ie. the bodhisattva-gotra, is the basis for his power and the potentiality to attain the anuttara-samyak-sambodhi, and this is exclusive for the bodhisattva. Secondly, even with this gotra as the basis, the bodhisattva should also take the initial vow to aspire for bodhi in order to activate the gotra into operation. Thirdly, the practice of bodhyaṅgas is for the sake of attaining
1 YBŚ, p.496c: 云何所成熟補特伽羅？謂所成熟補特伽羅略有四種：一者住聲聞種姓。，於聲聞乘應可成熟補特伽羅；二者住獨覺種姓，於獨覺乘應可成熟補特伽羅；三者住佛種姓，於無上乘應可成熟補特伽羅；四者住無種姓，於住善趣應可成熟補特伽羅。諸佛菩薩於此四事，應當成熟如是四種補特伽羅，是名所成熟補特伽羅。YBŚD, tatra paripācyāḥ pudgalāḥ samāsataś catvāraḥ. śrāvaka-gotraḥ śrāvaka-yāne. pratyekabuddha-gotraḥ pratyekabuddha-yāne. buddha-gotro mahāyāne paripācayitavyaḥ. a-gotra-stho 'pi pudgalaḥ su-gati-gamanāya paripācayitavyobhavati. bodhisattvānāṃ buddhānāṃ ca bhagavatāṃ ityete catvāraḥ pudgalāḥ eṣu caturṣu vastuṣu paripācayitavyāḥ. evaṃ paripācya-pudgalataḥ paripāko veditavyaḥ. Also see 佐久間秀範, 五姓格別の源流を尋ねて, p.1112-1113.
2 Geshe Kelsang Gyatso, The Bodhisattva Vow: A Practical Guide to Helping Others, Tharpa Publications, 1995, p.4. the anuttara-samyak-sambodhi. This resembles and consistent with the exposition of ŚrBh. The gotra is the most primitive cause of all.1 BoBh is also established on gotra as the foundation. The initial aspiration for the attainment of bodhi and the practices thereafter are the conditions. Even if initial aspiration and practice are fulfilled, without the gotra itself, one will relapse and can never achieve the attainment. Therefore, with gotra as cause, the bodhisattva always has the potentiality to attain the anuttara-samyak-sambodhi, whether the goal can be achieved is just a matter of time and opportunities. This idea has been further emphasized later in the BoBh, [One] dwells in gotra is indeed, explained as bodhisattva being determinative [to the attainment of the Bodhi]. Of what reason? Having obtained the conditions, he is determined to attain the anuttara-samyak-sambuddhi…… Once the innate nature of the bodhisattva-gotra exists, he can never lose it. This is the reason why it can be called determinative. As comparing to the non-gotra, they frequently relapse. A bodhisattva need to mature the gotrasthas into their respective (and determinative) liberation, and the agostrasthas to be matured to be born in the sugati-gati. It is not suggested that a bodhisattva should give up
故，有所堪任，有大勢力，能證無上正等菩提。是故說彼自乘種姓，為諸菩薩堪任性持。以諸菩薩最初發心，為所依止為建立故。於施戒忍精進靜慮慧，於六波羅蜜多，於福德資糧智慧資糧，於一切菩提分法。能勤修學……為諸菩薩行加行持。以諸菩薩一切所行菩提分法……圓滿無上正等菩提。
Also see YBŚD for Tibetan. The initial vow for bodhi, and the bodhisattva-gotra, the practice of the bodhyaṅgas are included in the first of the ten dharmas for the path and fruit of the bodhisattva. 1 There are four causes as stated in bodhisattva-bhūmi, and gotra is the primitive one. YBŚ, p.481b: 謂諸菩薩種姓具足，是名第一初發心因。YBŚD, gotra-saṃpad bodhisattvasyaprathamo hetuḥ cittasyotpattaye. the agostrasthas, on the contrary, he should maximize their pleasures and utilities, given their faculties and abilities. This reflects the career of the bodhisattva also includes benefitting of immeasurable sentiment beings, which distinguishes the bodhisattva-yāna with the other two yānas.
It is very important to note that all these qualities of the three yānas gotras and the non-gotra are determinative. It means that it cannot be converted to the gotras of other yāna. This ideology is even more apparent in BoBh than ŚrBh. This can be due to the scope of practice of the bodhisattva is much wider than that of the śrāvakas. The determinativeness of gotra is developed as a transcendental innate quality. This transcendental quality is conjectured from the empirical behavior of that person after he enters into the the path (mārga-darśana) for the three yānas. However, when that person is still a prthagjana, it cannot be ascertained of his gotra. When looking in aggregately with other factors such as the irreversibility/relapsibility and faculties, the gotra which that person belongs to is even more obscure to be affirmed. Though, it can be said that one could use abhijñā to affirm the gotra of the sentiment being, and this may be considered as a priori observations, however, this is out of the scope of this research paper.
3.1.3 Saṃdhinirmocana Sūtra (“SS”) on the determinative and indeterminate gotras
Saṃdhinirmocana Sūtra (“SS”) is considered as one of the primary text on which
the Yogācāra school was found on. SS is incorporated into the
Viniścaya-saṃgrahanī of the YBŚ. This made SS even more difficult to be dated for its emergence, as the YBŚ was continuously expanding and editing until its finalized version. After all, SS represents the third turning of the dharma wheel by the Buddha, and considered as a sūtra in nature. In chapter of Absence of Intrinsic Nature, gotra has been elaborated,
It is not that in the world of sentient beings there are not sentient beings of various different lineages, for some are slow (inferior faculties)……not so slow…… quick (superior faculties) to understand…….a person of the śrāvaka' lineage, turned toward quiescence, even if he were to be skillfully led by the energetic perseverance of all the Buddhas, would yet be unable to be led to sit upon the wisdom seat and realize full, supreme awakening. By illustrating with the nature of various faculties, it is a logical induction that the gotras exist for the three yānas. No matter how effortful do these śrāvakas spend on their practice, they can only attain anupādiśeṣa-nirvāṇa, but not able to take the aspirations for the mahābohhdi-citta. This is the determinate goal of this type of śrāvakas. There are reasons to support their determinative gotra as expounded by the Buddha himself. These śrāvakas innately have the inferior gotras, with feeble compassion. They are extremely fearful of unsatisfactoriness (duḥkha), thus, they can only achieve the liberation from afflictions. Because of their feeble compassion, they also turn away from benefitting other sentient beings and engendering any conditioned activities, as a consequence, can never
attain the anuttara-samyak-sambodhi. Therefore, they are designated as pudgala with the gotra of destined to directly (śamaikāyana) attain the quiescence (一向趣寂聲聞種性補特伽羅). The Buddha will never expound to them the teaching of the great vehicle.
In contrast to these inferior śrāvakas, there exists another type of śrāvakas, who can also be identified as bodhisattvas when they course in the great wisdom. These śrāvakas start their careers to liberate themselves from afflictions in the first place. When they encounter with the profound mahāyanic teachings from the Buddha, they will take the bodhisattva vows to eliminate the knowable hindrance (jñeyāvarana) and benefit others. They are designated as śrāvakas with gotra that who make dedications to the bodhi (迴向菩提聲聞種性補特伽
羅).2 This can be interpreted that if they enter into anupādiśeṣa-nirvāṇa before the encountering of the teachings of the great vehicle, they can never attain the full awakening. This brings out the substantial significance that śrāvakas can be twofold, and there exists the indeterminate gotras for the śrāvakas. Their innate indeterminate gotras are the hetu, while the mahāyanic expositions by the Buddha are the pratyayas for the sake of entering into the mahāyāna vehicle.
This leads to the ultimate doctrine of five gotras of the Yogācāra School.
3.1.4 Mahāyāna-sūtrālamkāra
The Gotra-paṭalam of Mahāyāna-sūtrālamkāra (“MSA”) comprehends gotra from nine perspectives. The most important of all is the existence of gotra,
The existence of the gotra is demonstrated by the differences in (beings') elements (dhātu), faith, achievement, and the acquisition of different results. First of all, term gotra has been equated with dhātu. Vasubandhu1 explains that various kinds of dhātu must be acknowledged, so that (beings of) the three vehicles differ in spiritual genes (gotra). The gotra is also interpreted as the cause. Secondly, with the gotra as cause, and with the essential conditions, faith and achievement of spiritual practice of the sentiment beings are distinct. Lastly, as it is impossible for the gotra is distinct from the fruit of attainment, thus, the threefold yānas is correspondingly resulted. It is then further elaborated that the bodhisattva-gotra is the superior of all in the next verse.2 It must not be overlooked that MSA is a Mahāyāna text, which emphasizes on the teachings and practices of the bodhisattva. D’Amata states that the category of gotras is of importance to the MSA soteriological scheme because different gotras lead to different soteriological goals, and the gotra-theory is of central importance to the text’s soteriological theory, as the bodhisattva-gotra leads to complete awakening which is nothing less than omniscience. This is illustrates as below:4
Buddhist Studies and Tibet House US, 2004, p.23-24. Cf., 《大乘莊嚴經論》, CBETA , T31, no.1604, p.594b.
1 It is still different views of the authorship of both the kārikā and the commentary of MSA. It is believe that the kārikā were authored by Maitreya-nātha or Asaṇga, and the commentary part by Vasubandhu. It is concluded that even with all various views of the scholars, they still believe that MSA and the commentary are authored within these three persons. 2 Ibid. MSA differentiated a scheme of the fourfold categorization of gotra: the determinative who are incapable of being lost (non-relapse), and the indeterminate who are able of being lost (relapse). Those indeterminate are those who are with both śrāvaka-gotra or bodhisattva-gotra. Buddha teaches them the Mahāyāna to avoid them from entering into nirvāṇa, but instead, attaining the full awakening. In contrast to the gotrastha, there also exist the agostrastha. There are four reasons for those who cannot attain nirvāṇa, and one of these is the lack of the cause. The one without the cause are the real agostrastha, and Vasubandhu explains that they cannot attain nirvāṇa forever.
The exposition of nature and the classification of gotra in MSA is similar to SS. The indeterminate gotras comprises those with the śrāvaka-gotra or bodhisattva-gotra. Both texts do not specifically mention that the indeterminate gotra includes the pratyekabuddha-gotra. However, when observing the characteristics of the śrāvaka and pratyekabuddha, both attain the anupādiśeṣa-nirvāṇa, by the teachings of the Buddha and by himself respectively. Thus, it can be conjectured that the indeterminate gotra should also comprise the pratyekabuddha-gotra, who by the teachings of the Buddha, can attained the full awakening.
3.2 The further development to the five gotras doctrine Even though, in the Yogācāra texts of YBŚ, SS or MSA, the ideology of the five gotras has already been incubating , such ultimate fivefold doctrine has not been
explicitly articulated in all those texts. It was not until Lankāvatāra-sūtra (which focuses on the Tathāgatagarbha instead) and Buddhabhūmi-sūtra-śāstra which juxtapose the categorization of the five gotras, and is further elaborated in the forthcoming Vijñaptimātratā School. From the Yogācāra prospective, the five gotra are the śrāvaka-gotra, the pratyekabuddha-gotra, the bodhisattva-gotra, the indeterminate-gotra, and the agotra. The indeterminate-gotra comprises those who have more than one gotras. Showing by a Venn diagram, the four types of gotrastha and the agotrastha can be clearly illustrated:
By the three gotras (as three sets), six combinations of gotrasthas are formed.
bodhisattva-gotra. YBŚ, p.749b22-25: 問：迴向菩提聲聞，從本已來當言聲聞種性，當言菩薩種性？答：當言不定種性，譬如安立有不定聚諸有情類於般涅槃法性聚中。當知此是不定種性。 While out of the three sets are the agotrastha. Indeterminate gotras exists wherever there are intersections of the sets, thus there are four types of indeterminate gotras are formed. The fivefold categorization of the gotra doctrine is as follows:
For the sentiment beings that have the bodhisattva-gotras, they will have the possibilities to attain the full awakening to the Buddhahoods.
4. Gotra from other perspectives
4.1 From bīja, the seed
The Yogācāra adapts the theory of seeds from the Sautrāntika and becomes the one of the most fundamental doctrines of the Yogācāra. The seed represents the hetu for the effect/fruit. Early in the Mano-bhūmi of YBŚ, it already made a distinction for those who can attain nirvāṇa from the prospective of the seeds, That sarva-bījaka-vijnana , [for those who can enter nirvāṇa, it] completely filled with seeds of the dharmas of parinirvāṇa, [for those who cannot enter
nirvāṇa, is not filled with seeds of] the dharmas of parinirvāṇa, lack the seeds of the three bodhis. Therefore, the anāsrava/pure seed is the main cause of the supra-mundane attainment. The practices such as tisrah-śiksāh or the six pāramitās, are the adhipati-pratyaya only. It has no disputes for the existence of seeds among the Yogācārins. When it comes to the discussion of the theory of seeds, however, controversies arises if the anāsrava seed is inborn naturally or by perfuming (vāsanā). This is extremely significant as it determines whether gotra can be altered. If anāsrava seed is inborn, gotrastha itself is destined, and the agotrastha can never attain nirvāṇa. If anāsrava seed can be perfumed, all beings can be fully enlightened as the Buddha, even for the agotrastha. Scrutinizing the basic section of YBŚ, the seeds are innately existed from the beginingless time. Thus, gotra cannot be altered or created if interpret from the perspective of seeds. It is concluded in YBŚ that the gotra and seed are of same nature, and both reciprocally support each other, but just a different designation.
Conversely, as Venerable Yin Shun states that, starting from Viniścaya-saṃgrahanī, it is apparent that Asaṇga gives up the doctrine of innate anāsrava seed and more inclined to the Sautrāntika theory of vāsanā.3 This is mostly represented in Mahāyāna-saṃgraha-śāstra (“MSŚ”) written by himself. MSŚ states that anāsrava seed, even the sentiments has never experienced any
anāsrava dharma, vāsanā can still be possible,
The supra-mundane mind is foreign, thus its vāsana does not yet exist. Not having a propensity/perfuming, from what seed could it be said to arise? Answer: It comes from the seed that is the vāsana of hearing, issuing/emanation from the very pure dharmadhātu. From the pure teaching of the Buddha, anāsrava seeds can be perfumed. These teachings are from the emanation of Buddha’s self attained dharma-dhātu. The teachings from the Buddha become the cause for the supra-mundane path. However, if hearing on the teachings of the Buddha is the cause for vāsanā, it is necessary for a former Buddha to teach the current one. This will be trapped in a loop of infinite regression until arriving at the first cause. Furthermore, whether a sentient being can attain Buddhahood depends on his fortuity on encountering a Buddha and, at the same time, hearing from him. Though, it is highly probable that Asaṇga must face these challenges, it should not be disregarded the soteriological aspect of encouraging the sentient beings to listen to dharma, and liberating themselves as the incentive.
4.2 From āvaraṇa, the hindrances Gotra of the three yānas has been interpreted from the perspective of āvaraṇa, the hindrances in the YBŚ. In Viniścaya-saṃgrahanī analyses the existence of the gotrastha and the agotrastha,
From the perspective of having or not having hindrances: If one has unimpeded penetrating understanding on tathātā as alambana, beings exists with all seeds of the two hindrances, they are established as the agotrastha-pudgala who cannot attain nirvāṇa. If beings exists the seeds of knowable hindrance (jñeya-āvaraṇa) in their bases, but not the afflictive hindrances (kleśa-āvaraṇa), part of them are established as the śrāvaka-gotra-pudgala and part as the pratyekabuddha-gotra-pudgala…… who lack the seeds of both hindrances are established as the buddha-gotra-pudgala. From the above paragraph, it is obvious that seeds, hindrances, and gotra are interrelated. The śrāvaka-gotra, pratyekabuddha-gotra, Buddha-gotra and the agotrastha are clearly defined from the perspective of hindrances (which are in form of seeds). However, it is not so apparent for the development of the indeterminate gotrastha and bodhisattva-gotrastha. For a bodhisattva, both seeds of afflictive and knowable hindrances remain for reborn to the kamadhātu. If analyzing from what being leftover in the base, the bodhisattva that has the seeds of two hindrances will be same as the agotrastha. For instance, if one has already abandoned the seeds of the afflictive hindrance, and knowable hindrance remains (as knowable hindrance is a subset of afflictive hindrance), it cannot be known that he will be a pratyekabuddha/śrāvaka or a bodhisattva. It seems unclear and equivocal in the above two cases. Absence of seeds of hindrances may not be an absolute interpretation for gotra, however, offers another insight for viewing different types of sentiment beings.
5. Agostrastha and its six characteristics in ŚrBh
In most of the Yogācāra texts, in contrast to the gotra of three yānas, the Yogācārins also emphasize on the agotra caste. The agotra is defined by Ruegg as the category of persons who seem to have been considered, at least by certain Yogācārin authorities, as spiritual ‘outcastes’ lacking the capacity for attaining spiritual perfection or awakening of any kind; since they therefore achieve neither bodhi nor nirvāṇa, they represent the same type as icchantikas to the extent that the latter also are considered to lack this capacity. Gotra-bhumi of ŚrBh describes the six characteristics or marks which belong to the
agotrastha-pudgala:
i.) The sentiment beings have innumerous bondages, which are deposited in form of seeds adhering with the basis from a very long time ago and extremely difficult to be abandoned. They cannot obtain any salvations from all Buddhas. This type of agotrastha has a deep attachment to innumerous sensualities and the self. They performed a lot of defiled karma in the past. This grave karmic deposit as seeds make them as agotrastha and difficult to be saved. ii) The sentiment beings have heard of innumerous teachings in condemning the demerits of saṃsāra, and the teachings of honoring the virtues of nirvāṇa. However, they do not see any prapañca and the demerits of saṃsāra in order to have the arising of detachment. Furthermore, they cannot even see little
virtues, benefits and pursuance of nirvāṇa. These detachments on saṃsāra, and the pursuance of nirvāṇa, has never been arisen, arising or will be arisen in these sentient beings, in the past, present and future respectively.1 iii) The sentiment beings are endowed with grave ahrī and anapatrapa as being the condition for the devoid of abomination and fearless. They perform akuśala actions with joy, and never regret on such actions, but only focusing on the present existence. This leads to the deteriorations of themselves and the decrement of their wealth. iv) The sentiment beings cannot comprehend the complete and wonderful dharmas of the Buddha. Any expositions of the four noble truths, they cannot be aspired for even a minute thought or conviction. This happens in the tri-temporality.
1 Ibid., 復有所餘不住種姓補特伽羅無種姓相，謂彼聽聞以無量門呵毀生死眾多過失，又復聽聞以無量門稱讚涅槃眾多功德，而於生死不見少分戲論過失，不見少分所有過患，亦復不能少分厭離。如是見厭於過去世不能已生，於未來世不能當生，於現在世不能正生。又於愛盡寂滅涅槃，不見少分下劣功德，不見少分所有勝利，亦復不能少分欣樂。如是見樂於過去世不能已生，於未來世不能
當生，於現在世不能正生，是名第二不住種姓補特伽羅無種姓相。ŚrBhG, punar aparam agotrasthaḥ pudgalaḥ / anekaparyāyeṇa saṃsāradoṣān vicitrān prabhūtāṃś ca śrutvā, nirvāṇaguṇāṃś cānekaparyāyeṇa vicitrān prabhūtāṃś ca śrutvā, parīttam api prapañce saṃsāre doṣadarśanam ādīnavadarśanaṃ saṃvegamātrakaṃ notpāditavān atītam adhvānam upādāya, notpādayiṣyaty anāgatam adhvānam upādāya, notpādayati vartamānam adhvānam upādāya, parīttakalāmātrakam avaramātrakaṃ nirvāṇe tṛṣṇākṣaye virāge nirodhe guṇadarśanam anuśaṃsadarśanaṃ prasādamātrakam atītānāgatapratyutpannam adhvānam upādāya notpāditavān notpādayiṣyati notpādayati / idaṃ dvitīyam agotrasthaṃ liṅgam // v) The sentiment beings after listening to the vinaya, or being forced by the kings, the bandits, the creditors, fear, non-survival, thus become a monk. They do not aspire for the virtues of becoming a monk. After being a monk, they enjoy gatherings with both the laymen and monks. They take vow for practicing brahma-caryā only in the hope of the rebirth as the deities. Some withdraw or transgress the precepts. Some claim themselves as śramana. Those who do not originally aspire to be a śramana in mind, but merely taking up the life of renunciation in appearance is the characteristic of the agotrastha.1 vi) The sentiment beings only perform little bodily, vocal or volitional kuśala karma. Even they perform kuśala karma, it is just for the sake of all existences, such as future existences, for wealth and so forth.
It is interestingly noted that the above six characteristics are for distinguishing the agotrastha-pudgala as a test. The reasons for not attaining nirvāṇa are
1 YBŚ, p.398b: 復有所餘不住種姓補特伽羅無種姓相，謂彼或時於善說法毘奈耶中暫得出家；或為國王所逼迫故；或為狂賊所逼迫故；或為債主所逼迫故；或為怖畏所逼迫故；或不活畏所逼迫故，非為自調伏，非為自寂靜，非為自涅槃，非為沙門性，非為婆羅門性而求出家。既出家已，樂與在家及出家眾共諠雜住；或發邪願修諸梵行，謂求生天或餘天處；或樂退捨所學禁戒，或犯尸羅。…… 實非沙門，自稱沙門；非行梵行，自稱梵行……本非出家，唯有任持出家相狀，墮出家數，是名第 五不住種姓補特伽羅無種姓相。ŚrBhG, punar aparam agotrasthaḥ pudgalaḥ / sacet kadācit karhicit svākhyāte dharmavinaye pravrajati, sa rājābhinirṇīto vā, corābhinirṇīto vā, ṛṇārto vā bhayārto vājīvikābhayabhīto vā, nātmadamāya, nātmaśamāya, nātmaparinirvāṇāya, (Śbh I 28) na śrāmaṇyāya, na brāhmaṇyāya, tathā pravarjito 'pi sārdhaṃ gṛhasthapravarjitaiḥ sthitaḥ, praṇidhāya brahmacaryaṃ carati, "devo vā syāṃ devānyataro ve"ti, śikṣāṃ vā pratyākhyāya prahāṇāya varttate / duḥśīlo vā bhavaty antaḥpūtir avasrutaḥ kaśaṃbakajātaḥ śaṃkhasvarasamācāraḥ, aśramaṇaḥ śramaṇapratijñaḥ, abrahmacārī brahmacāripratijñaḥ. atītānāgatapratyutpanneṣv adhvasv agotrasthasya pudgalasyaivam eva pravrajyā veditavyā / na cāśikṣākāmasya pudgalasya pravrajyopasaṃpadbhikṣubhāvaḥ / tad anena paryāyeṇānenābhisandhinārthato [rab tu byuṅ ba ma yin gyi rab tu byuṅ ba'i rtags daṅ cha lugs 'dzin pa tsam gyis rab tu byuṅ ba] iti saṃkhyāṃ gacchati / idaṃ pañcamam agotrasthasya pudgalasya liṅgam //
already contemplated in Section 3.1.1 as lacking the appropriate gotra, and herein, on the contrary, the characteristics of the agotra-pudgala are elaborated from an empirical and posterior perspective from their behaviors. If seeing from the empirical perspective, it may be obscured that the being is truly an agotrastha or merely a gotrastha who is heavily hindered by defilements.
For a logical point of view, the agotrastha-subset must exist given the combinations of the three gotrastha-s and agostrastha (as demonstrated by the Venn diagram), however, the numbers of beings within such subset could be null. Not all schools of thought agree with the existence of agotrastha, for instance, Buddha-dhātu-śāstra refutes the five rhetorical questions in Viniścayasaṃgrahaṇī of YBŚ , and points out the defaults of having agostrastha.
One thing can be ascertained is that, if the beings have the traits or possibility of an agotrastha, what can be done in the first priority is to make them to reborn as humans and deities by the accumulation of punya and prajñā. If these beings are not agotrastha, they will finally attain any of the attainment of the three yānas by their punya and prajñā.
Besides ŚrBh, BoBh also contemplates the agostrastha, and further points out a bodhisattva’s attitude toward the agotrastha. As for the element of living beings, there is no special distinction between persons who are gotrastha and agotrastha. A bodhisattva should not ignore them, but instead mature these agostrastha for
their benefits.
6. Reconciliations of the gotra doctrine with other schools by the later Yogācārins
6.1 Three yānas vs ekayāna as the ultimate goal
The most celebrated stanza is found in the Saddharma-Puṇḍarīka-Sūtra on teaching of the Ekayāna,
In the buddha worlds of the ten directions, There is only the Dharma of the single vehicle. Apart from the skillful means of the buddhas, There is neither a second nor a third (vehicle).
This statement has been a very authoritative saying by the Buddha. Similar expositions are also noted in Mahāparinirvāṇa Sūtra and the Śrīmālādevī Siṃhanāda Sūtra. These sūtras teach that enlightened as a Buddha is the ultimate goal for all sentiment beings. However, Buddha states in SS the reason of the teaching of ekayāna,
For all śrāvaka, pratyekbuddha, and bodhisattvas, this is the one wondrous path of purification. This is the one ultimate purification. There is no other. It is with this underlying intent that I have preached that there is only one vehicle. As the path of purification is same for all yānas, thus it is the Buddha’s implicit intent to say so. However, there are still three yānas as the ultimate. It is
explained that the teaching of ekayāna is exclusively for indeterminate gotra which only includes those with the bodhisattva-gotra. Only those with the bodhisattva-gotra can be fully awakened, thus being taught the ekayāna teaching. In this way, the Yogācārins can resolve the contradictory views of the ultimate three yānas or the ekayāna as expounded in the various sūtras.
6.2 Saṃskṛta-anāsrava vs asaṃskṛta-anāsrava dharma for the gotra and agotra
Xuanzang in Vijñapti-matrāsiddhi-śāstra, or Cheng Wei Shih Lun (“CWSL”), has juxtaposed four types of nirvāṇa. Besides the three types of nirvāṇa, sopādiśeṣa-nirvāṇa, anupādiśeṣa-nirvāṇa and apratiṣṭhita-nirvāṇa, which are most commonly known, an additional one is also added in CWSL, The anadikalika-prakṛtiśuddha-nirvāṇa (本來自性清淨涅槃), that is pure in its essential nature. This is the Bhuta-tathatā, the ultimate principle or essential nature of all dharmas. Despite adventitious contamination, it is pure in itself, possessed of innumerable and measureless excellent qualities, free from birth and destruction, being absolutely tranquil and placid, like space……realized internally by true saints. This nirvāṇa is extremely important in the Yogācārin context. It is tackled by the Yogācārins that all being consist of this type of nirvāṇa, even the for the agostrastha beings. It exists naturally in all phenomena. This is also the tathatā, and also the Buddha-nature. It does not depend on whether the sentiment being practice on the teachings of the three yānas, this nirvāṇa exists in the sentiment being naturally. It this way, the Yogācārins reply to the all sentiment beings has
the Buddha nature.
Furthermore, anāsrava dharma is subdivided into saṃskṛta and asaṃskṛta. All the nirvāṇas, tathātā, nirodha, dharmatā etc, are comprehended as asaṃskṛta-anāsrava, as they are not subjected to causes and conditions, being transcendental, not course in time, unchanging, eternal etc. In contrast to the asaṃskṛta-anāsrava, the saṃskṛta-anāsrava is the noble truth of mārga (道諦) of practicing the Buddha’s doctrines. The agotrastha beings who cannot attain nirvāṇa, is not due to no nirvāṇa (because they also have
anadikalika-prakṛtiśuddha) in themselves, but they lacks the saṃskṛta-anāsrava, which the cause of practicing the mārga. A similar passage as YBŚ (Section 4.2 on hindrance) about the hindrances is found in CWSL, but in a more refined form and interpreted from the perspective of the innate seeds of the saṃskṛta-anāsrava, which also links up with gotra, A person who is absolutely devoid of pure bījas (saṃskṛta-anāsrava), the bījas inherent in him of the two kinds of āvaraṇa can never be destroyed…… he is not destined to attain nirvāṇa. A person who possesses only the pure bījas of the two vehicles, the bījas of jñeyāvaraṇa that are inherent in him can never be destroyed. That person belongs either to the gotra of Śrāvaka or to the gotra of pratyekabuddha. A person who possesses the pure bījas of mahābodhi or of the Vehicle of the Tathāgatas, the bījas of the two kinds of āvaraṇa are destructible. That person belongs to the gotra of the Tathāgatas. This paragraph, though similar to the one in YBŚ, does not interpret by which types of hindrance seeds exist in the sentiment being so that respective yānas
they will attain (or non-attainment of the agotrastha). CWSL interprets by the type of anāsrava seeds exist, which can destroy the reciprocal or corresponding seeds of hindrances, in order to attain the respective yāna (or agotrastha if no such innate anāsrava seeds exist) as the outcome. The anāsrava seeds are the hetu that induce the path of the particular yāna the sentiment beings practice. When the anāsrava seeds encounter with the essential conditions, the mārga of that particular yāna will arise. It is undisputable that mārga and the hetu of the mārga are saṃskṛta dharma. By saṃskṛta-anāsrava as the seeds of the mārga, the Yogācārins explain the three yānas as ultimate goal, and the existence of the agotrastha beings. The five gotra doctrine of the Yogācārin can now be established firmly.
7. Conclusion
The doctrine of gotra is one of the very important doctrines in the Yogācāra tradition. It is further evolved to a five gotra doctrine. The Yogācārins believe that the three yānas are the ultimate destination, and there exists the indeterminate gotra and the non-gotra beings. In this research, the origin and the evolution of the gotra doctrine are examined through the most fundamental Yogācāra texts/śāstra. The doctrine of gotra is further analyzed from the perspective of hindrances (āvaraṇa), and seeds (bīja) stipulated in the Yogācāra texts. The characteristics of the non-gotra as expounded in ŚrBh has been discussed. Lastly, this research looks into how the later Yogācārins resolve the difficulties of the gotra doctrine when facing various challenges from other schools. The
Yogācārins, even though, emphasize on the gotra doctrine, one should not equate it with the traditional Indian caste system. The Yogācārins separate sentiment beings into the five gotras is not for the purpose of discriminating against the two yānas or the agotra as castes inferior to the bodhisattva-gotra. On the contrary, they exhibit the mahāyānic spirit of benefitting all sentiment beings from the soteriological point of view.
Abbreviations
BoBh Bodhisattva- bhūmi
CEBTA Chinese Electronic Tripitaka
MSA Mahāyāna-Sūtrālamkāra
MSŚ Mahāyāna-saṃgraha-śāstra
MVŚ Mahāvibhāṣa-śāstra
YBŚD Yogācārabhūmi Database, http://ybh.chibs.edu.tw/ by Dharma Drum Institute of Liberal Arts
ŚAŚ Śāriputra-Abhidharma-Śāstra
ŚrBh Śrāvaka-bhūmi
ŚrBhG GRETIL TEXT FILE Śrāvaka-bhūmi, Srāvakabhūmi, The First Chapter, Revised Sanskrit Text and Japanese Translation, ed. Śrāvakabhūmi Study Group (The Institute for Comprehensive Studies of Buddhism, Taisho University), Tokyo 1998 (Taisho
University Sogo Bukkyo Kenyujo, 4).
http://gretil.sub.uni-goettingen.de/gretil/1_sanskr/4_rellit/bud dh/srabhu_u.htm
aṃdhinirmocana Sūtra
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